Ultra-Reliable Short-Packet Communications: Fundamental Limits and Enabling Technologies

The paradigm shift from 4G to 5G communications, anticipated to enable ultra-reliable low-latency communications (URLLC), will enforce a radical change in the design of wireless communication systems. Unlike in 4G systems, where the main objective is to provide a large transmission rate, in URLLC, as implied by its name, the objective is to enable transmissions with low latency and, simultaneously, very high reliability. Since low latency implies the use of short data packets, the tension between blocklength and reliability is studied in URLLC.Several key enablers for URLLC communications have been designated in the literature. Of special importance are diversity-enabling technologies such as multiantenna systems and feedback protocols. Furthermore, it is not only important to introduce additional diversity by means of the above examples, one must also guarantee that thescarce number of channel uses are used in an optimal way. Therefore, it is imperative to develop design guidelines for how to enable reliable detection of incoming data, how to acquire channel-state information, and how to construct efficient short-packet channel codes. The development of such guidelines is at the heart of this thesis. This thesis focuses on the fundamental performance of URLLC-enabling technologies. Specifically, we provide converse (upper) bounds and achievability (lower) bounds on the maximum coding rate, based on finite-blocklength information theory, for systems that employ the key enablers outlined above. With focus on the wireless channel, modeled via a block-fading assumption, we are able to provide answers to questions like: howto optimally utilize spatial and frequency diversity, how far from optimal short-packet channel codes perform, how multiantenna systems should be designed to serve a given number of users, and how to design feedback schemes when the feedback link is noisy. In particular, this thesis is comprised out of four papers. In Paper A, we study the short-packet performance over the Rician block-fading channel. In particular, we present achievability bounds for pilot-assisted transmission with several different decoders that allow us to quantify the impact, on the achievable performance, of imposed pilots and mismatched decoding. Furthermore, we design short-packet channel codes that perform within 1 dB of our achievability bounds. Paper B studies multiuser massive multiple-input multiple-output systems with short packets. We provide an achievability bound on the average error probability over quasistatic spatially correlated Rayleigh-fading channels. The bound applies to arbitrary multiuser settings, pilot-assisted transmission, and mismatched decoding. This makes it suitable to assess the performance in the uplink/downlink for arbitrary linear signal processing. We show that several lessons learned from infinite-blocklength analyses carry over to the finite-blocklength regime. Furthermore, for the multicell setting with randomly placed users, pilot contamination should be avoided at all cost and minimum mean-squared error signal processing should be used to comply with the stringent requirements of URLLC.In Paper C, we consider sporadic transmissions where the task of the receiver is to both detect and decode an incoming packet. Two novel achievability bounds, and a novel converse bound are presented for joint detection-decoding strategies. It is shown that errors associated with detection deteriorates performance significantly for very short packet sizes. Numerical results also indicate that separate detection-decoding strategies are strictly suboptimal over block-fading channels.Finally, in Paper D, variable-length codes with noisy stop-feedback are studied via a novel achievability bound on the average service time and the average error probability. We use the bound to shed light on the resource allocation problem between the forward and the feedback channel. For URLLC applications, it is shown that enough resources must be assigned to the feedback link such that a NACK-to-ACK error becomes rarer than the target error probability. Furthermore, we illustrate that the variable-length stop-feedback scheme outperforms state-of-the-art fixed-length no-feedback bounds even when the stop-feedback bit is noisy

A low complexity distributed differential scheme based on orthogonal space time block coding for decode-and-forward wireless relay networks

This work proposes a new differential cooperative diversity scheme with high data rate and low decoding complexity using the decode-and-forward protocol. The proposed model does not require either differential encoding or channel state information at the source node, relay nodes, or destination node where the data sequence is directly transmitted and the differential detection method is applied at the relay nodes and the destination node. The proposed technique enjoys a low encoding and decoding complexity at the source node, the relay nodes, and the destination node. Furthermore, the performance of the proposed strategy is analyzed by computer simulations in quasi-static Rayleigh fading channel and using the decode-and-forward protocol. The simulation results show that the proposed differential technique outperforms the corresponding reference strategies

Channel Estimation and Symbol Detection In Massive MIMO Systems Using Expectation Propagation

The advantages envisioned from using large antenna arrays have made massive multiple- input multiple-output systems (also known as massive MIMO) a promising technology for future wireless standards. Despite the advantages that massive MIMO systems provide, increasing the number of antennas introduces new technical challenges that need to be resolved. In particular, symbol detection is one of the key challenges in massive MIMO. Obtaining accurate channel state information (CSI) for the extremely large number of chan- nels involved is a difficult task and consumes significant resources. Therefore for Massive MIMO systems coherent detectors must be able to cope with highly imperfect CSI. More importantly, non-coherent schemes which do not rely on CSI for symbol detection become very attractive. Expectation propagation (EP) has been recently proposed as a low complexity algo- rithm for symbol detection in massive MIMO systems , where its performance is evaluated on the premise that perfect channel state information (CSI) is available at the receiver. However, in practical systems, exact CSI is not available due to a variety of reasons in- cluding channel estimation errors, quantization errors and aging. In this work we study the performance of EP in the presence of imperfect CSI due to channel estimation er- rors and show that in this case the EP detector experiences significant performance loss. Moreover, the EP detector shows a higher sensitivity to channel estimation errors in the high signal-to-noise ratio (SNR) regions where the rate of its performance improvement decreases. We investigate this behavior of the EP detector and propose a Modified EP detector for colored noise which utilizes the correlation matrix of the channel estimation error. Simulation results verify that the modified algorithm is robust against imperfect CSI and its performance is significantly improved over the EP algorithm, particularly in the higher SNR regions, and that for the modified detector, the slope of the symbol error rate (SER) vs. SNR plots are similar to the case of perfect CSI. Next, an algorithm based on expectation propagation is proposed for noncoherent symbol detection in large-scale SIMO systems. It is verified through simulation that in terms of SER, the proposed detector outperforms the pilotbased coherent MMSE detector for blocks as small as two symbols. This makes the proposed detector suitable for fast fading channels with very short coherence times. In addition, the SER performance of this detec- tor converges to that of the optimum ML receiver when the size of the blocks increases. Finally it is shown that for Rician fading channels, knowledge of the fading parameters is not required for achieving the SER gains. A channel estimation method was recently proposed for multi-cell massive MIMO sys- tems based on the eigenvalue decomposition of the correlation matrix of the received vectors (EVD-based). This algorithm, however, is sensitive to the size of the antenna array as well as the number of samples used in the evaluation of the correlation matrix. As the final work in this dissertation, we present a noncoherent channel estimation and symbol de- tection scheme for multi-cell massive MIMO systems based on expectation propagation. The proposed algorithm is initialized with the channel estimation result from the EVD- based method. Simulation results show that after a few iterations, the EP-based algorithm significantly outperforms the EVD-based method in both channel estimation and symbol error rate. Moreover, the EP-based algorithm is not sensitive to antenna array size or the inaccuracies of sample correlation matrix

Advanced wireless communications using large numbers of transmit antennas and receive nodes

The concept of deploying a large number of antennas at the base station, often called massive multiple-input multiple-output (MIMO), has drawn considerable interest because of its potential ability to revolutionize current wireless communication systems. Most literature on massive MIMO systems assumes time division duplexing (TDD), although frequency division duplexing (FDD) dominates current cellular systems. Due to the large number of transmit antennas at the base station, currently standardized approaches would require a large percentage of the precious downlink and uplink resources in FDD massive MIMO be used for training signal transmissions and channel state information (CSI) feedback. First, we propose practical open-loop and closed-loop training frameworks to reduce the overhead of the downlink training phase. We then discuss efficient CSI quantization techniques using a trellis search. The proposed CSI quantization techniques can be implemented with a complexity that only grows linearly with the number of transmit antennas while the performance is close to the optimal case. We also analyze distributed reception using a large number of geographically separated nodes, a scenario that may become popular with the emergence of the Internet of Things. For distributed reception, we first propose coded distributed diversity to minimize the symbol error probability at the fusion center when the transmitter is equipped with a single antenna. Then we develop efficient receivers at the fusion center using minimal processing overhead at the receive nodes when the transmitter with multiple transmit antennas sends multiple symbols simultaneously using spatial multiplexing

Multiuser non coherent massive MIMO schemes based on DPSK for future communication systems

The explosive usage of rich multimedia content in wireless devices has overloaded the communication networks. Moreover, the fifth generation (5G) of wireless communications involves new requirements in the radio access network (RAN) which require higher network capacities and new capabilities such as ultra-reliable and low-latency communication (URLLC), vehicular communications or augmented reality. All this has encouraged a remarkable spectrum crisis in the RF bands. A need for searching alternative techniques with more spectral efficiency to accommodate the needs of future emerging wireless communications is emerging. In this context, massive MIMO (m-MIMO) systems have been proposed as a promising solution for providing a substantial increase in the network capacity, becoming one of the key enabling technologies for 5G and beyond. m-MIMO provides high spectral- and energy-efficiency thanks to the deployment of a large number of antennas at the BS. However, we have to take into account that the current communication technologies are based on coherent transmission techniques so far, which require the transmission of a huge amount of signaling. This drawback is escalating with the excessive available number of antennas in m-MIMO. Therefore, the differential encoding and non coherent (NC) detection are an alternative solution to circumvent the drawbacks of m-MIMO in coherent systems. This Ph.D. Thesis is focused on signal processing techniques for NC detection in conjunction with m-MIMO, proposing new constellation designs and NC detection algorithms, where the information is transmitted in the signal differential phase. First, we design new constellation schemes for an uplink multiuser NC m-MIMO system in Rayleigh fading channels. These designs allow us to separate the users' signals at the receiver thanks to a one-to-one correspondence between the constellation for each user and the received joint constellation. Two approaches are considered in terms of BER: each user achieves a different performance and, on the other hand, the same performance is provided for all users. We analyze the number of antennas needed for those designs and compare to the required number by other designs in the literature. It is shown that our designs based on DPSK require a lower number of antennas than that required by their counterpart schemes based on energy. In addition, we compare the performance to their coherent counterpart systems, resulting NC-m-MIMO based on DPSK capable of outperforming the coherent systems with the suitable designs. Second, in order to reduce the number of antennas required for a target performance we propose a multi-user bit interleaved coded modulation - iterative decoding (BICM-ID) scheme as channel coding for a NC-m-MIMO system based on DPSK. We propose a novel NC approach for calculating EXIT curves based on the number of antennas. Then using the EXIT chart we find the best channel coding scheme for our NC-m-MIMO proposal. We show that the number of users served by the BS can be increased with a 70% reduction in the number of antennas with respect to the case without channel coding. In particular, we show that with 100 antennas for error protection equal design for all users and a coding rate of 1/2 we achieve the minimum probability of error. Third, we consider that current scenarios such as backhaul wireless systems, rural or suburban environments, and even new device-to-device (D2D) communications or the communications in higher frequencies (millimeter and the emerging ones in terahertz frequencies) can have a predominant line-of-sight (LOS) component, modeled by Rician fading. For all these new possible scenarios in 5G, we analyze the behavior of the NC m-MIMO systems when we have a Rician fading. We present a new constellation design to overcome the problem of the LOS channel component, as well as an associated detection algorithm to separate each user in reception taking into account the characterization of the constellation. In addition, for contemplating a more realistic scenario, we propose grouping users which experience a Rayleigh fading with those with Rician fading, analyzing the SINR and the performance of such combination in a multi-user NC m-MIMO system based on M-DPSK. The adequate user grouping allows unifying the constellation for both groups of users and the detection algorithm, reducing the complexity of the receiver. Also, the number of users that may be multiplexed may be further increased thanks to the improved performance. In the fourth part of this Thesis, we analyse the performance of multi-user NC m- MIMO based on DPSK in real environments and practical channels defined for the current standards such as LTE, the future technologies such as 5G and even for communications in the terahertz band. For this purpose, we use a metric to model the time-varying characteristics of the practical channels. We employ again the EXIT charts tool for analyzing and designing iteratively decoded systems. This analysis allows us to obtain an estimate of the degradation of the system's performance imposed by realistic channels. Hence, we show that our proposed system is robust to temporal variations, thus it is more recommendable the employment of NC-m-MIMO-DPSK in the future communication standards such as 5G. In order to reduce he number of hardware resources required in terms of RF chains, facilitating its implementation in a real system, we propose incorporating differential spatial modulation (DSM). We present and analyze a novel multiuser scheme for NC-m-MIMO combined with DSM with which we can see that the number of antennas is not a affected by the incorporation of DSM, even we have an improvement on the performance with respect to the coherent case. Finally, we study the viability of multiplexing users by constellation schemes against classical multiplexing techniques such as time division multiple access (TDMA). In order to fully characterize the system performance we analyze the block error rate (BLER) and the throughput of a NC-m-MIMO system. The results show a significant advantage regarding the number of antennas for multiplexing in the constellation against TDMA. However, in some cases, the demodulation of multiple users in constellation could require an excessively large number of antennas compared to TDMA. Therefore, it is necessary to properly manage the tradeoff between throughout and the number of antennas, to reach an optimal operational point, as shown in this Thesis.El inmenso uso de contenido multimedia en los dispositivos inalámbricos ha sobrecargado las redes de comunicaciones. Además, la quinta generación (5G) de sistemas de comunicaciones demanda nuevos requisitos para la red de acceso radio, la cual requiere ofrecer capacidades de red mayores y nuevas funcionalidades como comunicaciones ultra fiables y con muy poca letancia (URLLC), comunicaciones vehiculares o aplicaciones como la realidad aumentada. Todo esto ha propiciado una crisis notable en el espectro electromagnético, lo que ha llevado a una necesidad por buscar técnicas alternativas con más eficiencia espectral para acomodar todos los requisitos de las tecnologías de comunicaciones emergentes y futuras. En este contexto, los sistemas multi antena masivos, conocidos como massive MIMO, m-MIMO, han sido propuestos como una solución prometedora que proporciona un incremento substancial de la capacidad de red, convirtiéndose en una de las tecnologías claves para el 5G. Los sistemas m-MIMO elevan enormemente el número de antenas en la estación base, lo que les permite ofrecer alta eficiencia espectral y energética. No obstante, tenemos que tener en cuenta que las actuales tecnologías de comunicaciones emplean técnicas coherentes, las cuales requieren de información del estado del canal y por ello la transmisión de una enorme cantidad de información de señalización. Este inconveniente se ve agravado en el caso del m-MIMO debido al enorme número de antenas. Por ello, la codificación diferencial y la detección no coherente (NC) son una solución alternativa para solventar el problema de m-MIMO en los sistemas coherentes. Esta Tesis se centra en las técnicas de procesado de señal para detección NC junto con m-MIMO, proponiendo nuevos esquemas de constelación y algoritmos de detección NC, donde la información sea transmitida en la diferencia de fase de la señal. Primero, diseñamos nuevas constelaciones para un sistema multi usuario NC en m- MIMO en enlace ascendente (uplink) en canales con desvanecimiento tipo Rayleigh. Estos diseños nos permiten separar las señales de los usuarios en el receptor gracias a la correspondencia unívoca entre la constelación de cada usuario individual y la constelación conjunta recibida en la estación base. Hemos considerado dos enfoques para el diseño en términos de probabilidad de error: cada usuario consigue un rendimiento distinto, mientras que por otro lado, todos los usuarios son capaces de recibir las mismas prestaciones de probabilidad de error. Analizamos el número de antenas necesario para estos diseños y comparamos con el número requerido por otros diseños propuestos en la literatura. Nuestro diseño basado en DPSK requiere un número menor de antenas comparado con los sistemas basados en detección de energía. También comparamos con su homólogo coherente, resultando que NC-m-MIMO basado en DPSK es capaz de superar a los sistemas coherentes con los diseños adecuados. En segundo lugar, para reducir el número de antenas requerido para un rendimiento dado, proponemos incluir un esquema de codificación de canal. Hemos optado por un esquema de modulación codificado por bit entrelazado y decodificación iterativa (BICMID). Hemos empleado la herramienta EXIT chart para el diseño de la codificación de canal, proponiendo un nuevo enfoque para calcular las curvas EXIT de forma NC y basadas en el número de antenas. Los resultados muestran que el número de usuarios servidos por la estación base puede ser incrementado reduciendo un 70% el número de antenas con respecto al caso sin codificación de canal. En particular, para un array de 100 antenas y un diseño que ofrezca iguales prestaciones a todos los usuarios, con un código de tasa 1=2, podemos conseguir la mínima probabilidad de error. En tercer lugar, consideramos escenarios donde el canal tenga una componente predominante de visión directa (LOS) con la estación base modelada mediante un desvanecimiento tipo Rician. Por ejemplo, sistemas inalámbricos de backhaul, entornos rurales o sub urbanos, comunicaciones entre dispositivos (D2D), también cuando nos movemos hacia frecuencias superiores como son en la banda de milimétricas o más recientemente, la banda de terahercios para buscar mayores anchos de banda. Todos estos escenarios están contemplados en el futuro 5G. Los diseños presentados para canales Rayleigh ya no son válidos debido a la componente LOS del canal, por ello presentamos un nuevo diseño de constelación que resuelve el problema de la componente LOS, así como una guía para diseñar nuevas constelaciones. También proponemos un algoritmo asociado al diseñno de la constelación para poder separar a los usuarios en recepción. Además, para contemplar un escenario más realista donde podamos encontrar tanto desvanecimiento Rayleigh como Rice, proponemos agrupar usuarios de ambos grupos, analizando su rendimiento y relación señal a interferencia en la combinación. El adecuado agrupamiento permite unificar el diseño de la constelación para ambos desvanecimientos y por tanto reducir la complejidad en el receptor. También, el número de usuarios multiplicados en la constelación podría ser incrementado, gracias a la mejora en el rendimiento. El cuarto módulo de esta tesis es dedicado a analizar el rendimiento de los diseños propuestos en presencia de canales reales, donde disponemos de variabilidad temporal y en frecuencia. Proponemos usar una métrica que modela las características de la variabilidad temporal y, usando de nuevo la herramienta EXIT, analizamos los sistemas decodificados iterativamente considerando ahora los parámetros prácticos del canal. Este análisis nos permite obtener una estimación de la degradación que sufre el rendimiento del sistema impuesto por canales reales. Los resultados muestran que los sistemas NC-m-MIMO basados en DPSK son muy robustos a la variabilidad temporal por lo que son recomendables para los nuevos escenarios propuestos por el 5G, donde el canal cambia rápidamente. Otra consideración para introducir los sistemas NC con m-MIMO es la problemática de necesitar muchas cadenas de radio frecuencia que llevarían a tamaños de dispositivos enormes. Para reducir este número se propone la modulación espacial. En esta Tesis, estudiamos su uso con los sistemas NC, proponiendo una solución de modulación espacial diferencial para esquemas con múltiples usuarios combinado con NC-m-MIMO. Finalmente, estudiamos la viabilidad de multiplexar usuarios en la constelación frente a usar técnicas clásicas de multiplexación como TDMA. Para caracterizar completamente el rendimiento del sistema, analizamos la tasa de error de bloque (BLER) y el throughput de un sistema NC-m-MIMO. Los resultados muestran una ventaja significativa en cuanto al número de antennas para multiplexar usuarios en la constelación frente al requerido por TDMA. No obstante, en algunos casos, la demodulación de múltiples usuarios en la constelación podría requerir un número de antennas excesivamente grande comparado con la multiplexación en el tiempo. Por ello, es necesario gestionar adecuadamente un balance entre el throughput y el número de antenas para alcanzar un punto operacional óptimo, como se muestra en esta Tesis.Programa Oficial de Doctorado en Multimedia y Comunicaciones por la Universidad Carlos III de Madrid y la Universidad Rey Juan CarlosPresidente: Ana Isabel Pérez Neira.- Secretario: Máximo Morales Céspedes.- Vocal: María del Carmen Aguayo Torre

Towards an enhanced noncoherent massive MU-MIMO system

PhD ThesisMany multiple-input multiple-output (MIMO) downlink transmission schemes assume channel state information (CSI) is available at the receiver/transmitter. In practice, knowledge of CSI is often obtained by using pilot symbols transmitted periodically. However, for some systems, due to high mobility and the cost of channel training and estimation, CSI acquisition is not always feasible. The problem becomes even more difficult when many antennas are used in the system and the channel is changing very rapidly before training is completed. Moreover, as the number of transmit/receive antennas grows large, the number of pilot symbols, system overheads, latency, and power consumption will grow proportionately and thereby the system becomes increasingly complex. As an alternative, a noncoherent system may be used wherein the transmitter/receiver does not need any knowledge of the CSI to perform precoding or detection. This thesis focuses on the design of a noncoherent downlink transmission system to jointly improve the performance and achieve a simple low complexity transmission scheme in three MIMO system scenarios: low rate differential spacetime block coding (STBC) in a downlink multiuser (MU-MIMO) system; high rate differential algebraic STBC in a downlink MU-MIMO system; and differential downlink transmission in a massive MU-MIMO system. Three novel design methods for each of these systems are proposed and analysed thoroughly. For the MIMO system with a low rate noncoherent scheme, a differential STBC MU-MIMO system with a downlink transmission scheme is considered. Specifically, downlink precoding combined with differential modulation (DM) is used to shift the complexity from the receivers to the transmitter. The block diagonalization (BD) precoding scheme is used to cancel co-channel interference (CCI) in addition to exploiting its advantage of enhancing diversity. Since the BD scheme requires channel knowledge at the transmitter, the downlink spreading technique along with DM is also proposed, which does not require channel knowledge neither at the transmitter nor at the receivers. The orthogonal spreading (OS) scheme is employed to have similar principle as code division multiple access (CDMA) multiplexing scheme in order to eliminate the interference between users. As a STBC scheme, the Alamouti code is used that can be encoded/decoded using DM thereby eliminating the need for channel knowledge at the receiver. The proposed schemes yield low complexity transceivers while providing good performance. For the MIMO system with a high rate noncoherent scheme, a differential STBC MU-MIMO system that operates at a high data rate is considered. In particular, a full-rate full-diversity downlink algebraic transmission scheme combined with a differential STBC systems is proposed. To achieve this, perfect algebraic space time codes and Cayley differential (CD) transforms are employed. Since CSI is not needed at the differential receiver, differential schemes are ideal for multiuser systems to shift the complexity from the receivers to the transmitter, thus simplifying user equipment. Furthermore, OS matrices are employed at the transmitter to separate the data streams of different users and enable simple single user decoding. In the OS scheme, the transmitter does not require any knowledge of the CSI to separate the data streams of multiple users; this results in a system which does not need CSI at either end. With this system, to limit the number of possible codewords, a sphere decoder (SD) is used to decode the signals at the receiving end. The proposed scheme yields low complexity transceivers while providing full-rate full-diversity system with good performance. Lastly, a differential downlink transmission scheme is proposed for a massive MIMO system without explicit channel estimation. In particular, a downlink precoding technique combined with a differential encoding scheme is used to simplify the overall system complexity. A novel precoder is designed which, with a large number of transmit antennas, can effectively precancel the multiple access interference (MAI) for each user, thus enhancing the system performance. Maximising the worst case signal-to-interference-plus-noise ratio (SINR) is adopted to optimise the precoder for the users in which full power space profile (PSP) knowledge is available to the base station (BS). Also, two suboptimal solutions based on the matched and the orthogonality approach of PSP are provided to separate the data streams of multiple users. The decision feedback differential detection (DFDD) technique is employed to further improve the performance. In summary, the proposed methods eliminate MAI, enhance system performance, and achieve a simple low complexity system. Moreover, transmission overheads are significantly reduced, the proposed methods avoid explicit channel estimation at both ends.King Fahad Security Collage at the Ministry of Interior - Saudi Arabia