Frequency-Domain Signal Processing for Spectrally-Enhanced CP-OFDM Waveforms in 5G New Radio

Orthogonal frequency-division multiplexing (OFDM) has been selected as the basis for the fifth-generation new radio (5G-NR) waveform developments. However, effective signal processing tools are needed for enhancing the OFDM spectrum in various advanced transmission scenarios. In earlier work, we have shown that fast-convolution (FC) processing is a very flexible and efficient tool for filtered-OFDM signal generation and receiver-side subband filtering, e.g., for the mixed-numerology scenarios of the 5G-NR. FC filtering approximates linear convolution through effective fast Fourier transform (FFT)-based circular convolutions using partly overlapping processing blocks. However, with the continuous overlap-and-save and overlap-and-add processing models with fixed block-size and fixed overlap, the FC-processing blocks cannot be aligned with all OFDM symbols of a transmission frame. Furthermore, 5G-NR numerology does not allow to use transform lengths shorter than 128 because this would lead to non-integer cyclic prefix (CP) lengths. In this article, we present new FC-processing schemes which solve the mentioned limitations. These schemes are based on dynamically adjusting the overlap periods and extrapolating the CP samples, which make it possible to align the FC blocks with each OFDM symbol, even in case of variable CP lengths. This reduces complexity and latency, e.g., in mini-slot transmissions and, as an example, allows to use 16-point transforms in case of a 12-subcarrier-wide subband allocation, greatly reducing the implementation complexity. On the receiver side, the proposed scheme makes it possible to effectively combine cascaded inverse and forward FFT units in FC-filtered OFDM processing. Transform decomposition is used to simplify these computations. Very extensive set of numerical results is also provided, in terms of radio-link performance and associated processing complexity.Comment: This work has been submitted to the IEEE Transactions on Wireless Communications for possible publication. Copyright may be transferred without notice, after which this version may no longer be accessibl

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

Flexible fast-convolution processing for cellular radio evolution

Orthogonal frequency-division multiplexing (OFDM) has been selected as a baseline waveform for long-term evolution (LTE) and fifth-generation new radio (5G NR). Fast-convolution (FC)-based frequency-domain signal processing has been recently considered as an effective tool for transmitter and receiver side subband filtering of OFDM-based waveforms. However, for the original continuous FC-based model, the filtering can, in general, be configured in time-direction only with the granularity of half subframe, corresponding to 7, 14, or 28 symbols with 15 kHz, 30 kHz, or 60 kHz subcarrier spacing, respectively. In this paper, we present a symbol-synchronous FC-processing scheme flexibly allowing filter re-configuration with the time resolution equal to one OFDM symbol while supporting tight carrier-wise filtering for 5G NR in mixed-numerology scenarios with adjustable subcarrier spacings, center frequencies, and subband bandwidths, as well as providing co-existence with LTE. Proposed approach segments each stream of time-domain OFDM symbols into overlapping processing blocks of fixed size. Symbol synchronous processing is achieved by dynamically adjusting the overlap between the processing blocks while aligning the payload part of the processing block with the boundaries of the OFDM symbols. The proposed scheme is demonstrated to support the envisioned use cases of 5G NR and provide a flexible starting point for sixth generation (6G) development.acceptedVersionPeer reviewe

Single-Carrier Modulation versus OFDM for Millimeter-Wave Wireless MIMO

This paper presents results on the achievable spectral efficiency and on the energy efficiency for a wireless multiple-input-multiple-output (MIMO) link operating at millimeter wave frequencies (mmWave) in a typical 5G scenario. Two different single-carrier modem schemes are considered, i.e., a traditional modulation scheme with linear equalization at the receiver, and a single-carrier modulation with cyclic prefix, frequency-domain equalization and FFT-based processing at the receiver; these two schemes are compared with a conventional MIMO-OFDM transceiver structure. Our analysis jointly takes into account the peculiar characteristics of MIMO channels at mmWave frequencies, the use of hybrid (analog-digital) pre-coding and post-coding beamformers, the finite cardinality of the modulation structure, and the non-linear behavior of the transmitter power amplifiers. Our results show that the best performance is achieved by single-carrier modulation with time-domain equalization, which exhibits the smallest loss due to the non-linear distortion, and whose performance can be further improved by using advanced equalization schemes. Results also confirm that performance gets severely degraded when the link length exceeds 90-100 meters and the transmit power falls below 0 dBW.Comment: accepted for publication on IEEE Transactions on Communication

Review of Recent Trends

This work was partially supported by the European Regional Development Fund (FEDER), through the Regional Operational Programme of Centre (CENTRO 2020) of the Portugal 2020 framework, through projects SOCA (CENTRO-01-0145-FEDER-000010) and ORCIP (CENTRO-01-0145-FEDER-022141). Fernando P. Guiomar acknowledges a fellowship from “la Caixa” Foundation (ID100010434), code LCF/BQ/PR20/11770015. Houda Harkat acknowledges the financial support of the Programmatic Financing of the CTS R&D Unit (UIDP/00066/2020).MIMO-OFDM is a key technology and a strong candidate for 5G telecommunication systems. In the literature, there is no convenient survey study that rounds up all the necessary points to be investigated concerning such systems. The current deeper review paper inspects and interprets the state of the art and addresses several research axes related to MIMO-OFDM systems. Two topics have received special attention: MIMO waveforms and MIMO-OFDM channel estimation. The existing MIMO hardware and software innovations, in addition to the MIMO-OFDM equalization techniques, are discussed concisely. In the literature, only a few authors have discussed the MIMO channel estimation and modeling problems for a variety of MIMO systems. However, to the best of our knowledge, there has been until now no review paper specifically discussing the recent works concerning channel estimation and the equalization process for MIMO-OFDM systems. Hence, the current work focuses on analyzing the recently used algorithms in the field, which could be a rich reference for researchers. Moreover, some research perspectives are identified.publishersversionpublishe

A general overview of cyclic transmultiplexers with cyclic modulation: Implementation and angular parametrization.

31 pages.This preprint provides a general framework for cyclic transmultiplexers (TMUXs) with cyclic modulation. This TMUX also corresponds to a multicarrier modulation system of the Filtered MultiTone (FMT) type where the linear convolution is replaced by a cyclic one, hence the name Cyclic Block FMT (CB-FMT). In this preprint we present the Perfect Reconstruction (PR) conditions in the time and frequency domains. A duality theorem is proved showing that each PR solution in the frequency domain is connected to a dual PR solution in the time domain. Then, two decomposition theorems are established leading to modular implementations of the cyclic TMUX. For one of this implementation we provide an angular parametrization that only involves angles corresponding to independent parameters. Finally, a procedure to reconstruct the prototype function from all the elementary blocks of the modular implementation is described step-by step

Mixed-numerology for radio access network slicing

Network slicing is a sustainable solution to support the various service types in future networks. In general, network slicing is composed of core network slicing and radio access network (RAN) slicing. The former can be realized by allocating dedicated virtualized core network functionalities to specific slices. Similarly, RAN slicing includes the virtualization and allocation of the limited RAN resources. From the physical layer perspective, supporting RAN slicing implies the need of unique radio-frequency (RF) and baseband (BB) configurations, i.e., numerology, for each slice to fulfil its quality of service requirements. To support such a heterogeneous mixed-numerology (MN) system, the transceiver architecture and widely used signal processing algorithms in the traditional single-service system need to be significantly changed. A clear understanding of mixed-numerology signals multiplexing and isolation is of importance to enable spectrum and computation efficient RAN slicing. Meanwhile, an effective channel estimation is the guarantee of performing almost all receiver signal processing. Fundamental channel estimation investigations also constitute a crucial piece of MN study. This thesis aims to systematically investigate the OFDM-based MN wireless communication systems in terms of system modeling, channel equalization/ estimation, and power allocation. First, a comprehensive mixed-numerology framework with two numerologies is proposed and characterized by physical layer parameters. According to the BB and RF configurations imparities among numerologies, four scenarios are categorized and elaborated on the configuration relationships of different numerologies. System models considering the most generic scenario are established for both uplink and downlink transmissions. Two theorems are proposed as the basis of MN algorithms design, which generalize the original circular convolution property of the discrete Fourier transform. The proposed theorems verifies the feasibility of the one-tap channel equalization in MN systems. However, they also indicate that both BB and RF configuration differences result in inter-numerology-interference (INI). Besides, severe signal distortion may occur when the transmitter and receiver numerologies are different. Therefore, a pre-coding algorithm is designed by utilizing the theorems to compensate the system degradation resulting from the signal distortion. INI cancellation algorithms are proposed based on collaboration detection scheme and joint numerologies signal models for downlink and uplink, respectively. Numerical results shows that the proposed algorithms are able to significantly improve the system performance. Another objective of this thesis is to verify the effectiveness of the existing channel estimation algorithms and to develop new ones in the presence of MN. To achieve these goals, three channel estimation methods, i.e., least-square linear interpolation, least-square ‘sinc’ interpolation, and minimum mean square error ‘sinc’ interpolation are implemented and theoretically analyzed in both single-user and multi-user scenarios. The analysis reveals that the pilot signal to noise ratio, pilot distance, and position of pilot signals jointly affect the channel estimation. In particular, a signal distortion factor caused by the RF configuration difference is spotted to seriously affect the channel estimation performance, whose values are mainly decided by the degree of configuration mismatch. On the other hand, INI also degrades the channel estimation in the MN system. The existence of interference-free subcarriers is demonstrated based on the derived closed-form expression of the INI. Pilot design principles in terms of pilot signal placement are developed according to the analyses. Numerical results shows that minimum mean square error based channel estimation has the best performance and robustness to the configuration mismatch. In addition, the proposed pilot design principles could produce comparable channel estimation results with the legacy OFDM systems where no INI and signal distortion exist. The two problems associated with the MN system, i.e., signal distortion and INI, could negatively affect the power distribution of the received MN signals, and the system performance in terms of spectrum efficiency may be seriously degraded. Consequently, it becomes outstandingly important to introduce an efficient subcarrier-level power allocation scheme in such kinds of systems to counter the performance degradation caused by the configuration mismatch. As such, this thesis makes the attempt to extend the two-numerology model to contain ‘M’ different numerologies. Based on the model, closed-form expressions of desired signal, interference, and noise are derived. The derivation shows that interference generated from different numeroloies are linearly superimposed in the frequency domain. The distribution of signal-to-interference-plus-noiseratio (SINR) is analyzed theoretically. An iterative convex approximation power allocation algorithm is proposed by applying the derived SINR. Results show that the power allocation algorithm contributes to remarkable spectrum efficiency improvement compare to the other schemes, and an extra subband filtering process could bring about even higher performance. The work presented in this thesis provides guidance for multi-numerology system design in terms of parameter selection, and the frame structure and algorithms design. Moreover, it presents a solution as to how the radio access network slicing can be underpinned in the physical layer in a spectrum efficient way

Channel estimation techniques for next generation mobile communication systems

Mención Internacional en el título de doctorWe are witnessing a revolution in wireless technology, where the society is demanding new services, such as smart cities, autonomous vehicles, augmented reality, etc. These challenging services not only are demanding an enormous increase of data rates in the range of 1000 times higher, but also they are real-time applications with an important delay constraint. Furthermore, an unprecedented number of different machine-type devices will be also connected to the network, known as Internet of Things (IoT), where they will be transmitting real-time measurements from different sensors. In this context, the Third Generation Partnership Project (3GPP) has already developed the new Fifth Generation (5G) of mobile communication systems, which should be capable of satisfying all the requirements. Hence, 5G will provide three key aspects, such as: enhanced mobile broad-band (eMBB) services, massive machine type communications (mMTC) and ultra reliable low latency communications (URLLC). In order to accomplish all the mentioned requirements, it is important to develop new key radio technologies capable of exploiting the wireless environment with a higher efficiency. Orthogonal frequency division multiplexing (OFDM) is the most widely used waveform by the industry, however, it also exhibits high side lobes reducing considerably the spectral efficiency. Therefore, filter-bank multi-carrier combined with offset quadrature amplitude modulation (FBMC-OQAM) is a waveform candidate to replace OFDM due to the fact that it provides extremely low out-ofband emissions (OBE). The traditional spectrum frequencies range is close to saturation, thus, there is a need to exploit higher bands, such as millimeter waves (mm-Wave), making possible the deployment of ultra broad-band services. However, the high path loss in these bands increases the blockage probability of the radio-link, forcing us to use massive multiple-input multiple-output (MIMO) systems in order to increase either the diversity or capacity of the overall link. All these emergent radio technologies can make 5G a reality. However, all their benefits can be only exploited under the knowledge and availability of the channel state information (CSI) in order to compensate the effects produced by the channel. The channel estimation process is a well known procedure in the area of signal processing for communications, where it is a challenging task due to the fact that we have to obtain a good estimator, maintaining at the same time the efficiency and reduced complexity of the system and obtaining the results as fast as possible. In FBMC-OQAM, there are several proposed channel estimation techniques, however, all of them required a high number of operations in order to deal with the self-interference produced by the prototype filter, hence, increasing the complexity. The existing channel estimation and equalization techniques for massive MIMO are in general too complex due to the large number of antennas, where we must estimate the channel response of each antenna of the array and perform some prohibitive matrix inversions to obtain the equalizers. Besides, for the particular case of mm-Wave, the existing techniques either do not adapt well to the dynamic ranges of signal-to-noise ratio (SNR) scenarios or they assume some approximations which reduce the quality of the estimator. In this thesis, we focus on the channel estimation for different emerging techniques that are capable of obtaining a better performance with a lower number of operations, suitable for low complexity devices and for URLLC. Firstly, we proposed new pilot sequences for FBMC-OQAM enabling the use of a simple averaging process in order to obtain the CSI. We show that our technique outperforms the existing ones in terms of complexity and performance. Secondly, we propose an alternative low-complexity way of computing the precoding/postcoding equalizer under the scenario of massive MIMO, keeping the quality of the estimator. Finally, we propose a new channel estimation technique for massive MIMO for mm-Wave, capable of adapting to very variable scenarios in terms of SNR and outperforming the existing techniques. We provide some analysis of the mean squared error (MSE) and complexity of each proposed technique. Furthermore, some numerical results are given in order to provide a better understanding of the problem and solutions.Programa de Doctorado en Multimedia y Comunicaciones por la Universidad Carlos III de Madrid y la Universidad Rey Juan CarlosPresidente: Antonia María Tulino.- Secretario: Máximo Morales Céspedes.- Vocal: Octavia A. Dobr