Study on Air Interface Variants and their Harmonization for Beyond 5G Systems

[ES] La estandarización de la Quinta Generación de redes móviles o 5G, ha concluido este año 2020. No obstante, en el año 2014 cuando la ITU empezó el proceso de estandarización IMT-2020, una de las principales interrogantes era cuál sería la forma de onda sobre la cual se construiría la capa física de esta nueva generación de tecnologías. El 3GPP se comprometió a entregar una tecnología candidata al proceso IMT-2020, y es así como dentro de este proceso de deliberación se presentaron varias formas de onda candidatas, las cuales fueron evaluadas en varios aspectos hasta que en el año 2016 el 3GPP tomó una decisión, continuar con CP-OFDM (utilizada en 4G) con numerología flexible. Una vez decidida la forma de onda, el proceso de estandarización continuó afinando la estructura de la trama, y todos los aspectos intrínsecos de la misma. Esta tesis acompañó y participó de todo este proceso. Para empezar, en esta disertación se evaluaron las principales formas de onda candidatas al 5G. Es así que se realizó un análisis teórico de cada forma de onda, destacando sus fortalezas y debilidades, tanto a nivel de implementación como de rendimiento. Posteriormente, se llevó a cabo una implementación real en una plataforma Software Defined Radio de tres de las formas de onda más prometedoras (CP-OFDM, UFMC y OQAM-FBMC), lo que permitió evaluar su rendimiento en términos de la tasa de error por bit, así como la complejidad de su implementación. Esta tesis ha propuesto también el uso de una solución armonizada como forma de onda para el 5G y sostiene que sigue siendo una opción viable para sistemas beyond 5G. Dado que ninguna de las forma de onda candidatas era capaz de cumplir por sí misma con todos los requisitos del 5G, en lugar de elegir una única forma de onda se propuso construir un transceptor que fuese capaz de construir todas las principales formas de onda candidatas (CP-OFDM, P-OFDM, UFMC, QAM-FBMC, OQAM-FBMC). Esto se consiguió identificando los bloques comunes entre las formas de onda, para luego integrarlos junto con el resto de bloques indispensables para cada forma de onda. La motivación para esta solución era tener una capa física que fuese capaz de cumplir con todos los aspectos del 5G, seleccionando siempre la mejor forma de onda según el escenario. Esta propuesta fue evaluada en términos de complejidad, y los resultados se compararon con la complejidad de cada forma de onda. La decisión de continuar con CP-OFDM con numerología flexible como forma de onda para el 5G se puede considerar también como una solución armonizada, ya que al cambiar el prefijo cíclico y el número de subportadoras, cambian también las prestaciones del sistema. En esta tesis se evaluaron todas las numerologías propuestas por el 3GPP sobre cada uno de los modelos de canal descritos para el 5G (y considerados válidos para sistemas beyond 5G), teniendo en cuenta factores como la movilidad de los equipos de usuario y la frecuencia de operación; para esto se utilizó un simulador de capa física del 3GPP, al que se hicieron las debidas adaptaciones con el fin de evaluar el rendimiento de las numerologías en términos de la tasa de error por bloque. Finalmente, se presenta un bosquejo de lo que podría llegar a ser la Sexta Generación de redes móviles o 6G, con el objetivo de entender las nuevas aplicaciones que podrían ser utilizadas en un futuro, así como sus necesidades. Completado el estudio llevado a cabo en esta tesis, se puede afirmar que como se propuso desde un principio la solución, tanto para el 5G como para beyond 5G, la solución es la armonización de las formas de onda. De los resultados obtenidos se puede corroborar que una solución armonizada permite alcanzar un ahorro computacional entre el 25-40% para el transmisor y del 15-25% para el receptor. Además, fue posible identificar qué numerología CP-OFDM es la más adecuada para cada escenario, lo que permitiría optimizar el diseño y despliegue de las redes 5G. Esto abriría la puerta a hacer lo mismo con el 6G, ya que en esta tesis se considera que será necesario abrir nuevamente el debate sobre cuál es la forma de onda adecuada para esta nueva generación de tecnologías, y se plantea que el camino a seguir es optar por una solución armonizada con distintas formas de onda, en lugar de solo una como sucede con el 5G.[CA] L'estandardització de la Quinta Generació de xarxes mòbils o 5G, ha conclòs enguany 2020. No obstant això, l'any 2014 quan la ITU va començar el procés d'estandardització IMT-2020, uns dels principals interrogants era quina seria la forma d'onda sobre la qual es construiria la capa física d'esta nova generació de tecnologies. El 3GPP es va comprometre a entregar una tecnologia candidata al procés IMT-2020, i és així com dins d'este procés de deliberació es van presentar diverses formes d'onda candidates, les quals van ser avaluades en diversos aspectes fins que l'any 2016 el 3GPP va prendre una decisió, continuar amb CP-OFDM (utilitzada en 4G) amb numerología flexible. Una vegada decidida la forma d'onda, el procés d'estandardització va continuar afinant la frame structure (no se m'ocorre nom en espanyol), i tots els aspectes intrínsecs de la mateixa. Esta tesi va acompanyar i va participar de tot este procés. Per a començar, en esta dissertació es van avaluar les principals formes d'onda candidates al 5G. És així que es va realitzar una anàlisi teòrica de cada forma d'onda, destacant les seues fortaleses i debilitats, tant a nivell d'implementació com de rendiment. Posteriorment, es va dur a terme una implementació real en una plataforma Software Defined Radio de tres de les formes d'onda més prometedores (CP-OFDM, UFMC i OQAM-FBMC), la qual cosa va permetre avaluar el seu rendiment en termes de la taxa d'error per bit, així com la complexitat de la seua implementació. Esta tesi ha proposat també l'ús d'una solució harmonitzada com a forma d'onda per al 5G i sosté que continua sent una opció viable per a sistemes beyond 5G. Atés que cap de les forma d'onda candidates era capaç de complir per si mateixa amb tots els requeriments del 5G, en compte de triar una única forma d'onda es va proposar construir un transceptor que fóra capaç de construir totes les principals formes d'onda candidates (CP-OFDM, P-OFDM, UFMC, QAM-FBMC, OQAM-FBMC). Açò es va aconseguir identificant els blocs comuns entre les formes d'onda, per a després integrar-los junt amb la resta de blocs indispensables per a cada forma d'onda. La motivació per a esta solució era tindre una capa física que fóra capaç de complir amb tots els aspectes del 5G, seleccionant sempre la millor forma d'onda segons l'escenari. Esta proposta va ser avaluada en termes de complexitat, i els resultats es van comparar amb la complexitat de cada forma d'onda. La decisió de continuar amb CP-OFDM amb numerología flexible com a forma d'onda per al 5G es pot considerar també com una solució harmonitzada, ja que al canviar el prefix cíclic i el número de subportadores, canvien també les prestacions del sistema. En esta tesi es van avaluar totes les numerologías propostes pel 3GPP sobre cada un dels models de canal descrits per al 5G (i considerats vàlids per a sistemes beyond 5G), tenint en compte factors com la mobilitat dels equips d'usuari i la freqüència d'operació; per a açò es va utilitzar un simulador de capa física del 3GPP, a què es van fer les degudes adaptacions a fi d'avaluar el rendiment de les numerologías en termes de la taxa d'error per bloc. Finalment, es presenta un esbós del que podria arribar a ser la Sexta Generació de xarxes mòbils o 6G, amb l'objectiu d'entendre les noves aplicacions que podrien ser utilitzades en un futur, així com les seues necessitats. Completat l'estudi dut a terme en esta tesi, es pot afirmar que com es va proposar des d'un principi la solució, tant per al 5G com per a beyond 5G, la solució és l'harmonització de les formes d'onda. dels resultats obtinguts es pot corroborar que una solució harmonitzada permet aconseguir un estalvi computacional entre el 25-40% per al transmissor i del 15-25% per al receptor. A més, va ser possible identificar què numerología CP-OFDM és la més adequada per a cada escenari, la qual cosa permetria optimitzar el disseny i desplegament de les xarxes 5G. Açò obriria la porta a fer el mateix amb el 6G, ja que en esta tesi es considera que serà necessari obrir novament el debat sobre quina és la forma d’onda adequada per a esta nova generació de tecnologies, i es planteja que el camí que s’ha de seguir és optar per una solució harmonitzada amb distintes formes d’onda, en compte de només una com succeïx amb el 5G.[EN] The standardization of the Fifth Generation of mobile networks or 5G is still ongoing, although the first releases of the standard were completed two years ago and several 5G networks are up and running in several countries around the globe. However, in 2014 when the ITU began the IMT-2020 standardization process, one of the main questions was which would be the waveform to be used on the physical layer of this new generation of technologies. The 3GPP committed to submit a candidate technology to the IMT-2020 process, and that is how within this deliberation process several candidate waveforms were presented. After a thorough evaluation regarding several aspects, in 2016 the 3GPP decided to continue with CP-OFDM (used in 4G) but including, as a novelty, the use of a flexible numerology. Once the waveform was decided, the standardization process continued to fine-tune the frame structure and all the intrinsic aspects of it. This thesis accompanied and participated in this entire process. To begin with, this dissertation evaluates the main 5G candidate waveforms. Therefore, a theoretical analysis of each waveform is carried out, highlighting its strengths and weaknesses, both at the implementation and performance levels. Subsequently, a real implementation on a Software Defined Radio platform of three of the most promising waveforms (CP-OFDM, UFMC, and OQAM-FBMC) is presented, which allows evaluating their performance in terms of bit error rate, as well as the complexity of its implementation. This thesis also proposes the use of a harmonized solution as a waveform for 5G and argues that it remains a viable option for systems beyond 5G. Since none of the candidate waveforms was capable of meeting on its own with all the requirements for 5G, instead of choosing a single waveform, this thesis proposes to build a transceiver capable of building all the main waveforms candidates (CP-OFDM, P-OFDM, UFMC, QAM-FBMC, OQAM-FBMC). This is achieved by identifying the common blocks between the waveforms and then integrating them with the rest of the essential blocks for each waveform. The motivation for this solution is to have a physical layer that is capable of complying with all aspects of beyond 5G technologies, always selecting the best waveform according to the scenario. This proposal is evaluated in terms of complexity, and the results are compared with the complexity of each waveform. The decision to continue with CP-OFDM with flexible numerology as a waveform for 5G can also be considered as a harmonized solution, since changing the cyclic prefix and the number of subcarriers, changes also the performance of the system. In this thesis, all the numerologies proposed by the 3GPP are evaluated on each of the channel models described for 5G (and considered valid for beyond 5G systems), taking into account factors such as the mobility of the user equipment and the operating frequency. For this, a 3GPP physical layer simulator is used, and proper adaptations are made in order to evaluate the performance of the numerologies in terms of the block error rate. Finally, a sketch of what could become the Sixth Generation of mobile networks or 6G is presented, with the aim of understanding the new applications that could be used in the future, as well as their needs. After the completion of the study carried out in this thesis, it can be said that, as stated from the beginning, for both 5G and beyond 5G systems, the solution is the waveform harmonization. From the results obtained, it can be corroborated that a harmonized solution allows achieving computational savings between 25-40% for the transmitter and 15-25% for the receiver. In addition, it is possible to identify which CP-OFDM numerology is the most appropriate for each scenario, which would allow optimizing the design and deployment of 5G networks. This would open the door to doing the same with 6G, i.e., a harmonized solution with different waveforms, instead of just one as in 5G.Flores De Valgas Torres, FJ. (2020). Study on Air Interface Variants and their Harmonization for Beyond 5G Systems [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/164442TESI

A Comparison of CP-OFDM, PCC-OFDM and UFMC for 5G Uplink Communications

Polynomial-cancellation-coded orthogonal frequency division multiplexing (PCC-OFDM) is a form of OFDM that has waveforms which are very well localized in both the time and frequency domains and so it is ideally suited for use in the 5G network. This paper analyzes the performance of PCC-OFDM in the uplink of a multiuser system using orthogonal frequency division multiple access (OFDMA) and compares it with conventional cyclic prefix OFDM (CP-OFDM), and universal filtered multicarrier (UFMC). PCC-OFDM is shown to be much less sensitive than either CP-OFDM or UFMC to time and frequency offsets. For a given constellation size, PCC-OFDM in additive white Gaussian noise (AWGN) requires 3dB lower signal-to-noise ratio (SNR) for a given bit-error-rate, and the SNR advantage of PCC-OFDM increases rapidly when there are timing and/or frequency offsets. For PCC-OFDM no frequency guard band is required between different OFDMA users. PCC-OFDM is completely compatible with CP-OFDM and adds negligible complexity and latency, as it uses a simple mapping of data onto pairs of subcarriers at the transmitter, and a simple weighting-and-adding of pairs of subcarriers at the receiver. The weighting and adding step, which has been omitted in some of the literature, is shown to contribute substantially to the SNR advantage of PCC-OFDM. A disadvantage of PCC-OFDM (without overlapping) is the potential reduction in spectral efficiency because subcarriers are modulated in pairs, but this reduction is more than regained because no guard band or cyclic prefix is required and because, for a given channel, larger constellations can be used

Potential deep learning approaches for the physical layer

Abstract. Deep learning based end-to-end learning of a communications system tries to optimize both transmitter and receiver blocks in a single process in an end-to-end manner, eliminating the need for artificial block structure of the conventional communications systems. Recently proposed concept of autoencoder based end-to-end communications is investigated in this thesis to validate its potential as an alternative to conventional block structured communications systems. A single user scenario in the additive white Gaussian noise (AWGN) channel is considered in this thesis. Autoencoder based systems are implemented equivalent to conventional communications systems and bit error rate (BER) performances of both systems are compared in different system settings. Simulations show that the autoencoder outperforms equivalent uncoded binary phase shift keying (BPSK) system with a 2 dB margin to BPSK for a BER of 10⁻⁵, and has comparable performance to uncoded quadrature phase shift keying (QPSK) system. Autoencoder implementations equivalent to coded BPSK have shown comparable BER performance to hard decision convolutional coding (CC) with less than 1 dB gap over the 0–10 dB Eb/N0 range. Autoencoder is observed to have close performance to the conventional systems for higher code rates. Newly proposed autoencoder model as an alternative to coded systems with higher order modulations has shown that autoencoder is capable of learning better transmission mechanisms compared to the conventional systems adhering to the system parameters and resource constraints provided. Autoencoder equivalent of half-rate 16-quadrature amplitude modulation (16-QAM) system achieves a better performance with respect to hard decision CC over the 0–10 dB Eb/N0 range, and a comparable performance to soft decision CC with a better BER in 0–4 dB Eb/N0. Comparable BER performance, lower processing complexity and low latency processing due to inherent parallel processing architecture, flexible structure and higher learning capacity are identified as advantages of the autoencoder based systems which show their potential and feasibility as an alternative to conventional communications systems

Classical and Bayesian Linear Data Estimators for Unique Word OFDM

Unique word - orthogonal frequency division multiplexing (UW-OFDM) is a novel OFDM signaling concept, where the guard interval is built of a deterministic sequence - the so-called unique word - instead of the conventional random cyclic prefix. In contrast to previous attempts with deterministic sequences in the guard interval the addressed UW-OFDM signaling approach introduces correlations between the subcarrier symbols, which can be exploited by the receiver in order to improve the bit error ratio performance. In this paper we develop several linear data estimators specifically designed for UW-OFDM, some based on classical and some based on Bayesian estimation theory. Furthermore, we derive complexity optimized versions of these estimators, and we study their individual complex multiplication count in detail. Finally, we evaluate the estimators' performance for the additive white Gaussian noise channel as well as for selected indoor multipath channel scenarios.Comment: Preprint, 13 page

Unified Framework for Multicarrier and Multiple Access based on Generalized Frequency Division Multiplexing

The advancements in wireless communications are the key-enablers of new applications with stringent requirements in low-latency, ultra-reliability, high data rate, high mobility, and massive connectivity. Diverse types of devices, ranging from tiny sensors to vehicles, with different capabilities need to be connected under various channel conditions. Thus, modern connectivity and network techniques at all layers are essential to overcome these challenges. In particular, the physical layer (PHY) transmission is required to achieve certain link reliability, data rate, and latency. In modern digital communications systems, the transmission is performed by means of a digital signal processing module that derives analog hardware. The performance of the analog part is influenced by the quality of the hardware and the baseband signal denoted as waveform. In most of the modern systems such as fifth generation (5G) and WiFi, orthogonal frequency division multiplexing (OFDM) is adopted as a favorite waveform due to its low-complexity advantages in terms of signal processing. However, OFDM requires strict requirements on hardware quality. Many devices are equipped with simplified analog hardware to reduce the cost. In this case, OFDM does not work properly as a result of its high peak-to-average power ratio (PAPR) and sensitivity to synchronization errors. To tackle these problems, many waveforms design have been recently proposed in the literature. Some of these designs are modified versions of OFDM or based on conventional single subcarrier. Moreover, multicarrier frameworks, such as generalized frequency division multiplexing (GFDM), have been proposed to realize varieties of conventional waveforms. Furthermore, recent studies show the potential of using non-conventional waveforms for increasing the link reliability with affordable complexity. Based on that, flexible waveforms and transmission techniques are necessary to adapt the system for different hardware and channel constraints in order to fulfill the applications requirements while optimizing the resources. The objective of this thesis is to provide a holistic view of waveforms and the related multiple access (MA) techniques to enable efficient study and evaluation of different approaches. First, the wireless communications system is reviewed with specific focus on the impact of hardware impairments and the wireless channel on the waveform design. Then, generalized model of waveforms and MA are presented highlighting various special cases. Finally, this work introduces low-complexity architectures for hardware implementation of flexible waveforms. Integrating such designs with software-defined radio (SDR) contributes to the development of practical real-time flexible PHY.:1 Introduction 1.1 Baseband transmission model 1.2 History of multicarrier systems 1.3 The state-of-the-art waveforms 1.4 Prior works related to GFDM 1.5 Objective and contributions 2 Fundamentals of Wireless Communications 2.1 Wireless communications system 2.2 RF transceiver 2.2.1 Digital-analogue conversion 2.2.2 QAM modulation 2.2.3 Effective channel 2.2.4 Hardware impairments 2.3 Waveform aspects 2.3.1 Single-carrier waveform 2.3.2 Multicarrier waveform 2.3.3 MIMO-Waveforms 2.3.4 Waveform performance metrics 2.4 Wireless Channel 2.4.1 Line-of-sight propagation 2.4.2 Multi path and fading process 2.4.3 General baseband statistical channel model 2.4.4 MIMO channel 2.5 Summary 3 Generic Block-based Waveforms 3.1 Block-based waveform formulation 3.1.1 Variable-rate multicarrier 3.1.2 General block-based multicarrier model 3.2 Waveform processing techniques 3.2.1 Linear and circular filtering 3.2.2 Windowing 3.3 Structured representation 3.3.1 Modulator 3.3.2 Demodulator 3.3.3 MIMO Waveform processing 3.4 Detection 3.4.1 Maximum-likelihood detection 3.4.2 Linear detection 3.4.3 Iterative Detection 3.4.4 Numerical example and insights 3.5 Summary 4 Generic Multiple Access Schemes 57 4.1 Basic multiple access and multiplexing schemes 4.1.1 Infrastructure network system model 4.1.2 Duplex schemes 4.1.3 Common multiplexing and multiple access schemes 4.2 General multicarrier-based multiple access 4.2.1 Design with fixed set of pulses 4.2.2 Computational model 4.2.3 Asynchronous multiple access 4.3 Summary 5 Time-Frequency Analyses of Multicarrier 5.1 General time-frequency representation 5.1.1 Block representation 5.1.2 Relation to Zak transform 5.2 Time-frequency spreading 5.3 Time-frequency block in LTV channel 5.3.1 Subcarrier and subsymbol numerology 5.3.2 Processing based on the time-domain signal 5.3.3 Processing based on the frequency-domain signal 5.3.4 Unified signal model 5.4 summary 6 Generalized waveforms based on time-frequency shifts 6.1 General time-frequency shift 6.1.1 Time-frequency shift design 6.1.2 Relation between the shifted pulses 6.2 Time-frequency shift in Gabor frame 6.2.1 Conventional GFDM 6.3 GFDM modulation 6.3.1 Filter bank representation 6.3.2 Block representation 6.3.3 GFDM matrix structure 6.3.4 GFDM demodulator 6.3.5 Alternative interpretation of GFDM 6.3.6 Orthogonal modulation and GFDM spreading 6.4 Summary 7 Modulation Framework: Architectures and Applications 7.1 Modem architectures 7.1.1 General modulation matrix structure 7.1.2 Run-time flexibility 7.1.3 Generic GFDM-based architecture 7.1.4 Flexible parallel multiplications architecture 7.1.5 MIMO waveform architecture 7.2 Extended GFDM framework 7.2.1 Architectures complexity and flexibility analysis 7.2.2 Number of multiplications 7.2.3 Hardware analysis 7.3 Applications of the extended GFDM framework 7.3.1 Generalized FDMA 7.3.2 Enchantment of OFDM system 7.4 Summary 7 Conclusions and Future work

CYCLOSTATIONARY DETECTION FOR OFDM IN COGNITIVE RADIO SYSTEMS

Research on cognitive radio systems has attracted much interest in the last 10 years. Cognitive radio is born as a paradigm and since then the idea has seen contribution from technical disciplines under different conceptual layers. Since then improvements on processing capabilities have supported the current achievements and even made possible to move some of them from the research arena to markets. Cognitive radio implies a revolution that is even asking for changes in current business models, changes at the infrastructure levels, changes in legislation and requiring state of the art technology. Spectrum sensing is maybe the most important part of the cognitive radio system since it is the block designed to detect signal presence on the air. This thesis investigates what cognitive radio systems require, focusing on the spectrum sensing device. Two voice applications running under different Orthogonal Frequency Division Multiplexing (OFDM) schemes are chosen. These are WiFi and Wireless Microphone. Then, a Cyclostationary Spectrum Sensing technique is studied and applied to define a device capable of detecting OFDM signals in a noisy environment. One of the most interesting methodologies, in terms of complexity and computational requirements, known as FAM is developed. Study of the performance and frequency synchronization results are shown, including the development of a blind synchronization technique for offset estimation. 

CYCLOSTATIONARY DETECTION FOR OFDM IN COGNITIVE RADIO SYSTEMS

Research on cognitive radio systems has attracted much interest in the last 10 years. Cognitive radio is born as a paradigm and since then the idea has seen contribution from technical disciplines under different conceptual layers. Since then improvements on processing capabilities have supported the current achievements and even made possible to move some of them from the research arena to markets. Cognitive radio implies a revolution that is even asking for changes in current business models, changes at the infrastructure levels, changes in legislation and requiring state of the art technology. Spectrum sensing is maybe the most important part of the cognitive radio system since it is the block designed to detect signal presence on the air. This thesis investigates what cognitive radio systems require, focusing on the spectrum sensing device. Two voice applications running under different Orthogonal Frequency Division Multiplexing (OFDM) schemes are chosen. These are WiFi and Wireless Microphone. Then, a Cyclostationary Spectrum Sensing technique is studied and applied to define a device capable of detecting OFDM signals in a noisy environment. One of the most interesting methodologies, in terms of complexity and computational requirements, known as FAM is developed. Study of the performance and frequency synchronization results are shown, including the development of a blind synchronization technique for offset estimation.