FINAL PROJECT REPORT

Submitted to

IIMA-IDEA Telecom Center of Excellence (IITCOE)

on
Optimal Strategies for Reliable Service in MIMO-OFDM
Multiuser Cellular Broadcast Systems
By
Dr. Aditya K. Jagannatham
(Principal Investigator)
Associate Professor

DEPARTMENT OF ELECTRICAL ENGINEERING

INDIAN INSTITUTE OF TECHNOLOGY KANPUR

KANPUR 208 016

December 2014

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Table of Contents
Table of Contents ..................................................................................................................................... 2
List of Tables ............................................................................................................................................. 2
List of Figures ............................................................................................................................................ 3
1. Summary .......................................................................................................................................... 4
2. Significance of the Project ............................................................................................................... 6
3. Outcomes of the Project .................................................................................................................. 7
4. Introduction ..................................................................................................................................... 8
5. Optimal Beamforming for Multiuser MIMO-OFDM Cellular Broadcast/Multicast Wireless
Networks ................................................................................................................................................ 11
5.1. Overview of the Problem ...................................................................................................... 11
5.2. Proposed Beamforming and Resource Allocation Strategies ............................................... 13
5.3. Multiuser MIMO Beamforming............................................................................................. 14
5.3.1. Multiuser Successive Maximum Ratio Transmission for MIMO Wireless Systems .......... 16
5.4. Optimal Beamforming for Multicell Cooperative Networks ................................................. 20
5.4.1. Optimal Beamforming for Cooperative Broadcast Networks: .......................................... 21
5.4.2. Optimal Beamforming for Cooperative Unicast Networks: .............................................. 23
5.4.3. Optimal Beamforming for Cooperative Multicast Networks: ........................................... 25
5.4.4. Optimal Multi-User Uplink Beamforming for Cooperative Unicast Networks: ................ 29
5.5. User Scheduling .................................................................................................................... 30
5.6. Video Quality: ....................................................................................................................... 32
5.7. Simulation Results ................................................................................................................. 34
6. Optimal Power Allocation and Downlink Beamforming for Cognitive Radio system .................... 39
6.1. Introduction .......................................................................................................................... 39
6.1.1. Overview of the Problem ...................................................................................................... 39
6.2. Literature Review .................................................................................................................. 41
6.3. System model........................................................................................................................ 43
6.4. Problem formulation for multiuser Cognitive Radio scenarios ............................................. 44
6.5. Optimal MIMO-OFDM Power allocation without primary user CSI ...................................... 46
6.6. Simulation Results ................................................................................................................. 48
7. References: .................................................................................................................................... 50

List of Tables
Table 1: Model Parameter for various video sequences. ....................................................................... 34

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List of Figures
Figure 1: Broadcast/ Multicast multimedia services in wireless networks. ............................................. 9
Figure 2: Multi-user multiple input multiple output system. ................................................................. 10
Figure 3: Cooperative multi-cell broadcast scenario. ............................................................................. 11
Figure 4: Cooperative Wireless Network with Multicast Transmission of Multimedia Data. ................ 12
Figure 5: Transmit and receive beamforming in MIMO systems. .......................................................... 13
Figure 6: Broadcast service in MIMO cooperative cellular network. ..................................................... 22
Figure 7: Unicast service in MIMO Cooperative Cellular Network. ........................................................ 23
Figure 8: Multicast service in MIMO Cooperative Cellular Network. ..................................................... 26
Figure 9: Relationship between video quality and data rate. ................................................................ 32
Figure 10: Scalable Video Coding for wireless networks. ....................................................................... 33
Figure 11: Test video sequences ............................................................................................................ 34
Figure 12: Sum rate vs. transmit power while employing different beamforming techniques. ............ 36
Figure 13: Sum rate of SCEB based maximum rate (MR), proportional fairness (PF) and round robin
(RR) scheduling schemes. ....................................................................................................................... 36
Figure 14: Video quality of test video sequences with SCEB multicast beamforming in 2x2 and 4x4
MIMO multicast scenario with NG = 50 groups and two users in each group. ...................................... 37
Figure 15: Video quality versus power for various competing MU-MIMO transmission techniques,
namely, SO, MS-MRT, BD, CTR-BD, and CTR-SO (I and NI, i.e., iterative and non-iterative versions). ... 38
Figure 16: Average throughput versus power for various competing MU-MIMO transmission
techniques, namely, SO, MS-MRT, BD, CTR-BD, and CTR-SO (I and NI, i.e., iterative and non-iterative
versions). ................................................................................................................................................ 38
Figure 17: Multiband cognitive radio interweave model for frequency allocation to primary and
secondary users. ..................................................................................................................................... 39
Figure 18: Cognitive radio multiuser- MIMO scenario with both primary and secondary users
transmitting. ........................................................................................................................................... 40
Figure 19: MIMO-OFDM based interweave Cognitive Radio (CR) .......................................................... 44
Figure 20: Maximum transmission rate of the CR users versus the interference threshold .................. 49
Figure 21: Maximum interference at any PU receive mode vs. Interference Threshold ....................... 50
Figure 22: Total capacity of the CR users versus the interference threshold ......................................... 50

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 1. Summary
The first objective of this project was to develop optimal resource allocation
schemes for MIMO-OFDM based broadcast cellular systems with cooperative base
stations such that the total data rate is maximized and higher reliability is achieved
with reduced power consumption at the base stations is achieved. In this context,
we propose a novel scheme to jointly determine the optimal transmit/receive
beamformers together with multi-user power allocation towards transmission rate
maximization in a cooperative MIMO cellular wireless network for unicast/multicast
scenarios. For the unicast scenario, we propose a successive constrained
eigenbeamforming (SCEB) technique to reduce the inter-user interference and
enhance the data rates subject to power constraints. This scheme is further
extended to a multicast scenario (SCEB-M) to maximize the sum rate of a user group
with group constraints on the transmit power. We develop the successive multi-user
uplink beamforming (SMUB) scheme which maximizes the SINR of the users in multi-
cell cooperative cellular networks. It is shown that higher data rates can be achieved
due to the zero interference property of the proposed SMUB scheme.

We propose a novel low-complexity beamforming algorithm for multiuser successive

maximum ratio transmission (MS-MRT) toward space-division multiplexing to
achieve video quality maximization in the downlink of a multiuser (MU) multiple-
inputmultiple-output (MIMO) orthogonal frequency-division multiple-access
(OFDMA)-based fourth generation (4G) wireless network. We compare the
performance of this algorithm in terms of system throughput and video quality with
two popular precoding techniques, namely, block-diagonalization (BD) and
successive optimization (SO).

Finally, when the number of users/groups is large, user scheduling plays a prominent
role in efficient allocation of the time-frequency resources. Towards this end, we
develop various user scheduling schemes that can be employed with the proposed
optimal beamforming schemes to enhance the throughput and fairness of the end
user.

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We employ a practical H.264 scalable video quality model to demonstrate the
performance of the presented schemes in realistic video streaming broadband
wireless networks. The simulation results presented in this work rely on the rate
models derived using the Joint Scalable Video Model (JSVM) software developed by
the Joint Video Team (JVT) and are, thus, readily applicable in practice. The
presented results clearly demonstrate the ability of the proposed algorithm to
maximize the video quality in comparison with the other competing MU MIMO
precoding techniques. Simulation results show that the proposed SCEB schemes
achieve a superior data rate and video quality in comparison to conventional
resource allocation schemes in cooperative cellular scenarios.

The second objective of this project was to develop optimal schemes for downlink
beamforming and power allocation for cognitive radio based multiuser MIMO-OFDM
broadcast systems with the aim of maximizing the system throughput while ensuring
better quality of service. In this context, we present optimal power allocation
strategies for a MIMO (Multiple Input Multiple Output) OFDM (Orthogonal
Frequency Division Multiplexing) based cognitive radio (CR) system. The proposed
power allocation schemes maximize the downlink transmission rate of the CR users
under spatial interference constraints, considering both the availability and absence
of the primary user (PU) Channel State Information (CSI). It is demonstrated that the
isotropic interference minimization in the absence of PU CSI can be formulated as a
semi-definite program (SDP) while it reduces to linear interference constraints based
CR user sum-rate maximization in the presence of PU CSI. Closed form power
allocation expressions are derived for the above scenarios under a sum-trace
interference relaxation.

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 2. Significance of the Project
This project has significant implications, particularly in context of India, and also
provides benefits to end users. This research tries to achieve some of the visions
expressed in the National Telecom Policy India [32]: 1) Promote efficient use of
spectrum, 2) Provide affordable and reliable connections at minimum 2 Mbps
download speed and making available higher speeds of at least 100 Mbps in future,
3) Optimize transmission of services to consumers irrespective of their devices or
locations. 4) Employ low power solutions to reduce the operational costs and
achieve sustainability.

Spectrum management is imperative due to scarcity of spectrum and increase in

demand for wireless broadband. This problem is further exacerbated in India due to
excessive fragmentation of spectrum and resulting in inefficient use of the available
resource. We have developed techniques that result in higher spectral efficiency
compared with 2G services. We propose new schemes for optimal cognitive radio
power allocation based on spatial interference constraints in a MIMO-OFDM wireless
network. The proposed power allocation schemes maximize the downlink
transmission rate of the secondary users. This research bridges the current gap
which impedes the deployment of Software Defined Radios and Cognitive Radios to
promote the use of white spaces in spectrum. The technologies developed in this
project accentuate the necessity to create secondary spectrum market for spectrum
sharing which allows optimal use of the spectrum.

The benefits to the end user are threefold. This project aims to achieve better
connectivity in terms coverage, quality of service, and data rates for the mobile end
users. With reliable connection and significantly higher data rate, users will be able
to access rich set of applications such mobile TV, multiplayer gaming, high speed
internet connectivity seamlessly irrespective of their location.
We have shown that the proposed resource allocation schemes achieve a superior
data rate and video quality. Hence, the proposed techniques enhance the
multimedia content delivery capabilities of current wireless networks for interactive

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applications such as video streaming, multimedia multicasting and broadcasting. An
important area where this project has significant impact is education and learning.
This project envisions efficient and robust information dissemination to large
number of users enabling the rapid proliferation of information communication
technology based learning. This project develops schemes that will help in realizing
mature broadcast technology, thus, it may have significant impact in adoption of
broadcast services.

The proposed schemes reduce the power consumption at base stations. Hence, they
are energy efficient and potentially reduce the carbon foot print and energy costs
thereby lowering the detrimental effects on environment.

In summary, this research will take us a step closer in meeting key requirements of
next generation networks such as supporting high data rates by making use of new
spectrum opportunities and facilitate transition to a more competitive mobile
telecommunication landscape. The project outcomes will serve in enhancing the
intellectual capabilities and knowledge through workflow documents, publication of
the results, and build competencies to develop new sustainable technologies.

3. Outcomes of the Project

The results and findings of the proposed optimal resource allocation schemes have
been presented in the following publications:
1. Naveen K. D. Venkategowda, Nitin Tandon and Aditya K. Jagannatham, "MVDR
based Multi-Cell Cooperative Beamforming Techniques for Unicast/ Multicast
MIMO Networks with Perfect/Imperfect CSI", Accepted for publication in IEEE
Transactions on Vehicular Technology
2. Nikhil Gupta, Aditya K. Jagannatham, Multiuser Successive Maximum Ratio
Transmission (MS-MRT) for Video Quality Maximization in Unicast and Broadcast
MIMO OFDMA based 4G Wireless Networks, Accepted for Publication in IEEE
Transactions on Vehicular Technology.

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3. Nikhil Gupta and Aditya K. Jagannatham, "Multiuser Successive Maximum Ratio
Transmission (MS-MRT) for Video Quality Maximization in MIMO OFDMA based
4G Wireless Networks", In Proceedings of the 2013 IEEE 78th Vehicular
Technology Conference-Fall Las Vegas, USA, 2-5 September 2013.
4. N. Venkategowda, N. Tandon, A. K. Jagannatham, Cooperative Multi-Cell
Beamforming for MIMO Unicast/Multicast Broadband H.264 Scalable Video
Networks, In Proceedings of the 2013 IEEE International Conference on
Multimedia and Expo (ICME), July 2013.

The following articles are in preparation:

1. Abhishek Agrahari, Pulkit Varshney, Pratibha and Aditya K. Jagannatham,
Optimal Power Allocation and DL Beamforming in Multiuser MIMO-OFDM
Cognitive Radio Systems with Spatial Constraints, Work in progress.

4. Introduction
The increase in multimedia traffic from applications such as video-on-demand,
mobile television, interactive gaming, etc., necessitates the enhancement of the
multimedia content delivery capabilities of 3G/ 4G wireless communication
technologies such as LTE, WiMAX and UMTS which are characterized by applications
involving high quality and reliable delivery of multimedia content. Reliable service to
mobile users in wireless cellular networks implies support of higher data rates with
quality of service (QoS). The maximum achievable data rate depends on the
bandwidth and power (SNR) as given by the Shannon capacity theorem,

The system capacity is constrained by the available bandwidth and power. Thus, in
order to maximize the data rates either the bandwidth and/or the transmit power
should be increased, which are scarce in a wireless communication environment.
Multiple transmit and receive antennas technology known as Multiple-input
multiple-output (MIMO) can be employed to achieve significant capacity gains with
no extra bandwidth requirement [1]. Further reliable transmission link can be

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obtained by using orthogonal frequency division multiplexing (OFDM) which
mitigates the problem of inter-symbol interference associated with frequency
selective channels by carrying out the data transmission over several orthogonal
subcarriers. Given its potential, MIMO wireless technology in combination with
OFDM is an attractive solution for next-generation wireless networks to achieve
higher throughput and reliability. More recently, the attention has shifted from
single-user point-to-point (P-P) MIMO scenario to multiuser MIMO channels (MU-
MIMO), where several users simultaneously access the communication channel [2].
Although the general area of multi-user communications has been well studied, new
areas of research opens up when users and base station employs multiple antennas.
A multiuser MIMO system is schematically depicted in Figure 2.

Point-to-Point communication is more efficient with less number of users in a cell,

however, as the number of users increase broadcast/multicast tends to be more
efficient since it requires lesser bandwidth. Further, multimedia applications are
typically point to multipoint in nature where multiple users requesting same service
share allocated system resources may not be in the same location. Examples of
broadcast/ multicast services in wireless networks are illustrated in Figure 1.

Multiplayer Video Conference

Gaming

Broadcast/
Multicast

Mobile Video-on-demand
TV
Figure 1: Broadcast/ Multicast multimedia services in wireless networks.

Broadcast/multicast services (BMS) was designed to meet the emerging

requirements of multimedia applications for mobile users [3]. BMS was envisaged in
release 6 of 3GPP with peak data rates for video specified as 384Kbps.

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Figure 2: Multi-user multiple input multiple output system.

A more recent 4G LTE Release 9 supports BMS functionality where base stations
transmit the same signal simultaneously using the same time-frequency resource [4].
BMS involves data transmission from a single coordinated source to multiple users at
the same time and same channel [5], [6]. This scheme is illustrated in Figure 3. Since,
the data is same for all users, it increases the signal strength, rather than acting as
interference. This results in efficient distribution with lower interference and lesser
bandwidth utilization. Another promising technique for solving the problem of
bandwidth is the cognitive radio (CR) systems.
The increasing demand for bandwidth cannot be met using the traditional fixed
frequency band assignment. A report by the Federal Communications Commission
(FCC) states that the already allocated spectrum is largely underutilized [9]. The
limited frequency resources and their inefficient usage, make the change of the
frequency assignment policy inevitable. Cognitive radio (CR) provides us a way for
dynamic spectrum access to improve spectral efficiency. The CR system
opportunistically allocates vacant primary user (PU) licensed spectral bands to
secondary users (SUs) thus improving spectrum utilization. OFDM provides great
ease in dynamically allocating unused spectrum among CR users. Thus, MIMO-OFDM
has been recognized to be the most promising scheme for usage in CR systems.
Employing multiuser broadcast systems further improves the spectral efficiency as
the same frequency band is being used to serve multiple users simultaneously.

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Figure 3: Cooperative multi-cell broadcast scenario.

5. Optimal Beamforming for Multiuser MIMO-OFDM Cellular

Broadcast/Multicast Wireless Networks

5.1. Overview of the Problem

Rich set of applications, for instance, mobile TV, disaster warning systems,
multiplayer gaming, require dissemination of same data (information) to many users.
These applications are typically supported through broadcast/multicast services
(BMS) in wireless communication systems [5]. In a multi cellular environment, we
can employ cooperative distribution of data where multiple base stations (BSs)
broadcast copies of the same data to the required users in synchronization. Figure 3
illustrates such a cooperative broadcast scenario. This network architecture consists
of a content server which provides the data demanded by the users. The base
station controller (BSC) forwards the demanded data to base stations and
coordinates among different BS. We can consider a scenario where many users
spread across different cells demand the same information, for example, a video or a
particular TV channel in mobile TV application. This demand is routed to the
content/media server via BSC. The content server forwards the data to BSC and the
BSC to base station for broadcasting. In traditional systems, while receiving the data
from a BS, signals from other BSs are treated as interference even though the other
BSs are transmitting the same information. In contrast, signal from other BSs in a

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cooperative scenario is treated as desired signal rather than interference. This is
possible when neighboring BS transmits at the same frequency as in OFDM signaling
which will be predominantly used in future wireless systems. Hence, signals from
different BSs can be combined to form a stronger signal. This increases the reliability
of the communication system. Further, the data rate attained at each user depends
on the strength of the received signal which in turn depends on the power
transmitted and the quality of link between the BS and the user. The wireless link
strength, however, is random in nature. Therefore transmitting higher power does
translate into an increase in the performance. By employing multiple antennas at
transmitter, multiple links can be established with the receiver. Besides, the transmit
power at BSs is limited. Therefore the available resource in terms of power, which is
scarce, must be judiciously used. We need techniques which can intelligently allocate
power to different antennas and OFDM subcarriers while keeping the link quality
and the power transmitted by other BSs in mind. Hence the research focus is to find
optimal resource allocation for broadcast/ multicast services for a MIMO
cooperative cellular network such that the total data rate of the system is maximized
and total power consumption is minimized.

Core
Network
Base Station
Controller BS 1 Group 1
Group 1
video
Group 2
Multimedia BS 3
Content Server
Group 2
Video BS 2

Figure 4: Cooperative Wireless Network with Multicast Transmission of Multimedia Data.

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 5.2. Proposed Beamforming and Resource Allocation Strategies

As mentioned in the previous section the research focus is to find optimal resource
allocation strategies at MIMO transmitters of different base stations such that the
total data rate of the system is maximized and total power consumption is
minimized. These objectives can be attained by maximizing the received signal
power at users with a limitation on the transmit power at the base stations.
Multiple-input multiple-output (MIMO) system can be employed to achieve
significant capacity gains with no extra bandwidth requirement. This can be achieved
by spatially multiplexing several users simultaneously for multiple access over the
wireless channel. Further, in a cooperative transmission scenario, MIMO gives
additional degrees of freedom for signal transmission which can be employed for
interference cancellation, transmit and receive beamforming.

Transmit Beamformer Receive Beamformer

Channel

Multiple antennas at transmitter Multiple antennas at receiver

Figure 5: Transmit and receive beamforming in MIMO systems.

In Figure 5 the transmit beamformer indicates the direction in which the signal is
transmitted and receive beamformer indicates the direction in which the signal is
received by the user. Thus, we need to determine these directions and the amount
of power that should be allocated in a particular transmit direction so that signal to
noise power ratio is maximum at every user. The wireless channel link condition
fluctuates due to the mobility of user and scatterers present in the path of
transmission. Hence the optimal direction and should be continuously
adapted according to the varying channel conditions. Further, in a multiuser scenario
depicted in Figure 4 where the BS is communicating with multiple users and hence
causing interference to other users, we need to determine the transmit and receive
direction such that the interference is minimum. We propose a novel scheme to
jointly determine the optimal transmit/receive beamformers together with multi-

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user power allocation towards transmission rate maximization in a cooperative
MIMO cellular wireless network for broadcast, unicast, and multicast scenarios. The
proposed algorithms for these scenarios are explained in the following sections.

5.3. Multiuser MIMO Beamforming

The spatial multiplexing techniques can be readily applied to 4G MIMO wireless

systems to increase the data rate. Further, as the subscriber density increases in
such networks, it is essential to multiplex an increasing number of users on the
limited spectral bandwidth. In such scenarios, multiuser (MU) MIMO systems, with
each user device possessing multiple antennas, have been shown to be ideally suited
to support multiple users simultaneously. However, this can lead to an increase in
the noise level of the system due to the interference at the receiver from the signal
intended for other users. In this context, several beamforming schemes have been
proposed for directional transmission of signals, thus facilitating the transmission of
multiple streams to the users while simultaneously minimizing interference. Several
beamforming techniques have been proposed in the literature to accomplish the
aforementioned task.
In this scenario, the optimal transmission rate is achieved by dirty-paper coding
(DPC) as described in [33], although the high complexity of such an algorithm makes
it prohibitive in practical scenarios. An analysis of various related techniques has
been presented in [34]. It has been shown that zero-forcing-based beamforming,
which nulls the interference to the unintended users, is a readily implementable
suboptimal beamforming technique for MU-MIMO systems [35]. In [19] and [26], the
authors have proposed several novel beamforming techniques, such as block
diagonalization (BD) and successive optimization (SO), to reduce the cochannel
interference in MIMO systems. However, in both these schemes, all the available
modes of the selected users are employed, resulting in poor rates for other
competing users. For instance, a user possessing a large number of antennas can
occupy a disproportionately large fraction of the spatial modes available at the base
station. In such scenarios, single-mode beamforming can result in fair transmission
by simultaneously multiplexing a large number of users. In [36], Spencer et al. have

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suggested a framework for coordinated transmitreceive processing (CTR), a
beamforming technique based on [37], which not only supports single-mode
beamforming but also generalizes the BD and SO algorithms to scenarios where the
total number of receive antennas exceeds the number of transmit antennas at the
base station. However, this technique is based on an iterative procedure to compute
the optimal beamformers, resulting in high computational complexity. In [36]
Spencer and Swindlehurst have suggested a noniterative framework for CTR.
However, it employs a heuristic method for the selection of the receive
beamformers, which yields suboptimal results.

Toward this end, similar to linear processing schemes such as BD and SO, in this
paper, we propose a low-complexity MU beamforming algorithm based on
maximum ratio transmission [38], specifically targeted toward video quality
maximization in 4G MIMO-OFDM wireless networks. Similar to SO, it nullifies the
interference to all the previously scheduled users from the successively scheduled
users. Further, since it is based on beamforming employing a single mode to each
selected user, it is able to schedule a large number of users, thereby resulting in
higher video quality and improved quality-of-service in high subscriber- density
scenarios. This leads to enhanced end-user video experience when compared with
the BD and SO techniques [19], [39]. Moreover, it employs the strongest available
mode for transmission to the user, leading to higher user rates and, hence, better
video quality when compared with the non-iterative version of CTR [19]. The
iterative version provides an additional marginal improvement in the video quality as
compared with multiuser successive maximum ratio transmission (MSMRT) at the
expense of very high computational complexity. Thus, MS-MRT provides an
attractive multiuser multiantenna scheduling algorithm with a performance close to
that given by the globally optimal beamformer computation. The results also
demonstrate that the proposed algorithm provides higher system throughput, as
compared with the other techniques.

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 5.3.1. Multiuser Successive Maximum Ratio Transmission for MIMO
Wireless Systems

We consider a multiuser MIMO system, with one base station with transmit
antennas and users. The number of receive antennas for user is for
. Let each denote the channel matrix between the base
station and user . Let the distance from the base station and random shadowing
factor for the th user be denoted by and , respectively. The quantity denotes
the power transmitted per subchannel per user. The received signal vector
at user is given as

where is the symbol transmitted by the base station for user , and represents
the beamforming vector for user . The quantity is the vector
representing additive white Gaussian noise with zero mean and covariance
. Further, is the number of users simultaneously scheduled
per OFDMA subcarrier. Now, we describe the proposed MS-MRT beamforming
algorithm for multiuser MIMO transmission. Similar to SO [19], the selected user at
each step experiences interference only from the previous users. By choosing the
beamforming vector that maximizes the user signal-to-interference-plus-noise ratio
(SINR) while maintaining no interference to the previous users, it results in an
increase in the number of users being simultaneously scheduled, leading to higher
video quality. Further, this approach does not involve decomposition of the
aggregate channel matrices as is done in BD and SO, thereby decreasing the
computational complexity. It employs successive orthogonal projections to achieve
this criterion. Consider the initial user set . Let the singular value

decomposition (SVD) of , the channel matrix of the th user at stage 0, be

given as

where * + and * +

are the left and right singular matrices of , whereas

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contains the singular values along its principal diagonal.

Similar to maximum ratio transmission, one can now choose the first user as

with the transmit beamformer and the corresponding receive

beamformer . The user set can be updated by removing the selected user

as . The channel matrices for each are derived as

where denotes the projection matrix of the subspace orthogonal to , and

denotes the matrix

Let the SVD of be given as ( ) and be the th singular

value of . Consider now beamforming along the direction , which is the right

singular vector associated with the singular value . This is now precoded with the

matrix ( ) to yield the beamformer ( ) . Consider

beamforming symbol of the user chosen at stage 1. The corresponding

received signal at user is given as

It can now be readily seen that the interference

( ) can be simplified as

where the matrices , , are defined as

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Hence, beamforming in the direction of at user as previously described

results in the interference as

Thus, the net interference at user is 0. Further, it can be readily seen that the

receive beamformer at the chosen user at stage 1 is . Hence, the SINR

at user for mode is, therefore, given as

Naturally then, the criterion to choose user and its mode at stage 1 can be
formulated as

Continuing for stages, selection of users yields the final MS-MRT transmitted
vector for the selected users with respective modes , , with
each as

Note that we define and . The SINR at user for

mode chosen at the th stage is given as

where is the beamformer for user , and mode is given as

and =1. Thus, successive transmission on a specific mode of each user while
simultaneously nulling the interference at the previously chosen users can be
achieved through MS-MRT, thereby enhancing the fairness of the overall data and
video scheduler. Thus, the interference matrix is lower triangular since the
interference from the successively scheduled users is zero along the dominant

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receive mode of the previously scheduled users. The given procedure corresponds to
an opportunistic scheduler that schedules the user with the maximum SINR at each
stage. This can be readily adapted for PF-based PFMS- MRT scheduling, which
maximizes the video quality, by choosing the user and corresponding mode at stage
as

where is the average rate experienced by user at time . This average rate is
updated as

where is the indicator function of user being scheduled at time instant

which means that it is equal to 1 if user is scheduled at time and zero otherwise.
Finally, the naive RR scheduler simply chooses the next user at stage u as
and its mode as

The proposed beamforming technique can be summarized by the following

algorithm:

Step 1: Set user group Let for all users ,

and * + ( )

Step 2: for to do
Step 3: for do
Step 4: for do

Step 5: Set beamformer as

and compute as

Step 6: end for

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Step 7: end for

Step 8: Choose and mode at stage as

where , is the average rate for proportional fair scheduling

and for max-rate scheduling. For Round-Robin, ) is simply the next user
to be scheduled.

Step 9: Update user group and as

Step 10: Let * + ( )

Step 11: end for

Step 12: The transmit vector for the chosen users , is

, where is the symbol intended for user .

Step 13: Additionally, for PF-MS-MRT, update the average user rate for each user in
.

5.4. Optimal Beamforming for Multicell Cooperative Networks

Optimal transmission strategies for reliable service in cellular systems are an integral
part of existing standards and also in the standards under development. Wireless
communication standards such as LTE, LTE-Advanced recommend the networks to
have optimal strategies for resource allocation. Third generation 3GPP standards [11],
[12] call for means to optimize energy efficiency and minimize energy consumption of
the networks within the permitted impact on coverage, capacity and quality of service.
Especially, release 9 of 3GPP [12] requires the network to have optimization techniques
which include: Interference control, Capacity and coverage optimization.
Many researchers have proposed optimal resource allocation schemes for a variety of
wireless networks operating with different architectures. Armada et al. [15] propose
several power allocation schemes in a coordinated base station downlink transmission
with per antenna and per base station power constraints. These techniques have a limit

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on the number of users supported. Most of the existing schemes are for point to point
communication with little work on broadcast. These schemes cannot be easily adapted
to varying requirements of the users especially for the users at cell boundaries. In [14],
the authors provide a review of recent scheduling and resource allocation techniques
for downlink multicast services in OFDMA based systems. Zhang and Letaief [13] have
proposed adaptive resource-allocation scheme, which jointly adapts subcarrier
allocation, power distribution, and bit distribution according to instantaneous channel
conditions for multiuser MIMO- OFDM. However the schemes described are sub-
optimal. BSs in a cellular network are connected via backhaul links. The existing
schemes do not utilize this knowledge to the full extent and such schemes do not yield
macro diversity.
In the context of cooperative multi-cell MIMO system, a block diagonalization based
downlink transmission scheme is proposed in [16] and [15]. Jafar et al. propose a dirty
paper coding based algorithm in [17] where new users are required to be invisible with
respect to interference to the existing users. Network coordinated beamforming
techniques were suggested by [18]. However, this analysis considers a scenario which is
restrictive in nature with the solution applicable only for few active users and cells.
Further, multimedia content is predominantly broadcast/ multicast in nature, where
many users or a group of users subscribe for the same service. There is a significant
dearth of research which addresses optimal beamforming and power allocation for
such broadcast/ multicast services. In [7], the authors propose power allocation for an
OFDM based cooperative multi-cell system with single antennas at both the BSs and
the users. But the model considered therein employs coherent combining of the signals
from the different BSs, thus requiring additional time/ bandwidth resources. Moreover,
most of the above works are computationally complex.

5.4.1. Optimal Beamforming for Cooperative Broadcast Networks:

Consider a broadcast system with K users served by N base stations in cooperation.

Figure 6 illustrates a cooperative wireless network with three base stations
supporting broadcast service in cooperation. Since the information transmitted to all
the users is same, transmission from different base stations will not cause
interference any of the users. Under these scenarios, we develop optimal

21 | P a g e
transmission schemes to maximize the total data rate of the system. The proposed
optimal beamforming scheme maximizes the broadcast signal to noise ratio at each
user thus resulting in higher sum rate of the system. We formulate the problem of
obtaining the beamformer and the optimal amount power that should be allocated
to each direction as an optimization problem. The solution of the optimization
problem can be obtained by eigenvalue decomposition of the channel and thus
having a low complex solution compared to existing schemes.

BS 1

Broadcast
BS 3 Group

BS 2

Figure 6: Broadcast service in MIMO cooperative cellular network.

We need to determine the transmit beamforming directions , and as

depicted in Figure 6 such that signal to noise power ratio at every user is maximized.
The signal received at user can be expressed as

The signal to noise power ratio of user k is given by

and hence the total SNR of the system is given by . The

beamformers can be determined by the optimization problem involving
maximization of sum SNR of the system such that total power is limited to .

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The solution of the above problem yields the optimal direction which is the
eigenvector corresponding to maximum eigenvalue of the channel matrix. The
optimal beamforming vector which maximizes the broadcast SNR is given as

( )

5.4.2. Optimal Beamforming for Cooperative Unicast Networks:

In the previous case we considered a broadcast system, however, it would be

realistic to assume that users may demand different data. Thus cooperative
transmission by different base stations to these users having different demand will
result in severe interference. This scenario is illustrated in the Figure 7 where
transmission to user l causes interference to user k.

Base
Station 1
User k

User l Base
Station 2

Base Station N

Figure 7: Unicast service in MIMO Cooperative Cellular Network.

In such a scenario we need to find the optimal transmission scheme that can support
large users in the presence of interference from multiple data sources. Consider a
unicast system with N base stations transmitting in cooperation to K users as shown
in Figure 7. Let the user under the consideration be user k, thus the transmission to
the remaining users (K-1) users interferes with the signal of user k thereby degrading
the signal quality leading to loss in the data rate. Similarly a reduction in overall
system data rate occurs since all the users experience interference. In order to
reduce the degrading effects of the interference, we propose a successive
constrained eigenbeamforming (SCEB) technique to reduce the inter-user
interference and enhance the data rates subject to power constraints. These

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schemes are based on linear eigenvector precoding and therefore have a low
complexity compared to existing schemes.
Let the data for user be denoted as . Let the wireless channel between base
station and user be denoted as and the transmit beamforming direction
from base station to user be denoted as . Each base station transmit the
data to all users hence the data transmitted from base station is

After the gain introduced by the wireless channel, the data received at user ,
which is the sum of desired signal from all the base stations and interference due to
other users, can be expressed as,

.
The aggregate transmit beamforming vector for user can be obtained by stacking
the beamformers of user from base stations 1 to which can be expressed as,

The aggregate wireless channel matrix between user and all the base stations
, can be obtained by concatenating channel matrix between user and
all the BSs as

Therefore the received signal vector at user , with base station cooperation can be
succinctly expressed as

Now the user will receive the signal along the direction . Thus signal received at
the antennas of user after receive beamforming with is given as

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Exploiting the additional freedom given by multiple antennas at transmitter and
receiver, the proposed successive constrained eigenbeamforming (SCEB) scheme
determines the beamforming vector and such that:
Interference caused by other users is zero:

Gain or signal-to-noise ratio (SNR) at user k is maximized

Sum data rate of the unicast is maximized. The expression for sum rate is
given by

In order to achieve the above objective we consider a successive beamforming

procedure such that the transmission of each successively scheduled user does not
interfere with users 1, 2, . . . , 1. Thus the optimal beamformer satisfying the
successive zero interference condition while maximizing the received signal power at
user can be computed as the solution to the optimization problem,

This rate maximization problem can be expressed as generalized eigenvalue analysis

problem and hence it can be solved easily. A more detailed technical analysis of the
proposed SCEB scheme in unicast scenario can be found in [20]. The optimal receive
beamformer can be determined as explained below.

5.4.3. Optimal Beamforming for Cooperative Multicast Networks:

The SCEB algorithm for unicast scenarios to enhance the data rates, while limiting
the interference with user power constraints, is employed to derive the SCEB-M for
multicast scenarios to maximize the sum rate of a user group with group power
constraints.

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 BS 1 Group 1
Group 1
video
Group 2
BS 3

Group 2
Video Group 3
BS 2

Figure 8: Multicast service in MIMO Cooperative Cellular Network.

Consider a multicast scenario comprising of user groups with each group

consisting of users demanding common multicast data. An
illustration of multicast service, where multicast group 1 having four users, multicast
group 2 having three users, and multicast group 3 has one user, demanding different
video content from the server, is shown in Figure 8. Similar to unicast, optimal
beamformer for multi-cell cooperative multicast group and optimal power allocation
among users in a group should be derived such that:
Sum data rate of the each group is maximized
Total transmit power for a group is constrained to , where the is
average per-user power.
Transmission of each successively scheduled group i does not interfere with
users of group 1, 2, . . . , i 1.
Let the power loading factor, which is the fraction of total power, of user j belonging

to multicast group be denoted by ,0 1. Hence the power loading

vector for ith MC group is given as * + and ( )

. Let the transmit beamformed vector of multicast data symbol of group i along

the direction for user j with being the fraction of power allocated to user j,

be given as . The transmit beamformers of multicast group I can be

stacked to form augmented beamforming matrix of the multicast group as

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The objective is to determine the matrix such that the sum rate is maximized
and interference to other multicast group is zero. The aggregate channel matrix of N
base stations for user k of multicast group is given by the matrix.

The receive beamforming direction of user k of multicast group is . Thus, the

received signal at user k of multicast group can be expressed as,

Now the objective is to determine the transmit beamformers , receive

beamformers , and power allocation factors for all the users in a given
multicast group such that the sum rate of the group is maximized and the
transmission from previous scheduled groups does not interfere with the
signals of the multicast group under consideration. The scheme explained above is
summarized next with an example. Consider the multicast service scenario in
cooperative wireless network as shown in Figure 8 with three multicast groups. The
steps involved in successive constrained eigenbeamforming for a multicast service
illustrated in Figure 8 are:
Step 1: Chose a user group say multicast group 1
Step 2: Determine the transmit beamformers, receive beamformers, and
power allocation factors for all the four users in a multicast group 1 assuming
no interference.
Step 3: Chose the next user group say multicast group 2
Step 4: Determine the transmit beamformers, receive beamformers, and
power allocation factors for all the three users in a multicast group 2 such
that transmission of group 2 does not interfere with signals of multicast
group 1.
Step 5: Chose the next user group say multicast group 2

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 Step 6: Determine the transmit beamformers, receive beamformers, and
power allocation factors for all the users in a multicast group 3 such that
transmission of group 3 does not interfere with signals of multicast group 1
and multicast group 2.
The above steps can be generalized as the group orthogonality constraints to
successive nullify interference in cooperative multicast as

where matrices are determined as follows,

Further, the optimal transmit beamformer for user k can be obtained as the solution
of optimization problem,

where the optimal beamformer satisfies the condition,

Now the total transmit power is optimally divided among users of multicast
group i. This division can be formulated as optimization problem given by

The solution of the above problem can be obtained by eigenvalue decomposition

thus having a low complexity implementation of the algorithm. A more detailed
technical analysis of the proposed SCEB scheme in multicast scenario can be found in
[20]. It can be observed that the proposed scheme involves choosing a particular
user and then determining transmit and receive beamformers for that user. Hence,
the user order in which the beamformers are computed plays an important role is
maximizing the sum rate of the system and the quality of service that can be

28 | P a g e
provided to the users. We propose different user scheduling algorithms in the next
section which maximize the efficiency of the resource allocation strategies.

5.4.4. Optimal Multi-User Uplink Beamforming for Cooperative

Unicast Networks:

In this section, we find the transmit beamformers that maximize the SINR of the
users in the uplink. In this scenario, the base stations estimate the channel state
information. This information is employed by the base station controller to
determine the appropriate user ordering and the optimal beamforming vectors,
which are then fed back to the various users. Consider an uplink cooperative multi-
cell MIMO network, where the mobile stations employing antennas each,
transmit to cooperative base stations, each employing receive antennas. The
aggregate channel matrix between user and the base stations is denoted by

[ ] , where , ,
denotes the channel matrix between user and base station . Let
denote the transmit beamformer of user . Hence the signal received
at the cooperating base stations can be expressed as

where is the additive white Gaussian noise with covariance matrix

. The base stations employ receive beamformer to

estimate the symbol of the th user which can be expressed as,

Employing maximum ratio combining at the base stations, the receive beamformer
for user can be derived as From the above equation, the signal power
is given by and the interference component in the estimate is

given by . Therefore, the problem of SINR maximization with

successive interference cancellation can be expressed as the following optimization
problem,

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From the first constraint in the above problem, it is interesting to observe that the
interference cancellation is symmetric, i.e. if the uplink beamformer for user is
obtained such that it does not cause interference to user , then the
transmission by user employing does not cause interference to user .
Hence, in contrast to the successive downlink beamforming scenario, there is no
interference among the scheduled users in the successive uplink beamforming
scenario. The solution for can be obtained by solving the problem,

where is the basis for the null space

of the matrix

The matrix can be obtained from similar to the downlink scenario

described in the previous section. Thus, the uplink beamformer of user is
determined as where is the principal eigenvector of

. The rate of user can be computed as,

The sum-rate is given by .Therefore the SMUB scheme

determines the beamformers for the uplink which maximize the SINR of each user,
while nulling the inter-user interference.

5.5. User Scheduling

The proposed beamforming schemes can be naturally employed to derive efficient

schedulers to maximize the efficiency of resource allocation to enhance the quality
of service (QoS). The maximum number of users that can be successively scheduled
with interference cancellation in SCEB are limited by degrees of freedom available in

30 | P a g e
the system which is given by the total number of transmit antennas in cooperative
network which is . Hence the maximum number of schedulable users is . In
order support large number of users, we need algorithms that can optimally
schedule users for successive interference cancellation thereby maximizing the sum
rate of the network. The prominent max-rate (MR), round robin (RR) and
proportional fairness (PF) based scheduling strategies commonly employed in
unicast multiuser wireless scenarios can be readily extended to the multicast
cooperative multicellular scenario. Consider the set of multicast groups
and let S, the subset of multicast groups U, represent the set of the
currently scheduled users. The maxrate scheduling scheme , which is aimed at
maximizing the net sum rate of the scheduled users, for scheduling a user group at
the time instant m can be expressed as,

where is the index of chosen user group and the quantity SINR of user k in the

group comprising of users, denoted by , can be computed as,

A significant shortcoming of the MR scheduler is that it does not consider fairness in

resource allocation to the different user groups thereby resulting in poor video
quality performance as shown later. As the name implies, the round robin (RR)
scheduler is based on scheduling different users in round robin fashion. The
scheduling policy of the round robin scheduler at the time-frequency point m is
mod . Hence, while it is fair in terms of user scheduling, it results in poor
performance as it does not exploit the opportunistically exploit multiuser diversity
available in the system. Proportional fairness, which provides a balance between
achieving higher sum rate and maximizing fairness, is ideally suited for video quality
maximization in wireless networks. Let denoted the current average rate of
user group i at the time-frequency point. The user index corresponding to
proportional fairness (PF) scheduler can be chosen as

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where denotes the average rate of user group and calculated as,

where is the indicator function for user scheduling defined as if

the user group is scheduled at the time-frequency point m and zero otherwise.

5.6. Video Quality:

The proposed multiuser beamforming schemes are ideally suited for multimedia
content transmission in cooperative cellular scenarios. In this context, we study the
performance of the proposed schemes in realistic video scheduling scenarios. The
quality of video depends on the frame rate, which is the number of frames played
back in one second, and quantization level, which is the number of bits used to
encode the pixels in the video. This relationship is shown in Figure 9 where quality of
the image increase as the number of quantization levels increase. The video quality
is therefore proportional to the data rate of the video. Thus, given a data rate of a
user only a certain amount of video quality can be achieved. We determine the
quality of video that can be transmitted in unicast/ multicast networks employing
the proposed beamforming techniques and scheduling algorithms. For this purpose
we employ the practical H.264 based video rate quality models. As these models are
derived from the standard joint scalable video model (JSVM) reference codec for the
H.264/SVC specification, they are readily applicable in practice.

Finer quantization level (q)/ Higher frame rate

Higher video rates (R) and better video quality (Q)

Figure 9: Relationship between video quality and data rate.

H.264 based scalable video coding (SVC) has been demonstrated to be ideally suited
for wireless video transmission due to the dynamic quality scaling possible to meet

32 | P a g e
the requirements of users and wireless links as shown in Figure 10. The video quality
can be adapted based on the data rate available for a particular user. For instance
either the spatial resolution (spatial scalability) or the number of frames per second
(temporal scalability) in video sequence or both can be varied to achieved different
video qualities.

QCIF
SVC 176144
Scene Decode @15fps
128 Kbps Spatial
CIF scalability
SVC 352288
Decode @15fps
384 Kbps
4CIF
SVC 704576
Decode @15fps
2 Mbps

SVC Temporal
HDTV
Encode SVC scalability
1280x720
Decode @60 fps
20 Mbps
Figure 10: Scalable Video Coding for wireless networks.

The theoretical video quality and video rate models are used to demonstrate the
power of the proposed optimal resource allocation schemes. The rate of the video
R(q, t) in terms of the scalable quantization parameter q and the frame rate t of the
H.264 coded video is given as,

where is the maximum bit rate corresponding to the video

sequence of highest quality at the maximum frame rate and minimum
quantization parameter . The quantities , are the normalized rate
function vs quantization parameter and frame rate respectively. Similarly, the
scalable video joint quality function is

where is the highest quality of the video sequence

corresponding to , . The quantities a, c, d, and are the scalable video

33 | P a g e
rate and quality parameters. The values of these parameters for the standard video
sequences Akiyo, Foreman, Football, City, and Crew, shown in Figure 11, are
presented in Table 1. The sum rate and video quality performance of the proposed
beamforming schemes is demonstrated in next section.

Foreman Akiyo Football Crew City

Figure 11: Test video sequences

Table 1: Model Parameter for various video sequences.

Video Sequence
(Spatial
Resolution)
Foreman CIF 7.7 2.057 2.207 -0.0298 1.4475 3046.3
(352 288)
Akiyo CIF 8.03 3.491 2.252 -0.0316 1.4737 612.85
(352 288)
Football CIF 5.38 1.395 1.49 -0.0258 1.3872 5248.9
(352 288)
Crew CIF 7.34 1.627 1.854 -0.0393 1.5898 4358.2
(352 288)
City CIF 7.35 2.044 2.326 -0.0346 1.5196 2775.5
(352 288)
Akiyo QCIF 5.56 4.019 1.832 -0.0316 1.4737 139.63
(176 144)
Foreman QCIF 7.1 2.59 1.785 -0.0298 1.4475 641.73
(176 144)
City 4CIF 8.4 1.096 2.367 -0.0346 1.5196 20899
(704 576)
Crew 4CIF 7.34 1.153 2.405 -0.0393 1.5898 18021
(704 576)

5.7. Simulation Results

The proposed beamforming algorithms for cooperative MIMO cellular wireless

network in unicast/multicast scenarios are simulated in MATLAB. The simulation
setup consists of a downlink multi-cell system with N = 4 base stations serving
multicast groups with users per group. The number of users is set to
two per group to show the worst case performance in the multicast scenario. The
multicast scenario can be viewed as generalized model for unicast and broadcast.

34 | P a g e
The unicast scenario is equivalent to multicast with one user in each group and the
broadcast scenario is equivalent to multicast scenario with all the active users in a
single group. The BSs employ = 2 or =4 antennas and the mobile stations
employ = 2 or =4 antennas. We consider an orthogonal frequency division
multiple access (OFDMA) scenario with bandwidth of 1 MHz. As already described,
we consider the standard digital video sequences Akiyo, Foreman, Football, City, and
Crew belonging to different spatial resolutions to determine the video quality
achieved by employing the proposed SCEB scheme. The characteristic scalable video
rate and quality parameters, and the associated maximum rate are listed in Table 1.
We consider a transmit power P in the range of 4 to 40 dB. The sum data rate
comparison for multicast scenarios for N =4 cooperating BSs with NG=50 groups
comprising =2 users per group is illustrated in Figure 12 for two or four transmit
and receive antennas. As the user power increases, it leads to increase in the
interference. Thus it can be seen from Figure 12 that SCEB-M scheme with Capon
beamforming (SCEB-MVDR) performs better in comparison with maximum ratio
combining beamforming (SCEB-MRC) and sub-optimal schemes such as proportional
power allocation (PPA) which allocates the power to users in proportion to the
strength of their channel, and equal power allocation (WPA). The sum rate
performance of the maximum rate, proportional fairness and, round robin scheduler
for multicast scenario while employing SCEB-M and Capon beamforming is given in
Figure 13. The results therein demonstrate the robust performance of the proposed
cooperative multicell beamforming schemes which can be seen to achieve net data
rate in the range of 50 to 550 Mbps. Further, the performance of the opportunistic
maximum rate scheme is slightly higher in terms of sum throughput compared to the
competing proportional fairness and round robin schemes. It should be noted that
the achievable sum rate increase as more antennas are employed, due to better
utilization of degrees of freedom available in the multiuser diversity modes of the
system. Further, adding more antennas has direct bearing towards the achieved
video quality, which is shown in Figure 14. A comparison of the proposed schemes in
terms of H.264 video content scheduling in cooperative scenarios is shown in Figure
14. It can also be noted that the video quality rate in the transmit power range of 4
to 40 dB saturates at high power as a result of increase in interference while the

35 | P a g e
number of spatial multiplexing modes remain constant. However, better video
quality can be achieved by employing SCEB beamforming with more transmit
antennas at the BS. The comparison of video quality for the above schedulers in
multicast scenario clearly brings out the superiority of SCEB based proportional
fairness video scheduling in cooperative cellular scenarios.

Figure 12: Sum rate vs. transmit power while employing different beamforming techniques.

Figure 13: Sum rate of SCEB based maximum rate (MR), proportional fairness (PF) and round robin
(RR) scheduling schemes.

36 | P a g e
Figure 14: Video quality of test video sequences with SCEB multicast beamforming in 2x2 and 4x4
MIMO multicast scenario with NG = 50 groups and two users in each group.

Figure 15 and Figure 16 show the plot of the video quality and throughput,
respectively, versus power for the proposed MS-MRT beamforming scheme
described in Section 5.3 and several other existing techniques. For BD, an optimal
subset of users is chosen by iterating through all the possible user subsets and
selecting the one with the maximum SINR. For the other techniques such as SO,
successive users in the subset were chosen based on the MaxSINR criterion. In the
figure, CTR-BD and CTR-SO refer to the CTR beamforming scheme, whereas I and NI
refer to their respective iterative and noniterative versions. The plots clearly
demonstrate the superior performance in terms of video quality provided by the
proposed MS-MRT technique compared with other noniterative techniques as well
as the iterative version of the coordinated Tx-Rx SO technique. However, the optimal
iterative CTR-BD scheme provides a marginal improvement in the video quality
compared with MS-MRT at the cost of significantly high computational complexity
due to the multiple rounds of optimization. This superior video quality performance
of CTR-BD-NI arises because of its fair interference distribution properties compared
with MS-MRT, which nulls the interference to the previously scheduled users,
thereby resulting in a higher interference level at the successively scheduled users.
They also depict the ability of the MS-MRT scheme to provide the highest average

37 | P a g e
throughput as compared with the other beamforming techniques. Thus, MS-MRT is a
practical scheme to achieve performance close to the optimal joint transmit receive
beamforming scheme while limiting the computational complexity.

Figure 15: Video quality versus power for various competing MU-MIMO transmission techniques,
namely, SO, MS-MRT, BD, CTR-BD, and CTR-SO (I and NI, i.e., iterative and non-iterative versions).

Figure 16: Average throughput versus power for various competing MU-MIMO transmission
techniques, namely, SO, MS-MRT, BD, CTR-BD, and CTR-SO (I and NI, i.e., iterative and non-iterative
versions).

38 | P a g e
 6. Optimal Power Allocation and Downlink Beamforming for
Cognitive Radio system
6.1. Introduction

Cognitive radio (CR) provides us a way for dynamic spectrum access to improve the
bandwidth utilization [25]. CR systems allow the secondary users (SUs) to
opportunistically access the spectrum licensed to the primary users (PUs) provided
the interference caused due to the SU transmission is below the acceptable limit.
This results in better spectrum utilization than the fixed spectrum allocation. OFDM
provides great ease in dynamically allocating unused spectrum among CR users.
Thus, MIMO-OFDM has been recognized to be the most promising scheme for usage
in CR systems. We would like to exploit the benefits of multiuser MIMO broadcast
systems in cognitive radios.

6.1.1. Overview of the Problem

Figure 17: Multiband cognitive radio interweave model for frequency allocation to primary and
secondary users.

Consider a spectrum band as illustrated in Figure 17, licensed to a group of primary

users (PU band). This spectrum is not utilized efficiently as some licensed primary
users (PU) may be idle and not transmitting. At this moment secondary users (SU)
can access the vacant spectrum (CR band) to transmit their data. For instance, in
Figure 17, a group of L PUs is active thus occupying a part of spectrum and the
remaining spectrum is divided into many CR bands which are accessed by the
secondary users. A cognitive radio network consists of CR base station which
transmits in the CR band to the secondary users and primary BSs which broadcasts to

39 | P a g e
set of primary users. The base stations and users can have multiple antennas to
transmit and receive the signals. Such a scenario is illustrated in Figure 18. CR
transmits in the spectrum adjacent to PU resulting in interference which adversely
affects the performance of the PU. Hence, we need to limit the interference caused
by the SU to PUs as well as to other SUs. The performance of the system is
characterized by the total data rate and we need to maximize the total data rate that
can be achieved while minimizing the interference to other PUs and SUs. For
effective spectrum sharing in the multi-user case, in addition to the interference at
the PUs, we also need to deal with the inter-user interference experienced among
the CR users. This necessitates development of schemes to cancel the inter-user
interferences due to other CR users. Interference can be cancelled by employing
beamforming. Beamforming is a technique in which the signal is transmitted in a
particular spatial direction. In CR systems we need to ensure that the interference

Desired signal
Interference

Figure 18: Cognitive radio multiuser- MIMO scenario with both primary and secondary users
transmitting.

caused at the PU due to CR transmission should not degrade the quality of serviced
PUs as they are the licensed users. Such an interference-constrained scenario limits
the transmit power of each SU as well as the achievable data rate of SUs. Hence, we
need optimal schemes for beamforming and power allocation for a multi-user
MIMO-OFDM based cognitive radio broadcast system with the aim of maximizing the

40 | P a g e
system capacity. The solution to above mentioned maximization problem may lead
to unfair distribution of power among CR users. For example, SUs with higher
channel gains may be allocated with large transmit power to maximize the overall
transmission rate, while allocating negligible power to other users with poor channel
quality. To handle this, we need to develop alternate schemes to obtain optimal
beamformers and optimal power loading factors jointly which aim for fairness by
ensuring minimum quality of service to every CR user while limiting the interference.

Standardization agencies like ETSI and 3GPP initiative have recommended

developing mechanisms that improve the utilization of spectrum and the available
radio resources [30] [31]. A power allocation scheme for OFDM based single user
interweave CR system rate maximization can be found in [8]. Various schemes for
downlink beamforming for single-antenna and multi-antenna multiuser systems are
presented in [26]. An algorithm for joint beamforming and power control in
multiuser MIMO systems satisfying SINR requirements of all links is proposed in [27].

6.2. Literature Review

Various works in existing literature have presented schemes for MIMO-OFDM based
Cognitive Radio transmission. In [40] a sum interference constraint based single
carrier MIMO optimal power allocation scheme is presented for CR scenarios. The
scheme in [41] considers secondary user MIMO rate maximization in dynamic
spectrum access CR networks, without primary user interference minimization. A
scheme for optimal subcarrier allocation in OFDM based CR systems is presented in
[42]. The work in [8]Error! Reference source not found. considered an interweave
ystem, with the spectral holes allocated to the CR users interspersed between the
primary user bands. The authors presented an optimal scheme for CR rate
maximization while limiting the interference to the primary users in a SISO-OFDM
based CR system. A similar scheme has been presented for MIMO OFDM power
allocation in [43] under the sum interference constraint. However, the scheme
presented therein is suboptimal as they consider per antenna power allocation,
while it is well known that per singular mode power allocation is optimal in MIMO

41 | P a g e
systems. Further, the model is restrictive as it considers only single antenna and not
MIMO wireless systems for the primary users. In a MIMO system, to maximize the
spatial multiplexing gains, one has to transmit and load power along the right
singular vectors of the MIMO channel matrix and receive along the direction of left
singular vectors, also termed as the modes of the MIMO channel. Hence, we propose
new schemes for optimal CR power allocation towards transmission rate
maximization based on spatial interference constraints, that is minimizing the
interference on every receive mode in a MIMO OFDM [44] wireless network,
considering both the presence and absence of channel state information (CSI).
The spatial multiplexing properties of MIMO beamforming can be effectively
employed in multi-user systems to mitigate the inter-user interference. Schemes for
downlink beamforming for single-antenna and multi-antenna multiuser systems are
presented in [26], [45]. Employing multiuser MIMO with CR based access further
improves the spectral efficiency through spatially multiplexing several users.
Previous works [46],[47] present a zero-forcing (ZF) and MMSE-based precoding
algorithm for rate-maximization in multi-user MIMO CR, nulling the interference at
the primary user. Iterative beamforming schemes for multi-user MIMO are
presented in [48], [49], [50]. While such works consider single carrier systems and
null interference, MIMO-OFDM with interference minimization can yield larger
capacity gains. Therefore, we propose optimal beamforming and power allocation
schemes for multi-user MIMO-OFDM based interweave CR broadcast scenarios. We
utilize block diagonalization (BD) [19] to formulate the optimal CR power allocation
paradigm for throughput maximization considering both the availability and
unavailability of primary user channel state information (CSI). We present power
allocation under CSI uncertainty for stochastic and worst case rate maximization. We
propose a novel max-min scheme towards fairness in power allocation based on a
quasi-convex optimization framework, which is solved employing an SDP based rank
relaxation.

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 6.3. System model

We consider a MIMO-OFDM based interweave Cognitive Radio (CR) as shown in

Figure 19. The CR base station has transmit antennas with the secondary user
band divided into orthogonal subcarriers of bandwidth Hz each. Figure 17
depicts the spectrum model showing secondary user subcarrier interference in the
primary user bands. Every subcarrier is being accessed by secondary users with
receive antennas each. The MIMO based primary user system comprises of a base
station with transmit antennas and primary user bands. The th primary user
band is of bandwidth Hz, with every band being accessed by primary users
having receive antennas each. The MIMO channel between the CR base station
and the th secondary user on the th subcarrier is denoted by . The
vector received at the th secondary user over the th CR subcarrier
at time is given as,

where is the transmit symbol vector intended for the th secondary

user on the th subcarrier, given as , with , as the
vector of modulated constellation symbols, denoting the transmit beamforming
matrix and as the spatio-temporally additive white Gaussian noise

vector with covariance . The matrix denotes

the interference channel induced between the CR base station and the th primary
user in the th primary user band corresponding to transmission over the th CR
subcarrier. The interference signal vector, received at the th
primary user due to transmission over the th CR subcarrier at time is given as,

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Figure 19: MIMO-OFDM based interweave Cognitive Radio (CR)

6.4. Problem formulation for multiuser Cognitive Radio scenarios

We begin by considering the point-to-point case where each CR subcarrier is

accessed exclusively by a single user. Also each primary user band is occupied by a
single primary user that is . The MIMO channel between the CR base
station and the CR user using the th CR subcarrier is denoted by
while denotes the channel matrix for the interference channel
between the CR base station and the th primary user corresponding to the th CR
subcarrier. The received vector over the th CR subcarrier
corresponding to the transmit vector in the presence of circularly
symmetric additive white Gaussian noise at the time instant is given as,

where denotes the interference from the primary users. Considering

a raised cosine spectrum with rolloff factor for the single carrier primary users,

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the spectral mask of the th primary user can be represented by the expression
[51],

where is a frequency parameter that is defined as and the th

single carrier is restricted to . Let the channel matrix for the interference
channel between the primary user base station and the nth CR user subcarrier
induced by the lth primary user signal be denoted by . Hence, the

corresponding interference covariance denoted by is,

Where is the interference factor for the th subcarrier caused due to

transmission over the th primary user band defined as . In

the absence of primary user CSI, the transmit covariance matrix can be assumed to

be isotropic with , where is the total allocated power to the

th user at the primary user base station.
The covariance matrix of the interference at the th subcarrier is given as,

Thus the output signal after interference whitening is given as ,

where is the noise plus interference covariance matrix. Therefore,

the effective whitened channel matrix is given as .

Let the singular value decomposition (SVD) of be given as,

Where are unitary matrices and is the diagonal matrix containing the
non-negative singular values . Let denote the number of non-zero singular
values, where . It is well known that the optimal transmit
precoding matrix corresponding to the MIMO channel matrix is . The
transmit covariance matrix for the th subcarrier is given as,

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where is the diagonal matrix, with the principal diagonal as

and is the power allocated to the th MIMO

mode aligned with the transmit beamforming vector , the th column of the

transmit precoding matrix . The interference introduced by the th CR subcarrier

in the th primary user band is denoted by , which can be

expressed as,

where is the spectral distance between the th CR subcarrier and the th primary
user band. The quantity is the interference factor for the th primary user band
due to the th CR subcarrier, defined as

where is the OFDM symbol time.

6.5. Optimal MIMO-OFDM Power allocation without primary user CSI

We consider an interference threshold of for the primary users. Since the primary
users employ a MIMO wireless system, in principle it is essential to limit the
interference caused by the CR users at each mode of every primary user. In the
absence of primary user CSI, this can be formulated as limiting the worst case
isotropic interference caused by the CR users that is limiting the interference at all
possible modes. Hence, the optimal power allocation for sum-rate maximization for
the CR user subcarriers, subject to the constraint of primary user interference
threshold similar to [8], is obtained as a solution to the convex semi-definite
programming (SDP) problem [10] described as,

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As demonstrated above, the isotropic interference constraint at each of the users
reduces to an SDP constraint, where the generalized inequality is on the convex cone
of positive semi-definite matrices. Further, this guarantees a low level of
interference at each primary user. A relaxed constraint problem, considering the
sum of the total interference across all primary users can be formulated by replacing
the first constraint in the above optimization as,

This sum-trace relaxed constraint optimization problem can be written as,

The quantity denotes the th diagonal element of

the matrix . For the optimal and dual optimal

variables, the Karush-Kuhn-Tucker (KKT) conditions for this convex
problem are,

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The optimal power allocation for capacity maximization obtained solving the KKT
conditions is as follows,

where if and 0 otherwise. The quantity is derived such that

The above water filling based power allocation is amenable to practical

implementation due to its limited complexity. Naturally, the rate achieved with this
relaxed constraint is higher than the rate with individual isotropic interference
constraints. However, the above relaxed constraint can result in asymmetric
interference, due to the skewed nature of the water filling power allocation
algorithm [1] which allocates a higher power to users with a larger . This leads to
a high interference at primary users close to a CR with a good channel, and lower
interference at others, thus resulting in an unequal interference burden.

6.6. Simulation Results

The CR MIMO-OFDM system is simulated in MATLAB. For the point-to-point case we

have primary user bands and 4 CR user bands. Both the CR and primary user
system employ 4 4 MIMO wireless systems, i.e. . Each
CR user band is divided into 360 OFDM subchannels of 10.94 KHz bandwidth each
(similar to a PUSC subchannel in WiMAX) [52]. The frequency bands assigned to
primary users, B1;B2;B3;B4 are 4:923 MHz, 8:205 MHz, 8:205 MHz, 10:174 MHz
respectively. We consider a noise variance of dB. The fading channel
coefficients of the matrices , , and , are assumed to be Rayleigh fading
with an average channel power gain of 1 dB. We assume a total primary user
transmit power of 4 mW.
In Figure 20 we compare the transmission rates achieved by the different power
allocation schemes presented above. The plots reflect that for a given interference
threshold, optimal power allocation for the relaxed sum-trace interference
constraint achieves the highest transmission rate for the CR users. The performance
of the optimal power allocation schemes with directional and isotropic interference
constraints, corresponding to availability and absence of PU CSI respectively, achieve

48 | P a g e
slightly lower rate owing to stringent per PU interference restrictions. For
comparison, we also plot the performance of proportional and uniform power
allocation schemes. In proportional power allocation (PPA), each CR user is assigned
a power inversely proportional to the sum interference factors given as

( ) . Similarly, in uniform power allocation (UPA), the interference

threshold is allocated uniformly over each subchannel irrespective

( ) . The advantage of PPA is that it has a significantly low

implementation complexity compared to the optimal power allocation schemes. UPA
naturally results in significant rate degradation arising from ignoring the dependence
of interference on the SU channel state information. In Figure 21 we plot the
maximum interference along the PU receive modes. It can be observed that the
proposed scheme results in significantly lower PU interference, thus ensuring
reliable PU communication in CR scenarios. In Figure 22 we compare the
performance of the scheme with a similar sum-interference constraint based MIMO-
OFDM power allocation scheme employed in [43]. It can be readily seen that the
performance of our proposed scheme in is superior due to the fact that our scheme
considers the spatial covariance based per mode allocation and thus achieves higher
capacity for CR subchannels, while limiting the interference.

Figure 20: Maximum transmission rate of the CR users versus the interference threshold

49 | P a g e
 Figure 21: Maximum interference at any PU receive mode vs. Interference Threshold

Figure 22: Total capacity of the CR users versus the interference threshold

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