Transmit and receive techniques for MIMO-OFDM systems

Ph.DDOCTOR OF PHILOSOPH

Multiple-Input Multiple-Output Detection Algorithms for Generalized Frequency Division Multiplexing

Since its invention, cellular communication has dramatically transformed personal lifes and the evolution of mobile networks is still ongoing. Evergrowing demand for higher data rates has driven development of 3G and 4G systems, but foreseen 5G requirements also address diverse characteristics such as low latency or massive connectivity. It is speculated that the 4G plain cyclic prefix (CP)-orthogonal frequency division multiplexing (OFDM) cannot sufficiently fulfill all requirements and hence alternative waveforms have been in-vestigated, where generalized frequency division multiplexing (GFDM) is one popular option. An important aspect for any modern wireless communication system is the application of multi-antenna, i.e. MIMO techiques, as MIMO can deliver gains in terms of capacity, reliability and connectivity. Due to its channel-independent orthogonality, CP-OFDM straightforwardly supports broadband MIMO techniques, as the resulting inter-antenna interference (IAI) can readily be resolved. In this regard, CP-OFDM is unique among multicarrier waveforms. Other waveforms suffer from additional inter-carrier interference (ICI), inter-symbol interference (ISI) or both. This possibly 3-dimensional interference renders an optimal MIMO detection much more complex. In this thesis, weinvestigate how GFDM can support an efficient multiple-input multiple-output (MIMO) operation given its 3-dimensional interference structure. To this end, we first connect the mathematical theory of time-frequency analysis (TFA) with multicarrier waveforms in general, leading to theoretical insights into GFDM. Second, we show that the detection problem can be seen as a detection problem on a large, banded linear model under Gaussian noise. Basing on this observation, we propose methods for applying both space-time code (STC) and spatial multiplexing techniques to GFDM. Subsequently, we propose methods to decode the transmitted signals and numerically and theoretically analyze their performance in terms of complexiy and achieved frame error rate (FER). After showing that GFDM modulation and linear demodulation is a direct application of Gabor expansion and transform, we apply results from TFA to explain singularities of the modulation matrix and derive low-complexity expressions for receiver filters. We derive two linear detection algorithms for STC encoded GFDM signals and we show that their performance is equal to OFDM. In the case of spatial multiplexing, we derive both non-iterative and iterative detection algorithms which base on successive interference cancellation (SIC) and minimum mean squared error (MMSE)-parallel interference cancellation (PIC) detection, respectively. By analyzing the error propagation of the SIC algorithm, we explain its significantly inferior performance compared to OFDM. Using feedback information from the channel decoder, we can eventually show that near-optimal GFDM detection can outperform an optimal OFDM detector by up to 3dB for high SNR regions. We conclude that GFDM, given the obtained results, is not a general-purpose replacement for CP-OFDM, due to higher complexity and varying performance. Instead, we can propose GFDM for scenarios with strong frequency-selectivity and stringent spectral and FER requirements

Advanced Channel Estimation Techniques for Multiple-Input Multiple-Output Multi-Carrier Systems in Doubly-Dispersive Channels

Flexible numerology of the physical layer has been introduced in the latest release of 5G new radio (NR) and the baseline waveform generation is chosen to be cyclic-prefix based orthogonal frequency division multiplexing (CP-OFDM). Thanks to the narrow subcarrier spacing and low complexity one tap equalization (EQ) of OFDM, it suits well to time-dispersive channels. For the upcoming 5G and beyond use-case scenarios, it is foreseen that the users might experience high mobility conditions. While the frame structure of the 5G NR is designed for long coherence times, the synchronization and channel estimation (CE) procedures are not fully and reliably covered for diverse applications. The research on alternative multi-carrier waveforms has brought up valuable results in terms of spectral efficiency, applications coexistence and flexibility. Nevertheless, the receiver design becomes more challenging for multiple-input multiple-output (MIMO) non-orthogonal multi-carriers because the receiver must deal with multiple dimensions of interference. This thesis aims to deliver accurate pilot-aided estimations of the wireless channel for coherent detection. Considering a MIMO non-orthogonal multi-carrier, e.g. generalized frequency division multiplexing (GFDM), we initially derive the classical and Bayesian estimators for rich multi-path fading channels, where we theoretically assess the choice of pilot design. Moreover, the well time- and frequency-localization of the pilots in non-orthogonal multi-carriers allows to reuse their energy from cyclic-prefix (CP). Taking advantage of this feature, we derive an iterative approach for joint CE and EQ of MIMO systems. Furthermore, exploiting the block-circularity of GFDM, we comprehensively analyze the complexity aspects, and propose a solution for low complexity implementation. Assuming very high mobility use-cases where the channel varies within the symbol duration, further considerations, particularly the channel coherence time must be taken into account. A promising candidate that is fully independent of the multi-carrier choice is unique word (UW) transmission, where the CP of random nature is replaced by a deterministic sequence. This feature, allows per-block synchronization and channel estimation for robust transmission over extremely doubly-dispersive channels. In this thesis, we propose a novel approach to extend the UW-based physical layer design to MIMO systems and we provide an in-depth study of their out-of-band emission, synchronization, CE and EQ procedures. Via theoretical derivations and simulation results, and comparisons with respect to the state-of-the-art CP-OFDM systems, we show that the proposed UW-based frame design facilitates robust transmission over extremely doubly-dispersive channels.:1 Introduction 1 1.1 Multi-Carrier Waveforms 1 1.2 MIMO Systems 3 1.3 Contributions and Thesis Structure 4 1.4 Notations 6 2 State-of-the-art and Fundamentals 9 2.1 Linear Systems and Problem Statement 9 2.2 GFDM Modulation 11 2.3 MIMO Wireless Channel 12 2.4 Classical and Bayesian Channel Estimation in MIMO OFDM Systems 15 2.5 UW-Based Transmission in SISO Systems 17 2.6 Summary 19 3 Channel Estimation for MIMO Non-Orthogonal Waveforms 21 3.1 Classical and Bayesian Channel Estimation in MIMO GFDM Systems 22 3.1.1 MIMO LS Channel Estimation 23 3.1.2 MIMO LMMSE Channel Estimation 24 3.1.3 Simulation Results 25 3.2 Basic Pilot Designs for GFDM Channel Estimation 29 3.2.1 LS/HM Channel Estimation 31 3.2.2 LMMSE Channel Estimation for GFDM 32 3.2.3 Error Characterization 33 3.2.4 Simulation Results 36 3.3 Interference-Free Pilot Insertion for MIMO GFDM Channel Estimation 39 3.3.1 Interference-Free Pilot Insertion 39 3.3.2 Pilot Observation 40 3.3.3 Complexity 41 3.3.4 Simulation Results 41 3.4 Bayesian Pilot- and CP-aided Channel Estimation in MIMO NonOrthogonal Multi-Carriers 45 3.4.1 Review on System Model 46 3.4.2 Single-Input-Single-Output Systems 47 3.4.3 Extension to MIMO 50 3.4.4 Application to GFDM 51 3.4.5 Joint Channel Estimation and Equalization via LMMSE Parallel Interference Cancellation 57 3.4.6 Complexity Analysis 61 3.4.7 Simulation Results 61 3.5 Pilot- and CP-aided Channel Estimation in Time-Varying Scenarios 67 3.5.1 Adaptive Filtering based on Wiener-Hopf Approac 68 3.5.2 Simulation Results 69 3.6 Summary 72 4 Design of UW-Based Transmission for MIMO Multi-Carriers 73 4.1 Frame Design, Efficiency and Overhead Analysis 74 4.1.1 Illustrative Scenario 74 4.1.2 CP vs. UW Efficiency Analysis 76 4.1.3 Numerical Results 77 4.2 Sequences for UW and OOB Radiation 78 4.2.1 Orthogonal Polyphase Sequences 79 4.2.2 Waveform Engineering for UW Sequences combined with GFDM 79 4.2.3 Simulation Results for OOB Emission of UW-GFDM 81 4.3 Synchronization 82 4.3.1 Transmission over a Centralized MIMO Wireless Channel 82 4.3.2 Coarse Time Acquisition 83 4.3.3 CFO Estimation and Removal 85 4.3.4 Fine Time Acquisition 86 4.3.5 Simulation Results 88 4.4 Channel Estimation 92 4.4.1 MIMO UW-based LMMSE CE 92 4.4.2 Adaptive Filtering 93 4.4.3 Circular UW Transmission 94 4.4.4 Simulation Results 95 4.5 Equalization with Imperfect Channel Knowledge 96 4.5.1 UW-Free Equalization 97 4.5.2 Simulation Results 99 4.6 Summary 102 5 Conclusions and Perspectives 103 5.1 Main Outcomes in Short 103 5.2 Open Challenges 105 A Complementary Materials 107 A.1 Linear Algebra Identities 107 A.2 Proof of lower triangular Toeplitz channel matrix being defective 108 A.3 Calculation of noise-plus-interference covariance matrix for Pilot- and CPaided CE 108 A.4 Bock diagonalization of the effective channel for GFDM 109 A.5 Detailed complexity analysis of Sec. 3.4 109 A.6 CRLB derivations for the pdf (4.24) 113 A.7 Proof that (4.45) emulates a circular CIR at the receiver 11

Transmission strategies for broadband wireless systems with MMSE turbo equalization

This monograph details efficient transmission strategies for single-carrier wireless broadband communication systems employing iterative (turbo) equalization. In particular, the first part focuses on the design and analysis of low complexity and robust MMSE-based turbo equalizers operating in the frequency domain. Accordingly, several novel receiver schemes are presented which improve the convergence properties and error performance over the existing turbo equalizers. The second part discusses concepts and algorithms that aim to increase the power and spectral efficiency of the communication system by efficiently exploiting the available resources at the transmitter side based upon the channel conditions. The challenging issue encountered in this context is how the transmission rate and power can be optimized, while a specific convergence constraint of the turbo equalizer is guaranteed.Die vorliegende Arbeit beschäftigt sich mit dem Entwurf und der Analyse von effizienten Übertragungs-konzepten für drahtlose, breitbandige Einträger-Kommunikationssysteme mit iterativer (Turbo-) Entzerrung und Kanaldekodierung. Dies beinhaltet einerseits die Entwicklung von empfängerseitigen Frequenzbereichs-entzerrern mit geringer Komplexität basierend auf dem Prinzip der Soft Interference Cancellation Minimum-Mean Squared-Error (SC-MMSE) Filterung und andererseits den Entwurf von senderseitigen Algorithmen, die durch Ausnutzung von Kanalzustandsinformationen die Bandbreiten- und Leistungseffizienz in Ein- und Mehrnutzersystemen mit Mehrfachantennen (sog. Multiple-Input Multiple-Output (MIMO)) verbessern. Im ersten Teil dieser Arbeit wird ein allgemeiner Ansatz für Verfahren zur Turbo-Entzerrung nach dem Prinzip der linearen MMSE-Schätzung, der nichtlinearen MMSE-Schätzung sowie der kombinierten MMSE- und Maximum-a-Posteriori (MAP)-Schätzung vorgestellt. In diesem Zusammenhang werden zwei neue Empfängerkonzepte, die eine Steigerung der Leistungsfähigkeit und Verbesserung der Konvergenz in Bezug auf existierende SC-MMSE Turbo-Entzerrer in verschiedenen Kanalumgebungen erzielen, eingeführt. Der erste Empfänger - PDA SC-MMSE - stellt eine Kombination aus dem Probabilistic-Data-Association (PDA) Ansatz und dem bekannten SC-MMSE Entzerrer dar. Im Gegensatz zum SC-MMSE nutzt der PDA SC-MMSE eine interne Entscheidungsrückführung, so dass zur Unterdrückung von Interferenzen neben den a priori Informationen der Kanaldekodierung auch weiche Entscheidungen der vorherigen Detektions-schritte berücksichtigt werden. Durch die zusätzlich interne Entscheidungsrückführung erzielt der PDA SC-MMSE einen wesentlichen Gewinn an Performance in räumlich unkorrelierten MIMO-Kanälen gegenüber dem SC-MMSE, ohne dabei die Komplexität des Entzerrers wesentlich zu erhöhen. Der zweite Empfänger - hybrid SC-MMSE - bildet eine Verknüpfung von gruppenbasierter SC-MMSE Frequenzbereichsfilterung und MAP-Detektion. Dieser Empfänger besitzt eine skalierbare Berechnungskomplexität und weist eine hohe Robustheit gegenüber räumlichen Korrelationen in MIMO-Kanälen auf. Die numerischen Ergebnisse von Simulationen basierend auf Messungen mit einem Channel-Sounder in Mehrnutzerkanälen mit starken räumlichen Korrelationen zeigen eindrucksvoll die Überlegenheit des hybriden SC-MMSE-Ansatzes gegenüber dem konventionellen SC-MMSE-basiertem Empfänger. Im zweiten Teil wird der Einfluss von System- und Kanalmodellparametern auf die Konvergenzeigenschaften der vorgestellten iterativen Empfänger mit Hilfe sogenannter Korrelationsdiagramme untersucht. Durch semi-analytische Berechnungen der Entzerrer- und Kanaldecoder-Korrelationsfunktionen wird eine einfache Berechnungsvorschrift zur Vorhersage der Bitfehlerwahrscheinlichkeit von SC-MMSE und PDA SC-MMSE Turbo Entzerrern für MIMO-Fadingkanäle entwickelt. Des Weiteren werden zwei Fehlerschranken für die Ausfallwahrscheinlichkeit der Empfänger vorgestellt. Die semi-analytische Methode und die abgeleiteten Fehlerschranken ermöglichen eine aufwandsgeringe Abschätzung sowie Optimierung der Leistungsfähigkeit des iterativen Systems. Im dritten und abschließenden Teil werden Strategien zur Raten- und Leistungszuweisung in Kommunikationssystemen mit konventionellen iterativen SC-MMSE Empfängern untersucht. Zunächst wird das Problem der Maximierung der instantanen Summendatenrate unter der Berücksichtigung der Konvergenz des iterativen Empfängers für einen Zweinutzerkanal mit fester Leistungsallokation betrachtet. Mit Hilfe des Flächentheorems von Extrinsic-Information-Transfer (EXIT)-Funktionen wird eine obere Schranke für die erreichbare Ratenregion hergeleitet. Auf Grundlage dieser Schranke wird ein einfacher Algorithmus entwickelt, der für jeden Nutzer aus einer Menge von vorgegebenen Kanalcodes mit verschiedenen Codierraten denjenigen auswählt, der den instantanen Datendurchsatz des Mehrnutzersystems verbessert. Neben der instantanen Ratenzuweisung wird auch ein ausfallbasierter Ansatz zur Ratenzuweisung entwickelt. Hierbei erfolgt die Auswahl der Kanalcodes für die Nutzer unter Berücksichtigung der Einhaltung einer bestimmten Ausfallwahrscheinlichkeit (outage probability) des iterativen Empfängers. Des Weiteren wird ein neues Entwurfskriterium für irreguläre Faltungscodes hergeleitet, das die Ausfallwahrscheinlichkeit von Turbo SC-MMSE Systemen verringert und somit die Zuverlässigkeit der Datenübertragung erhöht. Eine Reihe von Simulationsergebnissen von Kapazitäts- und Durchsatzberechnungen werden vorgestellt, die die Wirksamkeit der vorgeschlagenen Algorithmen und Optimierungsverfahren in Mehrnutzerkanälen belegen. Abschließend werden außerdem verschiedene Maßnahmen zur Minimierung der Sendeleistung in Einnutzersystemen mit senderseitiger Singular-Value-Decomposition (SVD)-basierter Vorcodierung untersucht. Es wird gezeigt, dass eine Methode, welche die Leistungspegel des Senders hinsichtlich der Bitfehlerrate des iterativen Empfängers optimiert, den konventionellen Verfahren zur Leistungszuweisung überlegen ist

Cooperative Communication over Underwater Acoustic Channels

As diverse and data-heavy underwater applications emerge, demanding requirements are further imposed on underwater wireless communication systems. Future underwater wireless communication networks might consist of both mobile and stationary nodes which exchange data such as control, telemetry, speech, and video signals among themselves as well as a central node located at a ship or onshore. The submerged nodes, which can, for example, take the form of an autonomous underwater vehicle/robot or diver, can be equipped with various sensors, sonars, video cameras, or other types of data acquisition instruments. Innovative physical layer solutions are therefore required to develop efficient, reliable, and high-speed transmission solutions tailored for challenging and diverse requirements of underwater applications. Building on the promising combination of multi-carrier and cooperative communication techniques, this dissertation investigates the fundamental performance bounds of cooperative underwater acoustic (UWA) communication systems taking into account the inherent unique characteristics of the UWA channel. We derive outage probability and capacity expressions for cooperative multi-carrier UWA systems with amplify-and-forward and decode-and-forward relaying. Through the derived expressions, we demonstrate the effect of several system and channel parameters on the performance. Furthermore, we investigate the performance of cooperative UWA systems in the presence of non-uniform Doppler distortion and propose receiver designs to mitigate the degrading Doppler effects

Convergence of packet communications over the evolved mobile networks; signal processing and protocol performance

In this thesis, the convergence of packet communications over the evolved mobile networks is studied. The Long Term Evolution (LTE) process is dominating the Third Generation Partnership Project (3GPP) in order to bring technologies to the markets in the spirit of continuous innovation. The global markets of mobile information services are growing towards the Mobile Information Society. The thesis begins with the principles and theories of the multiple-access transmission schemes, transmitter receiver techniques and signal processing algorithms. Next, packet communications and Internet protocols are referred from the IETF standards with the characteristics of mobile communications in the focus. The mobile network architecture and protocols bind together the evolved packet system of Internet communications to the radio access network technologies. Specifics of the traffic models are shortly visited for their statistical meaning in the radio performance analysis. Radio resource management algorithms and protocols, also procedures, are covered addressing their relevance for the system performance. Throughout these Chapters, the commonalities and differentiators of the WCDMA, WCDMA/HSPA and LTE are covered. The main outcome of the thesis is the performance analysis of the LTE technology beginning from the early discoveries to the analysis of various system features and finally converging to an extensive system analysis campaign. The system performance is analysed with the characteristics of voice over the Internet and best effort traffic of the Internet. These traffic classes represent the majority of the mobile traffic in the converged packet networks, and yet they are simple enough for a fair and generic analysis of technologies. The thesis consists of publications and inventions created by the author that proposed several improvements to the 3G technologies towards the LTE. In the system analysis, the LTE showed by the factor of at least 2.5 to 3 times higher system measures compared to the WCDMA/HSPA reference. The WCDMA/HSPA networks are currently available with over 400 million subscribers and showing increasing growth, in the meanwhile the first LTE roll-outs are scheduled to begin in 2010. Sophisticated 3G LTE mobile devices are expected to appear fluently for all consumer segments in the following years

MIMO Systems

In recent years, it was realized that the MIMO communication systems seems to be inevitable in accelerated evolution of high data rates applications due to their potential to dramatically increase the spectral efficiency and simultaneously sending individual information to the corresponding users in wireless systems. This book, intends to provide highlights of the current research topics in the field of MIMO system, to offer a snapshot of the recent advances and major issues faced today by the researchers in the MIMO related areas. The book is written by specialists working in universities and research centers all over the world to cover the fundamental principles and main advanced topics on high data rates wireless communications systems over MIMO channels. Moreover, the book has the advantage of providing a collection of applications that are completely independent and self-contained; thus, the interested reader can choose any chapter and skip to another without losing continuity

I/Q Imbalance in Multiantenna Systems: Modeling, Analysis and RF-Aware Digital Beamforming

Wireless communications has experienced an unprecedented increase in data rates, numbers of active devices and selection of applications during recent years. However, this is expected to be just a start for future developments where a wireless connection is seen as a fundamental resource for almost any electrical device, no matter where and when it is operating. Since current radio technologies cannot provide such services with reasonable costs or even at all, a multitude of technological developments will be needed. One of the most important subjects, in addition to higher bandwidths and flexible network functionalities, is the exploitation of multiple antennas in base stations (BSs) as well as in user equipment (UEs). That kind of multiantenna communications can boost the capacity of an individual UE-BS link through spatial antenna multiplexing and increase the quality as well as robustness of the link via antenna diversity. Multiantenna technologies provide improvements also on the network level through spatial UE multiplexing and sophisticated interference management. Additionally, multiple antennas can provide savings in terms of the dissipated power since transmission and reception can be steered more efficiently in space, and thus power leakage to other directions is decreased. However, several issues need to be considered in order to get multiantenna technologies widely spread. First, antennas and the associated transceiver chains are required to be simple and implementable with low costs. Second, size of the antennas and transceivers need to be minimized. Finally, power consumption of the system must be kept under control. The importance of these requirements is even emphasized when considering massive multiple-input multiple-output (MIMO) systems consisting of devices equipped with tens or even hundreds of antennas.In this thesis, we consider multiantenna devices where the associated transceiver chains are implemented in such a way that the requirements above can be met. In particular, we focus on the direct-conversion transceiver principle which is seen as a promising radio architecture for multiantenna systems due to its low costs, small size, low power consumption and good flexibility. Whereas these aspects are very promising, direct-conversion transceivers have also some disadvantages and are vulnerable to certain imperfections in the analog radio frequency (RF) electronics in particular. Since the effects of these imperfections usually get even worse when optimizing costs of the devices, the scope of the thesis is on the effects and mitigation of one of the most severe RF imperfection, namely in-phase/quadrature (I/Q) imbalance.Contributions of the thesis can be split into two main themes. First of them is multiantenna narrowband beamforming under transmitter (TX) and receiver (RX) I/Q imbalances. We start by creating a model for the signals at the TX and RX, both under I/Q imbalances. Based on these models we derive analytical expressions for the antenna array radiation patterns and notice that I/Q imbalance distorts not only the signals but also the radiation characteristics of the array. After that, stemming from the nature of the distortion, we utilize widely-linear (WL) processing, where the signals and their complex conjugates are processed jointly, for the beamforming task under I/Q imbalance. Such WL processing with different kind of statistical and adaptive beamforming algorithms is finally shown to provide a flexible operation as well as distortion-free signals and radiation patterns when being under various I/Q imbalance schemes.The second theme extends the work to wideband systems utilizing orthogonal frequency-division multiplexing (OFDM)-based waveforms. The focus is on uplink communications and BS RX processing in a multiuser MIMO (MU-MIMO) scheme where spatial UE multiplexing is applied and further UE multiplexing takes place in frequency domain through the orthogonal frequency-division multiple access (OFDMA) principle. Moreover, we include the effects of external co-channel interference into our analysis in order to model the challenges in heterogeneous networks. We formulate a flexible signal model for a generic uplink scheme where I/Q imbalance occurs on both TX and RX sides. Based on the model, we analyze the signal distortion in frequency domain and develop augmented RX processing methods which process signals at mirror subcarrier pairs jointly. Additionally, the proposed augmented methods are numerically shown to outperform corresponding per-subcarrier method in terms of the instantaneous signal-to-interference-and-noise ratio (SINR). Finally, we address some practical aspects and conclude that the augmented processing principle is a promising tool for RX processing in multiantenna wideband systems under I/Q imbalance.The thesis provides important insight for development of future radio networks. In particular, the results can be used as such for implementing digital signal processing (DSP)-based RF impairment mitigation in real world transceivers. Moreover, the results can be used as a starting point for future research concerning, e.g., joint effects of multiple RF impairments and their mitigation in multiantenna systems. Overall, this thesis and the associated publications can help the communications society to reach the ambitious aim of flexible, low-cost and high performance radio networks in the future