Genetic Algorithm-Based Beam Refinement for Initial Access in Millimeter Wave Mobile Networks

Initial access (IA) is identified as a key challenge for the upcoming 5G mobile communication system operating at high carrier frequencies, and several techniques are currently being proposed. In this paper, we extend our previously proposed efficient genetic algorithm-(GA-) based beam refinement scheme to include beamforming at both the transmitter and the receiver and compare the performance with alternative approaches in the millimeter wave multiuser multiple-input-multiple-output (MU-MIMO) networks. Taking the millimeter wave communications characteristics and various metrics into account, we investigate the effect of different parameters such as the number of transmit antennas/users/per-user receive antennas, beamforming resolutions, and hardware impairments on the system performance employing different beam refinement algorithms. As shown, our proposed GA-based approach performs well in delay-constrained networks with multiantenna users. Compared to the considered state-of-the-art schemes, our method reaches the highest service outage-constrained end-to-end throughput with considerably less implementation complexity. Moreover, taking the users\u27 mobility into account, our GA-based approach can remarkably reduce the beam refinement delay at low/moderate speeds when the spatial correlation is taken into account. Finally, we compare the cases of collaborative users and noncollaborative users and evaluate their difference in system performance

A Comparison of Beam Refinement Algorithms for Millimeter Wave Initial Access

Initial access (IA) is identified as a key challenge for the upcoming 5G mobile communication system operating at high carrier frequencies, and several techniques are currently being proposed. In this paper, we extend our previously proposed genetic algorithm (GA)-based beam refinement scheme to include beamforming at both the transmitter and the receiver, and compare the performance with alternative approaches in the millimeter wave multi-user multiple-input-multiple-output (MU-MIMO) networks. Taking the millimeter wave communications characteristics and various metrics into account, we investigate the effect of different parameters such as the number of transmit antennas/users/per-user receive antennas, beamforming resolution as well as hardware impairments on the system performance employing different beam refinement algorithms. As shown, our proposed GA-based approach performs well in delay-constrained networks with multi-antenna users. Compared to the considered state-of-the-art schemes, our method reaches the highest service outage-constrained end-to-end throughput with considerably less implementation complexity. Moreover, taking the users\u27 mobility into account, GA-based approach can remarkably reduce the beam refinement delay at low/moderate speeds when the spatial correlation is taken into account

Application of evolutionary computation techniques in emerging optimization problems in 5G and beyond wireless systems

Tese (doutorado) - Universidade Federal de Santa Catarina, Centro Tecnológico, Programa de Pós-Graduação em Engenharia Elétrica, Florianópolis, 2021.Os sistemas comunicação sem fio 5G e além (B5G, do inglês Beyong 5G) permitirão a plena implantação de aplicações existentes, como carros autônomos, redes de sensores massivas e casas inteligentes. Para tornar essas aplicações possíveis, requisitos rigorosos, como alta eficiência espectral e ultra baixa latência de comunicação, devem ser atendidos. Para atender a esses requisitos, diferentes tecnologias-chave estão em desenvolvimento, como comunicações de Ondas Milimétricas (mmWave, do inglês Millimeter Wave) e Superfícies Refletivas Inteligentes (IRS, do inglês Intelligent Reflecting Surfaces). As comunicações mmWave têm atraído grande interesse devido ao abundante espectro de frequência disponível, ao contrário das bandas congestionadas adotadas nas redes 4G. No entanto, as bandas mmWave apresentam características de propagação desfavoráveis. Para superar tais problemas de propagação, o uso de beamforming altamente direcional é uma solução eficaz. Além disso, recentemente, uma tecnologia de baixo custo e alta eficiência energética denominada IRS, uma meta-superfície equipada com um grande número de elementos passivos de baixo custo, capaz de refletir o sinal incidente com uma dada mudança de fase/amplitude, foi desenvolvida para otimizar a capacidade da rede. Implantando densamente IRSs em redes de comunicação sem fio e coordenando seus elementos de maneira inteligente, os canais sem fio entre o transmissor e o receptor podem ser intencional e deterministicamente controlados para melhorar a qualidade do sinal no receptor. Embora essas tecnologias tenham inúmeros benefícios para o desempenho do sistema, elas apresentam muitos desafios em sua implantação. Mais especificamente, embora as bandas mmWave permitam considerar o uso de beamforming altamente direcional tanto na BS quanto no UE, isto pode representar um desafio para o processo de Acesso Inicial (IA, do inglês Initial Access) pois, uma vez que a transmissão omnidirecional não pode ser aplicada, devido ao seu baixo ganho de potência e SNR recebido, a duração geral do IA pode ser muito longa. O atraso causado pela busca direcional deve ser pequeno para atender a alguns dos requisitos das redes B5G como baixa latência de ponta-a-ponta. Além disso, apesar da capacidade das IRSs de controlar os canais sem fio, o projeto do beamforming na BS e na IRS é um problema desafiador devido à necessidade de estimar a informação de estado do canal (CSI, do inglês Channel State Information) de todos os links do sistema. No entanto, para estimar o CSI entre a IRS e a BS ou entre a IRS e o UE, cada elemento da IRS precisa ser equipado com uma cadeia de radiofrequência (RF, do inglês Radio Frequency), o que aumenta consideravelmente o custo e o consumo de energia do sistema e vai contra algumas das principais vantagens de utilizar IRSs em sistemas de comunicação sem fio. Portanto, motivados pelos problemas emergentes acima, nesta tese, pretendemos desenvolver novos métodos baseados em técnicas de Computação Evolutiva tais como, Algoritmos Genéticos (GA, do inglês Genetic Algorithm) e Otimização por Enxame de Partículas (PSO, do inglês Particle Swarm Optimization), visando resolver o problema de IA e realizar o projeto do beamforming na BS e IRS sem conhecimento prévio do CSI na BS. Os resultados obtidos nesta tese mostram que os métodos desenvolvidos podem reduzir consideravelmente o atraso e alcançar um desempenho próximo ao ótimo no problema de projeto do beamforming na BS e IRS com sobrecarga de treinamento reduzida.Abstract: Beyond 5G (B5G) wireless systems will enable the deployment of demanding applications such as autonomous cars, massive sensor networks, and smart homes. To make these applications possible, stringent requirements such as improved spectrum efficiency and low communication latency must be fulfilled. In order to meet these requirements, different key technologies are in development such as millimeter Wave (mmWave) communications and Intelligent Reflecting Surfaces (IRS). The mmWave communications have attracted great interest due to the abundant available spectrum, unlike the congested bands adopted in the 4G networks. However, the mmWave bands present poor propagation characteristics. To overcome these propagation issues, the use of highly directional beamforming is an effective solution. In addition, recently, an energy-efficient and low-cost technology named IRS, which is a meta-surface equipped with a large number of low-cost passive elements, capable of reflecting the incident signal with a given phase/amplitude shift, was developed to increase the network capacity. By densely deploying IRSs in wireless communication networks and intelligently coordinating their elements, the wireless channels between the transmitter and receiver can be intentionally and deterministically controlled to improve the signal quality at the receiver. Although these technologies have uncountable benefits for the system performance, they present many challenges in their deployment. More specifically, although the mmWave bands allow to consider highly directional beamforming at the BS and UE, this can be challenging for the Initial Access (IA) process. Since omnidirectional transmission may not be applied, due to its low power gain and received SNR, the overall duration of IA can be very long. The delay caused by directional search must be small to meet some of the B5G requirements for low end-to-end latency. Moreover, despite the capacity of controlling the wireless channels of the IRSs, designing the beamforming at the BS and at the IRS is a challenging problem due to the necessity of estimating the channel state information (CSI) of all system links. However, to estimate the CSI between IRS and BS or between IRS and UE, each element of the IRS needs to be equipped with one radio-frequency (RF) chain which greatly increases the cost and energy consumption of the system and goes against some of the original advantages of using an IRS. Therefore, motivated by the above emerging problems, in this thesis, we intend to develop new methods based on Evolutionary Computation techniques, i.e., Genetic Algorithms (GA) and Particle Swarm Optimization (PSO), to solve the IA problem and to design the beamforming at the BS and IRS without CSI. Results show that the developed methods can reduce the IA delay and achieve a close-to-optimal performance in the IRS beamforming problem with reduced training overhead

Adaptive beamwidth optimization under Doppler ICI and positioning errors at mmWave bands

The growing trends towards massive antenna arrays with focusing capabilities has enabled the use of higher frequencies at the cost of more complex systems. In the particular case of vehicular communications, millimeter-wave (mmWave) communications are expected to unleash a set of advanced use cases with stringent spectrum needs. However, dealing with very directive patterns and high frequencies entail additional challenges such as beam misalignment and Doppler effect. This paper presents a beam optimization procedure for vehicle-to-network (V2N) systems in which a base station communicates with high-speed users. Aided by the a priori knowledge of the vehicle location, the base station is able to estimate the average signal-to-interference-plus-noise ratio (SINR) until the next beam refresh considering the positioning accuracy and the Doppler inter-carrier interference (ICI). The estimation includes the antenna beamwidth, which can be optimized to maximize the achievable throughput. The numerical results indicate that the SINR can be significantly enhanced compared to beam sweeping with identical hierarchical codebooks while reducing the probability of outage.This work was partly funded by the Spanish Ministerio de Economía y Competitividad under the projects PID2019-107885GB- C31 and MDM2016-0600, the Catalan Research Group 2017 SGR 219, and “Industrial Doctorate” programme of the Agència de Gestió d’Ajuts Universitaris i de Recerca (2018-DI-084). The Spanish Ministerio de Universidades contributes via a predoctoral grant to the first author (FPU17/05561).Peer ReviewedPostprint (published version

Towards Context Information-based High-Performing Connectivity in Internet of Vehicle Communications

Internet-of-vehicles (IoV) is one of the most important use cases in the fifth generation (5G) of wireless networks and beyond. Here, IoV communications refer to two types of scenarios: serving the in-vehicle users with moving relays (MRs); and supporting vehicle-to-everything (V2X) communications for, e.g., connected vehicle functionalities. Both of them can be achieved by transceivers on top of vehicles with growing demand for quality of service (QoS), such as spectrum efficiency, peak data rate, and coverage probability. However, the performance of MRs and V2X is limited by challenges such as the inaccurate prediction/estimation of the channel state information (CSI), beamforming mismatch, and blockages. Knowing the environment and utilizing such context information to assist communication could alleviate these issues. This thesis investigates various context information-based performance enhancement schemes for IoV networks, with main contributions listed as follows.In order to mitigate the channel aging issue, i.e., the CSI becomes inaccurate soon at high speeds, the first part of the thesis focuses on one way to increase the prediction horizon of CSI in MRs: predictor antennas (PAs). A PA system is designed as a system with two sets of antennas on the roof of a vehicle, where the PAs positioned at the front of the vehicle are used to predict the CSI observed by the receive antennas (RAs) that are aligned behind the PAs. In PA systems, however, the benefit is affected by a variety of factors. For example, 1) spatial mismatch between the point where the PA estimates the channel and the point where the RA reaches several time slots later, 2) antenna utilization efficiency of the PA, 3) temporal evolution, and 4) estimation error of the PA-base station (BS) channel. First, in Paper A, we study the PA system in the presence of the spatial mismatch problem, and propose an analytical channel model which is used for rate adaptation. In paper B, we propose different approximation schemes for the analytical investigation of PA systems, and study the effect of different parameters on the network performance. Then, involving PAs into data transmission, Paper C and Paper D analyze the outage- and the delay-limited performance of PA systems using hybrid automatic repeat request (HARQ), respectively. As we show in the analytical and the simulation results in Papers C-D, the combination of PA and HARQ protocols makes it possible to improve spectral efficiency and adapt the transmission parameters to mitigate the effect of spatial mismatch. Finally, a review of PA studies in the literature, the challenges and potentials of PA as well as some to-be-solved issues are presented in Paper E.The second part of the thesis focuses on using advanced technologies to further improve the MR/IoV performance. In Paper F, a cooperative PA scheme in IoV networks is proposed to mitigate both the channel aging effect and blockage sensitivity in millimeter-wave channels by collaborative vehicles and BS handover. Then, in Paper G, we study the potentials and challenges of dynamic blockage pre-avoidance in IoV networks

Predictor Antenna Systems: Exploiting Channel State Information for Vehicle Communications

Vehicle communication is one of the most important use cases in the fifth generation of wireless networks (5G).\ua0 The growing demand for quality of service (QoS) characterized by performance metrics, such as spectrum efficiency, peak data rate, and outage probability, is mainly limited by inaccurate prediction/estimation of channel state information (CSI) of the rapidly changing environment around moving vehicles. One way to increase the prediction horizon of CSI in order to improve the QoS is deploying predictor antennas (PAs).\ua0 A PA system consists of two sets of antennas typically mounted on the roof of a vehicle, where the PAs positioned at the front of the vehicle are used to predict the CSI observed by the receive antennas (RAs) that are aligned behind the PAs. In realistic PA systems, however, the actual benefit is affected by a variety of factors, including spatial mismatch, antenna utilization, temporal correlation of scattering environment, and CSI estimation error. This thesis investigates different resource allocation schemes for the PA systems under practical constraints, with main contributions summarized as follows.First, in Paper A, we study the PA system in the presence of the so-called spatial mismatch problem, i.e., when the channel observed by the PA is not exactly the same as the one experienced by the RA. We derive closed-form expressions for the throughput-optimized rate adaptation, and evaluate the system performance in various temporally-correlated conditions for the scattering environment. Our results indicate that PA-assisted adaptive rate adaptation leads to a considerable performance improvement, compared to the cases with no rate adaptation. Then, to simplify e.g., various integral calculations as well as different operations such as parameter optimization, in Paper B, we propose a semi-linear approximation of the Marcum Q-function, and apply the proposed approximation to the evaluation of the PA system. We also perform deep analysis of the effect of various parameters such as antenna separation as well as CSI estimation error. As we show, our proposed approximation scheme enables us to analyze PA systems with high accuracy.The second part of the thesis focuses on improving the spectral efficiency of the PA system by involving the PA into data transmission. In Paper C, we analyze the outage-limited performance of PA systems using hybrid automatic repeat request (HARQ). With our proposed approach, the PA is used not only for improving the CSI in the retransmissions to the RA, but also for data transmission in the initial round.\ua0 As we show in the analytical and the simulation results, the combination of PA and HARQ protocols makes it possible to improve the spectral efficiency and adapt transmission parameters to mitigate the effect of spatial mismatch

Predictor Antenna Systems: Exploiting Channel State Information for Vehicle Communications

Vehicle communication is one of the most important use cases in the fifth generation of wireless networks (5G). The growing demand for quality of service (QoS) characterized by performance metrics, such as spectrum efficiency, peak data rate, and outage probability, is mainly limited by inaccurate prediction/estimation of channel state information (CSI) of the rapidly changing environment around moving vehicles. One way to increase the prediction horizon of CSI in order to improve the QoS is deploying predictor antennas (PAs). A PA system consists of two sets of antennas typically mounted on the roof of a vehicle, where the PAs positioned at the front of the vehicle are used to predict the CSI observed by the receive antennas (RAs) that are aligned behind the PAs. In realistic PA systems, however, the actual benefit is affected by a variety of factors, including spatial mismatch, antenna utilization, temporal correlation of scattering environment, and CSI estimation error. This thesis investigates different resource allocation schemes for the PA systems under practical constraints.Comment: Licentiate thesis, Chalmers University of Technolog

Design and Analysis of Antenna Feeding Networks Based on the Rotman Lens Using Interval Analysis (IA)

A new method for the design of antenna array feeding networks has been proposed in this work. In particular, the considered feeding networks are based on the Rotman lens. By knowing the maximum errors on the fabrication tolerances, the arithmetic of intervals and interval analysis (IA) are used for determining the lower and upper bounds of the antenna feeding network parameters of interest. Representative and preliminary numerical results are reported to show the potentialities of the proposed method. An experimental X-band Rotman lens prototype has been designed, fabricated, and assessed. The obtained results are quite good

On Topology Optimization and Routing in Integrated Access and Backhaul Networks: A Genetic Algorithm-Based Approach

In this paper, we study the problem of topology optimization and routing in integrated access and backhaul (IAB) networks, as one of the promising techniques for evolving 5G networks. We study the problem from different perspectives. We develop efficient genetic algorithm-based schemes for both IAB node placement and non-IAB backhaul link distribution, and evaluate the effect of routing on bypassing temporal blockages. Here, concentrating on millimeter wave-based communications, we study the service coverage probability, defined as the probability of the event that the user equipments\u27 (UEs) minimum rate requirements are satisfied. Moreover, we study the effect of different parameters such as the antenna gain, blockage, and tree foliage on the system performance. Finally, we summarize the recent Rel-16 as well as the upcoming Rel-17 3GPP discussions on routing in IAB networks, and discuss the main challenges for enabling mesh-based IAB networks. As we show, with a proper network topology, IAB is an attractive approach to enable the network densification required by 5G and beyond