Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System

(seiscon 2012),VCTW, Tiruchengode, Tamilnadu, India on 27-29 December, 2012.

Cooperative MIMO based Cellular Networks: A

Comprehensive Survey
K. Shamganth*, Dr. Martin Sibley**, Dr. Faris Salman Al-Naimy***, M.P. Reena
*Assistant Professor, Ibra College of Technology, Sultanate of Oman.
**Professor, University of Huddersfield, United Kingdom.
***Head of Engineering Department, Ibra College of Technology, Sultanate of Oman.
†Assistant Professor, Sri Venkateswara College of Engineering, India.
Email: shamkanth@ict.edu.om

Keywords: Cooperative MIMO, Multi-hop cellular think this causes loss of rate in the system. However,
Network, Cooperative Relaying. the spectral efficiency of each user improves because;
due to cooperation diversity the channel code rates can
Abstract: Recently, there has been increasing interest be increased. Again a trade-off is observed. The key
in integrating multi-hop relaying functionalities into
question, whether cooperation is worth the incurred cost,
cellular wireless networks. Multi-hop cellular networks
has been answered positively by several studies. One may
can potentially enhance coverage, data rates, and QoS
also describe cooperation as a zero sum game in terms of
performance. Cooperative multiple-input multiple-output
power and bandwidth of the mobiles in the network. The
(MIMO) is one of the cooperative schemes adopted in
premise of cooperation is that certain allocation strategies
multi-hop cellular network. Cooperative MIMO technology
for the power and bandwidth of mobiles lead to significant
allows a wireless network to coordinate among distributed
gains in system performance. In the cooperative allocation
antennas and achieve considerable performance gains also
of resources1, each mobile transmits for multiple mobiles.
it promises significant improvements in spectral efficiency
Cooperative communications, as popularized by the
and network coverage. In-depth investigations and
works2,3,4,5 allow users in the system to cooperate by
careful system designs are required to exploit the potential
relaying each other’s messages to the destination. By
advantages in Cooperative MIMO based multi-hop cellular
doing so, users can effectively form a distributed antenna
network. This paper presents a review of the existing work
array that emulates the spatial diversity gains achievable
in this area and pointing out the key research issues.
by centralized MIMO systems. An example of a pair-wise
cooperative communication system is illustrated in Figure
1. Introduction 1, where the users are assumed to experience independent
In cooperative wireless communication, is concerned with fading channels to the destination.
a wireless network, of the cellular or ad hoc variety, where
the wireless agents, may increase their effective quality of
service (measured at the physical layer by bit error rates,
block error rates, or outage probability) via cooperation.
Cooperation leads to interesting trade-offs in code rates
and transmit power. In the case of power, one may argue
on one hand that more power is needed because each user,
when in cooperative mode, is transmitting for both users.
On the other hand, the baseline transmits power for both Fig. 1 Illustration of Pairwise Cooperative Communication50
users will be reduced because of diversity. In the face of
this trade-off, one hopes for a net reduction of transmit Due to multipath fading, the signal-to-noise ratios
power, given everything else being constant. Similar (SNRs) at the destination may vary rapidly over time,
questions arise for the rate of the system. In cooperative causing communication outage whenever one of the
communication each user transmits both his/her own bits users’ SNRs falls below the required level (as shown by
as well as some information for his/her partner; one might the shaded regions in Figure1). However, if the two users
 Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System
(seiscon 2012),VCTW, Tiruchengode, Tamilnadu, India on 27-29 December, 2012.

can cooperate by relaying each others’ messages to the In addition to coverage enhancement, relaying can
destination, communication outage will occur only when also be used to enhance user capacity and quality of
both users simultaneously experience poor channels, service (QoS) by reducing interference, increasing
thereby improving the transmission reliability. Our focus frequency reuse, enabling cooperative diversity and path
is specifically on aspects of cooperative communication redundancy, reducing call blocking probability by routing
related to cellular radio. Within the context of cellular radio, traffic between cells, etc. It adds flexibility to the design
cooperative communication may be used to enhance capacity, of cellular networks, and it is expected to play a central
improve reliability, or increase coverage. It may be used in role in the development of 4G wireless standards7. The
the uplink or the downlink. In the communication between large number of different ways that cooperation may be
a base station and a mobile, the cooperating entity may be exploited to improve the quality of service in cellular
another base station, another mobile, or a dedicated (often radio has given rise to much research and a rich and
stationary) wireless relay node. The cooperating entity may expanding literature. There are many questions that
have various amounts of information about the source data remain unanswered, among them the relation between
and channel state information. Cooperation may happen in the various forms of cooperation and their relative merits
the physical layer, data link layer, network layer, transport are in general not fully known. This paper aims to catalog
layer, or even higher layers. In multihop cellular networks some of the directions of research in this area, and outline
(MCNs), a mobile station (MS) that meets a predefined set of some of the open questions.
conditions can cooperate with other mobile or fixed stations
to communicate with its base station (BS). As a result, the 2. Literature Review
path between an MS and its BS can be composed of multiple
hops as demonstrated in Figure 2. Van der Meulen8 and Cover et al.9 first reported information
theoretic study on the relay channels under additive white
Gaussian channels. The analysis assumes a relay node that
has the ability to simultaneously transmit and receive. Even
though this is not directly applicable to a wireless network
where relay transmission poses a half-duplex constraint
it is important from a historical perspective as one of the
first works to study relay based communication. Recently,
however there has been resurgence in theoretical studies
in relay based communication that take the half duplex
constraint into account. These are divided into two broad
Fig. 2 Node outside the cell coverage and relayed by another
MS7
categories. The first is called the non-compound relay
mode where the relays at any time are in one of the two
Multihop transmission can lead to significant states, receive or transmit10,11. In the second case called
transmit power reduction compared with direct single- the compound mode, the relays transmit using a time
hop transmission even if only one relay node is used. division approach where a certain time slot is reserved for
Moreover, due to peak transmit power constraints, transmitting their own information and the rest of the time
multihop transmission can also lead to significant coverage slots are used to relay information received from a partner
extensions by dividing a path into a set of shorter hops. node12-15. Table 1.1 shows a synopsis of most of the
Another advantage of relaying is its ability to avoid related literature found on cooperative communication.
obstacles and, thus, combat the dead spots problem, which The following are used to categorize the research papers:
leads to severe signal degradation and occurs in places with a) Information Theoretic b) Coding theory related c)
high shadowing and lack of line of sight (Fig. 3). Performance analysis d) Implementation trade-offs
(bandwidth, energy, complexity) e) System design issues
(synchronization, protocol design)

Fig. 3 Node in dead spot relayed by another MS7

 Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System
(seiscon 2012),VCTW, Tiruchengode, Tamilnadu, India on 27-29 December, 2012.

Table 1: Literature on Cooperative Communication 3. Cooperative Communications in Cellular

Reference Method & Analysis a b c d e Networks
[8],[9] Describes the channel capacity lower x x 3.1 Base Station Coope ration
bounds of physically degraded relay
channels for different random coding Base station cooperation49 can take multiple forms. The
schemes. simplest form of base station cooperation, especially with
[10],[11] Extension of work in [8] to include x x multi-antenna base stations, involves the exchange of
channel quality, multiple relays and information among neighboring cells regarding their cell-
asymptotic (w.r.t number of relays) per- edge nodes and remote-cell aware processing at each of the
formance.
base stations. Then, each of the base stations can put a null
[12],[13] Information theoretic analysis of capac- x x x on the channel gain vector of the nodes that generate and
ity and coverage in a cellular set up es-
pecially CDMA signalling. Developed
harmed by the most co-channel interference. This simple
a protocol for multi hop user coopera- scenario is in the realm of interference management, and
tion. is possible without fully coordinated action from base
[14] Proposed and analysed layered and x x stations. Specifically, this form of action does not require
broadcast source coding for cooperative the base stations to know the traffic for other base stations
communication (therefore the issue of a wideband backbone and its delay
[15],[16] Discuss a coding strategy with multi x x does not come into play), nor is it required to know the
node cooperation and iterative decoding codebooks used by the other base station, and nor does it
at the receiver.
require the base stations to be synchronized.
[17] Analyse the impact of a constrained x x
backhaul infrastructure and imperfect 3.2 Downlink Cooperation
channel knowledge on uplink network For downlink base station cooperation, base stations can
MIMO from an information theoretical
point of view. generate a virtual multi-antenna array with zero-forcing
beam-forming. There are a variety of ways to exploit this
[18] Cooperative downlink transmission x x
under a constrained backhaul, limited general idea. Somekh et al.26 used the circular Wyner
channel knowledge at base station and cellular model27 to find expressions for downlink (and
terminal side, and a per-antenna power uplink) capacities with base station cooperation, which is
constraint. also sometimes called multi-cell processing. In28 the same
[19] Showed code constructions leading to x x model and a zero-forcing beam-forming approach were
achievable rates and derive upper bounds used for data transmission in multiple cells. In particular,
from the max-flow min-cut theorem. It is
shown that lower and upper bounds meet
the approach is to transmit to the best user in each cell, and
asymptotically as the number of nodes in the high-load asymptotics are derived in an information
the network goes to infinity, thus proving theoretic approach. Mundarath et al.29 considered
that the capacity of the wireless network the scheduling aspects of distributed downlink zero-
with n nodes under the relay traffic pat-
forcing beam-formers under finite loads. Such downlink
tern behaves like log n bits per second.
strategies require certain assumptions about sharing of
[20] Discussed the open issues in Single user x x x information among cells. To begin with, the data must be
MIMO and Multiuser MIMO
shared among the base stations. Secondly, the base station
[21] Potential application of the MIMO relay x x x transmitters must be synchronized. Finally, the channel
channel for cooperative communica-
tions in ad hoc networks were analyzed
state information of the users must be shared among the
base stations, and must be kept up-to-date, so that beam-
[22] Information theoretic approach with x x x
channel estimation error problem
forming vectors can be reliably determined. Base station
cooperation offers the opportunity for improvement in two
[23] New algorithm for Asynchronous Co-
operative Network in Information theo-
opposing directions: incorporating more theoretical results
retic approach were presented and addressing practical issues. Among various aspects
[24] Showed that the performance of mitiga- x x that call for further investigation, one may name:
tion algorithm vary with cyclic prefix • Possibilities with multi-antenna mobiles, among them
length and performance evaluation in case the extension of results from multiple-input multiple
of error up in the estimation of carrier fre-
quency offset (CFO).
output (MIMO) broadcast channels to the distributed
MIMO case;
[25] A high data rate WLAN system design x x
is proposed using MIMO-OFDM
• The effect of partial channel state information or
partially outdated channel state information;
 Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System
(seiscon 2012),VCTW, Tiruchengode, Tamilnadu, India on 27-29 December, 2012.

Uplink Cooperation received signal before forwarding it without performing

In the uplink cooperation scenario, a mobile might be in a any signal detection or advanced processing. As a
situation where no single base station can decode its data result, noise is also amplified, which in many practical
alone. However, the signals received at two or more base scenarios is a performance limitation. On the other hand,
stations may be sufficient to decode the mobile data. The digital or regenerative relays detect and decode the
collection of information at various base stations and their received signal and then reencode the information before
combination present new issues. In particular, since each of forwarding it. For each hop along the multihop path, this
the base stations cannot decode the received signal alone, allows for cooperative error correction and detection32,
these signals must be sampled and exchanged among base retransmission and diversity combining33, 34, and adaptive
stations, which requires significantly larger bandwidth modulation and coding35. As a result, digital relaying has
than the data do. Thus, considering the effect of base been widely adopted in the existing literature on MCNs
station cooperation on the backhaul capacity becomes an due to the added design flexibility and the possible gains
important issue. The capacity of the uplink linear cellular of intermediate data detection and processing.
networks with base station cooperation via finite capacity 4.1.2 Mobile vs. Fixed Relays
links was broached in [31], and bounds on the rate of
A mobile relay station (MRS) is a normal non active MS
the system under the Wyner model were obtained from
(i.e., not transmitting own traffic) operating as a relay
an information theoretic viewpoint. This work generated
for other MS’s. The main advantage of mobile relaying
broad insights into the general capabilities of uplink base
is the use of existing MS’s without the need for any
station cooperation, but the specifics of coding and signal
extra infrastructure. It is especially useful in scenarios
design for such systems remain open problems. The varying
with relatively high density of MS’s to guarantee the
propagation times from the mobiles to base stations can
availability of candidate RS’s throughout the network.
be compensated in the algorithm that combines the data
Higher the densities of mobile stations (MS’s), higher
from multiple base stations, since the signal of each of
the number of possible paths between a MS and its BS. It
the mobiles can be extracted separately. However, the
results in higher cooperative diversity gains. Furthermore,
problem will remain if we wish to listen to mobile A while
mobile relaying results in energy consumption at the MS’s
simultaneously nulling the interference from mobile B,
acting as RSs due to foreign traffic from the relayed MSs;
and these two mobiles have significantly different delay
this necessitates some sort of compensation or incentives
vectors to the set of base stations participating in multi-cell
from the network operators. In addition, mobile relaying
processing. The scope for future work in the area of uplink
might result in instable performance and increased control
multi-cell processing is in two directions: incorporation of
overhead because MSs dynamically enter and leave the
communication theoretic results into uplink cooperation
network.
and addressing issues related to practical limitations. The
potential areas of work include:
• Practical implications of the restrictions on the
5. Implementation issues in Multihop Cel-
backhaul capacity and delay; lular network
• Iterative methods based on belief propagation; In this section key research issues related to designing and
• Compute-and-forward (hashing) methods to reduce engineering MCNs were pointed out. In particular, research
the cooperation bandwidth problems involved in both relaying and cooperative
• Requirement between the base stations; transmission strategies were described. The research
problems center on challenges in developing routing and
4. Multi-hop Cellular Network design resource allocation schemes for MCNs.
The performance of MCNs highly depends on the RS 5.1 Research Issues for Relaying schemes
capabilities and the selection of multihop paths between
MS and their BS. In this section, these aspects are The fundamental question in any relaying strategy in an
addressed and design alternatives are presented. MCN is how to perform joint resource allocation and
routing such that maximum performance gains in terms
4.1 Relay Stations of network capacity, coverage, and QoS performance can
4.1.1 Analog Vs Digital Relays be achieved. Resource allocation depends on the physical
layer design where either TDD or FDD is employed for
Analog relays, also called repeaters, have been traditionally transmissions on different hops of each routing path
used to extend coverage to dead spot areas not covered between an MH and its corresponding BS. It also depends
by the cellular network. An analog relay amplifies the on whether out-of-band relaying is employed or not, and
 Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System
(seiscon 2012),VCTW, Tiruchengode, Tamilnadu, India on 27-29 December, 2012.

how many radios (interfaces) each MH carries. Since all for end-to-end data delivery (i.e., from the source node
3G cellular networks employ CDMA technologies, the to the destination node), there is an optimal transmission
network capacity is interference limited41. In general, schedule of minimum length where in each time slot of the
resource allocation should be done such that the best schedule only noninterfering links are allowed to transmit.
tradeoff between spatial reuse gain and capacity reduction Thus, the joint resource allocation and routing problem is
due to interference effects can be achieved. Several equivalent to finding routing paths for all active MHs and
existing routing algorithms proposed in the literature a transmission schedule such that the total number of time
aim to minimize total transmission power or maximize slots required activating each link once on these routing
the transmission rate on each routing path while ignoring paths is minimized. If all links in the network transmit
interference due to concurrent transmissions on different at the same rate (i.e., single-rate transmission), the end-
hops and among different routing paths42. When the effects to-end throughput for each active MH is equal to the
of interference are not considered, the optimum routing ratio between this transmission rate and the length of the
path and/or optimum number of hops can usually be found schedule (i.e., the minimum number of time slots used in
given high node density. These achievable capacity gains the schedule). If we map each time slot in the schedule to
are, however, very optimistic and much higher than what one color, the underlying problem is equivalent to a graph-
could be achieved in real networks. When both intra- coloring problem which is usually NP-hard [8]. Therefore,
and inter-cell interference as well as self-interference good polynomial-time heuristic algorithms with provable
on each routing path are taken into account, there is a performance bounds are usually developed to solve the
tight coupling between the aggressiveness of spatial problem. The penalty of sub optimality is, however, quite
reuse for radio resource and the congestion level in the high in many cases, which may ultimately result in very
network41,43. In fact, the congestion level of the network poor performance.
can be quantified through a Perron-Frobenius eigenvalue
of the system path gain matrix41. Therefore, the design of 5.2 Research Issues for Cooperative Transmission
a joint resource allocation and routing scheme should be Schemes
done such that the congestion level is low enough and the When cooperative diversity is employed, several research
desired QoS performance in terms of bit error rate (BER) issues arise in different layers of the protocol stack. In
or signal-to-interference-and noise ratio (SINR) can be particular, an efficient algorithm to find a routing path
achieved. There are two popular approaches to modeling through multiple clusters should be constructed for end-
interference in an MCN. In the first approach interference to-end data transmission. In each cluster, a cluster head
is explicitly captured by SINR, and the feasibility of a QoS should choose several slaves to serve as gateways for
constraint can be checked through the Perron-Frobenius cooperative transmission in the forward direction. Here,
eigenvalue of the channel gain matrix41,43. This approach the resource allocation, clustering, and routing problems
was employed to develop an interference-aware routing should be tackled jointly. As in the relaying schemes,
algorithm in44. In that paper the authors first obtained interference should be carefully considered in solving
the minimum path loss routing solution. Then this initial this joint problem. At the physical layer, several design
routing solution was re-navigated to find a routing path implementations can be considered to achieve the potential
that improves the congestion level (i.e., interference level) diversity gain from cooperative diversity. Specifically, a
in the network based on the Perron-Frobenius eigenvalue. distributed space-time code or distributed phased array
Because two-hop relaying schemes could achieve a (beam-forming) technique can be employed to realize
major portion of possible performance gains45, limiting the diversity gain [47]. Space-time code implementation,
the number of hops to two may be a good design choice. which is a specific implementation of the decode-and-
In this case the routing problem degenerates into a relay forward scheme, is challenging because of the distributed
selection one43, which can simplify the protocol design nature of relay nodes. In addition, development of an
and minimize the communication overhead significantly. optimal space-time code even in the traditional MIMO
We discuss this relay selection scheme further in the context is still an active research issue. For beam-
resource allocation framework in the next section. For the forming implementation, synchronization of simultaneous
second approach, the joint resource allocation and routing transmissions from multiple relay nodes for coherent
problem is solved by using a graph-theoretic approach46. summation of their signals at the receiving side is a very
In this approach transmission links that interfere with each challenging task. Note that beam-forming can be used to
other are assumed to be known (e.g., based on interference implement DF or AF schemes. If relay nodes transmit
range). Given this information, only links that do not asynchronously, a sophisticated decoding technique
interfere with one another are allowed to be active (i.e., should be employed. An example of a decoding scheme
transmitting data) at the same time. Given a routing path for asynchronous cooperative diversity can be found in
 Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System
(seiscon 2012),VCTW, Tiruchengode, Tamilnadu, India on 27-29 December, 2012.

[48] where a novel minimum mean squared error (MMSE) White Gaussian Multiple-Access Relay Channel,”
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 Chennai and Vivekanandha College of Technology for women, Third International Conference on Sustainable Energy and Intelligent System
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[50] Y.W.Peter Hong et al., Cooperative Communications Dr.Martin Sibley Professor in University of Huddersfield.
and Networking, Springer, 2010 His research interests include a new area of work that
stemmed with interest in using optical fiber in the home for
Biographies control and monitoring purposes. His journal publications
include IEEE and IET.
Shamganth received his B.E degree in Electronics
& Communication Engineering from Bharthidasan Dr.Faris Salman Al-Naimy Head of Engineering
University, India. And completed his Post Graduation in Department at Ibra College of Technology. His research
Anna University, India. Currently pursuing his PhD in the interest includes Communication and Signal processing.
University of Huddersfield, U.K.From the year 2004 to He published many papers in different Journals.
2008 he was with VIT University as a Senior Lecturer.
In 2008 he joined with Ibra College of Technology,
Oman. His current research interest includes Cooperative
Communication, MIMO-OFDM and Wireless LAN. He is
a Member of IET. His publications include Journals and
Conferences.
M.P.Reena received her B.E degree in Electronics &
Communication Engineering from Madras University,
India. And M.E degree in Communication Systems from
Anna University, India. From the year 2004 to 2008 she
was with VIT University as a Lecturer. In 2010 she joined
with Sri Venkateswara Engineering College, India as an
Assistant Professor in Electronics & Communication
Engineering department. Her current interest includes
Wireless Communication & Networks. Her publications
include Journals and Conferences.