Matrix and Tensor-based ESPRIT Algorithm for Joint Angle and Delay Estimation in 2D Active Broadband Massive MIMO Systems and Analysis of Direction of Arrival Estimation Algorithms for Basal Ice Sheet Tomography

In this thesis, we apply and analyze three direction of arrival algorithms (DoA) to tackle two distinct problems: one belongs to wireless communication, the other to radar signal processing. Though the essence of these two problems is DoA estimation, their formulation, underlying assumptions, application scenario, etc. are totally different. Hence, we write them separately, with ESPRIT algorithm the focus of Part I and MUSIC and MLE detailed in Part II. For wireless communication scenario, mobile data traffic is expected to have an exponential growth in the future. In order to meet the challenge as well as the form factor limitation on the base station, 2D "massive MIMO" has been proposed as one of the enabling technologies to significantly increase the spectral efficiency of a wireless system. In "massive MIMO" systems, a base station will rely on the uplink sounding signals from mobile stations to figure out the spatial information to perform MIMO beamforming. Accordingly, multi-dimensional parameter estimation of a ray-based multi-path wireless channel becomes crucial for such systems to realize the predicted capacity gains. In the first Part, we study joint angle and delay estimation for 2D "massive MIMO" systems in mobile wireless communications. To be specific, we first introduce a low complexity time delay and 2D DoA estimation algorithm based on unitary transformation. Some closed-form results and capacity analysis are involved. Furthermore, the matrix and tensor-based 3D ESPRIT-like algorithms are applied to jointly estimate angles and delay. Significant improvements of the performance can be observed in our communication scheme. Finally, we found that azimuth estimation is more vulnerable compared to elevation estimation. Results suggest that the dimension of the antenna array at the base station plays an important role in determining the estimation performance. These insights will be useful for designing practical "massive MIMO" systems in future mobile wireless communications. For the problem of radar remote sensing of ice sheet topography, one of the key requirements for deriving more realistic ice sheet models is to obtain a good set of basal measurements that enables accurate estimation of bed roughness and conditions. For this purpose, 3D tomography of the ice bed has been successfully implemented with the help of DoA algorithms such as MUSIC and MLE techniques. These methods have enabled fine resolution in the cross-track dimension using synthetic aperture radar (SAR) images obtained from single pass multichannel data. In Part II, we analyze and compare the results obtained from the spectral MUSIC algorithm and an alternating projection (AP) based MLE technique. While the MUSIC algorithm is more attractive computationally compared to MLE, the performance of the latter is known to be superior in most situations. The SAR focused datasets provide a good case study to explore the performance of these two techniques to the application of ice sheet bed elevation estimation. For the antenna array geometry and sample support used in our tomographic application, MUSIC performs better originally using a cross-over analysis where the estimated topography from crossing flightlines are compared for consistency. However, after several improvements applied to MLE, i.e., replacing ideal steering vector generation with measured steering vectors, automatic determination of the number of scatter sources, smoothing the 3D tomography in order to get a more accurate height estimation and introducing a quality metric for the estimated signals, etc., MLE outperforms MUSIC. It confirms that MLE is indeed the optimal estimator for our particular ice bed tomographic application. We observe that, the spatial bottom smoothing, aiming to remove the artifacts made by MLE algorithm, is the most essential step in the post-processing procedure. The 3D tomography we obtained lays a good foundation for further analysis and modeling of ice sheets

Applications of compressive sensing to direction of arrival estimation

Die Schätzung der Einfallsrichtungen (Directions of Arrival/DOA) mehrerer ebener Wellenfronten mit Hilfe eines Antennen-Arrays ist eine der prominentesten Fragestellungen im Gebiet der Array-Signalverarbeitung. Das nach wie vor starke Forschungsinteresse in dieser Richtung konzentriert sich vor allem auf die Reduktion des Hardware-Aufwands, im Sinne der Komplexität und des Energieverbrauchs der Empfänger, bei einem vorgegebenen Grad an Genauigkeit und Robustheit gegen Mehrwegeausbreitung. Diese Dissertation beschäftigt sich mit der Anwendung von Compressive Sensing (CS) auf das Gebiet der DOA-Schätzung mit dem Ziel, hiermit die Komplexität der Empfängerhardware zu reduzieren und gleichzeitig eine hohe Richtungsauflösung und Robustheit zu erreichen. CS wurde bereits auf das DOA-Problem angewandt unter der Ausnutzung der Tatsache, dass eine Superposition ebener Wellenfronten mit einer winkelabhängigen Leistungsdichte korrespondiert, die über den Winkel betrachtet sparse ist. Basierend auf der Idee wurden CS-basierte Algorithmen zur DOA-Schätzung vorgeschlagen, die sich durch eine geringe Rechenkomplexität, Robustheit gegenüber Quellenkorrelation und Flexibilität bezüglich der Wahl der Array-Geometrie auszeichnen. Die Anwendung von CS führt darüber hinaus zu einer erheblichen Reduktion der Hardware-Komplexität, da weniger Empfangskanäle benötigt werden und eine geringere Datenmenge zu verarbeiten und zu speichern ist, ohne dabei wesentliche Informationen zu verlieren. Im ersten Teil der Arbeit wird das Problem des Modellfehlers bei der CS-basierten DOA-Schätzung mit gitterbehafteten Verfahren untersucht. Ein häufig verwendeter Ansatz um das CS-Framework auf das DOA-Problem anzuwenden ist es, den kontinuierlichen Winkel-Parameter zu diskreditieren und damit ein Dictionary endlicher Größe zu bilden. Da die tatsächlichen Winkel fast sicher nicht auf diesem Gitter liegen werden, entsteht dabei ein unvermeidlicher Modellfehler, der sich auf die Schätzalgorithmen auswirkt. In der Arbeit wird ein analytischer Ansatz gewählt, um den Effekt der Gitterfehler auf die rekonstruierten Spektra zu untersuchen. Es wird gezeigt, dass sich die Messung einer Quelle aus beliebiger Richtung sehr gut durch die erwarteten Antworten ihrer beiden Nachbarn auf dem Gitter annähern lässt. Darauf basierend wird ein einfaches und effizientes Verfahren vorgeschlagen, den Gitterversatz zu schätzen. Dieser Ansatz ist anwendbar auf einzelne Quellen oder mehrere, räumlich gut separierte Quellen. Für den Fall mehrerer dicht benachbarter Quellen wird ein numerischer Ansatz zur gemeinsamen Schätzung des Gitterversatzes diskutiert. Im zweiten Teil der Arbeit untersuchen wir das Design kompressiver Antennenarrays für die DOA-Schätzung. Die Kompression im Sinne von Linearkombinationen der Antennensignale, erlaubt es, Arrays mit großer Apertur zu entwerfen, die nur wenige Empfangskanäle benötigen und sich konfigurieren lassen. In der Arbeit wird eine einfache Empfangsarchitektur vorgeschlagen und ein allgemeines Systemmodell diskutiert, welches verschiedene Optionen der tatsächlichen Hardware-Realisierung dieser Linearkombinationen zulässt. Im Anschluss wird das Design der Gewichte des analogen Kombinations-Netzwerks untersucht. Numerische Simulationen zeigen die Überlegenheit der vorgeschlagenen kompressiven Antennen-Arrays im Vergleich mit dünn besetzten Arrays der gleichen Komplexität sowie kompressiver Arrays mit zufällig gewählten Gewichten. Schließlich werden zwei weitere Anwendungen der vorgeschlagenen Ansätze diskutiert: CS-basierte Verzögerungsschätzung und kompressives Channel Sounding. Es wird demonstriert, dass die in beiden Gebieten durch die Anwendung der vorgeschlagenen Ansätze erhebliche Verbesserungen erzielt werden können.Direction of Arrival (DOA) estimation of plane waves impinging on an array of sensors is one of the most important tasks in array signal processing, which have attracted tremendous research interest over the past several decades. The estimated DOAs are used in various applications like localization of transmitting sources, massive MIMO and 5G Networks, tracking and surveillance in radar, and many others. The major objective in DOA estimation is to develop approaches that allow to reduce the hardware complexity in terms of receiver costs and power consumption, while providing a desired level of estimation accuracy and robustness in the presence of multiple sources and/or multiple paths. Compressive sensing (CS) is a novel sampling methodology merging signal acquisition and compression. It allows for sampling a signal with a rate below the conventional Nyquist bound. In essence, it has been shown that signals can be acquired at sub-Nyquist sampling rates without loss of information provided they possess a sufficiently sparse representation in some domain and that the measurement strategy is suitably chosen. CS has been recently applied to DOA estimation, leveraging the fact that a superposition of planar wavefronts corresponds to a sparse angular power spectrum. This dissertation investigates the application of compressive sensing to the DOA estimation problem with the goal to reduce the hardware complexity and/or achieve a high resolution and a high level of robustness. Many CS-based DOA estimation algorithms have been proposed in recent years showing tremendous advantages with respect to the complexity of the numerical solution while being insensitive to source correlation and allowing arbitrary array geometries. Moreover, CS has also been suggested to be applied in the spatial domain with the main goal to reduce the complexity of the measurement process by using fewer RF chains and storing less measured data without the loss of any significant information. In the first part of the work we investigate the model mismatch problem for CS based DOA estimation algorithms off the grid. To apply the CS framework a very common approach is to construct a finite dictionary by sampling the angular domain with a predefined sampling grid. Therefore, the target locations are almost surely not located exactly on a subset of these grid points. This leads to a model mismatch which deteriorates the performance of the estimators. We take an analytical approach to investigate the effect of such grid offsets on the recovered spectra showing that each off-grid source can be well approximated by the two neighboring points on the grid. We propose a simple and efficient scheme to estimate the grid offset for a single source or multiple well-separated sources. We also discuss a numerical procedure for the joint estimation of the grid offsets of closer sources. In the second part of the thesis we study the design of compressive antenna arrays for DOA estimation that aim to provide a larger aperture with a reduced hardware complexity and allowing reconfigurability, by a linear combination of the antenna outputs to a lower number of receiver channels. We present a basic receiver architecture of such a compressive array and introduce a generic system model that includes different options for the hardware implementation. We then discuss the design of the analog combining network that performs the receiver channel reduction. Our numerical simulations demonstrate the superiority of the proposed optimized compressive arrays compared to the sparse arrays of the same complexity and to compressive arrays with randomly chosen combining kernels. Finally, we consider two other applications of the sparse recovery and compressive arrays. The first application is CS based time delay estimation and the other one is compressive channel sounding. We show that the proposed approaches for sparse recovery off the grid and compressive arrays show significant improvements in the considered applications compared to conventional methods

Array imperfection calibration for wireless channel multipath characterisation

As one of the fastest growing technologies in modern telecommunications, wireless networking has become a very important and indispensable part in our life. A good understanding of the wireless channel and its key physical parameters are extremely useful when we want to apply them into practical applications. In wireless communications, the wireless channel refers to the propagation of electromagnetic radiation from a transmitter to a receiver. The estimation of multipath channel parameters, such as angle of depature (AoD), angle of arrival (AoA), and time difference of arrival (TDoA), is an active research problem and its typical applications are radar, communication, vehicle navigation and localization in the indoor environment where the GPS service is impractical. However, the performance of the parameter estimation deteriorates significantly in the presence of array imperfections, which include the mutual coupling, antenna location error, phase uncertainty and so on. These array imperfections are hardly to be calibrated completely via antenna design. In this thesis, we experimentally evaluate an B matrix method to cope with these array imperfection, our results shows a great improvement of AoA estimation results

Array processing techniques for direction of arrival estimation, communications, and localization in vehicular and wireless sensor networks

Tese (doutorado)—Universidade de Brasília, Faculdade de Tecnologia, Departamento de Engenharia Elétrica, 2018.Técnicas de processamentos de sinais para comunicações sem fio tem sido um tópico de interesse para pesquisas há mais de três décadas. De acordo com o padrão Release 9 desenvolvido pelo consorcio 3rd Generation Partnership Project (3GPP) sistemas utilizando múltiplas antenas foram adotados na quarta geração (4G) dos sistemas de comunicação sem fio, também conhecida em inglês como Long Term Evolution (LTE). Para a quinta geração (5G) dos sistemas de comunicação sem fio centenas de antenas devem ser incorporadas aos equipamentos, na arquitetura conhecida em inglês como massive multi-user Multiple Input Multiple Output (MIMO). A presença de múltiplas antenas provê benefícios como o ganho do arranjo, ganho de diversidade, ganho espacial e redução de interferência. Além disso, arranjos de antenas possibilitam a filtragem espacial e a estimação de parâmetros, ambos podem ser usados para se resolver problemas que antes não eram vistos pelo prisma de processamento de sinais. O objetivo dessa tese é superar a lacuna entre a teoria de processamento de sinais e as aplicações da mesma em problemas reais. Tradicionalmente, técnicas de processamento de sinais assumem a existência de um arranjo de antenas ideal. Portanto, para que tais técnicas sejam exploradas em aplicações reais, um conjunto robusto de métodos para interpolação do arranjo é fundamental. Estes métodos são desenvolvidos nesta tese. Além disso problemas no campo de redes de sensores e redes veiculares são tratados nesta tese utilizando-se uma perspectiva de processamento de sinais. Nessa tesa métodos inovadores de interpolação de arranjos são apresentados e sua performance é testada utilizando-se cenários reais. Conceitos de processamento de sinais são implementados no contexto de redes de sensores. Esses conceitos possibilitam um nível de sincronização suficiente para a aplicação de sistemas de múltiplas antenas distribuídos, o que resulta em uma rede com maior vida útil e melhor performance. Métodos de processamento de sinais em arranjos são propostos para resolver o problema de localização baseada em sinais de rádio em redes veiculares, com aplicações em segurança de estradas e proteção de pedestres. Esta tese foi escrita em língua inglesa, um sumário em língua portuguesa é apresentado ao final da mesma.Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES).Array signal processing in wireless communication has been a topic of interest in research for over three decades. In the fourth generation (4G) of the wireless communication systems, also known as Long Term Evolution (LTE), multi antenna systems have been adopted according to the Release 9 of the 3rd Generation Partnership Project (3GPP). For the fifth generation (5G) of the wireless communication systems, hundreds of antennas should be incorporated to the devices in a massive multi-user Multiple Input Multiple Output (MIMO) architecture. The presence of multiple antennas provides array gain, diversity gain, spatial gain, and interference reduction. Furthermore, arrays enable spatial filtering and parameter estimation, which can be used to help solve problems that could not previously be addressed from a signal processing perspective. The aim of this thesis is to bridge some gaps between signal processing theory and real world applications. Array processing techniques traditionally assume an ideal array. Therefore, in order to exploit such techniques, a robust set of methods for array interpolation are fundamental and are developed in this work. Problems in the field of wireless sensor networks and vehicular networks are also addressed from an array signal processing perspective. In this dissertation, novel methods for array interpolation are presented and their performance in real world scenarios is evaluated. Signal processing concepts are implemented in the context of a wireless sensor network. These concepts provide a level of synchronization sufficient for distributed multi antenna communication to be applied, resulting in improved lifetime and improved overall network behaviour. Array signal processing methods are proposed to solve the problem of radio based localization in vehicular network scenarios with applications in road safety and pedestrian protection

Wavefield modeling and signal processing for sensor arrays of arbitrary geometry

Sensor arrays and related signal processing methods are key technologies in many areas of engineering including wireless communication systems, radar and sonar as well as in biomedical applications. Sensor arrays are a collection of sensors that are placed at distinct locations in order to sense physical phenomena or synthesize wavefields. Spatial processing from the multichannel output of the sensor array is a typical task. Such processing is useful in areas including wireless communications, radar, surveillance and indoor positioning. In this dissertation, fundamental theory and practical methods of wavefield modeling for radio-frequency array processing applications are developed. Also, computationally-efficient high-resolution and optimal signal processing methods for sensor arrays of arbitrary geometry are proposed. Methods for taking into account array nonidealities are introduced as well. Numerical results illustrating the performance of the proposed methods are given using real-world antenna arrays. Wavefield modeling and manifold separation for vector-fields such as completely polarized electromagnetic wavefields and polarization sensitive arrays are proposed. Wavefield modeling is used for writing the array output in terms of two independent parts, namely the sampling matrix depending on the employed array including nonidealities and the coefficient vector depending on the wavefield. The superexponentially decaying property of the sampling matrix for polarization sensitive arrays is established. Two estimators of the sampling matrix from calibration measurements are proposed and their statistical properties are established. The array processing methods developed in this dissertation concentrate on polarimetric beamforming as well as on high-resolution and optimal azimuth, elevation and polarization parameter estimation. The proposed methods take into account array nonidealities such as mutual coupling, cross-polarization effects and mounting platform reflections. Computationally-efficient solutions based on polynomial rooting techniques and fast Fourier transform are achieved without restricting the proposed methods to regular array geometries. A novel expression for the Cramér-Rao bound in array processing that is tight for real-world arrays with nonidealities in the asymptotic regime is also proposed. A relationship between spherical harmonics and 2-D Fourier basis, called equivalence matrix, is established. A novel fast spherical harmonic transform is proposed, and a one-to-one mapping between spherical harmonic and 2-D Fourier spectra is found. Improvements to the minimum number of samples on the sphere that are needed in order to avoid aliasing are also proposed

Array Auto-calibration

In this thesis, efficient methods are presented to calibrate large or small aperture array systems containing different types of uncertainties. specifically the challenge of reducing the number of external sources required to calibrate an array is addressed and array calibration methods suitable for use when sources may be operating in the "near-far" field of the array are developed. Together, this can ease the overheads involved in calibrating and recalibrating an array system. In addition to presenting novel array calibration algorithms, this thesis also presents a novel transformation allowing a planar array to be expressed as a virtual uniform linear array of a much larger number of elements. This allows the array manifold of a planar array, which in general consists of non-hyperhelical curves, to be expressed using a number of hyperhelices which each correspond to the array manifold of a linear array. This hyperhelical structure has the potential to ease calibration overheads as well as having many other potential applications in array processing. This thesis presents novel pilot and auto array calibration schemes for estimating different types of array uncertainties. A novel pilot calibration algorithm is proposed whereby a single source transmitting from a known location (i.e. a pilot) at two carrier frequencies is used to estimate geometrical uncertainties in a planar array. This is achieved by exploiting the frequency dependence on the boundary between the "near-far" and "far" field of the array. In addition, an auto-calibration method is presented which doesn't require any external sources to estimate array uncertainties. Here, geometrical, complex gain and local oscillator (i.e. frequency and phase) uncertainties associated with the array elements are considered. In this approach, array elements transmit in turn to the others which operate as an array receiver. Large and small array apertures are investigated. Throughout the thesis, extensive computer simulations are presented to analyse the performance of the algorithms developed.Open Acces

Spatiotemporal arrayed MIMO radar

In the last decade, Multiple Input Multiple Output (MIMO) radar has emerged as a leading candidate for stimulating major new advancement in radar theory. A fundamental challenge in MIMO radar is to identify a theoretical framework within which the radar system may be represented and analysed. In the relatively well-established field of Single Input Multiple Output (SIMO) array signal processing, this task has already been achieved using the array manifold (which is a geometric object that completely characterises the array system). A central objective of this thesis is therefore to bridge the gap between SIMO and MIMO by developing a manifold representation of the MIMO radar system. A new differential geometric framework, based on the complex Cartan matrix, is exploited in this thesis for characterising array manifold curves. New formulas are presented for recursively calculating the strictly orthonormal moving frame, U(s), and corresponding complex Cartan Matrix, C(s), for arbitrary array geometries. The circular approximation of the array manifold is derived under this new framework and compact closed-form expressions are provided for the popular uniform linear array geometry. Based on a number of approximations derived using the circular approximation of the array manifold, the performance capabilites of various popular detection and parameter estimation algorithms are investigated. The figure of merit "C" is then used to place these capabilities into the context of the theoretically ideal algorithm. The concept of a virtual SIMO array system is used as a basis for characterising the full MIMO radar configuration using a single equivalent response vector. By tracing out this response vector across the whole parameter space, a manifold is formed that fully characterises the MIMO radar system. In the important case of orthogonal transmit waveforms, the fundamental performance bounds of the MIMO radar system are studied. A space-time receiver architecture is proposed which exploits the virtual SIMO structure as part of a subspace-based joint Doppler, delay and direction of arrival (DOA) estimation framework. Due to the great computational burden of an exhaustive 3-parameter search, the joint Doppler-delay-DOA estimation is partitioned into an equivalent two-stage algorithm. The proposed approach is evaluated via computer simulation studies and shown to outperform existing methods.Open Acces