Spectrally and Energy Efficient Wireless Communications: Signal and System Design, Mathematical Modelling and Optimisation

This thesis explores engineering studies and designs aiming to meeting the requirements of enhancing capacity and energy efficiency for next generation communication networks. Challenges of spectrum scarcity and energy constraints are addressed and new technologies are proposed, analytically investigated and examined. The thesis commences by reviewing studies on spectrally and energy-efficient techniques, with a special focus on non-orthogonal multicarrier modulation, particularly spectrally efficient frequency division multiplexing (SEFDM). Rigorous theoretical and mathematical modelling studies of SEFDM are presented. Moreover, to address the potential application of SEFDM under the 5th generation new radio (5G NR) heterogeneous numerologies, simulation-based studies of SEFDM coexisting with orthogonal frequency division multiplexing (OFDM) are conducted. New signal formats and corresponding transceiver structure are designed, using a Hilbert transform filter pair for shaping pulses. Detailed modelling and numerical investigations show that the proposed signal doubles spectral efficiency without performance degradation, with studies of two signal formats; uncoded narrow-band internet of things (NB-IoT) signals and unframed turbo coded multi-carrier signals. The thesis also considers using constellation shaping techniques and SEFDM for capacity enhancement in 5G system. Probabilistic shaping for SEFDM is proposed and modelled to show both transmission energy reduction and bandwidth saving with advantageous flexibility for data rate adaptation. Expanding on constellation shaping to improve performance further, a comparative study of multidimensional modulation techniques is carried out. A four-dimensional signal, with better noise immunity is investigated, for which metaheuristic optimisation algorithms are studied, developed, and conducted to optimise bit-to-symbol mapping. Finally, a specially designed machine learning technique for signal and system design in physical layer communications is proposed, utilising the application of autoencoder-based end-to-end learning. Multidimensional signal modulation with multidimensional constellation shaping is proposed and optimised by using machine learning techniques, demonstrating significant improvement in spectral and energy efficiencies

Transmission Experiment of Bandwidth Compressed Carrier Aggregation in a Realistic Fading Channel

In this paper, an experimental testbed is designed to evaluate the performance of a bandwidth compressed multicarrier technique termed spectrally efficient frequency division multiplexing (SEFDM) in a carrier aggregation (CA) scenario1. Unlike orthogonal frequency division multiplexing (OFDM), SEFDM is a non-orthogonal waveform which, relative to OFDM, packs more sub-carriers in a given bandwidth, thereby improving spectral efficiency. CA is a long term evolution-advanced (LTE-Advanced) featured technique that offers a higher throughput by aggregating multiple legacy radio bands. Considering the scarcity of radio spectrum, SEFDM signals can be utilized to enhance CA performance. The combination of the two techniques results in a larger number of aggregated component carriers (CCs) and therefore increased data rate in a given bandwidth with no additional spectral allocation. It is experimentally shown that CA-SEFDM can aggregate up to 7 CCs in a limited bandwidth while CA-OFDM can only put 5 CCs in the same bandwidth. In this work, LTE-like framed CA-SEFDM signals are generated and delivered through a realistic LTE channel. A complete experimental setup is described together with error performance and effective spectral efficiency comparisons. Experimental results show that the measured BER performance for CA-SEFDM is very close to CA-OFDM and the effective spectral efficiency of CA-SEFDM can be substantially higher than that of CA-OFDM

Experimental Demonstration of Spectrally Efficient Frequency Division Multiplexing Transmissions at E-Band

This paper presents the design and the experimental demonstration of transmission of spectrally efficient frequency division multiplexing (SEFDM) signals, using a single 5-GHz channel, from 81 to 86 CHz in the E-hand frequency allocation. A purpose-built E-band SEFDM experimental demonstrator, consisting of transmitter and receiver GaAs microwave integrated circuits, along with a complete chain of digital signal processing is explained. Solutions are proposed to solve the channel and phase offset estimation and equalization issues, which arise from the well-known intercarrier interference between the SEFDM signal subcarriers. This paper shows the highest transmission rate of 12 Gb/s over a bandwidth varying between 2.67 to 4 CHz depending on the compression level of the SEFDM signals, which results in a spectral efficiency improvement by up to 50%, compared to the conventional orthogonal frequency division multiplexing modulation format

Non-Orthogonal Narrowband Internet of Things: A Design for Saving Bandwidth and Doubling the Number of Connected Devices

IEEE Narrowband IoT (NB-IoT) is a low power wide area network (LPWAN) technique introduced in 3GPP release 13. The narrowband transmission scheme enables high capacity, wide coverage and low power consumption communications. With the increasing demand for services over the air, wireless spectrum is becoming scarce and new techniques are required to boost the number of connected devices within a limited spectral resource to meet the service requirements. This work provides a compressed signal waveform solution, termed fast-orthogonal frequency division multiplexing (Fast-OFDM), to double potentially the number of connected devices by compressing occupied bandwidth of each device without compromising data rate and bit error rate (BER) performance. Simulation is firstly evaluated for the Fast-OFDM with comparisons to single-carrier-frequency division multiple access (SC-FDMA). Results indicate the same performance for both systems in additive white Gaussian noise (AWGN) channel. Experimental measurements are also presented to show the bandwidth saving benefits of Fast-OFDM. It is shown that in a line-of-sight (LOS) scenario, Fast-OFDM has similar performance as SC-FDMA but with 50% bandwidth saving. This research paves the way for extended coverage, enhanced capacity and improved data rate of NB-IoT in 5th generation (5G) new radio (NR) networks

Design and Prototyping of Hybrid Analogue Digital Multiuser MIMO Beamforming for Non-Orthogonal Signals

To enable user diversity and multiplexing gains, a fully digital precoding multiple input multiple output (MIMO) architecture is typically applied. However, a large number of radio frequency (RF) chains make the system unrealistic to low-cost communications. Therefore, a practical three-stage hybrid analogue-digital precoding architecture, occupying fewer RF chains, is proposed aiming for a non-orthogonal IoT signal in low-cost multiuser MIMO systems. The non-orthogonal waveform can flexibly save spectral resources for massive devices connections or improve data rate without consuming extra spectral resources. The hybrid precoding is divided into three stages including analogue-domain, digital-domain and waveform-domain. A codebook based beam selection simplifies the analogue-domain beamforming via phase-only tuning. Digital-domain precoding can fine-tune the codebook shaped beam and resolve multiuser interference in terms of both signal amplitude and phase. In the end, the waveform-domain precoding manages the self-created inter carrier interference (ICI) of the non-orthogonal signal. This work designs over-the-air signal transmission experiments for fully digital and hybrid precoding systems on software defined radio (SDR) devices. Results reveal that waveform precoding accuracy can be enhanced by hybrid precoding. Compared to a transmitter with the same RF chain resources, hybrid precoding significantly outperforms fully digital precoding by up to 15.6 dB error vector magnitude (EVM) gain. A fully digital system with the same number of antennas clearly requires more RF chains and therefore is low power-, space- and cost- efficient. Therefore, the proposed three-stage hybrid precoding is a quite suitable solution to non-orthogonal IoT applications

mm-Wave Data Transmission and Measurement Techniques: A Holistic Approach

The ever-increasing demand on data services places unprecedented technical requirements on networks capacity. With wireless systems having significant roles in broadband delivery, innovative approaches to their development are imperative. By leveraging new spectral resources available at millimeter-wave (mm-wave) frequencies, future systems can utilize new signal structures and new system architectures in order to achieve long-term sustainable solutions.This thesis proposes the holistic development of efficient and cost-effective techniques and systems which make high-speed data transmission at mm-wave feasible. In this paradigm, system designs, signal processing, and measurement techniques work toward a single goal; to achieve satisfactory system level key performance indicators (KPIs). Two intimately-related objectives are simultaneously addressed: the realization of efficient mm-wave data transmission and the development of measurement techniques to enable and assist the design and evaluation of mm-wave circuits.The standard approach to increase spectral efficiency is to increase the modulation order at the cost of higher transmission power. To improve upon this, a signal structure called spectrally efficient frequency division multiplexing (SEFDM) is utilized. SEFDM adds an additional dimension of continuously tunable spectral efficiency enhancement. Two new variants of SEFDM are implemented and experimentally demonstrated, where both variants are shown to outperform standard signals.A low-cost low-complexity mm-wave transmitter architecture is proposed and experimentally demonstrated. A simple phase retarder predistorter and a frequency multiplier are utilized to successfully generate spectrally efficient mm-wave signals while simultaneously mitigating various issues found in conventional mm-wave systems.A measurement technique to characterize circuits and components under antenna array mutual coupling effects is proposed and demonstrated. With minimal setup requirement, the technique effectively and conveniently maps prescribed transmission scenarios to the measurement environment and offers evaluations of the components in terms of relevant KPIs in addition to conventional metrics.Finally, a technique to estimate transmission and reflection coefficients is proposed and demonstrated. In one variant, the technique enables the coefficients to be estimated using wideband modulated signals, suitable for implementation in measurements performed under real usage scenarios. In another variant, the technique enhances the precision of noisy S-parameter measurements, suitable for characterizations of wideband mm-wave components

Bandwidth Compressed Waveform for 60 GHz Millimeter-Wave Radio over Fiber Experiment

A bandwidth compressed waveform termed spectrally efficient frequency division multiplexing (SEFDM) is experimentally demonstrated in a 60-GHz millimeter-wave (mm-wave) radio-over-fiber scenario to increase transmission data rates without changing signal bandwidth and modulation format. Experimental results show the advantages of SEFDM and confirm that the bit rate of SEFDM signals can be substantially higher than that of orthogonal frequency-division multiplexing (OFDM) signals. Experimentally, a 2.25 Gbit/s 4QAM OFDM signal is transmitted through 250 m of OM-1 multi-mode fiber and then it is optically up converted to 60 GHz band at the photodiode before delivery to a mm-wave antenna for transmission over a 3 meter wireless link. The work demonstrates that when the OFDM signal is replaced by an SEFDM signal using the same modulation format and occupying the same bandwidth, the bit rate can be increased, by a factor of up to 67%, to 3.75 Gbit/s at the expense of a 3-dB power penalty. Additionally, a bandwidth compressed 4QAM SEFDM is shown to outperform an 8QAM OFDM of the same spectral efficiency, thereby verifying that a lower order modulation format may replace a higher order one and achieve performance gain

An Investigation into the Implementation and Performance of Spectrally Shaped Orthogonal Frequency Division Multiplex

Orthogonal Frequency Division Multiplex (OFDM) is a flexible, robust multi-carrier modulation scheme. The orthogonal spectral shaping and spacing of OFDM sub-carriers ensure that their spectra can be over-lapped without leading to undesirable inter-carrier interference. Conventional OFDM systems have non-band limited Sinc(x) shaped subcarrier spectra. An alternative form of OFDM, referred to hereafter as Spectrally Shaped OFDM, employs band limited Nyquist shaped sub-carrier spectra. The research described in this thesis investigates the strengths and weaknesses of Spectrally Shaped OFDM as a potential modulation scheme for future mobile radio applications. From this research a novel Digital Signal Processing architecture for modulating and demodulating Spectrally Shaped OFDM sub-carriers has been derived which exploits the combination of a complex Discrete Fourier Transform (DFT) and PolyPhase Network (PPN) filter. This architecture is shown to significantly reduce the minimum number of computations required per symbol compared to previous designs. Using a custom coded computer simulation, the effects of varying the key parameters of the novel architecture's PolyPhase Filter (PPN) filter an the overall system complexity, spectral performance and system signal-to-distortion have been extensively studied. From these studies it is shown that compared to similar conventional OFDM systems, Spectrally Shaped OFDM systems possess superior out-of-band spectral qualities but significantly worse Peak-to-Average-Power-Ratio (PAPR) envelope performance. lt is also shown that the absolute value of the end PPN filter coefficients (dependent on the roll-off factor of the sub-carrier spectral shaping) dictate the system signal-to-distortion ratio when no time-domain windowing of the PPN filter coefficients is applied. Finally the effects of a both time and frequency selective fast fading channels on the modulation scheme's uncoded Bit Error Rate (BER) versus Signal-to-Noise (SNR) performance are simulated. The results obtained indicate that Spectrally Shaped OFDM is more robust (lower BER) to frequency-selective fading than time-selective fading