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Chan-Byoung Chae, Student Member, IEEE, Seijoon Shim, Member, IEEE,

and Robert W. Heath, Jr., Senior Member, IEEE

Abstract—Precoding with block diagonalization (BD) is an inverse of the multiuser matrix channel [4]. Owing to the

attractive technique for approaching the sum capacity in the transmit power enhancement resulting from power normaliza-

multiuser multiple-input multiple-output (MIMO) broadcast tion, the gap in the sum rate between DPC and these linear

channel. Unfortunately, BD requires either global channel state

information at every receiver or an additional training phase, precoding methods, however, is large.

which demands additional control overhead and additional sys- A way to avoid transmit power enhancement is to use non-

tem planning. In this paper we propose a new multiuser MIMO

algorithm that combines BD with vector perturbation (VP). The

linear precoding such as lattice precoding [6]. Tomlinson-

proposed algorithm avoids the second training phase, reduces Harashima MIMO precoding is one example of transmit

each user’s receiver complexity thanks to pre-equalization with precoding with a modulo operation [6]. Another example is

VP at the transmitter, and has comparable diversity performance vector perturbation (VP) where the transmit signal vector is

to BD with maximum likelihood decoding algorithm. A bound perturbed by another vector to minimize transmit power from

on the achievable sum rate for the proposed technique is derived

and used to show that BD with VP approaches the achievable

the extended constellation [7]. Finding the optimal perturba-

sum rate of BD with water-filling. Numerical simulations confirm tion involves solving a minimum distance type problem and

that the proposed technique provides better bit error rate and thus can be implemented using sphere-encoding or other full

diversity performance than BD with a zero-forcing receiver as search-based algorithms. The multiuser precoding approaches

well as BD with zero-forcing precoding. mentioned above assume that the transmitter sends a single

Index Terms—MIMO systems, broadcast channels, nonlinear stream to each user. In next generation systems, mobile

system, perturbation methods, spatial filtering, interference sup- terminals may have multiple receive antennas and could thus

pression. receive multiple streams. In this paper, we propose a new

algorithm that allows more than one transmit stream per user.

I. I NTRODUCTION One precoding algorithm that supports multi-stream trans-

multiple-output (MIMO) communication has shown that

the capacity region of the broadcast channel is achieved by

mission with moderate complexity and approaches sum capac-

ity is block diagonalization (BD) [9]–[11]. The basic concept

of BD is to use a transmit precoding matrix that ensures zero

dirty paper coding (DPC) [1]–[3]. The key idea of DPC inter-user and inter-stream interference in the received signal

is to pre-cancel interference at the transmitter using perfect of each user. The resulting multiuser MIMO channel matrix

channel state information (CSI) and complete knowledge of has a block diagonal form. In general, BD is inferior in terms

the transmitted signals. DPC, while theoretically optimal, is of sum capacity to DPC. In the special case, however, where

an information theoretic concept that has been shown to be BD combines user selection algorithms that make all users

difficult to implement in practice. Consequently, several near subject to semi-orthogonal channels, BD can come close to

sum capacity achieving practical techniques based on the the sum capacity achieved by DPC [12]. Several precoding

concept of precoding have been proposed that offer different techniques have been proposed applying successive MMSE

tradeoffs between complexity and performance [4]–[15]. and Tomlinson-Harashima algorithms to implement BD [14].

One of the simplest approaches for multiuser precoding is The main challenge with conventional BD is that under a

to pre-multiply the transmitted signal by a suitably normalized dimensionality constraint1 , either global CSI is required at all

zero-forcing (ZF) or minimum mean squared error (MMSE) the receivers or an additional training phase is needed so that

each user can estimate their equivalent channel and perform

Manuscript received January 27, 2007; revised November 21, 2007 and July symbol detection [15]. That usually requires a large control

26, 2008; accepted September 17, 2008. The associate editor coordinating

the review of this paper and approving it for publication was S. Blostein. overhead and additional system planning to find a decoding

This work was supported in part by Samsung Electronics, and also supported matrix at every receiver. This coordination information is a

in part by the Korea Research Foundation Grant (KRF-2005-214-D00319) limitation for BD.

funded by the Korean Government (MOEHRD). This paper was presented in

part at the IEEE Global Telecommunications Conference, San Francisco, CA, In this paper, we present a vector-perturbing MIMO block

November/December 2006.

C. B. Chae and R. W. Heath Jr. are with the Wireless Networking and

diagonalization precoder for the multiuser broadcast channel

Communications Group, Department of Electrical and Computer Engineering, where the receiver does not need to estimate the effective

1 University Station C0803, The University of Texas at Austin, Austin, TX

78712-0240 USA (e-mail: {cbchae, rheath}@ece.utexas.edu).

S. Shim is with the Telecommunications R&D Center, Samsung Electronics,

Suwon, Korea (e-mail: seijoon.shim@samsung.com).

C. B. Chae and S. Shim contributed equally to this work (co-1st author in 1 The conventional BD requires the number of transmit antennas is at least

alphabetical order). summation of the number of receive antennas to cancel multiuser interference,

Digital Object Identifier 10.1109/T-WC.2008.070262 which is a dimensionality constraint.

1536-1276/08$25.00

c 2008 IEEE

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4052 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 7, NO. 11, NOVEMBER 2008

Fig. 1. Structure of a lattice-based broadcast SM-MIMO precoding system using the BD algorithm.

channel matrix.2 We assume that the transmitter has full CSI user 1 and 16-QAM for user 2. Thus, from both rate/diversity

for all users and satisfies the dimensionality constraint as with and complexity perspectives, our approach achieves similar

conventional BD [11]. The proposed algorithm exploits the BD performance to BD with an optimal receiver but with much

linear precoding algorithm to transmit interference free groups lower receiver complexity. This can be a particular advantage

of data to different users. To avoid the extra coordination in multiuser systems with low-cost low-power receivers.

information between the transmitter and receiver, we propose This paper is organized as follows. In Section II we begin

to use a ZF prefilter combined with multi-stream VP, which with the system model and present a summary of BD and its

differs from the previous perturbation [7] in operating domain. limitations. In Section III we propose vector-perturbed MIMO

Hence, the main features of our approach are that (i) we do not BD and derive its achievable rate. We present numerical

require coordination information like global CSI at the receiver results including achievable rate, probability of bit error, and

or an additional training phase, and that (ii) our approach has complexity in Section IV and conclude in Section V.

much lower receiver complexity, at the expense of additional

transmit complexity over BD. II. B ROADCAST MIMO S YSTEM WITH B LOCK

We derive an achievable rate, which we define as an error- D IAGONALIZATION

free supportable rate that satisfies any given power constraint

[16], of our system under an optimal perturbation assumption. In this section we discuss the narrow-band broadcast signal

Through numerical results, we show that the resulting sum and channel model under consideration. Then we discuss BD

rate is equivalent to that of BD combined with water-filling and its knowledge of coordination information.

in [11] and [12]. We also compare the proposed algorithm

with the conventional BD assuming equal power allocation A. MIMO Broadcast Signal Model

[11] and a ZF or maximum likelihood (ML) receiver [9] in

Consider a MIMO broadcast signal model with K users

terms of the uncoded bit error rate (BER). We find that our

each employing Nr,k receive antennas and receiving their own

approach has similar diversity performance to BD with an

data streams, which are precoded at the transmitter with Nt

ML receiver and much better performance than BD with a ZF

antennas. The channel is assumed to be flat fading, though this

receiver even though we use a low complexity receiver and

model can be extended to frequency selective fading channels

do not need the second training phase. Note that we could

using orthogonal frequency division multiplexing (OFDM)

use the standard channel inversion approach in [4], [7] and

modulation. In the broadcast channel, the received signal at

treat the receive antennas as if they were separate users, and

the k-th receiver is3

then full diversity gain can be achieved at the transmitter. The

K

computational complexity of the channel inversion-based VP

(CI-VP), however, would significantly increase as the number y k = H kF kx k + H k F lx l + n k , (1)

l=1,l=k

of transmit antennas at the transmitter increases. In addition,

the same modulation order has to be used in CI-VP while the where x k is the transmit signal of the k-th user, H k is the

proposed systems could use different modulation orders for Nrk × Nt channel matrix, and n k is the additive complex

each user based on each user’s channel gain, e.g., 4-QAM for Gaussian noise vector with zero mean and covariance matrix

2 Compared with our related conference paper [5], this paper includes a 3 Upper case and lower case boldface are used to denote matrices A and

complexity comparison between different methods, provides a more detailed vectors a , respectively. If A denotes a complex matrix, and A T , A ∗ , A −1

proof of the achievable rate, and contains new simulation results to show the denote the transpose, conjugate transpose, and the inverse of A , respectively.

effectiveness of our proposed precoding technique. A F denotes the Frobenius norm of matrix A .

A

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IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 7, NO. 11, NOVEMBER 2008 4053

σn2 I Nr,k . In (1), F k denotes the precoder for the k-th user, at the transmitter and the decoder of the k-th user also has U k

which is a cascade of two precoding matrices B k and D k at the receiver. Therefore the maximum achievable sum rate

for BD, i.e., F k = B k D k , where B k removes the inter- of the BD algorithm is given by

user interference and D k is used for parallelizing and power

allocation [11]–[15]. BD Λ 2Q

CW F = max log det I + 2 , (8)

Q:Tr(Q

{Q Q)≤PT } σn

Λ1 , · · · , Λ K ), Q =diag(Q

In [11], the authors choose B k such that the subspace positive definite matrix Q denotes the optimal power loading

spanned by its columns lies in the null space of H l (∀l = k), subject to a total power constraint PT [11].

that is, H lB k = 0 for l = 1, · · · , K − 1, K + 1, · · · , K. If we To implement the WF algorithm, knowledge of the decoding

define H k as matrix U k is required at each receiver. The decoding matrix

U k depends, though, on H eff,k , but H eff,k also consists of

T (0)

k = HT · · · HT

H 1

T

k−1 H k+1 · · · H K

T

, (2) the original channel matrix H k and the nulling matrix V k .

Because the nulling matrix is calculated by using partial

k . Let us

then B k can be obtained from the null space of H information about the CSI of other users, the receiver needs

define the SVD of H k as to either calculate the decoding matrix directly from the

∗ estimated channel of H eff,k [9] or the transmitter can send

(1)

(0) specific information to calculate U k at the k-th receiver [15],

H k = U kΛ k V k Vk , (3)

which is called a coordination information.

the matrix of ordered singular values of H k , respectively. III. MIMO B LOCK D IAGONALIZATION WITH V ECTOR

(1) (0) P ERTURBATION

Matrices V k and V k denote the right singular matrices

each consisting of the singular vectors corresponding to non- In this section we introduce MIMO BD with vector per-

zero singular values and zero singular values, respectively. To turbation (MIMO BD-VP). Combining BD and perturbation

pre-cancel the interference of the other users, we choose the algorithms, we provide a smart solution that avoids coordi-

precoder B k as nation information, transmits multiple streams for each user

(0) and offers a diversity advantage. The proposed MIMO BD-

B k = V k , (4)

(1:Lk )

VP requires a simple decoder at each user receiver containing

primarily a modulo operation. In this section, we describe the

where, Lk is the number of transmit streams for each user. proposed algorithm with VP. Then, we present an achievable

The received signal of the k-th receiver, y k is given by rate analysis of the proposed system under the assumption of

an optimal perturbation.

y k = H eff,kD k x k + n k , (5)

where H eff,k = H kB k denotes the effective channel of the A. The Proposed MIMO Block Diagonalization with Vector

k-th user and the size of x k is Lk × 1. Since the k-th user Perturbation

receives its own data stream without interference from other The proposed multiuser MIMO BD with VP transceiver is

users, the methodology for designing an appropriate decoder illustrated in Fig. 1. The transmitter encodes each user’s data

is similar to that of single user MIMO cases after channel streams independently. The k-th transmitter consists of the

estimation [9]. cascade of two matrices H −1 eff,k and F k where the effective

To achieve the highest sum rate, after removing the effect of channel H eff,k = H kF k . The precoding matrix F k is F k =

the interfering users’ streams, BD maximizes data throughput B k , where B k is calculated in the same manner of (4). Note

with the well-known water-filling (WF) algorithm [11]. Define that F k has a different form from (7). As mentioned in Section

the SVD of H eff,k II-B, using the optimal BD solution with diagonalization

∗ via SVD requires additional coordination information since

Λk 0 ] V (1)

H eff,k = U k [Λ k V

(0)

k , (6) the effective channel used for the SVD operation includes

CSI from other users. To avoid the additional coordination

(1) information, the precoder F k has only to remove multiuser

where V k denotes the set of the right singular vectors

corresponding to non-zero singular values and U k is the left interference. The inversion of H eff,k is used to pre-equalize

(1) 1 and parallelize each user’s stream instead of SVD. In addition,

singular matrix. Taking D k = V k Q k2 where Q k denotes a 1

diagonal matrix whose elements scale the power transmitted transmit power optimization (Q Qk2 ) as seen in (7) is not required

(1) since the same symbol constellation on each stream is used

into each of the column of V k , the precoder of the k-th user

F k is given by for vector-perturbing.

To prevent transmit power enhancement due to H −1 eff,k , the

(0) (1) 1 proposed transceiver applies a perturbation to the transmitted

Fk = V k V k Q k2 (7)

(1:Lk ) spatial multiplexing signal vector to reduce the norm of the

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4054 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 7, NO. 11, NOVEMBER 2008

precoded signal vector for each user. The perturbation for user

k is given by

2 2

l k = arg min H −1 sk + τll k ) = arg min H −1

eff,k (s eff,k

sk

l k ∈AZ2Lk p k ∈AZ2Lk

(9)

where s k = s k + τll k . In (9), s k and l k are the transmit signal

vector of the k-th user before perturbing and the perturbing

vector of the k-th user and τ is a positive real number,

respectively. Essentially we find the k-th user’s perturbing

vector l k from the set of 2Lk -dimensional lattice points.

Unlike work in [7], the proposed perturbation operates in

stream domain, not in user domain. Since we generally accept

that the number of transmit streams for each user is less

than the number of users, i.e., Lk < K, the implementation

of VP in the proposed transceiver requires smaller a search

dimension than that in [7].

Since the transmitter sends the pre-distorted symbol with a Fig. 2. Comparison between the sum capacity (Csum , [20]) and the

achievable sum rates of MIMO BD with WF (CW BD , [11]), MIMO BD-

F

perturbation, the received signal is TxZF (CTBD (CVBD

xZF , (22)) and the proposed MIMO BD-VP P ). Nt = 4 and

K = 2.

yk =

sk + nk . (10)

Note that the received signal in (10) consists of the perturbed

From (12), the received signal-to-noise-ratio (SNR) of

sk ) and the AWGN vector. The receiver has only to

symbol (

each stream, SN Rl , with a total transmit power constraint

map the perturbed symbol back to the original symbol (ssk ) in

E{xxk 2 } = P can be represented by

the fundamental region using modulo operations [8], and the

estimated symbol of s k is given by ρξl2 ρξ 2

SN Rl = = Lk l , (14)

ŝsk = mod(yy k ) (11) γ 2 2

m=1 μm ξm

where mod(·) denotes a modulo operation that operates per where ρ = σP2 . Therefore, the achievable rate of the k-th user,

n

dimension. As mentioned in Section II, mod(·) results in a Rk , is given by

simple decoder at the receiver.

Lk Lk

ρξl2

Rk = log (1 + SN Rl ) = log 1 + Lk .

2 2

B. Achievable Rate Analysis of MIMO Block Diagonalization l=1 l=1 m=1 μm ξm

with Perturbation (15)

Note that perturbation is not applied yet in calculating (15).

The problem of achievable rate analysis is reduced to the The effect of perturbation is to force the perturbing vector l k

single-user MIMO case thanks to the fact that the nulling to minimize γ and generate a s k that can only be coarsely

matrix F k removes multiuser interference. Recall the received oriented in the coordinate system defined by u 1 , · · · , u Lk [7].

signal model that uses the effective channel in (5). Define

Therefore, from (15), if we find the proper perturbing vector

H eff,k = U kΛ kV ∗k where U k = [u u 1 · · · u Lk ], V k =

and control ξm to minimize the normalized factor γ, then we

[vv 1 · · · v Lk ] and Λ k = diag (λ1 · · · λLk ). Then the received

can obtain an upper bound on achievable rate of the proposed

signal vector y k for the proposed system is given by

precoder for each user

1 ⎛ ⎞

y k = H eff,kx k + n k = √ I Lk ×Lk

sk + nk . (12)

γ Lk

⎜ ρξ 2

Rk,prop = log ⎝1 + l ⎟

⎠. (16)

where x k = √1γ H −1 k . In (12), the normalized scalar factor

eff,ks l=1 min Lk

μ

m=1 m m

2 ξ 2

ξm

of the transmit signal γ is given by

−1 From (16), we need to solve for

−1 2

γ = H H eff,k

s k = s ∗k H eff,kH ∗eff,k

sk

Lk

Lk

(13) ξl = arg min μ2m ξm

2

. (17)

s ∗kU kΛ −2

= ∗

k U ksk = μ2l ξl2 , ξm m=1

l=1

1 By the arithmetic-geometric mean inequality, solution of

where μl = > 0 and ξl =

λl

u∗l sk |.

|u

Note that τ is chosen (17) occurs when

large enough so that no s can be made zero and u i is a

non-zero unit-norm singular vector. Since we consider to have μ21 ξ12 = · · · = μ2Lk ξL

2

= ω02 (18)

k

integer components in perturbing vector l , the case s k to be

chosen exactly parallel to u l occurs with probability zero. Thus for an arbitrary constant ω02 > 0. Note that, as mentioned,

u∗l

ξl = |u s k | > 0 [7]. u∗l

ξl = |u s k | cannot be zero since τ is chosen large enough

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IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 7, NO. 11, NOVEMBER 2008 4055

Fig. 3. Comparison of the achievable sum rate performance according to Fig. 4. BER performance comparison between the proposed MIMO BD-

the number of users: Nr = 2 and SNR=20 dB. VP and the other MIMO precoding techniques ([7], [9]) for 4-QAM where

Nt = KNr . Note that CI-VP has better BER performance than the proposed

(1) that has the same data rate at the cost of high computational complexity.

with probability zero. Therefore, we calculate Rk,prop as IV. N UMERICAL E XPERIMENTS AND R ESULTS

⎛ ⎞ In this section we compare the sum rate and BER per-

ω2

Lk

ρ μ02 formance of the proposed MIMO BD-VP and other MU-

Rk,prop = log ⎝1 + l ⎠ (19) MIMO algorithms through numerical simulations. To verify

Lk ω02

l=1 the performance of the proposed MIMO BD-VP precoding

Lk

Lk

system, we consider several special cases. For analytical

ρ ρλ2

= log 1 + = log 1 + l . simplicity, without breaking the dimensionality constraint as

μ2l Lk Lk

l=1 l=1 mentioned in Section II-B, we assume that the number of

(20) receive antennas for each user is equal to Nr and that each

user receives the same number of streams (Lk ) as the number

We obtain (20) substituting μl for λ1l . Note that the solution of receive antennas. That is, Lk = Nr and Nt = KNr .

of (18) is valid when the lattice size is infinite because we We use the notation {Nr , K} to index the number of each

can find the proper s k provided that the search range of the user’s antennas and the number of users. We assume that

lattice is infinite. That is, the perturbation finds the perturbed the elements of each user’s channel matrix are independent

symbol that is the closest point to the origin and also controls complex Gaussian random variables with zero mean and unit

the power factor ξl to minimize the transmit symbol power. variance for all numerical results.

In addition, (20) is the same expression as the capacity of

the single user MIMO system with equal power allocation, A. Achievable Sum Rate and Bit Error Rate Comparison

CEQ [17]. Assuming that the elements of each user’s channel

We compare the achievable rate of the proposed MIMO BD-

matrix are identically and independently distributed (i.i.d.),

VP with (i) the sum capacity, (ii) the achievable sum rate of the

CEQ approaches the capacity of the MIMO system with

BD with the water-filling algorithms (BD-WF), and (iii) the

WF power allocation, CW F for asymptotically high SNR

sum rate of the BD with ZF pre-equalization (BD-TxZF). We

[18]. Thus we conclude that Rk,prop approaches the optimal

define MIMO BD-TxZF as the precoding system where each

capacity that the WF algorithm achieves in a single user

user exploits the ZF pre-equalization without perturbation after

MIMO system asymptotically for high SNR, and that the

BD, i.e., transmitting the power-normalized signal precoded

upper bound of achievable sum rate for the proposed MIMO

by ZF pre-equalization and block-diagonalization. Thus, the

BD-VP is given by [18]

achievable sum rate of MIMO BD-TxZF is given by [11]

⎧ ⎛ ⎞⎫

K

K

K ⎪

⎨ ⎪

⎬

CVBD = Rk,prop ⇒ CW F,k (for high SNR), (21) ⎜ ρ ⎟

BD

P CT xZF = log det I Lk ×Lk + ⎝ 2 I Lk ×Lk ⎠

k=1 k=1 ⎪

⎩ −1 ⎪

⎭

k=1 H eff,k

H

⎧ ⎫ F

where CW F,k denotes the achievable rate that each user can

L −1

K ⎨ k ⎬

approach with the WF algorithm. Note that K k=1 CW F,k is a = log 1 + ρ 2

μl ,

Qk ) ≤

specific solution of (8) with a power constraint that Tr(Q ⎩ ⎭

k=1 l=1

P and KP = PT . Consequently, assuming that each user (22)

equally uses the transmit power P , this sum rate is the same where we recall that μl is the inverse of the l-th singular value,

BD

as the achievable sum rate CW F as seen in (8). λl .

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4056 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 7, NO. 11, NOVEMBER 2008

TABLE I

S YSTEM CHARACTERISTIC COMPARISON FOR THE PROPOSED SYSTEM (MIMO BD-VP), MIMO BD-T X ZF, MIMO BD-R X ZF AND MIMO BD-R X ML

*

Channel estimation Transmitter complexity Receiver complexity **

MIMO BD-VP No > O(KN M ) O(N )

MIMO BD-TxZF No O(KN ω ), 2 < ω < 3 O(N )

MIMO BD-RxZF Required - O(N ω ), 2 < ω < 3

MIMO BD-RxML Required - O(N M )

*

This channel estimation means estimation for the effective channel at each mobile station.

**

This receiver complexity is required for each mobile station. We assume that N = Nr = Lk , and M denotes a modulation order.

Fig. 2 compares the achievable sum rate of the proposed by the precoder.

system with the other systems in the case of {2, 2}. From Fig. 4 shows BER performance comparing the proposed

Fig. 2, we observe that the sum rate of the proposed MIMO MIMO BD-VP with MIMO BD-RxZF, MIMO BD-RxML,

BD-VP is better than that of MIMO BD-TxZF and also and CI-VP for 4-QAM. We assume three {Nr , K} scenarios

approaches the sum rate of MIMO BD-WF asymptotically to observe the BER performance: {2, 2}, {2, 3}, and {3, 2}.

for high SNR as we expected in Section III-B without any For CI-VP, we consider Nt = 4, Nr = 1, and K = 4.

additional coordination information and iterative updates for The proposed MIMO BD-VP supports 9 dB SNR gains at

implementing the precoding and decoding matrices. The sum 10−2 BER compared with MIMO BD-RxZF. Compared with

rate of MIMO BD-TxZF is degraded by the power normal- MIMO BD-RxML, the proposed precoding system shows the

ization from transmit precoding. The proposed MIMO BD- same diversity gain, but provides less performance in SNR

VP exploits the perturbation as a form of power allocation to gain. Note that MIMO BD-RxML requires perfect channel

compensate for the degradation of power normalization. estimation for decoding the transmit symbol. On one hand,

Fig. 3 shows the achievable sum rate performances ac- as long as perfect channel estimation is guaranteed at the

cording to the number of users. The sum rate of proposed receiver, ML decoding is the optimal solution and provides

MIMO BD-VP linearly increases as the number of transmit a lower bound of error rate performance compared with other

antennas and the number of users increase. We also observe decoding algorithms. On the other hand, the proposed MIMO

that the performance gap between MIMO BD-WF and the BD-VP shows comparable BER performance to MIMO BD-

proposed MIMO BD-VP increases as the number of users RxML without any channel estimation. From the viewpoint

increases, which is because in this simulation the number of of diversity gain, the proposed MIMO BD-VP has the same

transmit antennas increases as the number of users increases. diversity order with the ML type receiver as mentioned earlier.

The performance gap between CVBD BD In Fig. 4, we also observe that the proposed precoding system

P and CW F resulted from

the assumption that MIMO BD-VP uses equal power and has the same slope as MIMO BD-RxML and provides better

the same constellation for each transmit antenna. Note that diversity gain than MIMO BD-RxZF. As mentioned in the

the achievable rate of proposed MIMO BD-VP approaches introduction, we can see that CI-VP shows better performance

the sum rate of the specific case of CW BD than the proposed solution at the cost of high computational

F mentioned in

Section III-B. complexity.

We also compare the BER performance and diversity gain

of the proposed MIMO BD-VP and the other MIMO BD B. Complexity

precoding systems according to several configurations of the In this section we evaluate the approximate complexity of

receiver antennas and users under the assumption that all the the precoding systems described in Section IV-A. It is hard to

precoding systems use equal power and the same constellation calculate the exact complexity of the proposed MIMO BD-VP

for each transmit antenna. because the perturbing algorithm used in the proposed precod-

The other precoding systems include MIMO BD-RxZF and ing system adopts a scalar design parameter τ that provides a

MIMO BD-RxML. The MIMO BD-RxZF and the MIMO BD- symmetric encoding region around every signal constellation

RxML precoding systems are the same as the proposed MIMO points (see (9) in [7]). The proposed perturbing algorithm

BD-VP from the viewpoint of the usage of the nulling matrix uses a complex version of Lk -dimensional integer-lattice least-

to remove multiuser interference. These precoding systems, square problem and we assume that N = Lk = Nr . Hence,

however, have ZF and ML decoders at the receiver to decode the proposed precoder has an approximate complexity of

the transmit symbol, respectively [9]. Therefore, we assume O(N M+α ) for each user, where M denotes a modulation

that, for MIMO BD-RxZF and MIMO BD-RxML, the receiver order and α is a positive value that depends on the encoding

uses the coordination information or channel estimation to region parameter τ . The complexity of O(N M+α ) is greater

give the information about the effective channel as mentioned than O(N M ) referred to as the complexity of ML decoding al-

in Section II. In contrast, the proposed MIMO BD-VP does gorithm with Lk transmit data streams. Consequently, MIMO

not need to estimate precoded channel parameters. So the BD-VP has the complexity of O(KN M+α ) (> O(KN M ))

proposed precoder is suitable for the system that only exploits totally at the transmitter. The receive complexity of MIMO

common pilot channels like 3GPP LTE standard [19], where BD-VP depends primarily on the modulo algorithm that

each receiver estimates the real channel without multiplying simply demaps a perturbed symbol to an original symbol.

Authorized licensed use limited to: VELLORE INSTITUTE OF TECHNOLOGY. Downloaded on July 28, 2009 at 06:55 from IEEE Xplore. Restrictions apply.

IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 7, NO. 11, NOVEMBER 2008 4057

user’s receiver.

[1] G. Caire and S. Shamai (Shitz), “On the achievable throughput of a multi-

MIMO BD-RxZF and MIMO BD-RxML have no special antenna Gaussian broadcast channel,” IEEE Trans. Inform. Theory, vol.

encoding techniques at the transmitter. They do, however, use 43, no. 7, pp. 1691–1706, July 2003.

the ZF and the ML decoding algorithms at the receiver, respec- [2] H. Weingarten, Y. Steinberg, and S. Shamai (Shitz), “The capacity region

of the Gaussian MIMO broadcast channel,” IEEE Trans. Inform. Theory,

tively. Therefore the approximate complexity orders of MIMO vol. 52, no. 9, pp. 3936–3964, Sept. 2006.

BD-RxZF and MIMO BD-RxML are O(N ω ) (2 < ω < 3, see [3] D. Gesbert, M. Kountouris, R. W. Heath Jr., C.-B. Chae, and T. Saltzer,

[13]) and O(N M ) for each user’s receiver, respectively. We “Shifting MIMO paradigm: from single user to multiuser communica-

tions,” IEEE Signal Processing Mag., vol. 24, no. 5, pp. 36–46, Oct.

summarize the characteristics of the proposed MIMO BD-VP, 2007.

MIMO BD-TxZF, MIMO BD-RxZF and MIMO BD-RxML [4] C. B. Peel, B. M. Hochwald, and A. L. Swindlehurst, “A vector-

from the viewpoints of channel estimation and transmitter- perturbation technique for near capacity multiantenna multiuser

receiver complexity in Table I. communication–part I: channel inversion and regularization,” IEEE Trans.

Commun., vol. 53, no. 1, pp. 195–202, Jan. 2005.

[5] S. Shim, C. B. Chae, and R. W. Heath, Jr., “A lattice-based MIMO broad-

V. C ONCLUSION cast precoder with block diagonalization for multi-stream transmission,”

in Proc. IEEE Global Telecommunications Conf., pp. 1-5, San Francisco,

We proposed a new multiuser MIMO precoding algorithm CA, USA, Nov. 2006.

that combines block diagonalization with vector perturbation [6] R. F. H. Fischer, Precoding and Signal Shaping for Digital Transmission.

IEEE, Wiley-Interscience, 2002.

(MIMO BD-VP). The proposed algorithm supports multi- [7] B. M. Hochwald, C. B. Peel, and A. L. Swindlehurst, “A vector-

stream transmission, does not require extra coordination in- perturbation technique for near capacity multiantenna multiuser

formation, reduces the complexity of receiver, and provides communication–part II: perturbation,” IEEE Trans. Commun, vol. 53, no.

3, pp. 537–544, Mar. 2005.

comparable diversity performance to BD with maximum like- [8] H. Yao, “Efficient signal, code, and receiver designs for MIMO commu-

lihood decoding algorithm. The proposed precoding system nication systems,” Ph.D. dissertation, Massachusetts Institute of Technol-

uses BD to remove multiuser interference and exploits the ogy, 2003.

[9] L.-U. Choi and R. D. Murch, “A transmit preprocessing technique for

channel inversion algorithm as pre-equalization to avoid addi- multiuser MIMO systems using a decomposition approach,” IEEE Trans.

tional coordination information under the the dimensionality Wireless Commun., vol. 3, no. 1, pp. 20–24, Jan. 2004.

constraint. It also applies a perturbation to reduce transmit [10] Z. Pan, K.-K. Wong, and T.-S. Ng, “Generalized multiuser orthogonal

power enhancement that results from the power normalization space-division multiplexing,” IEEE Trans. Wireless Commun., vol. 3, no.

6, pp. 1969–1973, Nov. 2004.

when channel inversion algorithms such as zero-forcing and [11] Q. H. Spencer, A. L. Swindlehurst, and M. Haardt, “Zero-forcing

minimum mean squared error algorithms are used for channel methods for downlink spatial multiplexing in multiuser MIMO channels,”

pre-equalization. The proposed MIMO BD-VP can achieve the IEEE Trans. Signal Processing, vol. 52, no. 2, pp. 461–471, Feb. 2004.

[12] Z. Shen, R. Chen, J. G. Andrews, R. W. Heath Jr., and B. L Evans,

sum rate approached by the block diagonalization precoding “Low complexity user selection algorithms for multiuser MIMO systems

system with the water-filling algorithm asymptotically for with block diagonalization,” IEEE Trans. Signal Processing, vol. 54, no.

high SNR without any coordination information. Through 9, pp. 3658–3663, Sept. 2006.

[13] R. Chen, R. W. Heath Jr., and J. G. Andrews, “Transmit selection

numerical simulations, when the number of transmit antennas diversity for unitary precoded multiuser spatial multiplexing systems with

and the number of users are 6 and 3, respectively, we verified linear receivers,” IEEE Trans. Signal Processing, vol. 55, no. 3, pp. 1159–

that the proposed MIMO BD-VP has at least 10 dB SNR 1171, Mar. 2007.

[14] V. Stankovic and M. Haardt, “Successive optimization Tomlinson-

gain at 10−2 BER compared with the conventional BD with Harshima precoding for multi-user MIMO systems,” in Proc. IEEE Int.

zero-forcing pre-equalization at the transmitter. The proposed Conf. Acoust., Speech, and Signal Processing, vol. 3, pp. 1117–1120,

MIMO BD-VP also provided 9 dB SNR gain at 10−2 BER 2006.

[15] C.-B. Chae, D. Mazzarese, T. Inoue, and R. W. Heath Jr., “Coordinated

compared to the BD with zero-forcing decoder that assumes beamforming for the multiuser MIMO broadcast channel with limited

perfect channel estimation and uses the zero-forcing algorithm feedforward,” to appear in IEEE Trans. Signal Processing, Dec. 2008.

at the receiver. Furthermore, we observed that the proposed [16] T. M. Cover and J. A. Thomas, Elements of Informaiton Theory. John

Wiley & Sons, 1991.

system with a simple decoding structure gets the comparable [17] I. E. Telatar, “Capacity of multiple-antenna Gaussian channels,” Euro-

diversity gain and BER performance to the BD with an pean Trans. Telecommun., vol. 10, pp. 585–595, Nov. 1999.

optimum maximum likelihood decoding at the receiver. [18] A. J. Paulraj, R. Nabar, and D. Gore, Introduction to Space-Time

Wireless Communications. Cambridge University Press, 2003.

[19] 3GPP Long Term Evolution, “Physical layer aspects of UTRA high

ACKNOWLEDGMENT speed downlink packet access,” Technical Report TR25.814, 2006.

[20] N. Jindal, W. Rhee, S. Vishwanath, S. A. Jafar, and A. Goldsmith,

The authors would like to thank the anonymous reviewers, “Sum power iterative water-filling for multi-antenna Gaussian broadcast

whose careful consideration of the manuscript improved the channels,” IEEE Trans. Inform. Theory, vol. 51, no. 4, pp. 1570-1580,

Apr. 2005.

presentation of the material.

Authorized licensed use limited to: VELLORE INSTITUTE OF TECHNOLOGY. Downloaded on July 28, 2009 at 06:55 from IEEE Xplore. Restrictions apply.

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