A survey on hybrid beamforming techniques in 5G : architecture and system model perspectives

The increasing wireless data traffic demands have driven the need to explore suitable spectrum regions for meeting the projected requirements. In the light of this, millimeter wave (mmWave) communication has received considerable attention from the research community. Typically, in fifth generation (5G) wireless networks, mmWave massive multiple-input multiple-output (MIMO) communications is realized by the hybrid transceivers which combine high dimensional analog phase shifters and power amplifiers with lower-dimensional digital signal processing units. This hybrid beamforming design reduces the cost and power consumption which is aligned with an energy-efficient design vision of 5G. In this paper, we track the progress in hybrid beamforming for massive MIMO communications in the context of system models of the hybrid transceivers' structures, the digital and analog beamforming matrices with the possible antenna configuration scenarios and the hybrid beamforming in heterogeneous wireless networks. We extend the scope of the discussion by including resource management issues in hybrid beamforming. We explore the suitability of hybrid beamforming methods, both, existing and proposed till first quarter of 2017, and identify the exciting future challenges in this domain

Novel transmission and beamforming strategies for multiuser MIMO with various CSIT types

In multiuser multi-antenna wireless systems, the transmission and beamforming strategies that achieve the sum rate capacity depend critically on the acquisition of perfect Channel State Information at the Transmitter (CSIT). Accordingly, a high-rate low-latency feedback link between the receiver and the transmitter is required to keep the latter accurately and instantaneously informed about the CSI. In realistic wireless systems, however, only imperfect CSIT is achievable due to pilot contamination, estimation error, limited feedback and delay, etc. As an intermediate solution, this thesis investigates novel transmission strategies suitable for various imperfect CSIT scenarios and the associated beamforming techniques to optimise the rate performance. First, we consider a two-user Multiple-Input-Single-Output (MISO) Broadcast Channel (BC) under statistical and delayed CSIT. We mainly focus on linear beamforming and power allocation designs for ergodic sum rate maximisation. The proposed designs enable higher sum rate than the conventional designs. Interestingly, we propose a novel transmission framework which makes better use of statistical and delayed CSIT and smoothly bridges between statistical CSIT-based strategies and delayed CSIT-based strategies. Second, we consider a multiuser massive MIMO system under partial and statistical CSIT. In order to tackle multiuser interference incurred by partial CSIT, a Rate-Splitting (RS) transmission strategy has been proposed recently. We generalise the idea of RS into the large-scale array. By further exploiting statistical CSIT, we propose a novel framework Hierarchical-Rate-Splitting that is particularly suited to massive MIMO systems. Third, we consider a multiuser Millimetre Wave (mmWave) system with hybrid analog/digital precoding under statistical and quantised CSIT. We leverage statistical CSIT to design digital precoder for interference mitigation while all feedback overhead is reserved for precise analog beamforming. For very limited feedback and/or very sparse channels, the proposed precoding scheme yields higher sum rate than the conventional precoding schemes under a fixed total feedback constraint. Moreover, a RS transmission strategy is introduced to further tackle the multiuser interference, enabling remarkable saving in feedback overhead compared with conventional transmission strategies. Finally, we investigate the downlink hybrid precoding for physical layer multicasting with a limited number of RF chains. We propose a low complexity algorithm to compute the analog precoder that achieves near-optimal max-min performance. Moreover, we derive a simple condition under which the hybrid precoding driven by a limited number of RF chains incurs no loss of optimality with respect to the fully digital precoding case.Open Acces

Transmit and Receive Signal Processing for MIMO Terrestrial Broadcast Systems

[EN] Multiple-Input Multiple-Output (MIMO) technology in Digital Terrestrial Television (DTT) networks has the potential to increase the spectral efficiency and improve network coverage to cope with the competition of limited spectrum use (e.g., assignment of digital dividend and spectrum demands of mobile broadband), the appearance of new high data rate services (e.g., ultra-high definition TV - UHDTV), and the ubiquity of the content (e.g., fixed, portable, and mobile). It is widely recognised that MIMO can provide multiple benefits such as additional receive power due to array gain, higher resilience against signal outages due to spatial diversity, and higher data rates due to the spatial multiplexing gain of the MIMO channel. These benefits can be achieved without additional transmit power nor additional bandwidth, but normally come at the expense of a higher system complexity at the transmitter and receiver ends. The final system performance gains due to the use of MIMO directly depend on physical characteristics of the propagation environment such as spatial correlation, antenna orientation, and/or power imbalances experienced at the transmit aerials. Additionally, due to complexity constraints and finite-precision arithmetic at the receivers, it is crucial for the overall system performance to carefully design specific signal processing algorithms. This dissertation focuses on transmit and received signal processing for DTT systems using MIMO-BICM (Bit-Interleaved Coded Modulation) without feedback channel to the transmitter from the receiver terminals. At the transmitter side, this thesis presents investigations on MIMO precoding in DTT systems to overcome system degradations due to different channel conditions. At the receiver side, the focus is given on design and evaluation of practical MIMO-BICM receivers based on quantized information and its impact in both the in-chip memory size and system performance. These investigations are carried within the standardization process of DVB-NGH (Digital Video Broadcasting - Next Generation Handheld) the handheld evolution of DVB-T2 (Terrestrial - Second Generation), and ATSC 3.0 (Advanced Television Systems Committee - Third Generation), which incorporate MIMO-BICM as key technology to overcome the Shannon limit of single antenna communications. Nonetheless, this dissertation employs a generic approach in the design, analysis and evaluations, hence, the results and ideas can be applied to other wireless broadcast communication systems using MIMO-BICM.[ES] La tecnología de múltiples entradas y múltiples salidas (MIMO) en redes de Televisión Digital Terrestre (TDT) tiene el potencial de incrementar la eficiencia espectral y mejorar la cobertura de red para afrontar las demandas de uso del escaso espectro electromagnético (e.g., designación del dividendo digital y la demanda de espectro por parte de las redes de comunicaciones móviles), la aparición de nuevos contenidos de alta tasa de datos (e.g., ultra-high definition TV - UHDTV) y la ubicuidad del contenido (e.g., fijo, portable y móvil). Es ampliamente reconocido que MIMO puede proporcionar múltiples beneficios como: potencia recibida adicional gracias a las ganancias de array, mayor robustez contra desvanecimientos de la señal gracias a la diversidad espacial y mayores tasas de transmisión gracias a la ganancia por multiplexado del canal MIMO. Estos beneficios se pueden conseguir sin incrementar la potencia transmitida ni el ancho de banda, pero normalmente se obtienen a expensas de una mayor complejidad del sistema tanto en el transmisor como en el receptor. Las ganancias de rendimiento finales debido al uso de MIMO dependen directamente de las características físicas del entorno de propagación como: la correlación entre los canales espaciales, la orientación de las antenas y/o los desbalances de potencia sufridos en las antenas transmisoras. Adicionalmente, debido a restricciones en la complejidad y aritmética de precisión finita en los receptores, es fundamental para el rendimiento global del sistema un diseño cuidadoso de algoritmos específicos de procesado de señal. Esta tesis doctoral se centra en el procesado de señal, tanto en el transmisor como en el receptor, para sistemas TDT que implementan MIMO-BICM (Bit-Interleaved Coded Modulation) sin canal de retorno hacia el transmisor desde los receptores. En el transmisor esta tesis presenta investigaciones en precoding MIMO en sistemas TDT para superar las degradaciones del sistema debidas a diferentes condiciones del canal. En el receptor se presta especial atención al diseño y evaluación de receptores prácticos MIMO-BICM basados en información cuantificada y a su impacto tanto en la memoria del chip como en el rendimiento del sistema. Estas investigaciones se llevan a cabo en el contexto de estandarización de DVB-NGH (Digital Video Broadcasting - Next Generation Handheld), la evolución portátil de DVB-T2 (Second Generation Terrestrial), y ATSC 3.0 (Advanced Television Systems Commitee - Third Generation) que incorporan MIMO-BICM como clave tecnológica para superar el límite de Shannon para comunicaciones con una única antena. No obstante, esta tesis doctoral emplea un método genérico tanto para el diseño, análisis y evaluación, por lo que los resultados e ideas pueden ser aplicados a otros sistemas de comunicación inalámbricos que empleen MIMO-BICM.[CA] La tecnologia de múltiples entrades i múltiples eixides (MIMO) en xarxes de Televisió Digital Terrestre (TDT) té el potencial d'incrementar l'eficiència espectral i millorar la cobertura de xarxa per a afrontar les demandes d'ús de l'escàs espectre electromagnètic (e.g., designació del dividend digital i la demanda d'espectre per part de les xarxes de comunicacions mòbils), l'aparició de nous continguts d'alta taxa de dades (e.g., ultra-high deffinition TV - UHDTV) i la ubiqüitat del contingut (e.g., fix, portàtil i mòbil). És àmpliament reconegut que MIMO pot proporcionar múltiples beneficis com: potència rebuda addicional gràcies als guanys de array, major robustesa contra esvaïments del senyal gràcies a la diversitat espacial i majors taxes de transmissió gràcies al guany per multiplexat del canal MIMO. Aquests beneficis es poden aconseguir sense incrementar la potència transmesa ni l'ample de banda, però normalment s'obtenen a costa d'una major complexitat del sistema tant en el transmissor com en el receptor. Els guanys de rendiment finals a causa de l'ús de MIMO depenen directament de les característiques físiques de l'entorn de propagació com: la correlació entre els canals espacials, l'orientació de les antenes, i/o els desequilibris de potència patits en les antenes transmissores. Addicionalment, a causa de restriccions en la complexitat i aritmètica de precisió finita en els receptors, és fonamental per al rendiment global del sistema un disseny acurat d'algorismes específics de processament de senyal. Aquesta tesi doctoral se centra en el processament de senyal tant en el transmissor com en el receptor per a sistemes TDT que implementen MIMO-BICM (Bit-Interleaved Coded Modulation) sense canal de tornada cap al transmissor des dels receptors. En el transmissor aquesta tesi presenta recerques en precoding MIMO en sistemes TDT per a superar les degradacions del sistema degudes a diferents condicions del canal. En el receptor es presta especial atenció al disseny i avaluació de receptors pràctics MIMO-BICM basats en informació quantificada i al seu impacte tant en la memòria del xip com en el rendiment del sistema. Aquestes recerques es duen a terme en el context d'estandardització de DVB-NGH (Digital Video Broadcasting - Next Generation Handheld), l'evolució portàtil de DVB-T2 (Second Generation Terrestrial), i ATSC 3.0 (Advanced Television Systems Commitee - Third Generation) que incorporen MIMO-BICM com a clau tecnològica per a superar el límit de Shannon per a comunicacions amb una única antena. No obstant açò, aquesta tesi doctoral empra un mètode genèric tant per al disseny, anàlisi i avaluació, per la qual cosa els resultats i idees poden ser aplicats a altres sistemes de comunicació sense fils que empren MIMO-BICM.Vargas Paredero, DE. (2016). Transmit and Receive Signal Processing for MIMO Terrestrial Broadcast Systems [Tesis doctoral no publicada]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/66081TESISPremiad

Esquemas de cooperação entre estações base para o LTE no sentido descendente

The explosive growth in wireless traffic and in the number of connected devices as smart phones or computers, are causing a dramatic increase in the levels of interference, which significantly degrades the capacity gains promised by the point-to-point multi input, multi output (MIMO) based techniques. Therefore, it is becoming increasingly clear that major new improvements in spectral efficiency of wireless networks will have to entail addressing intercell interference. So, there is a need for a new cellular architecture that can take these factors under consideration. It is in this context that LTE-Advanced arises. One of the most promising LTE-Advanced technology is Coordinated Multipoint (CoMP), which allows base stations to cooperate among them, in order to mitigate or eliminate the intercell interference and, by doing so, increase the system’s capacity. This thesis intends to study this concept, implementing some schemes that fall under the CoMP concept. In this thesis we consider a distributed precoded multicell approach, where the precoders are computed locally at each BS to mitigate the intercell interference. Two precoder are considered: distributed zero forcing (DZF) and distributed virtual signal-to-interference noise ratio (DVSINR) recently proposed. Then the system is further optimized by computing a power allocation algorithm over the subcarriers that minimizes the average bit error rate (BER). The considered algorithms are also evaluated under imperfect channel state information. A quantized version of the CSI associated to the different links between the BS and the UT is feedback from the UT to the BS. This information is then employed by the different BSs to perform the precoding design. A new DVSINR precoder explicitly designed under imperfect CSI is proposed. The proposed schemes were implemented considering the LTE specifications, and the results show that the considered precoders are efficiently to remove the interference even under imperfect CSI.O crescimento exponencial no tráfego de comunicações sem-fios e no número de dispositivos utilizados (smart phones, computadores portáteis, etc.) está a causar um aumento significativo nos níveis de interferência, que prejudicam significativamente os ganhos de capacidade assegurados pelas tecnologias baseadas em ligações ponto-a-ponto MIMO. Deste modo, torna-se cada vez mais necessário que os grandes aperfeiçoamentos na eficiência espectral de sistemas de comunicações sem-fios tenham em consideração a interferência entre células. De forma a tomar em consideração estes aspectos, uma nova arquitectura celular terá de ser desenvolvida. É assim, neste contexto, que surge o LTE-Advanced. Uma das tecnologias mais promissoras do LTE-Advanced é a Coordenação Multi-Ponto (CoMP), que permite que as estações base cooperem de modo a mitigar a interferência entre células e, deste modo, aumentar a capacidade do sistema. Esta dissertação pretende estudar este conceito, implementando para isso algumas técnicas que se enquadram no conceito do CoMP. Nesta dissertação iremos considerar a implementação de um sistema de pré-codificação em múltiplas células, em que os pré-codificadores são calculados em cada BS, de modo a mitigar a interferência entre células. São considerados dois pré-codificadores: Distributed Zero Forcing (DZF) e Distributed Virtual Signal-to-Interferance Noise Ratio (DVSINR), recentemente proposto. De seguida o sistema é optimizado com a introdução de algoritmos de alocação de potência entre as sub-portadoras com o objectivo de minimizar a taxa média de erros (BER). Os algoritmos considerados são também avaliados em situações em que a informação do estado do canal é imperfeita. Uma versão quantizada da CSI associada a cada uma das diferentes ligações entre as BS e os UT é assim enviada do UT para a BS. Esta informação é então utilizada para calcular os diferentes pré-codificadores em cada BS. Uma nova versão do pré-codificador DVSINR é proposta de modo a lidar com CSI imperfeito. Os esquemas propostos foram implementados considerandos especificações do LTE, e os resultados obtidos demonstram que os pré-codificadores removem de uma forma eficiente a interferência, mesmo em situações em que a CSI é imperfeita

DVB-S2x Enabled Precoding for High Throughput Satellite Systems

Multi-user Multiple-Input Multiple-Output (MU-MIMO) has allowed recent releases of terrestrial LTE standards to achieve significant improvements in terms of offered system capacity. The publications of the DVB-S2x standard and particularly of its novel superframe structure is a key enabler for applying similar interference management techniques -such as precoding- to multibeam High Throughput Satellite (HTS) systems. This paper presents results resulting from European Space Agency (ESA) funded R&D activities concerning the practical issues that arise when precoding is applied over an aggressive frequency re-use HTS network. In addressing these issues, the paper also proposes pragmatic solutions that have been developed in order to overcome these limitations. Through the application of a comprehensive system simulator, it is demonstrated that important capacity gains (beyond 40%) are to be expected from applying precoding even after introducing a number of significant practical impairments

Rate-splitting multiple access for non-terrestrial communication and sensing networks

Rate-splitting multiple access (RSMA) has emerged as a powerful and flexible non-orthogonal transmission, multiple access (MA) and interference management scheme for future wireless networks. This thesis is concerned with the application of RSMA to non-terrestrial communication and sensing networks. Various scenarios and algorithms are presented and evaluated. First, we investigate a novel multigroup/multibeam multicast beamforming strategy based on RSMA in both terrestrial multigroup multicast and multibeam satellite systems with imperfect channel state information at the transmitter (CSIT). The max-min fairness (MMF)-degree of freedom (DoF) of RSMA is derived and shown to provide gains compared with the conventional strategy. The MMF beamforming optimization problem is formulated and solved using the weighted minimum mean square error (WMMSE) algorithm. Physical layer design and link-level simulations are also investigated. RSMA is demonstrated to be very promising for multigroup multicast and multibeam satellite systems taking into account CSIT uncertainty and practical challenges in multibeam satellite systems. Next, we extend the scope of research from multibeam satellite systems to satellite- terrestrial integrated networks (STINs). Two RSMA-based STIN schemes are investigated, namely the coordinated scheme relying on CSI sharing and the co- operative scheme relying on CSI and data sharing. Joint beamforming algorithms are proposed based on the successive convex approximation (SCA) approach to optimize the beamforming to achieve MMF amongst all users. The effectiveness and robustness of the proposed RSMA schemes for STINs are demonstrated. Finally, we consider RSMA for a multi-antenna integrated sensing and communications (ISAC) system, which simultaneously serves multiple communication users and estimates the parameters of a moving target. Simulation results demonstrate that RSMA is beneficial to both terrestrial and multibeam satellite ISAC systems by evaluating the trade-off between communication MMF rate and sensing Cramer-Rao bound (CRB).Open Acces

Precoding and Beamforming Design for Intelligent Reconfigurable Surface-Aided Hybrid Secure Spatial Modulation

Intelligent reflecting surface (IRS) is an emerging technology for wireless communication composed of a large number of low-cost passive devices with reconfigurable parameters, which can reflect signals with a certain phase shift and is capable of building programmable communication environment. In this paper, to avoid the high hardware cost and energy consumption in spatial modulation (SM), an IRS-aided hybrid secure SM (SSM) system with a hybrid precoder is proposed. To improve the security performance, we formulate an optimization problem to maximize the secrecy rate (SR) by jointly optimizing the beamforming at IRS and hybrid precoding at the transmitter. Considering that the SR has no closed form expression, an approximate SR (ASR) expression is derived as the objective function. To improve the SR performance, three IRS beamforming methods, called IRS alternating direction method of multipliers (IRS-ADMM), IRS block coordinate ascend (IRS-BCA) and IRS semi-definite relaxation (IRS-SDR), are proposed. As for the hybrid precoding design, approximated secrecy rate-successive convex approximation (ASR-SCA) method and cut-off rate-gradient ascend (COR-GA) method are proposed. Simulation results demonstrate that the proposed IRS-SDR and IRS-ADMM beamformers harvest substantial SR performance gains over IRS-BCA. Particularly, the proposed IRS-ADMM and IRS-BCA are of low-complexity at the expense of a little performance loss compared with IRS-SDR. For hybrid precoding, the proposed ASR-SCA performs better than COR-GA in the high transmit power region.Comment: 14pages,8figure

Multibeam Joint Processing in Satellite Communications

Cooperative Satellite Communications (SatComs) involve multi-antenna satellites enabled for the joint transmission and reception of signals. This joint processing of baseband signals is realized amongst the distinct but interconnected antennas. Advanced signal processing techniques –namely precoding and Multiuser Detection (MUD)– are herein examined in the multibeam satellite context. The aim of this thesis is to establish the prominence of such methods in the next generation of broadband satellite networks. To this end, two approaches are followed. On one hand, the performance of the well established and theoretically concrete MUD is analysed over the satellite environments. On the other, optimal signal processing designs are developed and evaluated for the forward link. In more detail, the present dissertation begins by introducing the topic of multibeam joint processing. Thus, the most significant practical constraints that hinder the application of advanced interference mitigation techniques in satellite networks are identified and discussed. Prior to presenting the contributions of this work, the multi-antenna joint processing problem is formulated using the generic Multiuser (MU) Multiple InputMultiple Output (MIMO) baseband signal model. This model is also extended to apply in the SatComs context. A detailed presentation of the related work, starting from a generic signal processing perspective and then focusing on the SatComs field, is then given. With this review, the main open research topics are identified. Following the comprehensive literature review, the first contribution of this work, is presented. This involves the performance evaluation of MUD in the Return Link (RL) of multiuser multibeam SatComs systems. Novel, analytical expressions are derived to describe the information theoretic channel capacity as well as the performance of practical receivers over realistic satellite channels. Based on the derived formulas, significant insights for the design of the RL of next generation cooperative satellite systems are provided. In the remaining of this thesis, the focus is set on the Forward Link (FL) of multibeam SatComs, where precoding, combined with aggressive frequency reuse configurations, are proposed to enhance the offered throughput. In this context, the alleviation of practical constraints imposed by the satellite channel is the main research challenge. Focusing on the rigid framing structure of the legacy SatCom standards, the fundamental frame-based precoding problem is examined. Based on the necessity to serve multiple users by a single transmission, the connection of the frame-based precoding and the fundamental signal processing problem of physical layer multigroup multicasting is established. In this framework and to account for the power limitations imposed by a dedicated High Power Amplifier (HPA) per transmit element, a novel solution for multigroup multicasting under Per Anntenna Constraints (PACs) is derived. Therefore, the gains offered by multigroup multicasting in frame-based systems are quantified over an accurate simulation setting. Finally, advanced multicast and interference aware scheduling algorithms are proposed to glean significant gains in the rich multiuser satellite environment. The thesis concludes with the main research findings and the identification of new research challenges, which will pave the way for the deployment of cooperative multibeam satellite systems