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4, APRIL 2008

Cooperative MIMO-OFDM Cellular System with

Soft Handover between Distributed
Base Station Antennas
Antti Tölli, Student Member, IEEE, Marian Codreanu, Member, IEEE, and Markku Juntti, Senior Member, IEEE

Abstract— Cooperative processing of transmitted signal from (MIMO) communication based on multiple antennas [1]–
several multiple-input multiple-output (MIMO) base stations [5], multi-carrier modulation or orthogonal frequency division
(BS) is considered for users located within a soft handover (SHO) multiplexing (OFDM), as well as adaptive modulation and
region. The downlink resource allocation problem with different
BS power constraints is studied for the orthogonal frequency coding [6]. The spectral efficiency of MIMO transmission can
division multiplexing system with adaptive MIMO transmission. be increased dramatically if channel state information (CSI)
Joint design of the linear transmit and receive beamformers is available at the transmitter [7].
in a MIMO multiuser transmission subject to per BS power
There has been increasing interest to consider network
constraints is considered. A solution for the weighted sum rate
maximization problem is proposed. The proposed algorithm is infrastructure based cooperative processing between base sta-
shown to provide a very efficient solution despite of the fact tions (BSs) with a cellular system [8]–[14] or fixed relay
that the global optimality cannot be guaranteed due to the stations [15]–[18]. These types of systems have been consid-
non-convexity of the optimization problem. Moreover, efficient ered earlier for voice oriented code-division multiple access
resource allocation method based on zero forcing transmission is
(CDMA) communications [19], [20]. More recently, [9]–
provided. The impact of the size of a SHO region, the overhead
from the increased resource utilization, and different inter-cell [12], [21]–[23] studied the downlink sum rate and spectral
interference distributions due to the SHO are evaluated by efficiency optimization for cooperative MIMO systems with
system level simulations. Although the overhead from the SHO perfect data cooperation between base stations. Although the
processing can be significant, it can be mitigated by using space BS cooperation naturally increases the system complexity,
division multiple access for users having an identical SHO active
it has potentially significant capacity and coverage benefits
set composition. The users located at the SHO region may enjoy
from greatly increased transmission rates. This translates to making it worth a more detailed consideration.
significant overall system level gains from the cooperative SHO The sum capacity and the capacity region of MIMO down-
processing. link (DL) with per antenna or per BS power constraints
Index Terms— Adaptive multiuser MIMO-OFDM, TDD, were recently discovered in [24] and in [25], [26], respec-
beamforming, convex optimization, geometric programming, tively. Furthermore, the minimum-power beamformer design
second-order cone programming, cellular network, system level for multiple-input single-output (MISO) DL under per antenna
analysis, non-reciprocal interference.
or per BS power constraints was investigated in [25], where the
original DL problem was transformed into a dual uplink (UL)
minimax optimization problem with an uncertain noise covari-
ance. Convex optimization methods [27], such as second-order
cone programming [28], semidefinite programming [29] and
F UTURE broadband communication systems should pro-
vide a wide range of services at a reasonable cost and
quality of service (QoS), comparable to wireline technologies.
geometric programming [30], are very powerful tools which
allow for efficient numerical solution for many signal process-
The key radio techniques which have to be considered in de- ing and communications problems, e.g., [25], [31]–[35]. In
veloping such systems include multiple-input multiple-output particular, they were used to solve a wide range of optimal
transmit and receive beamformer design problems [36]–[39].
Manuscript received December 29, 2006; revised May 17, 2007; accepted The purpose of this paper is to analyze the BS cooperation
July 4, 2007. The associate editor coordinating the review of this paper and
approving it for publication was M. Win. This research was supported by the with linear processing in more detail and to propose more
Finnish Funding Agency for Technology and Innovation (TEKES), Nokia, practical radio resource allocation solutions. We assume a
Elektrobit, Tauno Tönning Foundation, Nokia Foundation, Riitta & Jorma J. time division duplex (TDD) system with adaptive MIMO–
Takanen Foundation, Seppo Säynäjäkangas Foundation, KAUTE Foundation
and Infotech Oulu Graduate School. Parts of this paper have been presented OFDM transmission, where the modulation parameters in UL
at the 17th Annual IEEE International Symposium on Personal Indoor and and DL can be adapted according to the channel conditions.
Mobile Radio Communications, Helsinki, Finland, September 2006, the IEEE The reciprocal DL channel can be estimated accurately during
Global Telecommunications Conference, November 2006, San Francisco,
USA, and the IEEE International Conference on Communications, Glasgow, the previous UL transmission assuming that the frame length
Scotland, June, 2007. is shorter than the channel coherence time; a frame refers
The authors are with the Centre for Wireless Communications, Univer- here to a TDD frame which is divided into UL and DL
sity of Oulu, P.O. Box 4500, 90014 University of Oulu, Finland (e-mail: transmission parts. This assumption is mostly valid in envi-
Digital Object Identifier 10.1109/TWC.2008.061124. ronments with low mobility, e.g., in pedestrian metropolitan
c 2008 IEEE

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Optical fibre Central to accommodate supplementary constraints, e.g., per antenna

power constraints or lower bounds for the SINR values of
1 data streams, and the feasibility of the resulting optimization
BS 1 N R1
problems can be easily checked. Unlike the sum capacity
achieving scheme, the optimization problems employed in the
1 NT user
1 linear multiuser MIMO transceiver design are not convex in
general. Therefore, the problem of finding the global optimum
SHO region BS
is intrinsically non-tractable. However, by utilizing the recent
1 1 N Rk
NT M results on the precoder design via conic optimization [39]
BS user and the signomial programming [30], we propose an iterative
2 NT solution where each step can be efficiently solved by using
convex optimization tools [43]. Even though each subproblem
is optimally solved, the global optimality cannot be guaranteed
Fig. 1. SHO system model
due to the non-convexity of the original problem. However,
the simulation results demonstrate that the achieved locally
environments [40]. Furthermore, the served users should have optimal solutions are very efficient in several practically
some minimum signaling in the UL direction to provide timely relevant scenarios. The proposed framework can be extended
channel estimates for the DL transmission. In order to attain to other optimization criteria, such as maximization of the
the CSI between all users and BS antennas in the cellular weighted minimum SINR per data stream subject to per BS
network the channels should be jointly estimated at each BS. power constraints [44].
In practical TDD MIMO–OFDM cellular systems, however, Furthermore, we put particular emphasis on generalized
UL transmissions from distant users can be significantly more zero forcing (ZF) transmission due to its simplicity [45], [46].
attenuated compared to the own cell users. Thereby, the It enables to decouple the data streams, and, as a result, allows
joint channel estimation may be difficult if not impossible to for efficient implementation of the bit and power loading algo-
implement in practice. rithms in practical systems. System level evaluation assesses
We consider the somewhat more practical case where the the impact of a realistic multi-cell environment (including
joint cooperative processing of transmitted signal from several realistic non-reciprocal inter-cell interference) on the cellular
MIMO BS antenna heads is restricted to an area where the system performance. The impact of the size of the SHO
users have comparable signal strengths from adjacent BS region, overhead from increased hardware and physical (time,
antenna heads. We assume that cooperative signal processing frequency) resource utilization, different non-reciprocal inter-
can be performed in a centralized manner so that the MIMO cell interference distributions due to SHO are evaluated by
antenna heads are distributed over a larger geographical area system level simulations.
(e.g., hundreds of meters), as illustrated for example in [14, The paper is organized as follows. In Section II, the
Fig. 4]. The distributed antenna heads are then connected cellular MIMO-OFDM system model is presented. Section III
to the central processing unit (controller) via radio over considers the joint design of the linear transmit and receive
fibre technology or wireless microwave links [13], [14], for beamformers for weighted sum rate maximization subject to
example. Similarly to the soft handover (SHO) feature in per BS power constraints. The cooperative processing in SHO
(W)CDMA systems [41], SHO region is defined for users with ZF multiuser transmission is introduced in Section IV and
with similar received power levels from adjacent distributed the relevant power optimization problems are derived. Sec-
BS antenna heads. Since the signal processing of the BS tion V describes the simulation environment and assumptions,
antenna heads is concentrated at one central controller, joint and the results for theoretical mutual information studies and
beamforming from all the antennas belonging to the “active for more practical link and system level simulation studies are
set” can be performed to the user(s) within the SHO region, presented. Finally, conclusions are drawn in Section VI.
as seen in Fig. 1. The transmissions for other users outside The following notation is used. All boldface letters indicate
the SHO region are seen as interference. In the following, the vectors (lower case) or matrices (upper case). Superscripts
distributed BS antenna heads are denoted as base stations for (·)T , (·)H , (·)−1 , (·)1/2 stand for transpose, Hermitian trans-
simplicity. pose, matrix inversion and positive semidefinite square root,
In this paper, we consider transmitter optimization for respectively. We use Cm×n to denote the set of m×n complex
multiuser MIMO downlink with linear processing both at the matrices. Matrix I signifies identity matrix, 1 is an all ones
transmitter and receiver, since this is a simple to implement vector, diag(· · · ) denotes the diagonal matrix with elements
and an important solution also in practical system design. (· · · ) on the main diagonal, [X]i,j denotes the (i, j) entry
Note that the sum capacity achieving schemes require non- of the matrix X, and vec(X) denotes the vector obtained by
linear precoding based on dirty paper coding (DPC) [26], stacking the columns of the matrix X. The sets are indicated
[42]. We propose a general method for joint design of the by calligraphic letters and |A| denotes the cardinality of the
linear transmit and the receive beamformers for weighted set A. The notation h ∼ CN (0, Σh ) indicates that h is
sum rate maximization problem subject to per BS power circular symmetric Gaussian random vector with covariance
constraints. The method can handle multiple antennas at BSs Σh . (a)+ stands for max(a, 0). E{·}, Tr{·} and  · 2 denote
and mobile users, and any number of data streams is allowed statistical expectation, the trace operator and the Euclidian
per scheduled user. Furthermore, it can be easily modified norm, respectively.
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II. S YSTEM M ODEL Rk,c is assumed to be known at the receiver and to remain
The cellular adaptive MIMO-OFDM system consisting of unchanged during the transmission of a frame. In practical
NB base stations has NC sub-carriers, each BS has NT TDD MIMO–OFDM cellular systems, the ideal knowledge of
transmit antennas and user k is equipped with NRk receive R k,c also at the transmitter would require it to be reported
antennas. A user is served by Mk BSs which define the SHO to the transmitter for each subcarrier and for each transmitted
active set Sk for the user k. The signal vector yk,c ∈ CNRk data frame [47]. Therefore, in the system level studies we
received by the user k at the subcarrier c can be expressed as consider a more practical case where Rk,c is known only
⎛ ⎞ at the receiver. Note that the explicit estimation of Rk,c is
  not required in practice. Only the covariance of the total
yk,c = ab,k Hb,k,c ⎝xb,k,c + xb,i,c ⎠ received signal needs to be estimated, in addition to the
b∈Sk i=k
desired signal H  k,c Mk,c , as seen from (3). The channel matrix

+ ab,k Hb,k,c x b,c + nk,c Hb,k,c is assumed to be known at the transmitter in all cases.
b∈Sk Furthermore, the TX signals are assumed to have a common
= H  k,c x
k,c + iintra inter
(1) carrier phase reference and the impact of the propagation delay
k,c + ik,c + nk,c ,
from each of the transmitters to the intended users is ideally
where xb,k,c ∈ CNT is the transmitted signal from the compensated for at the BSs. We have studied the impact of
bth base station to user k, x b,c ∈ CNT denotes the total the imperfect phase synchronization between the BS antenna
transmitted signal vector from the BS transmitter (TX) b, heads in [48].
nk,c ∼ CN (0, N0 INRk ) represents the additive noise sample It is possible to serve several users having identical SHO
vector, and ab,k Hb,k,c ∈ CNRk ×NT is the channel matrix from active sets Sk in the same time-frequency transmission slot
the BS b to the user k with a large scale fading coefficient using some space division multiple access (SDMA) methods.
ab,k . The elements of Hb,k,c are normalized to have unitary The SDMA can be used to improve the utilization of the
variance.  T physical resources (space, time, frequency) by exploiting the
The signal x k,c = xSk (1),k,c T , . . . , xSk (Mk ),k,c T ∈ available spatial degrees of freedom in a downlink multi-
CMk NT transmitted for user k is distributed over Mk base user MIMO channel, with an expense of somewhat increased
stations being in the SHO active set Sk . The global channel complexity. Each group of users with an identical SHO active
matrix H  k,c ∈ CNRk ×Mk NT for user k from all Mk BSs is set composition forms a distinct user set and can be optimised

H k,c = aS (1),k HS (1),k,c , . . . , aS (M ),k HS (M ),k,c . (2) separately. In the derivation in Sections III and IV, we restrict
k k k k k k our focus to a single set of users A, where all users k ∈ A

The vectors ik,c intra

= a b,k H b,k,c x b,i,c and have an identical active set composition, Sk = Si , ∀ k, i ∈ A.

b∈Sk i=k
We denote by M = |Sk | the SHO active set size, which is
ik,c = b∈Sk ab,k Hb,k,c x b,c include the received intra- and
inter-cell interference, respectively. common to all users k ∈ A. Moreover, we focus on a linear
The transmitted vector for the user k is generated as transmission scheme, where the transmitters can send up to

k,c = Mk,c dk,c , where Mk,c ∈ C

x N T M k ×m k,c
is the pre- min(M N T , k∈A NRk ) streams / subcarrier.
 T Different power constraints can be considered for the coop-
coding matrix, dk,c = d1,k,c , . . . , dmk,c ,k,c is the vector of
normalized complex data symbols transmitted at sub-carrier c, erative BS processing [9], [23]–[26]. We consider two general
and mk,c ≤ min(NT Mk , NRk ) denotes the number of active power constraints: a sum power constraint for all M BSs in
1/2 the SHO active set Sk and an individual power constraint for
data streams. Mk,c can be further split into Mk,c = Vk,c Pk,c ,
each BS. The total power transmitted by the BS n is
where Vk,c = [vk,1,c , . . . , vk,mk,c ,c ] contains the normalized
TX beamformers and Pk,c = diag pk,1,c , . . . , pk,mk,c ,c NC     NC  [n] [n] H
controls the powers allocated to each of mk,c streams. Tr E x n,c x n,c = Tr Mk,c Mk,c
The receiver (RX) is assumed to be equipped with a linear c=1 c=1 k∈A
 NC m
minimum mean square error (LMMSE) filter and the decision k,c
 [n] 2

variables are generated as dk,c = Wk,c yk,c . The weight = v 
k,i,c 2 pk,i,c (5)
NRk ×mk,c k∈A c=1 i=1
matrix Wk,c ∈ C of the
 LMMSE filter is found  by
minimizing Wk,c = arg min E dk,c − Wk,c H
yk,c 2 and is where M[n] ∈ CNT ×mk,c is the pre-coder matrix of the user
Wk,c k,c
given as k that corresponds to nth base station belonging to Sk , i.e.,
 −1 [n]
Mk,c = [Mk,c ][(n−1)NT +1,...,nNT ; 1,...,mk,c ] , n = 1, . . . , M .
Wk,c = MH H H H
k,c Hk,c Hk,c Mk,c Mk,c Hk,c + Zk,c + Rk,c (3) [n]
Similarly, vk,i,c ∈ CNT is the transmit vector for the ith stream

 H [n]
where Zk,c = Hk,c Mi,c MH i,c Hk,c is the covariance ma- of user k from BS n, i.e., vk,i,c = [vk,i,c ](n−1)NT +1,...,nNT ,
i=k n = 1, . . . , M ,
trix of the intra-cell interference. It consists of transmissions to
the users i that have an identical SHO active set composition
with user k, Si = Sk . The inter-cell interference-plus-noise III. W EIGHTED S UM R ATE M AXIMIZATION WITH P ER BS
covariance matrix Rk,c is C ONSTRAINTS
 2   H  
In this section, we consider the problem of joint design of
Rk,c = ab,k Hb,k,c E x b,c x b,c HH b,k,c + N0 INRk (4)
the linear transmit and receive beamformers for maximizing
the weighted sum of the rates of the individual data streams
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subject to per BS power constraints. The proposed method by [50]

can handle multiple antennas at the BSs and mobile users, w̃s
and an arbitrary number of data streams is allowed per ws = , (9)
w̃s 2
scheduled user. In this section, the subcarrier index c is  S −1
omitted to simplify the presentation, but the results can be √ 
w̃sH =  wH
ps vsH H  w vi v H H
pi H  wH + I
straightforwardly extended to multiple subcarriers similarly to ks ks i ks
Section IV. We consider a per data stream processing, where
the central base station controller

transmits S independent data is optimal for any fixed vs and ps . Furthermore, by fixing
streams, S = min{M NT , k∈A NRk }. For each data stream vs and ws , (8) becomes a signomial problem [30], [33],
s, s = 1, . . . , S, the base station’s scheduler unit associates an [51]. The problem is not convex as such, but there are
intended user ks with the channel matrix H  k ∈ CNRks ×M NT . efficient methods for approximating the solution by using
Notice that more than one stream can be associated to one geometric programming [30], [33]. The procedure consists of
user, therefore, the cardinality of the set of scheduled users, searching for a close local maxima by solving a sequence of
A = {ks |s = 1, . . . , S}, is less than or equal to S. We define geometric programs which locally approximate the original
the normalized whitened channel matrix as H  w = R− 2 H
k , problem. This procedure is known to converge fast (in a few
ks ks s

i.e., Rks is ideally contained in Hks . w iterations) [30]. Finally, for fixed ws and γs we can find a
maximum reduction factor, common for all the per BS power
Let vs ∈ CM NT , ws ∈ CNRks and ps be arbitrary nor-
constraints which preserves the SINR values γs and, implicitly,
malized transmit and receive beamformers and the allocated
the rate. This is given by the optimum α that solves the
power for the stream s, respectively. The SINR of the data
stream s can be expressed as
minimize α  2
 w vs  2
ps wsH H ps wsH Hw
ks vs

γs = ks
s. t. γs ≤  2 , s = 1, . . . , S

S  w vi  2
(6) 1+ S p wH Hw v 
1+ pi wsH H S
2 =s i s ks i

i=1,i=s ks

ps vs 2 ≤ αPn , n = 1, . . . , M


= 1, ps ≥ 0, s = 1, . . . , S
Similarly to (5), the total power transmitted by the nth BS is 2

S [n] 2 (10)
given by s=1 ps vs 2 , where vs ∈ CNT is the transmit
where the variables are α ∈ IR, ps ∈ IR, vs ∈ CM NT , s =
vector for the data stream s associated with nth BS, i.e., vs =
 [1] T [M ] T T
1, . . . , S. The solutions vs and ps do not directly increase the
vs , . . . , vs . Assuming Gaussian codebook [49] for objective of (8). However, they increase the power margin for
each data stream, the weighted sum rate can be expressed as a fixed value of the objective, and hence, the saved power can
S S S be used to increase the objective. This is realized by updating
Rβ = βs rs = βs log(1 + γs ) = log (1 + γs )βs vs and ps in (8) to the new values vs and ps /α , respectively
s=1 s=1 s=1 and increasing all γs until all SINR constraints become tight.
(7) Notice that this is an ascent step since α ≤ 1 for any ws and
where rs and γs are the rate and the SINR of the data stream s, γs that are feasible for (8).
respectively. The weight vector, β = [β1 , . . . , βS ]T , βs ≥ 0, is The above observations suggest the following iterative op-
used to give different relative importance to the data streams. timization algorithm.
It allows to compute the entire rate region achievable with Algorithm 1: Weighted Sum Rate Maximization Under per
the linear processing [27]. β = 1 corresponds to the usual BS Power Constraints
sum rate maximization or best effort. Since Rβ increases with (0) (0)
1) Initialize vs and ps such that the per BS power
respect to each γs and log(·) is a increasing function, the constraints are satisfied. Compute the optimal ws and

weighted sum rate maximization problem with per BS power (0)

γs according to (9) and (6), respectively. Let i = 1
constraints can be formulated as follows and go to Step 2.
S βs 2) Solve the problem (8) for the variables ps and γs , by
maximize s=1 (1 + γs )  2 (i−1) (i−1)
ps wsH Hw  fixing ws = ws and vs = vs , s = 1, . . . , S.
ks vs
subject to γs ≤ S  H w 2 , s = 1, . . . , S 
Denote the solutions by ps and γs . 
1 + i=1,i=s pi ws Hks vi 

2 3) Solve the problem (10), where γs = γs and ws =
≤ Pn , n = 1, . . . , M (i−1)
s=1 2 ws , s = 1, . . . , S. Denote the solutions by α ,
ws 2 = 1, vs 2 = 1, ps ≥ 0, s = 1, . . . , S (i) (i)
(8) ps and vs . Update ps = ps /α and vs = vs ,

where the variables are vs ∈ CM NT , ws ∈ CNRks , ps ∈ IR, s = 1, . . . , S.

(i) (i)
γs ∈ IR. It is easy to observe that at the optimal point of (8), 4) Update ws and γs according to (9) and (6), respec-
the first constraint holds with equality, thus the optimal value tively. Test a stopping criterion. If it is not satisfied, let
of γs represents the SINR of the data stream s. i = i + 1 and go to Step 2, otherwise STOP.
The optimization problem (8) is not convex, and, hence, the Even though Algorithm 1 increases monotonically the ob-
problem of finding the global optimum is intrinsically non- jective of (8), there is no guarantee that the global optimum
tractable. However, the problem (8) can be maximized with is found due to non-convexity of the problem. However, the
respect to different subsets of variables by considering the simulations in Sect. V-A show that the algorithm converges to
others fixed. For instance, the maximum SINR receiver given a solution, which can be a local optimum, but is still efficient.
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Next, we present the algorithm used at Step 2 of Algo- Section IV.B] to accommodate per BS power constraints, we
rithm 1, which solves the problem (8) forfixed ws and vs . obtain the following equivalent SOCP formulation
The objective of (8), f0 (γ1 , . . . , γS ) = s=1 (1 + γs )βs is
minimize ρ 
S by a monomial function [30] m(γ1 , . . . , γS ) = ⎡ ⎤
1 H w
c s=1 γsas , near the point γ̂ = (γ̂1 , . . . , γ̂S ), where the 1+ γs ws Hks ms
⎢ ⎥
parameters c and as of the best monomial local approximation s. t. ⎣ MH H wH ws ⎦ K 0, s = 1, . . . , S
are given by [51, Section IV. B, Lemma 1] 1
γ̂s f0 (γ̂1 , . . . , γ̂S ) ρ Pn
as = βs c= K 0, n = 1, . . . , M
, S . (11) vec(M[n] )
1 + γ̂s s=1 γ̂s
[n] [n]
By using the local approximation in the objective of (8), and where M = [m1 , . . . , mS ], M[n] = [m1 , . . . , mS ], and K
ignoring the multiplicative constant c which does not affect the denotes the generalized inequality with respect to the second-
problem solution, we obtain the following iterative algorithm. order cone [27], [28], i.e., for any x ∈ IR and y ∈ Cn ,
Algorithm 2: Geometric optimization step under per BS [x, yT ]T K 0 is equivalent to x ≥ y2 . Let us denote
power constraints the solution of (14) by ρ , ms , s = 1, . . . , S. The solution
of (10) is given by α = ρ 2 , vs = ms /ms 2 , ps =
1) Let the initial SINR guess, γ̂ = (γ1 , . . . , γS
(i−1) (i−1)
)   2
ms  , s = 1, . . . , S. Note that (14) provides a minimum-
2) Solve the following geometric program, 2
power beamformer design under per BS power constraints
for MIMO DL with fixed receivers. This is equivalent to the
S βs γ̂s

maximize γs 1+γ̂s
method proposed in [25], where the original DL problem was
s. t. (1 − δ)γ̂s ≤ γs ≤ (1 + δ)γ̂s , s = 1, . . . , S transformed into a dual UL minimax optimization problem
−1 −1

S −1 −1 with an uncertain noise covariance.
gs,s ps γs + k=1,k=s gs,k pk gs,s ps γs ≤ 1,
s = 1, . . . , S The optimization problem in (8) can be easily modified to

S  [n] 2 accommodate supplementary constraints, e.g., per antenna or
  ≤ Pn , n = 1, . . . , M
s=1 ps vs 2 sum power constraints, or minimum SINR values for some
 H w 2 of the data streams (γs ≥ γsmin ). The modified problem with
where the variables are γs , ps and gs,k = ws Hks vk  minimum SINR constraints can be directly solved using the
are fixed values. Denote the solution by ps and γs . If proposed algorithm, if it is feasible under the initial beam-
maxs |γs − γ̂| >  set γ̂ = (γ1 , . . . , γS ) and go to former configuration obtained at the Step 1 of Algorithm 1,
Step 2, otherwise STOP. (0)
i.e., γs ≥ γsmin . The feasibility of the modified optimization
The geometric program (12) approximates the original problem with any minimum SINR constraints can be easily
signomial problem (8) around the point γ̂ = (γ̂1 , . . . , γ̂S ). The checked by iterating between problem (10) with fixed γs =
first set of inequality constraints of (12) are called trust region γsmin and (9). If the resulting α ≤ 1, then the problem is
constraints [30] and they limit the domain of variables γs in a feasible and the resulting beamformer configuration can be
region where the monomial approximation is accurate enough. used as a feasible starting point for Algorithm 1.
The constant δ < 1 controls the desired approximation
accuracy and a typical value is δ = 0.1 [30]. IV. C OOPERATIVE Z ERO F ORCING P ROCESSING IN SHO
Now, we focus on Step 3 of Algorithm 1. First, observe
√ A. Multiuser Zero Forcing Solution for SHO
that the change of variable ms = ps vs defines a bijective
mapping between the sets {(ps , vs ) | ps ∈ IR+ , vs 2 = Block diagonalization (BD) of multiple user channels com-
1, vs ∈ CM NT } and ms ∈ CM NT . Thus, we can solve (10) bined with coordinated TX-RX processing and scheduling
for ms ∈ CM NT , and then recover the optimal ps and vs . between users is a simple but efficient zero-forcing method
Furthermore, by replacing the positive variable α by ρ2 we [45]. An iterative BD method was originally proposed in [46],
obtain the following equivalent reformulation of (10) [53], and we later extended it in [54] to include joint user,
bit and power allocation and a method to compensate for
minimize ρ2
 H w  the impact of a finite number of iterations. The iterative BD
ws H m s 2 algorithm [46], [53] is briefly presented for the considered
s. t. γs ≤
S   , s = 1, . . . , S
1 + i=1,i=s wsH H w m i 2 system scenario in Algorithm 3.

S  [n] 2 s
Algorithm 3: Iterative BD Decomposition
  ≤ ρ2 Pn , ρ ≥ 0, n = 1, . . . , M
s=1 ms 2
(13) 1) Let a scheduling algorithm define the number of streams
Notice that the objective ρ2 can be replaced by ρ since for mk,c allocated for each user k ∈ A. Initialize Fk,c
ρ ≥ 0, minimizing ρ2 is equivalent to minimizing ρ. More- matrix to include the dominant mk,c left singular vectors
over, the constraints of (13) can be expressed as generalized of H w . Let i = 1.
inequalities with respect to the second-order cone [27], [28], (i) H  w
2) Set H̄k,c = Fk,c H k,c , define Ak = A\{k} and
[39]. Thus, the problem (13) can be further reformulated as a ˜
H̄ = [H̄
. . . H̄T
Ak (1),c ]T .
Ak (|Ak |),c
second-order cone program (SOCP) and it can be efficiently
3) Set V̄
solved numerically by using a standard optimization software k,c to be the orthogonal basis for the null space
[43], [52]. By modifying the approach presented in [39, ˜ ˜ = 0 for i
= k.
of H̄k,c so that H̄k,c V̄ i,c

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4) Perform SVD of H k,c = H  w V̄
˜  2 
k,c k,c = Ũk,c Λ̃ k,c Ṽ k,c ,
by using a bisection method [27], where in each iteration we
and let U k,c and V k,c represent the first mk,c left simply check all the per BS power constraints. In the case
and right singular vectors of H k,c , respectively. Set of equal power constraints for all the BS, i.e., Pn = PT ,
(i+1) n = 1, . . . , M , the final TX power is allocated such that the
Fk,c = U k,c and check the stopping criterion. If it is
not satisfied, let i = i + 1 and go to Step 2, otherwise BS with strongest reception at the receiver is using the full
STOP. power PT while the other BSs are using power less than PT . It
The pre-coding matrix Mk,c for user k is now defined as will be shown in Section V-A that the heuristic method results
in almost the same mutual information as (16).
1 1
MBD ˜  BD 2
k,c = V̄k,c V k,c Pk,c = Vk,c Pk,c
C. Practical Considerations
where the diagonal matrix Pk,c = diag p1,c , . . . , pmk,c ,c
controls the powers allocated for each of the mk,c eigen- Previous sections dealt with maximizing the mutual infor-
modes. As a result, the multiple-access interference (MAI) mation with per BS power constraints. In practical systems, the
w BD finite granularity imposed by the finite set of modulation and
is eliminated between users, i.e., FH k,c Hk,c Mi,c = 0 for
= k and the channel for user k is diagonalized to coding schemes (MCS) makes the bit and power optimization
w BD BD 12 1
problems non-convex, and solutions similar to (8) are difficult
FHk,c Hk,c Mk,c = Λk,c Pk,c , where
the diagonal matrix
BD if not impossible to obtain. We consider greedy bit and
Λk,c = diag λk,1,c , . . . , λk,mk,c ,c includes the first mk,c
power loading algorithms that try to maximize the achievable
eigenvalues of Λ̃ k,c of user k. Note that in case of |A| = 1 spectral efficiency for a certain quality of service criteria,
the above procedure is replaced by the well-known single user such as target frame error rate (FER). In order to guarantee
MIMO-OFDM precoder design [3], [4], [7]. the per BS power constraints, the same heuristic solution as
in the previous subsection is proposed. Basically, the only
B. Weighted Sum Rate Maximization with Cooperative ZF difference to an original single link algorithm, such as the
Transmission Hughes-Hartogs algorithm [55], is that the per BS power
In this section, we provide the power allocation for max- constraints, which are function of vk,i,c as in (5), are included
imizing the weighted sum rate with multiuser zero forcing in the stopping criterion. Similarly to the previous section, the
processing under an individual power constraint for each BS. iterative process (bit and power loading) is continued until one
In [37], similar treatment was also provided for a single of the BSs in Sk reaches its power constraint.
user MIMO transmission. With ZF processing the problem In the numerical evaluation, a low complexity bit and power
of maximizing the weighted sum of rates of the data streams loading algorithm requiring a low signalling overhead (LSO)
under per BS power constraint in (8) is reduced to is used [56]. In [54], we extended the LSO algorithm to the
adaptive multiuser MIMO-OFDM system with ZF processing.
NC mk,c
  Two iterations in Algorithm 3 were shown to be sufficient to
maximize NC−1 βk,i log2 (1 + λk,i,c pk,i,c )
k∈A c=1 i=1
achieve most of the gains from the iterative BD decomposition.
NC mk,c

The throughput degradation of the LSO relative to the optimal
s. t.
[n] 2

vk,i,c 2 pk,i,c ≤ Pn , n = 1, . . . , M Hughes-Hartog (HH) algorithm for a fixed target frame error
k∈A c=1 i=1
rate (FER) was shown to be small while the signalling over-
pk,i,c ≥ 0, k ∈ A, i = 1, . . . , mk,c , ∀ c
(16) head was NC times reduced. See [54], [56] for more details.
where the variables are pk,i,c , k ∈ A, i = 1, . . . , mk,c , Note that a solution based on joint TX-RX design similar to
c = 1, . . . , NC and Pn is the power constraint on the BS n. (8) would require a new design of the bit and power loading
The weights, βk,i ≥ 0, ∀ k, i, are used to prioritize differently algorithm, and hence, it is not considered in this paper.
the data streams of different users. It is easy to observe that In previous sections, we assumed that the inter-cell in-
the objective function of (16) is concave and all the inequality terference Rk,c was perfectly known at the transmitter and
constraints are affine. Thus, the problem (16) is a convex it could be incorporated into the whitened channel matrix
analytic centering problem [27, Chapt. 8.5.3], and it can be H w = R− 2 H  k,c . However, without Rk,c known at the trans-
k,c k,c
efficiently solved numerically by using standard optimization mitter the optimum pre-combiner obtained from the whitened
software packages, e.g., CVX [43], SeDuMi [52]. Under the channel matrix H  w cannot be computed [47]. Therefore, we
sum power constraint, Psum and with equal user priorities, the use a sub-optimal but still efficient design of the pre-coder,
sum rate is maximized by the well known water-filling power which relies on the channel knowledge only. The procedure
allocation [49], pk,i,c = (μ − 1/λk,i,c ) , where the ”water to compute the sub-optimal pre-combining matrix per user is
level”, μ, is chosen
such that exactly the same as that in Section IV-A, except that H  k,c

power constraint holds
 . Due to the non-
with equality, i.e., k∈A c=1 i=1 pk,i,c = Psum . is used in the algorithms instead of H k,c
Inspired by the earlier work in [23], we also provide a reciprocal interference at the receiver, inter-stream interference
simple heuristic algorithm which find a suboptimal, but still is not completely removed by the LMMSE receiver operation.
efficient, power allocation for the problem (16) with equal user The SINR per sub-channel can no longer be controlled at the
priorities. Similar to the sum power constraint case, we impose transmitter but it is affected by the structure of Rk,c [47].
a water-filling power allocation, pk,i,c = (μ̄ − 1/λk,i,c ) , but Therefore, a simple closed-loop algorithm that we introduced
the water level μ̄ is increased until one of the BSs reaches in [47] is used for compensating the effect of the interference
its power constraint. The water level can be efficiently found non-reciprocity at the transmitter. This, combined with the
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interference suppression at the receiver (LMMSE), was shown SNR = 20 dB
to result in nearly the same performance as in the ideal case 16
(Rk,c known at the transmitter) [47].

Ergodic Mutual Information [bits/s/Hz]


The simulated OFDM system was based on HIPER- 10

−Inf −20 −10 −6 −3 0
LAN/2 [57] and IEEE 802.11a assumptions, where the number
of subcarriers in the OFDM air interface is NC = 64 and the 5 SHO, sum power
SHO, per BS power (opt.) SNR = 0 dB
cyclic prefix length is 16 samples. Except in the system level SHO, per BS power (heur.)
4 SHO, single BS power
studies, the channel delay taps were considered independent of Single link capacity
each other with a power delay profile specified by ETSI BRAN
Channel A [57], and the elements of the channel matrices were
modelled as i.i.d. Gaussian random variables. The number of
both TX and RX antennas was fixed at 2, {NT , NRk } = {2, 2}. 2
−Inf −20 −10 −6 −3 0
Rx power imbalance [dB]
For simplicity, we assume that all the base stations have equal
maximum power limit PT , i.e. Pn = PT ∀ n. The impact of
Fig. 2. Single user ergodic mutual information of {NT , NRk , NC , Mk } =
the following three power constraints are studied. {2, 2, 64, 2} system at 0 dB and 20 dB single link SNR.
• Sum power constraint: All M BSs in Sk have perfect
power cooperation in addition to the data cooperation. 9

This provides an unrealistic upper bound, where the

pooled maximum available power is always Psum =
M PT , while the antenna array gain from having M NT 7

transmit antennas depends on the RX power differences

User 2 rate [bits/s/Hz]

between the BSs.
• Per BS power constraint: Available power can be in- 5
creased up to M times depending on the RX power
difference between BSs. Also, the antenna array gain
BC capacity region, sum power
from having M NT transmit antennas depends on the RX 3 BC capacity region, per BS power
power difference. Lin. rate points, sum power
2 Lin. rate points, per BS power
• Shared single BS power constraint: The same total TX Lin. rate region, sum power
power is used as in the single link case, i.e., Psum = PT 1
Lin. rate region, per BS power
Equal weight points, sum power
is shared between M BSs and only the antenna array Equal weight points, per BS power
gain is available. 0 1 2 3 4 5 6 7 8 9 10
User 1 rate [bits/s/Hz]

A. Mutual Information Results Fig. 3. Broadcast capacity region and rate region with linear processing for
{NT , NRk , NC , M } = {2, 2, 1, 2} system at 10 dB single link SNR with
The mutual information for 2-branch SHO with different -3 dB RX power imbalance between BSs.
power constraints is studied. The impact of the inter-cell
interference is omitted for simplicity, i.e., Rk,c = N0 I. Fig. 2
illustrates the single user ergodic mutual information for dif- Next, we consider a multiuser case where two SHO users
ferent received power imbalance values α = a2Sk (2),k /a2Sk (1),k (labelled as u = 2) are served simultaneously by two BSs
and for 0 dB and 20 dB single link SNRs. Sk (1) is the BS in a flat fading scenario. Furthermore, we assume that they
with the strongest reception at the terminal and the single link have identical large scale fading coefficients for simplicity,
SNR is defined as SNR = PT a2Sk (1) /N0 . As already shown i.e., aS1 (1),1 = aS2 (1),2 and aS1 (2),1 = aS2 (2),2 . First, the
in [37], the single user (|A| = 1) rate optimization reduces to impact of beamformer initialization on the behavior of the
(16), where λk,i,c and vk,i,c are the squared singular values linear weighted sum rate maximization algorithm is studied.
and the right singular vectors of Rk,c2 H k,c , respectively. Due to non-convexity of the original optimization problem (8),
(0) (0)
Fig. 2 shows that the performance of the proposed heuristic different initial beamformer configurations {v1 , . . . , vS }
method is close to the optimal solution (16) with per BS power used in Algorithm 1 may end up in different local optima.
constraints. Moreover, the gain from the joint processing The behavior of the linear Algorithm 1 is illustrated in
quickly diminishes as the imbalance between the received BS Fig. 3 for 2-user channel, where rate pairs corresponding
powers increases, especially at low SNR values. On the other to different weight vectors are plotted with both sum and
hand, the highest SHO gains are achieved at low SNR range, per BS power constraints. Equal weights are assigned to all
where the achievable rate can be even doubled. The achievable streams associated with one user. For each weight vector,
rate with sum power constraint provides an unrealistic upper ten rate pair points are generated each with a random linear
bound assuming that the BSs can share their TX powers. TX beamformer initialization. The rate region with linear
Sum power constraint with infinite power imbalance (-Inf) is processing is then plotted as a convex hull of the achievable
equivalent to the single link transmission with 3 dB higher rate pairs. Furthermore, the rate pairs corresponding to the
SNR. equal user weights are indicated. The rate regions are plotted
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14.5 6 SHO (u=2), sum capacity, sum power

Ergodic Sum Rate [bits/s/Hz]

SHO (u=2), sum capacity, per BS power

SHO (u=2), lin. max rate, sum power
14 5.5
10 dB single link SNR SHO (u=2), lin. max rate, per BS power
SHO (u=2), ZF PL, per BS power (opt.)

Ergodic Mutual Information [bits/s/Hz]

13.5 SHO (u=2), ZF PL, per BS power (heur.)
SHO (u=2), ZF FL, per BS power (opt.)
13 SHO (u=1), per BS power (opt)
4.5 Single link capacity

0 5 10 15 20 25 30 35 40 45 50
Ergodic Sum Rate [bits/s/Hz]

Sum capacity, per BS power

lin. max rate (random), sum power
5.8 3.5
lin. max rate (QR), sum power
0 dB single link SNR
lin. max rate (random), per BS power
lin. max rate (QR), per BS power

5.2 2.5

0 5 10 15 20 25 30 35 40 45 50 2
Number of random Tx beamformer initializations [n init] −20 −10 −6 −3 0
Rx power imbalance [dB]

Fig. 4. The impact of the beamformer initialization on the ergodic sum Fig. 5. Ergodic sum rate of {NT , NRk , NC , M } = {2, 2, 1, 2} system at
rate of {NT , NRk , NC , M } = {2, 2, 1, 2} system with 0 dB RX power 0 dB single link SNR.
imbalance at 0 dB and 10 dB single link SNR.
SHO (u=2), sum capacity, sum power
16 SHO (u=2), sum capacity, per BS power
SHO (u=2), lin. max rate, sum power
for a single random channel realization per user. All the SHO (u=2), lin. max rate, per BS power
SHO (u=2), ZF PL, per BS power (opt.)
points deviated from the boundary of the convex hull are local 14
SHO (u=2), ZF PL, per BS power (heur.)
Ergodic Mutual Information [bits/s/Hz]

optima. Note that the flat parts in the rate regions are only SHO (u=2), ZF FL, per BS power (opt.)
SHO (u=1), per BS power (opt)
achievable via time sharing. Moreover, the capacity region 12 Single link capacity

with per BS and sum power constraints, computed as in [25],

are plotted as the absolute upper bounds of the scenario. 10
Fig. 4 depicts the ergodic 2-user sum rate as a function
of the number of random beamformer initializations. The best 8
out of ninit random Tx beamformer initializations was selected
for each channel realization. The imbalance between the BSs
is fixed at 0 dB and single link SNRs are 0 dB and 10
dB. The ergodic sum rate is depicted for the weighted sum
rate maximization algorithm (Algorithm 1 labelled as ’lin. −20 −10 −6 −3 0
Rx power imbalance [dB]
max rate’) with sum power and per BS power constraints
and with weight vector β = 1. Moreover, the sum capacity Fig. 6. Ergodic sum rate of {NT , NRk , NC , M } = {2, 2, 1, 2} system at
with per BS power constraint is plotted as the absolute upper 10 dB single link SNR.
bound of the scenario. A large number of randomly chosen
initializations increases the probability to find a solution close
to the global optimum for each channel realization. It is capacity bounds shown in Figs. 4, 5 and 6 are not generally
seen from Fig. 4 that the impact of the initial beamformer achievable with a linear transmission strategy. However, the
configuration is relatively small and the gain achieved from proposed weighted sum rate maximization algorithm achieve
drawing randomly several initial points saturates rapidly to more than 90 percent of the sum capacity with per BS power
a fixed value. We studied also a different approach where constraints and a single sum power constraint. Note that the
the initial transmit beamformers were obtained by applying resulting ergodic sum rates for the proposed algorithm can be
the orthogonal-triangular QR decomposition to the set of still slightly improved if a few random initializations for each
dominant right singular vectors of user channels. The singular channel realization are allowed as seen in Fig. 4.
vectors were ordered in a descending order according to their The zero forcing solution, labelled as ’ZF’, is depicted for
singular values. The unitary vectors from the resulting Q two scenarios: fully loaded case {m1 , m2 } = {2, 2}, labelled
matrix were used as initial beamformers. As shown in Fig. 4, as ’FL’, and partially loaded case, labelled as ’PL’, where the
the QR based initialization method produces a very efficient best allocation of mk among possible combinations {m1 , m2 }
starting point, e.g., more than two random initializations are = [{2, 2}, {2, 1}, {1, 2}, {1, 1}] is selected for each channel
required to produce higher ergodic sum rate. realization. It is seen from the figures that the zero forcing with
Figs. 5 and 6 illustrate the ergodic mutual information for full spatial load (’FL’) performs rather bad, especially at low
different power imbalance values, and for 0 dB and 10 dB SNR range. Even with large imbalance (−20 dB) both users
single link SNRs, respectively. The ergodic 2-user sum rate are intended to be served with two streams. This obviously
is depicted for the proposed algorithm with QR based initial- reduces the achievable rate even below the single link capacity.
ization and the corresponding ZF method (Section IV) with The zero forcing with partial loading performs reasonably
different power constraints. The single user case (u = 1) with well even at low SNR and approaches the weighted sum rate
and without SHO is also included for comparison. The sum maximization algorithm (Algorithm 1) at high SNR. Again,
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Traced user locations
1500 BS30 BS33 BS36
Traced users in SHO
5 BS28 BS31 BS34
BS29 BS32 BS35
Spectral Efficiency [bits/s/Hz]

SNR = 12 dB
4.5 BS27 BS9 BS12 BS39
25 7 10 37

Y−coordinate [m]
26 8 11 38
−Inf −20 −10 −6 −3 0
SHO, sum power 24 6 3 15 42
SHO, per BS power (heur) SNR = 0 dB 22 4 1 13 40
BS23 BS5 BS2 BS14 BS41
2.5 SHO, single BS power
Single link
−500 BS BS BS BS
2 57 21 18 45
BS55 BS19 BS16 BS43
BS56 BS20 BS17 BS44
54 51 48
1 BS52 BS49 BS46
−Inf −20 −10 −6 −3 0
BS53 BS50 BS47
Rx power imbalance [dB] −1500

Fig. 7. Single user spectral efficiency (SEFF) of {NT , NRk , NC , Mk } = −1500 −1000 −500 0 500 1000 1500
X−coordinate [m]
{2, 2, 64, 2} system with LSO algorithm and with 10% FER target at 0 dB
and 12 dB single link SNR.
Fig. 8. System level simulation scenario.

the heuristic power loading solution performs almost as good

as the optimal method (16). The ZF method with heuristic
power loading and with partial spatial loading is used in the propagation model is used and the effect of antenna patterns
following link and system level studies due to its simplicity is included in the path loss calculations [58]. The shadowing
and good performance. It also enables to decouple the data factor is a log-normal random variable with mean of 0 dB and
streams, and hence, allows for an efficient implementation of the standard deviation of 6 dB.
the bit and power loading algorithms in practical systems. Independent time-continuous fading process is simulated
for each MIMO antenna transmitter-receiver pair including
both the desired links Hb,k , b ∈ Sk and the most dominant
B. Link Level Results
interference links b
∈ Sk for each terminal k dropped in
In this section, the single user (|A| = 1) link level per- the system. The channel coefficients are generated by a stan-
formance for 2-branch SHO with different power constraints dardized geometric stochastic channel model, 3GPP/3GPP2
is studied in terms of achievable spectral efficiency. Again, SCM model [58] with urban micro scenario. The simulation
the impact of inter-cell interference is omitted for simplicity, run consist of D user drops where K users are randomly
i.e., Rk,c = N0 I. In the link level simulations, one coded uniform distributed within the geographic area of the system
OFDM frame consists of 8 OFDM symbols. Modulation and in the beginning of each drop [58]. Only the center site users’
coding schemes (MCS) used in the simulations were QPSK, data is recorded for the statistics. Large scale mobility is not
16QAM and 64QAM, all turbo encoded and punctured to rate modelled, but the time-continuous fading is emulated for the
= 1/2. The minimum codeword length is lmin = 500 bits [56] stationary users during a drop. An example distribution of
and the SNRs required by each MCS to achieve the desired some of the traced user locations is also shown in Fig. 8.
target FER = 10% in AWGN channel are: 1.8 dB, 7.1 dB and
Universal frequency reuse one is assumed. The multiple
11.6 dB, respectively. Fig. 7 illustrates the achievable spectral
access scheme is time division multiple access (TDMA),
efficiency for different power imbalance values and for 0 dB
where each user is assigned a fixed length transmission slot
and 12 dB single link SNRs. With small power imbalance the
within a DL TDD frame. The number of DL slots is set to
SHO gains can be rather significant. There is very little gain
24, each slot corresponding to 8 OFDM symbols. The same
from the SHO at low SNR and with a high imbalance between
link parameters are used as in Section V-B. Parameter K is
BSs since the TX power is concentrated on the strongest
adjusted such that different target average DL loads (time slot
eigenmode(s) only. However, the weaker BS has in general
occupation) are achieved. A simple dynamic transmission slot
larger contribution on the weaker eigenmode(s). Thus, SHO
allocation scheme is used. It is assumed that the BS(s) are
can provide considerable gains at high SNR even with a large
aware of each users’ received pilot power levels from all the
imbalance, as the strongest eigenmode(s) become saturated
adjacent cells and the user allocations in the adjacent cells.
and more power is poured on the weaker eigenmode(s).
A user is allocated to a time slot within the DL TDD frame
where the resulting SINR is the highest. The SINR is defined
C. System Level Evaluation as the ratio between the average RX power from the strongest
A realistic multi-cell environment with 57 cells (19 3- cell in Sk and the average other-cell interference power. The
sector antenna sites) was used for the system level evaluation. resulting user allocation tables are maintained fixed during one
Fig. 8 illustrates the simulation scenario. It is assumed for simulation drop. The BS TX power is fixed to 33 dBm. Only
simplicity that the cooperative SHO processing of transmitted those center site users with an average SINR more than 0 dB
signal is possible between any of the 57 BSs. Okumura-Hata are traced for the statistics while the others are declared to
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be in the outage (dropped). The user locations are identical AS size 3, 3dB SHO window
between the simulation cases in order to make the results 8 AS size 2, 3dB SHO window

Blocking [%]
AS size 3, 6dB SHO window
comparable. 6
AS size 2, 6dB SHO window
Depending on the simulation case, the users having identical 4
no SHO

SHO active set composition can be served within the same

time slot using the ZF SDMA method from Section IV-A
with two iterations and the joint user, bit and power allocation 0
10 20 30 40 50 60
algorithm from [54]. In order to simplify the simulation

Blocking + Dropping [%]

setup, the SDMA is not considered for users assigned to a
single cell only (|Sk | = 1). For the single user transmission, 10

we use the original LSO algorithm from [56]. The closed-

loop interference non-reciprocity compensation algorithm able 5

to follow the time-continuous changes in the interference

structure, is applied for each traced user in order to maintain 0
10 20 30 40 50 60
the target quality of service (10% FER) at the receiver [47]. It Load [%]

also compensates for the residual MAI caused by the limited

number of iterations in Algorithm 3. Fig. 9. The blocking and the total outage probability as a function of the
system load, TDMA only.
1) Single User TDMA Solution: First, the system level
impact of the proposed SHO scheme is studied for the case 1
where only one user can be allocated to a single time slot,
i.e., SDMA between users having identical Sk is not allowed.
Fig. 9 illustrates the blocking and the total outage (blocking 0.8

+ dropping) probability versus the system load with different

Probability SEFF > Abscissa

SHO parameters. The load is defined such that each user is
counted only in the cell where it is associated with, i.e., in
the cell with the highest received power. Due to the fact that 0.5

the active SHO connection requires a physical resource (time 0.4

slot) allocated at each participating BS, the actual load with
the SHO can be significantly larger than without the SHO.
SHO, 3dB, shared single BS power
Typically, the overhead from the SHO varies between 20-50% 0.2
SHO, 3dB, per BS power
depending on the parameters used. Thus, the blocking prob- 0.1
SHO, 6dB, shared single BS power
SHO, 6dB, per BS power
ability can be dramatically increased if the SHO parameters: no SHO
SHO window, maximum SHO active set (AS) size, are too 1 1.5 2 2.5 3 3.5 4 4.5 5 5.5
SEFF per user [bits/s/Hz]
large. On the other hand, the dropping probability is decreased
compared to the case without the SHO. Thus, the total outage Fig. 10. CDF of the spectral efficiency per user with 30% system load and
probability with the SHO can be even less than the one without max. AS size 3.
the SHO (Fig. 9). It must be noted, that the dropping criteria
used in these simulations (0 dB SINR) is rather strict since for
the channel allocation in the beginning of each user drop we that the power consumption at BSs may be increased due to
assume that all the interfering BSs are transmitting with full the SHO overhead. Any BS in Sk can use up to PT TX power
power PT . Also, the SINR after receiver processing can be per time slot depending on the users’ received signal strength,
significantly higher than the pre-processing SINR. Note that imbalance between the SHO BSs, etc. Also, more inter-cell
the blocking probability depends also on the frame parameters interference is potentially generated. Therefore, it is interesting
(total number of slots), i.e., the larger the channel pool the to compare it to the case where the power consumption is
lower the call blocking and vice versa. maintained the same on average, independent of the SHO
The cumulative distribution function (CDF) of spectral parameters used. The shared single BS power constraint does
efficiency (SEFF) per user with different SHO window sizes not increase the power consumption at the transmitters even if
( ±3 dB and ±6 dB) and power constraints is plotted in Fig. the SHO overhead is high, since the TX power PT of a single
10. All the traced users are included in the statistics. The BS is shared between Mk transmitters. Also, the inter-cell
maximum SHO active set size is limited to three in this case. interference generated from a single BS is reduced with the
The load used in the simulations in Fig. 10 corresponds to same ratio. In spite of generating more inter-cell interference,
30% time slot occupation without the SHO. It is seen from the the per BS power constraint results in better overall system
figure that significant system level gains from the cooperative performance.
SHO processing are available, especially with a large SHO Obviously, the users located at the SHO region may enjoy
window. However, the 6 dB SHO window becomes too large from greatly increased transmission rates, as depicted in Fig.
when the load increases further from 30% due to the increased 11. The spectral efficiency of those users that are outside of
outage probability (Fig. 9). the SHO region is slightly reduced due to the increased inter-
The impact of two different power constraints is also cell interference. However, the net performance improvement
compared in Fig. 10. The per BS power constraint implies is clearly positive as seen from Fig. 10.
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probability as well. The overall outage probability is hence
0.9 reduced in all SHO cases below the case without SHO.
0.8 Fig. 11 depicts also the spectral efficiency distribution for
the case where the SDMA is enabled. Some performance
Probability SEFF > Abscissa

penalty from using the ZF method from Section IV-A is caused
0.6 by its inherent noise amplification property [45], [54]. Also,
0.5 the TX power is shared between the users allocated to the
same time slot. However, the overall reduction is rather small
resulting from the fact that the fading is independent at each
0.3 BS antenna site. At the same time less inter-cell interference is
0.2 generated. Therefore, the total spectral efficiency with SDMA
SHO, shared single BS power
SHO, per BS power (not shown) remains somewhat unchanged to the curves shown
SHO, per BS power (SDMA) in Fig. 10.
no SHO
1 1.5 2 2.5 3 3.5 4 4.5 5 5.5
SEFF per user [bits/s/Hz]
Fig. 11. CDF of the spectral efficiency per SHO user with 30% system load, The joint cooperative processing of transmitted signal from
max. AS size 3 and 3 dB SHO window. several MIMO BSs was considered for users located within
a SHO region. The system level gains and trade-offs from

AS size 3, 3dB SHO window

the cooperative SHO processing were investigated. The math-
AS size 2, 3dB SHO window ematical framework for the SHO based MIMO-OFDM system
Blocking [%]

AS size 3, 6dB SHO window

6 was derived and the joint design of linear TX and RX
AS size 2, 6dB SHO window
4 no SHO beamformers in a MIMO multiuser transmission according
to the weighted sum rate maximization criterion and subject
to per BS power constraints was considered. The proposed
10 20 30 40 50 60 algorithm was shown to provide very efficient solutions de-
spite of the fact that there is no guarantee of achieving the
Blocking + Dropping [%]

global optimum due to the non-convexity of the optimization

problem. Moreover, practical and efficient resource allocation
methods based on generalized ZF transmission were provided.
The impact of the size of the SHO region, overhead from the
increased hardware and physical (time, frequency) resource
10 20 30 40 50 60 utilization, and different non-reciprocal inter-cell interference
Load [%]
distributions due to the SHO were evaluated by system level
simulations. Although the overhead from the SHO processing
Fig. 12. The blocking and the dropping probability as a function of the
system load, SDMA for SHO users. can be significant, it can be mitigated by using zero forcing
SDMA for users having an identical SHO active set compo-
sition. Also, the dropping probability is decreased, and thus,
2) Multiuser SDMA for SHO: Now, the SDMA between the total outage probability with the SHO can be less than
users having an identical Sk is enabled. The channel allocation without the SHO depending on the parameters used. The users
algorithm is slightly modified for the SDMA. Still, the new located at the SHO region may enjoy from greatly increased
user is allocated to the time slot where the resulting SINR transmission rates. This translates to significant overall sys-
is the highest. For each new user k, the allocation table is tem level gains from the cooperative SHO processing. The
checked for whether there are any earlier allocated users i proposed soft handover scheme can be used to provide more
with the same active set composition, Sk = Si . If the available evenly distributed service over the entire cellular network.
SINR in the slot of the ith user is larger or equal than the best
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[57] ETSI TS 101 683 V1.1.1, “Broadband radio access networks (BRAN); Markku Juntti (S’93-M’98-SM’04) received his
HIPERLAN type 2; system overview,” European Telecommunications M.Sc. (Tech.) and Dr.Sc. (Tech.) degrees in Elec-
Standards Institute (ETSI), Tech. Rep., 2000-02. trical Engineering from University of Oulu, Oulu,
[58] 3GPP TR 25.996 V6.1.0, “Spatial channel model for multiple input mul- Finland in 1993 and 1997, respectively.
tiple output (MIMO) simulations,” 3rd Generation Partnership Project Dr. Juntti has been with Telecommunication Lab-
3GPP,, Tech. Rep., 2003. oratory and Centre for Wireless Communications,
University of Oulu in 1992–98. In academic year
Antti Tölli (S’03) received his M.Sc. (Tech.) degree 1994–95 he was a Visiting Scholar at Rice Uni-
in electrical engineering from University of Oulu, versity, Houston, Texas. In 1999–2000 he was with
Oulu, Finland in 2000. From 1998 to 2003 he Nokia Networks. Dr. Juntti has been a Professor
worked for Nokia Networks, IP Mobility Networks of Telecommunications at University of Oulu since
division as Research Engineer both in Finland and 2000. His research interests include communication and information theory,
Spain. In 2003 he joined the Centre for Wireless signal processing for wireless communication systems as well as their
Communications (CWC) at University of Oulu, Fin- application in wireless communication system design. He is an author or co-
land where he is currently working toward the Dr. author in some 150 papers published in international journals and conference
Tech. degree. His main research interests are in records as well as in book WCDMA for UMTS published by Wiley.
radio resource management for broadband wireless Dr. Juntti is an Associate Editor for IEEE Transactions on Vehicular
communications with special emphasis on resource Technology. He was Secretary of IEEE Communication Society Finland
allocation for multiuser MIMO-OFDM cellular systems. Chapter in 1996-97 and the Chairman for years 2000-01. He has been
Secretary of the Technical Program Committee (TPC) of the 2001 IEEE
Marian Codreanu (S’02) was born in Bucharest, International Conference on Communications (ICC’01), and the Co-Chair of
Romania in 1974. He received the M.Sc. (E.E.) the Technical Program Committee of 2004 Nordic Radio Symposium. He is
degree from the University Politehnica of Bucharest, a Co-Chair of the TPC of 2006 IEEE International Symposium on Personal,
Romania in 1998. From 1998 to 2002 he was Indoor and Mobile Radio Communications (PIMRC 2006).
Assistant at Telecommunications Department at Uni-
versity Politehnica of Bucharest, Romania. In 2002
he joined the Centre for Wireless Communications
(CWC) at University of Oulu, Finland where he is
currently working toward the Ph.D degree. His back-
ground is in wireless communications and signal
processing and his areas of interest includes mul-
tidimensional adaptive radio link, multi-carrier communications and MIMO

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