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Abstract— This paper deals with design and performance works on limited feedback CSI based transmit precoding are
analysis of transmit precoder optimization for MIMO-OFDM based on various criteria such as the average signal to noise
systems with limited feedback of channel state information (CSI). ratio (SNR) [12], [13], the outage probability [14], [16], and
We assume that the receiver has perfect channel knowledge
while the transmitter has only partial channel knowledge from the symbol error rate [17], etc. Optimal transmit algorithms
limited feedback. We present a BER-based optimal codebook for maximal capacity based limited feedback CSI have been
construction algorithm for MIMO-OFDM systems under average investigated in [24]. However, those are all based on equal
power constraint using the Lloyd algorithm. The proposed power allocation. On the other hand, the transmitter structure
optimal precoder has the structure of joint precoding and power in the previous works do not coincide with the optimal
allocation. Closed form solution has been derived for power
allocation in the sense of minimum BER for the MIMO-OFDM transmitter structure in [18]- [22].
systems. Simulation results show that the BER-based codebook By dividing frequency-selective channels into an equivalent
construction algorithm with hybrid design of power allocation set of frequency-flat subchannels, orthogonal frequency divi-
and multi-mode beamforming can achieve better performance sion multiplexing (OFDM) has emerged as an attractive mod-
than those of equal power allocattion based codebooks in litera-
ulation scheme to handle frequency selective fading resulting
ture.
from delay spreading by expanding the symbol duration [8],
I. I NTRODUCTION [9]. It is also an effective technique to combat inter-symbol
interference (ISI) caused by wireless multi-path fading chan-
Multiple-input multiple-output (MIMO) system is well mo- nel [9]. Our focus in this paper is to take the critical work of
tivated for wireless communication through fading channels determining which CSI and by which way to be sent to the
because it has the potential to improve transmission rate or transmitter for MIMO-OFDM systems.
diversity gain. The performance of a multi-antenna system In this paper, we consider power allocation across different
depends on the degree of channel state information (CSI) sub-channels for MIMO-OFDM systems with limited feed-
available at the transmitter and the receiver. However, in back, where the minimal BER-based codebook construction
practical wireless systems, the transmitter could not obtain algorithm is investigated. We also propose hybrid precoding
perfect CSI because of various factors, e.g., estimation error, and power adaptive allocation algorithm for MIMO-OFDM
feedback delay, feedback error, etc. For multi-antenna systems, with the constructed optimal codebook by spatial multiplexing.
even partial channel knowledge can be valuable in enhancing The paper is organized as follows. We outline MIMO-
system performance [5]. Thus, exploiting channel partial CSI OFDM model and the problem statement in section II. In
at the transmitter in a MIMO wireless systems has attracted section III, the transmitter structure and feedback model are
great attention recently [6], [7]. described. The minimum BER-based coodbook construction
Transmit CSI can enhance MIMO system performance by algorithm is presented in section IV. Section V proposes the
using precoder. CSI at transmitter can be obtained by feedback optimal precoder design algorithm for MIMO-OFDM system
from receiver in frequency division duplexing systems or by with limited feedback. The simulation result are presented in
measuring the reverse channel in time division duplexing section VI followed by the conclusion in section VII.
systems. Generally, it is assumed that perfect CSI is available
at the receiver while the transmitter only get partial CSI or II. S YSTEM M ODEL
imperfect CSI. There are two ways to exploit partial CSI [6],
[10]. One is to use the statistical characteristic of CSI [5], [10]; We consider Nt transmit-antennas and Nr receive antennas
The other is to use limited feedback bits which indexing CSI. MIMO-OFDM wireless communication system with spatial
The latter way is to first quantize the channel at the receiver, multiplexing, where Nc subcarriers is employed in an OFDM
and then send back the limited bits indexing the quantized CSI symbol. By MIMO-OFDM system, frequency-selective chan-
which is called codebook. One can design off-line a codebook nel can be decoupled into Nc parallel MIMO frequency-flat
containing transmission candidates [10], [11]. The previous channels.
3494
1930-529X/07/$25.00 © 2007 IEEE
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE GLOBECOM 2007 proceedings.
Authorized licensed use limited to: Shanghai Jiao Tong University. Downloaded on April 9, 2009 at 21:49 from IEEE Xplore. Restrictions apply.
Assume that there are M symbols to be transmitted per Antenna 1
subcarrier, which is then bounded by min(Nt , Nr ). Collect
the Nc M symbols transmitted over Nc Nt subcarriers in a xn .
Nc M × 1 vector x. The precoder is applied to each subcarrier
M u1
2 G W .
.
to allocate power across the Nc subcarriers and Nt antennas. Antenna Nt
M uM M uM Nt u M
Therefore the precoder F is an Nc Nt × Nc M block diagonal
Channel
matrix with Nc blocks of Nt × M matrices Fn , n = Gk wk
CSIT estimation&coo
1, · · · , Nc . former dbook selection
In this context, we consider a MIMO block-fading channel
model where the channel state remains quasi-statistic within
Fig. 1. Optimal transmitter structure
a fading block on each subcarrier, but behaves independently
across a different fading block. The frequency responses of
the Nc MIMO channels can be described by a Nc Nr × Nc Nt IV. M INIMUM BER-BASED C ODEBOOK C ONSTRUCTION
block diagonal channel matrix H with Nc blocks of Nr × Nt
matrices Hn , n = 1, · · · , Nc . If the channel keeps quasi-static, In this section we manage to directly use the exact BER
the Nc M × 1 received symbol vector r is as the codebook design criterion. We first briefly outline
the transmitter optimization in BER sense and then we will
r = GHFx + Gn, (1) consider the codebook construction scheme that based on
BER criterion. We assume that all subchannels carry the same
where the receiver G is an Nc M ×Nc Nr block diagonal matrix number of bits and use the same constellation.
with Nc blocks of M ×Nr matrices Gn , n = 1, · · · , Nc , and n
is an Nc M × 1 noise vector, which has the Gaussian statistics. A. Transmitter Optimization
In MIMO-OFDM system, each subcarrier can be considered
We now give the description of the transmitter optimization.
as a MIMO channel. Suppose xT = [xT1 · · · xTNc ], rT =
It is important to remark that both the actual Q-function and
[rT1 · · · rTNc ] and nT = [nT1 · · · nTNc ], where xk , rk and nk for
Chernoff-bound are convex functions for a BER less than 2 ×
k = 1, · · · , Nc are respectively the transmitted symbol vector,
10−2 . Thus, we can deal with actual Q-function and Chernoff-
the received symbol vector and the noise vector over the kth bound as convex functions [20] for low BER.
MIMO channel. From (1), the output-input relation for each
Given an independent identical distribution block-fading
subcarrier can be individually written out. For n = 1, . . . , Nc ,
MIMO channel with the transit CSI, our goal is to find
denote
the optimal performance based transmission scheme. Let Pe
yp = Hn Fn xn + nn . (2) denote the average BER of a MIMO-OFDM system, the
Then for n = 1, · · · , Nc , we have optimal performance problem can be formulated as
min Pe
rn = Gn yn = Gn Hn Fn xn + Gn nn , (3) M
(5)
III. O PTIMAL T RANSMITTER S TRUCTURE
s. t. E
H
tr(Xm Xm ) ≤ P0
m=1
The optimal structure of F is F = WΘΦ [18]- [22], √
where W is an Nc Nt × Nc M matrix denoting the precoding where Xm = ωm φm xm and P0 is the average transmit
matrix and Φ is an Nc M × Nc M diagonal matrix with power.
the diagonal entries obtained by water-filling principle based
B. BER-Based Codebook Construction Algorithm
power allocation [24], which means that the transmit power is
allocated across the Nc subcarriers and Nt antennas. Θ is an The codebook construction for limited-rate feedback beam-
Nc M × Nc M unitary√matrix and each entry of the matrix has forming and precoding can be linked to a quantization problem
the same modulus 1/ K. Thus Θ could be a normalized DFT [11]. We use Lloyd algorithm to search for good codewords
matrix or Hadamard matrix. When matrix Θ has been set to based on BER criteria. The generalized Lloyd algorithm based
be the DFT or the Walsh-Hadamard matrices, it could provide codebook construction also provides an alterative systematic
the desired fading diversity with minimum complexity. approach for the Grassmanian subspace packing problem [26].
We will combine precoding and power allocation to get In Lloyd algorithm, the quantizer quantizes the input space
optimal transmit structure see Fig. 1, which can be expressed CN into NB regions {R1 , · · · , RNB }, where Rk denote the
as cluster region of codeword ωk for k = 1, · · · , NB . Designing
yn = Hn wn Θn Φn xn + nn 1 ≤ n ≤ Nc , (4) a quantizer means to find a codebook and a partition rule that
jointly minimize the overall average distortion measure. The
where wn is an Nt ×M matrix which denotes precoding matrix two necessary conditions are so-called centroid condition and
and Φn is an M ×M diagonal matrix with the diagonal entries nearest neighbor rule condition [27]. The centroid condition
denoting the allocated power along each beamforming modes, is to choose the optimal codeword by minimizing the average
and Θn is a normalized DFT matrix or Hadamard matrix. distortion over that region. The nearest neighbor rule is to
3495
1930-529X/07/$25.00 © 2007 IEEE
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE GLOBECOM 2007 proceedings.
Authorized licensed use limited to: Shanghai Jiao Tong University. Downloaded on April 9, 2009 at 21:49 from IEEE Xplore. Restrictions apply.
determine the region where the vectors in this region are closer By iteratively using centroid condition and the nearest neigh-
to the codeword of this region. bor rule, the overall distortion will decreases monotonically.
To design the BER criterion based codebook, we have to We will use this principle to form a new codebook construction
construct the nearest neighbor rule and the cenroid condition method. Here, we give the closed form solution of the two
in this scenario. Thus, joint optimization of the channel region steps.
and the transmission modes is required. The two key works 1) Solution of Step1: For a given region Rk , 1 ≤ k ≤
are NB , find the optimal ρk . For a region Rk , the probability
1) Given the channel vector region, find an optimal design Ak and the channel covariance matrix can be calculated
of the transmission modes. for each region. Assume that the eigen decomposition of
2) Given a set of transmission modes, find an optimal HH H in region Rk is HH H
k Hk = Vk Λk Vk , where Λk =
design of channel vector region. diag(λk,1 , · · · , λk,NB ) is an Nr × Nt diagonal matrix with
Let Ak denote the probability that the channel matrix H λk,1 ≥ λk,2 ≥ · · · ≥ λk,NB , and Vk is an Nt × M unitary
lies in the region Rk . φ0 stands for the average transmit matrix formed by the corresponding eigen-vectors vk,i , i.e.,
power. By jointly designing {Rk }N B
k=1 and transmitter strategy
Vk = (vk,1 , · · · , vk,NB ). The optimal unquantized precoder
{ωk , φk }N B
, our ultimate goal is to for each channel condition should be Fopt = Vk , where Vk is
k=1
the matrix constructed from the first M columns of Vk [11],
NB
[28]. Based on those decomposition matrices, we can derive
min J = (Ak · pe (k)),
the closed form solution for the power loading consequently,
k=1
(6) which is summarized in the following theorem. The proof is
NB
M
s. t.
(φm (k)) ≤ P0 omitted in this paper.
Ak
k=1 m=1 Theorem 1: With optimal eigen-beamforming combined
1
M −gγm
with power allocation, we get the optimal transmitter power
where pe ≈ m=1 (0.2e
M ) [23] denoting the average allocation schemes by water-filling principle:
BER of QPSK modulation, and γm is the system SNR of
the mth data stream. With the Lagrange multiplier µ for the 1
φm (k) = ×
average transmit power constraint, the distortion measure for λm (k)
optimizing the BER performance is given by
NB M̃ +
−1
P0 + k=1 m=1 λ m (k) ln λ m (k)
NB M NB M̃ + 2lnλm (k)
Ak −1
D(H, ωk , φk ) = 0.2e−gγm (k) k=1 m=1 λm (k)
M m=1
(10)
k=1
N M
B where (x)+ = max(0, x), k ∈ [1, NB ], and pm (k) denotes
+µ Ak φm (k) − P0 (7) the mth entry of the diagonal power allocation matrix of the
k=1 m=1
kth region, and M̃ denote the number of active data streams
The distortion measure is a function of H, ωk and φk , The in each subcarrier.
partition index k is sent to the transmitter, and the transmitter 2) Solution of Step2: Determine the optimal region
selects the optimal schemes in the codebook by the index k. {Rk }N NB
k=1 , for a given transmission strategy {ρk }k=1 . The
B
Hence, the optimization problem could be solved by general optimal partition region is given by the nearest neighbor rule.
Lloyd’s algorithm, which can be outlined as following two In our case, we will use the distortion measure as (26). Thus,
steps. we can get the updated regions by the following
S1 Given a certain channel condition regions of
{R1 , · · · , RNB }, find the optimal transmission
scheme {ρ1 , · · · , ρNB }, where the transmitter scheme Hk = {H : D(H, ρk ) ≤ D(H, ρj ), ∀ j = k} (11)
ρk {ωk , φk } for k = 1, · · · , NB denoting the joint
precoding matrice and power allocation along different The above two necessary conditions have been proved to be
modes. The optimal transmission scheme ρk , is given by essential for the codebook construction [31]. Firstly, for each
the generalized region centroid condition. The optimal region, the optimal codeword can be chosen to minimize the
transmission strategy ρ, is given by the generalized distortion. In our case, multimode beamforming together with
region centroid condition. power allocation are employed in centriod condition. Secondly,
the nearest neighbor rule is used to find the optimal region
ρopt
k = arg minE{H∈Rk } (D(H, ρk )) (8) represented by each codeword.
ρk
3) Solution of Codewords Selection: Here, we present
S2 Given a transmission scheme {ρk }, find the optimal
the optimal codeword selection algorithm for MIMO-OFDM
channel regions Rk , 1 ≤ k ≤ NB . The optimal region
system. By (4), our codeword selection algorithm can be
is given by the nearest neighbor rule.
employed on each sub-carrier. Let ρk = {wk , φk } denotes
Rk = {H : D(H, ρk ) ≤ D(H, ρj ; ), ∀j = 1, · · · , NB } the kth codeword in codebook {ρk }N B
k=1 . Then the description
(9) of the codeword selection is
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This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE GLOBECOM 2007 proceedings.
Authorized licensed use limited to: Shanghai Jiao Tong University. Downloaded on April 9, 2009 at 21:49 from IEEE Xplore. Restrictions apply.
St1 : Obtain CSI by channel estimation at the receiver.
St2 : Perform the eigen decomposition (EVD): wH HH Hw =
0.29
H H
matrix of w H Hw.
M H H
St3 : Let D = m=1 e−φm w H Hw , where M denotes the 0.27
Ralated distoration
codeword is given by 0.26
3497
1930-529X/07/$25.00 © 2007 IEEE
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE GLOBECOM 2007 proceedings.
Authorized licensed use limited to: Shanghai Jiao Tong University. Downloaded on April 9, 2009 at 21:49 from IEEE Xplore. Restrictions apply.
0
[7] F. Rey, M.Lamarca, “Robust power allocation algorithms for MIMO
10
OFDM system with imperfect CSI,” IEEE Trans. signal. processing, vol.
53, no. 3, pp. 1070-1085, Mar., 2005.
B=4
B=6 [8] V. Mignone and A. Morello, “CD3-OFDM: A novel demodulation scheme
−1
10
B=7 for fix and mobile receivers,” IEEE Trans. commun., vol. 44, no. 5, pp.
B=8
B=inf
1144-1151, May., 1996.
[9] J. A. C. Bingham, “Multicarrier Modulation for Data Transmission: An
idea whose time has come,” IEEE Trans. Commun., vol.28, May, 1990.
−2
10 [10] S. L. Zhou, “BER criterion and codebook construction for finite-rate
precoded spatial multiplexing with linear receiver,” IEEE Trans. signal
BER
3498
1930-529X/07/$25.00 © 2007 IEEE
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE GLOBECOM 2007 proceedings.
Authorized licensed use limited to: Shanghai Jiao Tong University. Downloaded on April 9, 2009 at 21:49 from IEEE Xplore. Restrictions apply.