Power Allocation Strategy for MIMO System Based
on Beam-Nulling
Mabruk Gheryani, Zhiyuan Wu, and Yousef R. Shayan
Concordia University, Department of Electrical Engineering
Montreal, Quebec, H4G 2W1, Canada
email: (m gherya, zy wu, yshayan)@ece.concordia.ca
Abstract— In this paper, we propose a scheme called “beam-
nulling” using the same feedback bandwidth as beamforming but
with higher capacity. In the beam-nulling scheme, the eigenvector
of the weakest subchannel is fed back and then signals are sent
over a generated subspace orthogonal to the weakest subchannel.
Hence, the scheme can achieve high capacity. The capacities of
water-filling, equal power, beamforming and beam-nulling are
compared through theoretical analysis and numerical results.
It is shown that at medium signal-to-noise ratio, beam-nulling
approaches the optimal water-filling scheme.
I. I NTRODUCTION
It has been recognized that adaptive techniques, proposed
for single-input-single-output (SISO) channels [1] [2], can also
be applied to improve MIMO channel capacity [3]- [5]. The
ideal scenario in adaptive schemes is that the transmitter has
full knowledge of channel state information (CSI) which is
fed back from the receiver. With such a perfect CSI feedback,
the original MIMO channel can be converted to multiple
uncoupled SISO channels via singular value decomposition
(SVD) at the transmitter and the receiver [3]. In other words,
the original MIMO channel can be decomposed into several or-
thogonal “spatial subchannels” with various propagation gains.
To achieve better performance, various strategies to allocate
constrained power to these subchannels can be implemented
depending on the availability of CSI at the transmitter [6]- [8].
If the transmitter has full knowledge about channel matrix,
i.e., full CSI, the so-called “water-filling” (WF) principle is
performed on each spatial subchannel to maximize the channel
capacity [3]. This scheme is optimal in this case. Various WF-
based schemes have been proposed, such as [9]- [12]. For
the WF-based scheme, the feedback bandwidth for the full
CSI grows with respect to the number of transmit and receive
antennas and the performance is often very sensitive to channel
estimation errors.
Various beamforming techniques for MIMO channels have
also been investigated extensively, which can mitigate the
above disadvantages. In an adaptive beamforming scheme,
complex weights of the transmit antennas are fed back from
the receiver. If only one eigenvector can be fed back, eigen-
beamforming [7] is optimal. The eigen-beamforming scheme
only applies to the strongest spatial subchannel but can achieve
full diversity and high signal-to-noise ratio (SNR) [7]. Also, in
practice, the eigen-beamforming scheme has to cooperate with
the other adaptive parameters to improve performance or/and
data rate, such as constellation and coding rate. There are also
other beamforming schemes based on various criteria, such as
[7]- [14]. Note that the conventional beamforming is optimal
in terms of maximizing the SNR at the receiver. However,
it is sub-optimal from a MIMO capacity point of view, since
only one data stream, instead of parallel streams, is transmitted
through the MIMO channel [15].
In this paper, we propose a new technique called “beam-
nulling” (BN). This scheme uses the same feedback bandwidth
as beamforming. That is, only one eigenvector is fed back
to the transmitter. The beam-nulling transmitter is informed
with the weakest spatial subchannel and then sends signals
over a generated spatial subspace orthogonal to the weakest
subchannel. Note that both transmitter and receiver should
know how to generate the same spatial subspace. Hence,
the loss of channel capacity as compared to the optimal
water-filling scheme can be reduced. Although the transmitted
symbols are “precoded” according to the feedback, the beam-
nulling scheme is different from the other existing precoding
schemes with limited feedback channel, which are independent
of the instantaneous channel but the optimal precode depends
on the instantaneous channel [16] [17].
II. C HANNEL M ODEL
In this study, the channel is assumed to be a Rayleigh flat
fading channel with Nt transmit and Nr (Nr ≥ Nt ) receive
antennas. We denote the complex gain from transmit antenna
n to receiver antenna m by hmn and collect them to form
an Nr × Nt channel matrix H = [hmn ]. The channel is
known perfectly at the receiver. The entries in H are assumed
to be independently identically distributed (i.i.d.) symmetrical
complex Gaussian random variables with zero mean and unit
variance.
The symbol vector at the Nt transmit antennas is denoted by
x = [x1 , x2 , . . . , xNt ]T . According to information theory [5],
the optimal distribution of the transmitted symbols is Gaussian.
Thus, the elements {xi } of x are assumed to be i.i.d. Gaussian
variables with zero mean and unit variance, i.e., E(xi ) = 0
and E|xi |2 = 1.
The singular-value decomposition of H can be written as
H = UΛVH (1)
where U is an Nr ×Nr unitary matrix, Λ is an Nr ×Nt matrix
with singular values {λi } on the diagonal and zeros off the
 Ant-1
g1,1
diagonal, and V is an Nt ×Nt unitary matrix. For convenience, x1 Ant-1
g1
we assume λ1 ≥ λ2 . . . ≥ λNt , U = [u1 u2 . . . uNr ] and gNt,1

V = [v1 v2 . . . vNt ]. {ui } and vi are column vectors. U

H y~1

From equation (1), the original channel can be considered as

consisting of uncoupled parallel subchannels. Each subchannel xNt-1
g1,Nt-1 Ant-Nr

corresponds to a singular value of H. In the following context, gNt-1

gNt,Nt-1
Ant-Nt
Channel
the subchannel is also referred to as “spatial subchannel”. For Estimation

instance, one spatial subchannel corresponds to λi , ui and

Generate
{vi }. Φ vNt-1

III. P OWER A LLOCATION A MONG S PATIAL S UBCHANNELS

Fig. 1. beam-nulling scheme.
We assume that the total transmitted power is constrained
to P . Given the power constraint, different power allocation
among spatial subchannels can affect the channel capacity
where z1 is the additive white Gaussian noise vector with
tremendously. Depending on power allocation strategy among
i.i.d. symmetrical complex Gaussian elements of zero mean
spatial subchannels, four schemes are presented which have
and variance σz2 . The associated ergodic channel capacity can
equal power, water-filling, eigen-beamforming, and the new
be written as £ ¡ ¢¤
power allocation which is beam-nulling.
C̄bf = E log 1 + ρλ21 (7)
If the transmitter has no knowledge about the channel,
the most judicious strategy is to allocate the power to each The eigen-beamforming scheme can save feedback band-
transmit antenna equally, i.e., equal power. In this case, the width and is optimized in terms of SNR [18]. However,
received signals can be written as since only one spatial subchannel is considered, this scheme
r suffers from loss of channel capacity [15], especially when the
P
y= Hx + z (2) number of antennas grows.
Nt
z is the additive white Gaussian noise (AWGN) vector with A. Beam-Nulling
i.i.d. symmetrical complex Gaussian elements of zero mean Inspired by the eigen-beamforming scheme, we propose a
and variance σz2 . The associated ergodic channel capacity can new beamforming-like scheme called “beam-nulling” (BN).
be written as [3] This scheme uses the same feedback bandwidth as beamform-
"N µ ¶# ing. That is, only one eigenvector is fed back to the transmitter.
X t
ρ 2 Unlike the eigen-beamforming scheme in which only the best
C̄eq = E log 1 + λ (3)
i=1
Nt i spatial subchannel is considered, in the beam-nulling scheme,
only the worst spatial subchannel is discarded. Hence, the loss
where E[·] denotes expectation with respect to H and ρ = σP2 of channel capacity can be reduced as compared to the optimal
z
denotes SNR. If the transmitter has full knowledge about the water-filling scheme.
channel, the most judicious strategy is to allocate the power In this scheme as shown in Fig. 1, the eigenvector associated
to each spatial subchannel by water-filling principle [3]. In with the minimum singular value from the transmitter side, i.e.,
water-filling scheme, the received signals can be written as vNt , is fed back to the transmitter. A subspace orthogonal to
p the weakest spatial channel is constructed so that the following
ỹi = Pi λi xi + z̃i (4) condition is satisfied.
P
Nt
where Pi = P as a constraint and z̃i is the AWGN ΦH vNt = 0 (8)
i=1
random variable with zero mean and σz2 variance. Following The Nt × (Nt − 1) matrix Φ = [g1 g2 . . . gNt −1 ] spans the
the method of Lagrange multipliers, Pi can be found [3] and subspace. Note that the method to construct the subspace Φ
the total ergodic channel capacity is should also be known to the receiver.
"N µ ¶# An example to construct the orthogonal subspace is pre-
X t
Pi 2 sented as follows. We construct an Nt × Nt matrix
C̄wf = E log 1 + 2 λi (5)
σz
i=1 A = [vNt I0 ] (9)
To save feedback bandwidth, beamforming can be consid-
where I0 = [I(Nt −1)×(Nt −1) 0(Nt −1)×1 ]T . Applying QR de-
ered. For the MIMO model, the optimal beamforming is called
composition to A, we have
“eigen-beamforming” [7] [18], or simply beamforming. We
assume one symbol x1 , is transmitted. At the receiver, the A = [vNt Φ] · R (10)
received vector can be written as
√ where R is an upper triangular matrix with the (1,1)-th entry
y1 = P Hv1 x1 + z1 (6) equal to 1. Φ is the subspace orthogonal to vNt .
 At the transmitter, Nt − 1 symbols denoted as x0 are Differentiating the above ergodic capacities with respect to
transmitted over the orthogonal subspace Φ. The received ρ respectively, we have
signals at the receiver can be written as "N #
r ∂ C̄eq X t
1
P = E (17)
0
y = HΦx0 + z0 (11) ∂ρ i=1
ρ+ N t
λ2
Nt − 1 " # i
∂ C̄bf 1
where z0 is additive white Gaussian noise vector with i.i.d. = E (18)
symmetrical complex Gaussian elements of zero mean and ∂ρ ρ + λ12
"N −1 1 #
variance σz2 . ∂ C̄bn Xt
1
Substituting (1) into (11) and multiplying y0 by UH , we = E (19)
∂ρ ρ + Nλt −1
2
have r
i=1 i
µ ¶
P B
e=
y Λ x0 + e
z (12)
Nt − 1 0T The differential will also be referred to as “slope”. Since
the second order differentials are negative, the above ergodic
where ez is additive white Gaussian noise vector with i.i.d. capacities are concave and monotonically increasing with
symmetrical complex Gaussian elements of zero mean and respect to ρ.
variance σz2 . With the condition in (8),
For the case of Nt = 2, beamforming and beam-nulling
µ ¶ have the same capacity for any ρ as can be seen from equations
B
VH Φ = (13) of capacity and slope. If ρ → 0, i.e., at low SNR, it can be
0T
easily found that
where
  ∂ C̄bf ∂ C̄bn ∂ C̄eq
v1H g1 v1H g2 ... v1H gNt −1 ≥ ≥ ,ρ → 0 (20)
∂ρ ∂ρ ∂ρ
 .. .. 
 v2H g1 . ... . 
B=
 .. .. ..

 (14) If ρ → ∞, i.e., at high SNR, it can be easily found that
 .. 
. . . .
H
vN g ... ... H
vN g ∂ C̄eq ∂ C̄bn ∂ C̄bf
t −1 1 t −1 Nt −1 ≥ ≥ ,ρ → ∞ (21)
∂ρ ∂ρ ∂ρ
B is an (Nt − 1) × (Nt − 1) unitary matrix. As can be seen
from (12), the available spatial channels are Nt − 1. Since the Note that C̄bf = C̄bn = C̄eq = 0 when ρ = 0 or minus
weakest spatial subchannel is “nulled” in this scheme, power infinity in dB. Hence, at medium SNR, ∂ C̄
∂ρ has the largest
bn

can be allocated equally among the other Nt − 1 subchannels. ∂ C̄ ∂ C̄

value compared to ∂ρbf and ∂ρeq . Therefore, for low, medium
Equation (12) can be rewritten as and high SNRs, beamforming, beam-nulling and equal power
r has largest capacity, respectively.
0 P
e =
y Λ0 Bx0 + ez0 (15) In Fig. 2, capacities of water-filling, beamforming, beam-
Nt − 1
nulling and equal power are compared over 5 × 5 Rayleigh
where y e 0 and e z0 are column vectors with the first fading channels, respectively. Note that since SNR is measured
(Nr − 1) elements of y e and ez, respectively, and Λ0 = in dB, the curves become convex. In these figures, “EQ” stands
diag[λ1 , λ2 , . . . , λ(Nt −1) ]. From (15), the associated ergodic for equal power, “WF” stands for water-filling, “BF” stands
channel capacity can be found as for beamforming and “BN” stands for beam-nulling. As can
"N −1 be seen, the water-filling has the best capacity at any SNR
X µ ¶#
t
ρ 2
region. The other schemes perform differently at different
C̄bn = E log 1 + λ (16) SNR regions. At low SNR, the beamforming is the closest
i=1
Nt − 1 i
to the optimal water-filling, e.g., the SNR region below 3.5
As can be seen, the beam-nulling scheme only needs one dB for 5 × 5 fading channel. Note that at low SNR, the water-
eigenvector to be fed back. However, since only the worst filling scheme may only allocate power to one or two spatial
spatial subchannel is discarded, this scheme increases channel subchannels. At medium SNR, the proposed beam-nulling is
capacity significantly as compared to the conventional beam- the closest to the optimal water-filling, e.g., the SNR region
forming scheme. from 3.5 dB to 16 dB for 5 × 5 fading channel. The beam-
nulling scheme only discards the weakest spatial subchannel
IV. C OMPARISONS A MONG THE F OUR S CHEMES and allocates power to the other spatial subchannels. As can
be seen from the numerical results, the beam-nulling scheme
In this section, we compare the new proposed beam-nulling performs better than the other schemes in this case. Note that
scheme with the other schemes. Water-filling is the optimal at high SNR, the equal power scheme will converge with the
solution among the four schemes for any SNR. water-filling scheme.
 5x5
12 [13] B. Mondal and R. W. Heath, Jr., “Performance analysis of quantized
EQ
WF beamforming MIMO systems,” IEEE Transactions on Signal Processing,
10
BF
BN
vol. 54, no. 12, Dec. 2006.
[14] B. Chalise, S. Shahbazpanahi, A. Czylwik, and A. Gershman“Robust
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8 downlink beamforming based on outage probability specifications,” IEEE
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V. C ONCLUSIONS
Based on the concept of spatial subchannels and inspired
by the beamforming scheme, we proposed a novel scheme
called “beam-nulling”. Using the same feedback bandwidth as
beamforming, the new scheme exploits all spatial subchannels
except the weakest one and thus achieves significant high
capacity near the optimal water-filling scheme at medium
signal-to-noise ratio. The comparison showed that at low
signal-to-noise ratio, beamforming is the closest to the optimal
water-filling, at medium signal-to-noise ratio, beam-nulling is
the closest to the optimal solution, and at high signal-to-noise
ratio, equal power is the closest to the optimal solution.
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