2015 10th International Conference on Communications and Networking in China (China Com)
PSO-based Vertical Beamforming for 3D Massive
MIMO Systems in 5G
Yuan Zhou, Shaozhen Guo
RCDCT, School of Information and Electronics, Beijing Institute of Technology
Beijing, China
Email: zhouyuanbit@gmail.com.szgu091@163.com
Abstract-In this paper, we consider the vertical beamforming
in the downlink of a three dimensional (3D) massive multiple-
input multiple-output (MIMO) system. Two beams are parti-
tioned through dynamic vertical beamforming with two specific
downtiIts. Taking these users' specific downtiIts into considera-
tion, the objective of this scheme is to maximize cell spectral
efficiency by adjusting the powers and downtiIts of the two
vertical beams, subject to BS power consumption and downtiIt
constraints. To solve this problem, a particle swarm optimization
(PSO) based vertical beamforming optimization algorithm is
proposed, in which the powers and the downtiIts are represented
by the positions of particles; and the update direction guided
the movement are mapped to the velocity. We define the cell
spectral efficiency as the fitness function. By iteratively updating
the positions and velocities of the particles according to some
principles considering all constrains, the optimum solution can
be obtained to maximize the fitness function. Simulation results
show that a high cell spectral efficiency can be achieved with a
low complexity by the proposed algorithm.
Index Terms-3D massive MIMO; vertical beamforming;
downtiIts adjustment; power allocation; PSO
I. INTRODUCTION
Nowadays, massive multiple-input multiple-output (MIMO)
has attracted a great deal of interests in both academia and in-
dustry in wireless communication fields [1]- [3]. The massive
MIMO technique with hundreds or more antennas employed
on base station (BS) has a large number of extra degrees-of-
freedom (DoF) used for each user in multiuser MIMO system.
With the feature that the channel vectors between the BS and
different users are quasi-orthogonal [2] [3], it is forecasted that
massive MIMO can bring many attractive benefits, e.g, spectral
efficiency increasing and significant power saving. Therefore,
massive MIMO has been considered as one of the most
important technologies for the 5G wireless communication
systems [4]. However, it is a great challenge to deploy a
huge number of antennas in the BS. With the introduction of
active antenna system (AAS), three dimensional (3D) MIMO
technology has been recognized as a promising and powerful
technical candidate for future wireless cOlmnunication systems
because of its more degrees of freedom compared to traditional
2D MIMO systems.
This work was in part supported by Ericsson, China National S&T Major
Project 2013ZX03003002-003, National Natural Science Foundation of China
under Grant NO.61371075 and III Project of China under Grant 814010.
819
Conventional beamforming is restricted to control only the
horizontal antenna pattern of base station with a fixed vertical
antenna pattern and a fixed downtilt [5]- [7]. However, 3D
beamforming makes better use of the spatial domain freedom,
which adapts the beam pattern individually for each user
equipment (UE) both in horizontal and in vertical direction.
The vertical antenna pattern or downtilt is also an essen-
tial parameter for performance optimization. The concept of
user-specific down tilt was firstly proposed in the scope of
the ARTIST4G project [8]. Following that, the technology
to combine vertical with horizontal beamforming has been
investigated in details in [9] [10]. The design of 3D MIMO
beamforming is of great importance and has drawn great
attention because it can provide a significant reduction of the
interference among adjacent cells compared to the conven-
tional beamforming [11] - [14]. In particular, the idea behind
vertical beamforming is that users within the cell center were
served with an antenna pattern with larger downtiIt and users at
the cell edge with smaller downtilt, such that the interference
at the cell edge can be highly reduced. So even without
any additional coordination, the interference can be reduced
significantly [15]- [17]. Vertical beamforming considers two
parameters: transmission power and down tilt. There are many
papers investigating about power allocation, however downtilts
adjustment for 3D MIMO is a hard problem to solve with tra-
ditional mathematic methods [18] because of the complicated
3D antenna pattern expression.
In this paper, we focus on vertical beamforming design in
3D massive MIMO networks. In specific, the cell spectral
efficiency is maximized subject to the constraints of total
power consumption of BS and downtilts. Our objective is
to develop a joint power allocation and downtilts adjustment
optimization algorithm with a low complexity. To handle the
problem, a PSO based joint optimization is considered which
is simpler to solve. The contributions of this paper are twofold,
which are listed as follows.
Both specific characteristic of channel model and 3D an-
tenna pattern of massive MIMO are taken into account when
designing the spectral efficiency maximization algorithm.
The proposed algorithm provides the total power consump-
tion and downtilts guarantee. Only if constraints are satisfied,
spectral efficient designs become meaningful.
The remaining part of this paper is organized as follows. In
978-1-63190-077-8 2015 IEEE
Section II, the system model is introduced and the correspond- So the 3D antenna gain of BS is
ing beam optimization problem is formulated. The proposed
PSO based vertical beamforming algorithm is discussed in (4)
detail in Section III. Later the performance of the algorithm is
Then the combination of BS antenna gain
shown by simulations in Section IV. Finally, conclusions are
aBs( 8Dc, q,:~:kc' 81~:k)' aBs( 8Dc , q,:~:ke' 8~:kJ and the antenna
drawn in Section V.
gain of cell center and cell edge users aUE(q,'~~kc, 8'~~k)'
II. SYSTEM MODEL au E( q,'~~ke ' 8'~~kJ are as follows
In this paper, we concentrate our attention on a downlink a(8Dc, o/m,kc'
fl.1 8m1,ke ) --
of a cellular network with L hexagonal cells. There are K (5)
8 fl.1.1 8 1,1) (fl.I ,r 8 1,r)
single antenna user equipments (UEs) within the coverage of aBS ( Dc, 'I'1~,kc ' m,kc au E 'I'm,kc' m ,kc
each cell. Each base station (BS) corresponding to one cell
a( 8De , q,,~,ke ' 8,~,kJ =
is equipped with M receive antennas while M K in the (6)
8 fl.1 ,1 8 1,1) (fl.I ,r 81,r)
massive MIMO system. The power P is provided to every cell aBS ( De, 'I'm,ke' m ,ke aU E 'I'm,ke' m ,ke
including with two vertical sectors called cell-center area and where 8Dc , 8De are the downtilts angle of the near sector and
cell-edge area, of which the power of the beam serving the far sector beams, q,~lk . ' q,~lk are the horizontal azimuths from
cell-center and cell-edge sectors are Pc and Pe, just as shown the lth BS to the cell ~ente~ ~ser kc and cell edge user ke in the
in Fig.I. Let Kc and Ke represent the number of UEs which
mth cell and q,1~rk, c. ' q,1~rk
, e
are the horizontal degree of arrival of
are uniformly located in the cell-center and in cell-edge area,
cell center user kc and cell edge user ke in the mth cell. The
respectively, where K satisfies K = Kc + Ke. 1,1k .' 81,1 8m 1,r 1
sym b0 I s 8m mk'e
kC . an d 8m,rke are th e e Ieva t'IOn ang Ies.
The horizontal and vertical antenna gain in dB are as follows 1 C 1 1 1

The antenna pattern of the UEs aUE(') = 1 [19]. We simplify

a( 8Dc, q,,~ ,kt ,8,~ ,e
k ) and a( 8De, q,,~ ,e k ) by ap,~k
k ,8jn ,e . c. and ap,~k e
The received signal of the cell center UE kc and cell edge
UE ke belonging the mth cell are given by

(7)

/'~""
I
I

\".::"ter Ymke =
L (8)
Edge
L (VPcvap,~ke gP,~kexfc + ffevap,~ke gf:'ke xfe) + nmke
1=1
where gP,~kc E C lxM is the channel gains from the lth BS to the
cell center user kc in the mt h cell and gP,~ke ' g~kc ' gP,~ke have
Fig. l. System model for downlink transmission of 3D Massive MIMO . '1 ar meanIng.
the sImI . Th e sym b0 I s XIDc = "Kc ..nc Sik
L.k=l Ilk Dc' xIDe =
networks "K ..0e De ..0c ..0e If"Mxl
L.ll=Kc+ 1Ilu Sill' Ilk ' Ilk E\G h b - " .
are t e eallllOrmIng vec t ors
with li fO I = 1 and sRc, sfue are the transmitted symbols to the
AH(q,) = - min{12( -.L ),Am},A m = 20dB (1) cell center and cell edge users in the lth cell with the symbol
q,3dB energy given by IE{lsO I2 } = 1.
8 - 8D Then the received signal of the cell center user kc in the
Av(8) = - min{12(-8-),SLA v},SLA v = 20dB (2) mth cell can also be expressed as (9) and the received signal
3dB of the cell edge user has the similar expression.
where q, and 8 are horizontal and vertical angles in degrees;
q,3dB and 83dB are the 3dB beamwidth of the horizontal beam Ymkc =
and the vertical beam in degrees, respectively [19]. The symbol aDc gDC r?c SDc +yinlracell + yinlercell + n (9)
mmkc mmkc mkc mkc mkc mkc mkc
Am is the maximum front-to-back attenuation, and SLAv is '-----..vr----'
side lobe attenuation. The symbol 81ill is the downtilt angle desigred signal
in transmitter. The angle of the main beam of the antenna where yil1lraC
mkc ell is the intracell interference
up/below the horizontal plane is called antenna tilt. Positive
and negative angles are referred to as downtilt and uptilt, il1lracell
Ymkc
respectively. The 3D antenna gain in dB is a combination of
horizontal pattern and vertical pattern antenna gain. (10)

ABS(q, , 8) = - min{ -[AH(q,) + Av(8)], Am} (3)

820
where yintercell
mke
is the intercell interference as have the similar approximations. The SINR can be rewritten
as
Y int ercell M~ a Dc f3Dc
mkc SINR ;::::; . c mmke mmke
(11) mkc pmtracell
mkc
+
pmt ercell
mkc
PN +
P int racell ~
mkc f"'.".,J

(Kc - 1) MPCa~:nkc f3'~~kc + (K - K c ) MPea~~nkc f3'~~kc

The SINR of cell center user is as follows and the SINR of P intercell ~
mkc
cell edge user also has the similar expression.
f"'.".,J

L
L [MKc P c a r%kc f3l?nt + M(K - K c )Pe a r:kc f3l?nt J
PCa~~ke II g~:nkc 11 2 (12) 1= ! ,I# m
SINRmke = pmtrace
. II . II
+ pmt erce .. + ~
(20)
mke mke N MP a De f3D e
SINR ~ e mmke mmke
where the pintracell and pint ercell are as follows mke ~ pintracell
mke
pintercell
mke
+ + p- N
mkc mkc
P intracell ~
pintracell
mkc = (Kc - Dc II -DC 11 2
1)Pc a mmkc gmmkc + mke f"'.".,J

(13) K cM PCa~:nke f31~'~ke + (K - Kc - 1) M Pea~~nke f3'~~ke

(K - K c ) Pea~~nkc II ~~nkc 11 2 P int ercell ~
mke ,-. . . ;
L L
pint ercell
mkc
= ~
i... [Kc Pc aDc II -Dc 11 2 +
Imkc glmke L [MKc Pc a '?::k e f3l?nt + M(K - Kc )Pea~ke f3l?nt J
l= l ,l# m (14) l= l ,l# m
(21)
(K - Kc)Pea~ke Il gr:kcI1 2] Thus, a joint power allocation and downtilts adjustment
After channel estimation, the BS can obtain the channel problem with total energy and downtilts constraints is estab-
state information (CSI). The channel gains from the near sector lished aiming at maximizing the spectral efficiency,
beam and far sector beam of the BS in the lth cell to the cell
center user k c and cell edge user k e in the mth cell can be
expressed as
max
8De, 8De. Pc
t [+L~c==l
m= ! L~=~c
log2 ( 1 + SINRmkc
log2 (1 + SINRmke )
).l
s.t. 0 ::; 8 Dc , 8De ::; 90 (22)
Dc
glmkc - g
_ (8Dc, 'l'm
,.,1 81 )
,ke' m ,kc -
- h Dc
Imkc V~f3DC
Plmkc (15)
8 Dc > 8 De
0 ::; Pc ::; P
Dc
glmke - g
_ (8Dc, 'l'm
,.,1
,k
8 1 ) - h Dc
e , m ,ke - Imke V~f3DC
Plmke (16)
III. THE PROPOSED PSO VERTICAL BEAMFORMING
De
glmkc = (8,.,1 81 )
g De, 'l'm ,kc ' m ,kc = h De
Imkc V~f3De
Plmke (17)
Particle swarm optimization algorithm optimizes a problem
by having a population of candidate solutions, here called
and
particles, and updating the states including the position and
g~ke = g( 8 De , </>I~,ke ' 8~,ke ) = hr:ke V f3 1?nt (18)
velocity of these particles in the search space according to
simple mathematical formula based on the particle's historical
H ere h Imkc'
Dc hDc De De
Imke' hImkc' h Imke E \G ,,-, lxM are sma II sca le f ad'!fig position and velocity. Each particle not only adjusts its position
coefficients, f3 1?nt, f31?nt, f31?nt, f31?nt E <C are the large scale and velocity but also memorizes its local best known position
fading coefficients that are composed of path loss and shadow to guide the movement toward the best known positions,
fading. I ,m = 1,2, .. .L, k c E {1,2, ,Kc },ke E {Kc+ 1" " , K}. which are updated iteratively when better positions are found
For the asymptotic property of massive MIMO systems, it by other particles. This process is expected to move all the
is known that particles toward the best solution. PSO is popular because of
its simplicity in implementation, quick convergence to a good
1 h Imkc
M
Dc (hDC )H
Imkc --+ 1, asM --+ 00 solution.
Firstly a swarm of particles {8bc' 8be ,p!};=l ' with the
1 hDc
M Imke
(hDc )H
Imke
1 asM --+
--+, 00 number of the particles in a swarm J and the constraints that
(19) o ::; Pc ::; P and 0 ::; 8 Dc , 8De ::; 90, are initialized as
1 hDe
M Imkc
(hDe )H
Imkc
1 asM --+
--+,
(0) = 8Dcmax + 8Dcmin + T]c
00
8i
1 h De (hDe )H
Dc 2
M Imke Imke --+ 1, asM --+
+
00

8i (0) = 8Demax 8Demin + (23)

De 4 T]e
So the channel gains can be approximately expressed as
. P
II g~~kcll 2 --+ M f3:;~kc' asM --+ 00 and also other channel gains Pj(O) = '2 + T]p

821
 TABLE I
where eDcmin, eDcmax eDemin and eDemax are the mlfilmum
values and the maximum values of e Dc and eDe, T/ is the Algorithm PSO based vertical beamforming algorithm
uniformly distributed random variable within a predetermined Step J: Initialization

range. Each particle has a cost, which is evaluated at each itera- Initialize the position of each particle 8/;e(0), 8/;e(0), pj ( 0)
and set iteration index r = 0
tion by the fitness function expression h( r) denoted as the cell Step 2: Updating
spectral efficiency the objective function in (22). Then each Update the position and velocity of each particle within their
particle remembers its local best position visited so far, denot- ranges 8/;e( r ), 8/;e( r ), pj (r ) according to (24),(25),(26)
and the ranges are the constraints in (22)
ed as the local optimum values {ei5~(r),ei5~(r) , pf}(r)}~=l' . vi (r) ' vi (r) ' vi (r )
Every particle also knows the best position visited so far if not' (-r) =
Vi
Dc
~ Vi (-r) = ~ Vi (-r) = ~
2 ' De 2 ' cP 2
Step 3: Computing
among all the particles, denoted the global optimum values Compute the fitness function value h( r ) and find the local
egc(r),ege(r) ,pp(r) and the optimum value of the fitness optimal value of each particle 8t~( r ), 8tl (r ),PcLl (r ),
function fm( r). The local optimal position and global optimal the optimal value of the whole swarm 8~c (r), 8ge (r) ,pp(r)
position are updated at each iteration. and the optimal fitness function value of the whole swarm !tn( -r)
Step 4: Comparison
Each particle also has its velocity, denoted as to guide its If !tn( r ) - !tll(r - l ) > 8, then turn to Step 2.
movement. In the rth(r = 1, 2, ... ) iteration, the velocity and Otherwise, !tn( -r) is the maximum cell spectral efficiency.
the position of the jth particles of eDc, eDe and Pc are updated 8f1c (-r), 8ge(-r ),Pp ( -r) are the optimal position.
Note: 8 represents the convergence tolerance, and we set 8 = 0.01
by the principle as in this paper.
J1vhc(r - l) + cjrj (ei5~(r - l) - ebc(r - l))
+C2 r2 (egc(r - 1) - ebc(r - 1)) 50 ,---~----~--~----~----~---,

..
ebc(r - 1) + vbc(r)
N 45

l.40 .. ..'
.. '
'
'
..It.

(24) '"~35
.,.,.,.,+
.il
~ .. ..... ' ..
, , '

J1 vhe(r - 1) + Cl rl ( ei5~ (r - 1) - ebe(r - 1))

30
~ """"
] 25
..
- 1))
""
~
+C2 r2 ( ege( r - 1) - ebe(r ]
20

ebe (r - 1) + vhe(r)
-; 15
~
(25)
50 100 150 200 250 300

~) ~ J1 v~e (r - 1) + Cj rl (PcL) (r - 1) - pj (r - 1))

{
Number of anlennas M

+C2 r2 (pp(r - l) - pj(r - 1)) Fig. 2. Comparison of cell spectral efficiency in different numbers of antennas

pi(r) = pj (r - 1) + v~c (r)

(26)
where vbc (r),vhe(r),v~c (r) are the velocities of the jth par-
ticles of eDc, eDe, Pc in iteration r , ebc(r) , ebe( r),pj (r) are
the values of the jth particles of eDc, eDe, Pc in iteration
r, ei5~(r - l) , ei5~(r - l) , pcL}(r - l) are the local optimum
values of the jth particles of e Dc, eDe, pc in the previous
iteration r - l, eK(r - l) , ege(r - l),pp(r - l) are the global
optimum values in the previous iteration r - 1, J1 is the inertia
weight, rl , r2 ,E 1IJ(0, 1), and Cl, C2 are the two coefficients. In
order to guarantee ebc(r) , ebe( r) ,pj (r) within their ranges, let
. vi (-r) ' vi (-r) ' vi (-r)
viDc(r) = 2'De(r) =
~ vi ~ vi (r) =
2'Pe ~ if they exceed
2 256. As shown in Fig.3, the spectral efficiency first increases
the ranges. The PSO based vertical beamforming algorithm is
as in TableI.
IV. SIMULATION R ESULTS
In this section, a simulation study is carried out to evaluate
the PSO aided joint power allocation and downtilts adjustment
scheme in a 3D massive MIMO networks. Without loss of
generality, we set all the cells (L = 7) have the same cell
center and cell edge users. In addition, we set the population
size to J = 10, the BS total power P = 46dBm and the control
parameter T/ is found empirically to be T/ = 0.15.
Fig.2 compares the cell spectral efficiency of three schemes
as a function of the number of antennas (M). We set the
number of users K = 20. As shown in Fig.2, the cell spec-
tral efficiency increases as the number of transmit antennas
increases. The cell served by single beam has the worst
performance and the proposed PSO based algorithm presents
the best performance. This is because with proper power
allocation and downtilts adjustment of the two beams, the
interference suffered by the users becomes less serious.
Fig.3 investigates the effect of the number of users on the
cell spectral efficiency. We set the number of antennas M =
quickly and then the speed slows down as the number of users
increases. When the active users are the same, we can see from
the figure that the PSO based algorithm has the maximized cell
spectral efficiency.
V. CONCLUSION
In this paper, the vertical beamforming including power
allocation and downtilts adjustment of two beams for 3D
massive MIMO networks was investigated in detail. Both
specific characteristic of channel model and 3D antenna

822

N 100
1 90
,Q
I 80
e~ 70
! 60
Jr" " .' '' ' '~' ' ' ' ~ ' - ' - '.- ' - ' . ' - ' -~ ' - ' - '. - ' - '
" " ,
w w ~ ~ w ro
Number of user K
Fig. 3. Comparison of cell spectral efficiency in different numbers of users
pattern of massive MIMO are taken into account when de-
signing the spectral efficiency maximization algorithm. The
optimized vertical beamforming scheme was designed based
on the optimization criteria of maximizing the cell spectral
efficiency under the total power consumption and downtilts
constraints. Simulation results have shown that PSO based
scheme outperforms the traditional algorithms.
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