On the Impact of Phase Noise in Communication Systems –- Performance Analysis and Algorithms

The mobile industry is preparing to scale up the network capacity by a factor of 1000x in order to cope with the staggering growth in mobile traffic. As a consequence, there is a tremendous pressure on the network infrastructure, where more cost-effective, flexible, high speed connectivity solutions are being sought for. In this regard, massive multiple-input multiple-output (MIMO) systems, and millimeter-wave communication systems are new physical layer technologies, which promise to facilitate the 1000 fold increase in network capacity. However, these technologies are extremely prone to hardware impairments like phase noise caused by noisy oscillators. Furthermore, wireless backhaul networks are an effective solution to transport data by using high-order signal constellations, which are also susceptible to phase noise impairments. Analyzing the performance of wireless communication systems impaired by oscillator phase noise, and designing systems to operate efficiently in strong phase noise conditions are critical problems in communication theory. The criticality of these problems is accentuated with the growing interest in new physical layer technologies, and the deployment of wireless backhaul networks. This forms the main motivation for this thesis where we analyze the impact of phase noise on the system performance, and we also design algorithms in order to mitigate phase noise and its effects. First, we address the problem of maximum a posteriori (MAP) detection of data in the presence of strong phase noise in single-antenna systems. This is achieved by designing a low-complexity joint phase-estimator data-detector. We show that the proposed method outperforms existing detectors, especially when high order signal constellations are used. Then, in order to further improve system performance, we consider the problem of optimizing signal constellations for transmission over channels impaired by phase noise. Specifically, we design signal constellations such that the error rate performance of the system is minimized, and the information rate of the system is maximized. We observe that these optimized constellations significantly improve the system performance, when compared to conventional constellations, and those proposed in the literature. Next, we derive the MAP symbol detector for a MIMO system where each antenna at the transceiver has its own oscillator. We propose three suboptimal, low-complexity algorithms for approximately implementing the MAP symbol detector, which involve joint phase noise estimation and data detection. We observe that the proposed techniques significantly outperform the other algorithms in prior works. Finally, we study the impact of phase noise on the performance of a massive MIMO system, where we analyze both uplink and downlink performances. Based on rigorous analyses of the achievable rates, we provide interesting insights for the following question: how should oscillators be connected to the antennas at a base station, which employs a large number of antennas

In-band-full-duplex integrated access and backhaul enabled next generation wireless networks

In sixth generation (6G) wireless networks, the severe traffic congestion in the microwave frequencies motivates the exploration of the large available bandwidth in the millimetre-wave (mmWave) frequencies to achieve higher network capacity and data rate. Since large-scale antenna arrays and dense base station deployment are required, the hybrid beamforming architecture and the recently proposed integrated access and backhaul (IAB) networks become potential candidates for providing cost and hardware-friendly techniques for 6G wireless networks. In addition, in-band-full-duplex (IBFD) has been recently paid much more research attention since it can make the transmission and reception occur in the same time and frequency band, which nearly doubles the communication spectral efficiency (SE) compared with state-of-the-art half-duplex (HD) systems. Since 6G will explore sensing as its new capability, future wireless networks can go far beyond communications. Motivated by this, the development of integrated sensing and communications (ISAC) systems, where radar and communication systems share the same spectrum resources and hardware, has become one of the major goals in 6G. This PhD thesis focuses on the design and analysis of IBFD-IAB wireless networks in the frequency range 2 (FR2) band (≥ 24.250 GHz) at mmWave frequencies for the potential use in 6G. Firstly, we develop a novel design for the single-cell FR2-IBFD-IAB networks with subarray-based hybrid beamforming, which can enhance the SE and coverage while reducing the latency. The radio frequency (RF) beamformers are obtained via RF codebooks given by a modified matrix-wise Linde-Buzo-Gray (LBG) algorithm. The self-interference (SI) is cancelled in three stages, where the first stage of antenna isolation is assumed to be successfully deployed. The second stage consists of the optical domain-based RF cancellation, where cancellers are connected with the RF chain pairs. The third stage is comprised of the digital cancellation via successive interference cancellation followed by minimum mean-squared error (MSE) baseband receiver. Multiuser interference in the access link is cancelled by zero-forcing at the IAB-node transmitter. The proposed codebook algorithm avoids undesirable low-rank behaviour, while the proposed staged-SI cancellation (SIC) shows satisfactory cancellation performance in the wideband IBFD scenario. However, the system performance can be affected by the hardware impairments (HWI) and RF effective channel estimation errors. Secondly, we study an FR2-IBFD-ISAC-IAB network for vehicle-to-everything communications, where the IAB-node acts as a roadside unit performing sensing and communication simultaneously (i.e., at the same time and frequency band). The SI due to the IBFD operation will be cancelled in the propagation, analogue, and digital domains; only the residual SI (RSI) is reserved for performance analysis. Considering the subarray-based hybrid beamforming structure, including HWI and RF effective SI channel estimation error, the unscented Kalman filter is used for tracking multiple vehicles in the studied scenario. The proposed system shows an enhanced SE compared with the HD system, and the tracking MSEs averaged across all vehicles of each state parameter are close to their posterior Cramér-Rao lower bounds. Thirdly, we analyse the performance of the multi-cell wideband single-hop backhaul FR2-IBFD-IAB networks by using stochastic geometry analysis. We model the wired-connected next generation NodeBs (gNBs) as the Matérn hard-core point process (MHCPP) to meet the real-world deployment requirement and reduce the cost caused by wired connection in the network. We first derive association probabilities that reflect how likely the typical user-equipment is served by a gNB or an IAB-node based on the maximum long-term averaged biased-received-desired-signal power criteria. Further, by leveraging the composite Gamma-Lognormal distribution, we derive results for the signal to interference plus noise ratio coverage, capacity with outage, and ergodic capacity of the network. In order to assess the impact of noise, we consider the sidelobe gain on inter-cell interference links and the analogue to digital converter quantization noise. Compared with the HD transmission, the designated system shows an enhanced capacity when the SIC operates successfully. We also study how the power bias and density ratio of the IAB-node to gNB, and the hard-core distance can affect system performance. Overall, this thesis aims to contribute to the research efforts of shaping the 6G wireless networks by designing and analysing the FR2-IBFD-IAB inspired networks in the FR2 band at mmWave frequencies that will be potentially used in 6G for both communication only and ISAC scenarios

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

Bayesian Beamforming for Mobile Millimeter Wave Channel Tracking in the Presence of DOA Uncertainty

This paper proposes a Bayesian approach for angle-based hybrid beamforming and tracking that is robust to uncertain or erroneous direction-of-arrival (DOA) estimation in millimeter wave (mmWave) multiple input multiple output (MIMO) systems. Because the resolution of the phase shifters is finite and typically adjustable through a digital control, the DOA can be modeled as a discrete random variable with a prior distribution defined over a discrete set of candidate DOAs, and the variance of this distribution can be introduced to describe the level of uncertainty. The estimation problem of DOA is thereby formulated as a weighted sum of previously observed DOA values, where the weights are chosen according to a posteriori probability density function (pdf) of the DOA. To alleviate the computational complexity and cost, we present a motion trajectory-constrained a priori probability approximation method. It suggests that within a specific spatial region, a directional estimate can be close to true DOA with a high probability and sufficient to ensure trustworthiness. We show that the proposed approach has the advantage of robustness to uncertain DOA, and the beam tracking problem can be solved by incorporating the Bayesian approach with an expectation-maximization (EM) algorithm. Simulation results validate the theoretical analysis and demonstrate that the proposed solution outperforms a number of state-of-the-art benchmarks.This work was in part supported by the State Key Laboratory of Rail Traffic Control and Safety (Contract No. RCS2020ZT012), Beijing Jiaotong University and China Railway Corporation (Contract No. N2019G028). This article was presented in part at the 2019 IEEE GLOBECOM’19. The associate editor coordinating the review of this article and approving it for publication was O. Oyman. (Corresponding author: Yan Yang.) Yan Yang is with the State Key Laboratory of Rail Traffic Control and Safety, Beijing Jiaotong University, Beijing 100044, Chin

QoS-Aware Precoder Optimization for Radar Sensing and Multiuser Communications Under Per-Antenna Power Constraints

In this work, we concentrate on designing the precoder for the multiple-input multiple-output (MIMO) dual functional radar-communication (DFRC) system, where the dual-functional waveform is designed for performing multiuser downlink transmission and radar sensing simultaneously. Specifically, considering the signal-independent interference and signal-dependent clutter, we investigate the optimization of transmit precoding for maximizing the sensing signal-to-interference-plus-noise ratio (SINR) at the radar receiver under the constraint of the minimum SINR received at multiple communication users and per-antenna power budget. The formulated problem is challenging to solve due to the nonconovex objective function and nonconvex per-antenna power constraint. In particular, for the signal-independent interference case, we propose a distance-majorization induced algorithm to approximate the nonconvex problem as a sequence of convex problems whose optima can be obtained in closed form. Subsequently, our complexity analysis shows that our proposed algorithm has a much lower computational complexity than the widely-adopted semidefinite relaxation (SDR)-based algorithm. For the signal-dependent clutter case, we employ the fractional programming to transform the nonconvex problem into a sequence of subproblems, and then we propose a distance-majorization based algorithm to obtain the solution of each subproblem in closed form. Finally, simulation results confirm the performance superiority of our proposed algorithms when compared with the SDR-based approach. In conclusion, the novelty of this work is to propose an efficient algorithm for handling the typical problem in designing the DFRC precoder, which achieves better performance with a much lower complexity than the state-of-the-art algorithm

Robust MIMO Detection With Imperfect CSI: A Neural Network Solution

In this paper, we investigate the design of statistically robust detectors for multi-input multi-output (MIMO) systems subject to imperfect channel state information (CSI). A robust maximum likelihood (ML) detection problem is formulated by taking into consideration the CSI uncertainties caused by both the channel estimation error and the channel variation. To address the challenging discrete optimization problem, we propose an efficient alternating direction method of multipliers (ADMM)-based algorithm, which only requires calculating closed-form solutions in each iteration. Furthermore, a robust detection network RADMMNet is constructed by unfolding the ADMM iterations and employing both model-driven and data-driven philosophies. Moreover, in order to relieve the computational burden, a low-complexity ADMM-based robust detector is developed using the Gaussian approximation, and the corresponding deep unfolding network LCRADMMNet is further established. On the other hand, we also provide a novel robust data-aided Kalman filter (RDAKF)-based channel tracking method, which can effectively refine the CSI accuracy and improve the performance of the proposed robust detectors. Simulation results validate the significant performance advantages of the proposed robust detection networks over the non-robust detectors with different CSI acquisition methods.Comment: 15 pages, 8 figures, 2 tables; Accepted by IEEE TCO

Millimeter wave link configuration with hybrid MIMO architectures

The use of multiple antennas, widely known as MIMO technology, is a key feature to deploy mmWave communication systems enabling high-data-rate applications. With more than two decades of global experience in deploying Wi-Fi and cellular communication using sub-6 GHz frequency bands, simply repurposing these designs for mmWave bands would fail to account for additional propagation impairments and circuit design constraints at these higher frequencies. A solution to overcome the propagation challenges is the use of multiple directional communication beams, whereby proper alignment between transceivers provides sufficient link quality to enable reliable decoding of the transmitted data. In this dissertation, efficient link configuration solutions suitable for mmWave cellular communications are developed. To gain some insight into the achievable performance of mmWave systems, two broadband channel-estimation-based link configuration solutions are proposed for MIMO-OFDM systems, in which both the transmitter and receiver are assumed to be perfectly synchronized. The proposed solution exploits the spatially common sparsity in the mmWave channel and enables efficient acquisition of the CSI while allowing the use of multiple RF chains on both the transmitter and receiver sides. In a simplified scenario, the CRLB for the channel estimation problem is derived, and the proposed channel estimation algorithms are shown to both outperform prior work in communication performance and exhibit excellent estimation performance. Furthermore, the proposed algorithms are assessed in a more challenging scenario with realistic channel parameters, and it is shown that both near-optimal spectral efficiency and low BER can be attained with lower overhead and computational complexity than prior solutions. Next, the impact of imperfect CFO synchronization on the channel estimation problem is analyzed under a narrowband channel model. The CRLB for the estimation of the different unknown parameters involved in the problem is theoretically analyzed, and closed-form expressions are provided for the estimation of the different parameters. Under a joint estimation-theoretic and CS framework, a low-complexity multi-stage solution is proposed to estimate both the different unknown synchronization parameters and the large-dimensional mmWave MIMO channel. Different trade-offs between estimation, spectral efficiency, and overhead performance are exposed, and the proposed estimators are shown to be asymptotically optimal in the low SNR regime. The proposed solution is assessed under a channel model with several clusters and rays per cluster, and is shown to attain near-optimal spectral efficiency values in both the low and high SNR regimes. The computational complexity of the proposed solution is also analyzed, in which it is shown to achieve a marginal increase in computational complexity with respect to the solution proposed in the previous contribution. Finally, the impact of TO, CFO, and PN impairments on the channel estimation problem is analyzed under a broadband channel model. The problem of time-frequency synchronization under PN impairments is theoretically analyzed, and the proposed solutions to the synchronization problem are exploited to estimate the frequency-selective mmWave MIMO channel. The hybrid CRLB for the estimation of the different synchronization impairments is analyzed, and closed-form expressions leveraging the information coupling between the different impairments are provided. The previously proposed joint estimation-theoretic and CS framework is extended to frequency-selective scenarios, and two low-complexity multi-stage solutions are proposed to estimate both the different synchronization impairments and the large-dimensional mmWave MIMO channel. The first solution relies on a batch-processing LMMSE-based EM algorithm to estimate the different synchronization impairments, while the second solution uses a sequential-processing EKF-RTS-based EM algorithm, thereby reducing computational complexity. Thereafter, both the hybrid CRLB for the estimation of the equivalent beamformed complex channels and the estimates for these parameters are exploited to estimate the large-dimensional frequency-selective mmWave MIMO channel. Finally, a joint PN and data detection algorithm is proposed for data transmission under the 5G NR frame structure. The proposed solutions are evaluated using a 5G NR-based channel model, and different trade-offs between estimation performance, computational complexity, overhead, achievable spectral efficiency and BER are exposed, and comparisons with prior work are also provided. The results show that mmWave link configuration using hybrid MIMO architectures can be established with low overhead without assuming synchronization, even in the low SNR regime.Electrical and Computer Engineerin