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

Robust frequency-domain turbo equalization for multiple-input multiple-output (MIMO) wireless communications

This dissertation investigates single carrier frequency-domain equalization (SC-FDE) with multiple-input multiple-output (MIMO) channels for radio frequency (RF) and underwater acoustic (UWA) wireless communications. It consists of five papers, selected from a total of 13 publications. Each paper focuses on a specific technical challenge of the SC-FDE MIMO system. The first paper proposes an improved frequency-domain channel estimation method based on interpolation to track fast time-varying fading channels using a small amount of training symbols in a large data block. The second paper addresses the carrier frequency offset (CFO) problem using a new group-wise phase estimation and compensation algorithm to combat phase distortion caused by CFOs, rather than to explicitly estimate the CFOs. The third paper incorporates layered frequency-domain equalization with the phase correction algorithm to combat the fast phase rotation in coherent communications. In the fourth paper, the frequency-domain equalization combined with the turbo principle and soft successive interference cancelation (SSIC) is proposed to further improve the bit error rate (BER) performance of UWA communications. In the fifth paper, a bandwidth-efficient SC-FDE scheme incorporating decision-directed channel estimation is proposed for UWA MIMO communication systems. The proposed algorithms are tested by extensive computer simulations and real ocean experiment data. The results demonstrate significant performance improvements in four aspects: improved channel tracking, reduced BER, reduced computational complexity, and enhanced data efficiency --Abstract, page iv

Iterative analog-digital multi-user equalizer for wideband millimeter wave massive MIMO systems

Most of the previous work on hybrid transmit and receive beamforming focused on narrowband channels. Because the millimeter wave channels are expected to be wideband, it is crucial to propose efficient solutions for frequency-selective channels. In this regard, this paper proposes an iterative analog-digital multi-user equalizer scheme for the uplink of wideband millimeter-wave massive multiple-input-multiple-output (MIMO) systems. By iterative equalizer we mean that both analog and digital parts are updated using as input the estimates obtained at the previous iteration. The proposed iterative analog-digital multi-user equalizer is designed by minimizing the sum of the mean square error of the data estimates over the subcarriers. We assume that the analog part is fixed for all subcarriers while the digital part is computed on a per subcarrier basis. Due to the complexity of the resulting optimization problem, a sequential approach is proposed to compute the analog phase shifters values for each radio frequency (RF) chain. We also derive an accurate, semi-analytical approach for obtaining the bit error rate (BER) of the proposed hybrid system. The proposed solution is compared with other hybrid equalizer schemes, recently designed for wideband millimeter-wave (mmWave) massive MIMO systems. The simulation results show that the performance of the developed analog-digital multi-user equalizer is close to full-digital counterpart and outperforms the previous hybrid approach.publishe

Simultaneous Wireless Information and Power Transfer for Decode-and-Forward Multi-Hop Relay Systems in Energy-Constrained IoT Networks

This paper studies a multi-hop decode-and-forward (DF) simultaneous wireless information and power transfer (SWIPT) system where a source sends data to a destination with the aid of multi-hop relays which do not depend on an external energy source. To this end, we apply power splitting (PS) based SWIPT relaying protocol so that the relays can harvest energy from the received signals from the previous hop to reliably forward the information of the source to the destination. We aim to solve two optimization problems relevant to our system model. First, we minimize the transmit power at the source under the individual quality-of-service (QoS) threshold constraints of the relays and the destination nodes by optimizing PS ratios at the relays. The second is to maximize the minimum system achievable rate by optimizing the PS ratio at each relay. Based on convex optimization techniques, the globally optimal PS ratio solution is obtained in closed-form for both problems. By setting the QoS threshold constraint the same for each node for the source transmit power problem, we discovered that either the minimum source transmit power or the maximum system throughput can be found using the same approach. Numerical results demonstrate the superiority of the proposed optimal SWIPT PS design over conventional fixed PS ratio schemes.Comment: 14 pages, 14 figures, Accepted for Publication in IEEE Internet of Things Journa

General Interference Suppression Technique For Diversity Wireless Rece

The area of wireless transceiver design is becoming increasingly important due to the rapid growth of wireless communications market as well as diversified design specifications. Research efforts in this area concentrates on schemes that are capable of increasing the system capacity, providing reconfigurability/reprogrammability and reducing the hardware complexity. Emerging topics related to these goals include Software Defined Radio, Multiple-Input-Multiple-Output (MIMO) Systems, Code Division Multiple Access, Ultra-Wideband Systems, etc. This research adopts space diversity and statistical signal processing for digital interference suppression in wireless receivers. The technique simplifies the analog front-end by eliminating the anti-aliasing filters and relaxing the requirements for IF bandpass filters and A/D converters. Like MIMO systems, multiple antenna elements are used for increased frequency reuse. The suppression of both image signal and Co-Channel Interference (CCI) are performed in DSP simultaneously. The signal-processing algorithm used is Independent Component Analysis (ICA). Specifically, the fixed-point Fast-ICA is adopted in the case of static or slow time varying channel conditions. In highly dynamic environment that is typically encountered in cellular mobile communications, a novel ICA algorithm, OBAI-ICA, is developed, which outperforms Fast-ICA for both linear and abrupt time variations. Several practical implementation issues are also considered, such as the effect of finite arithmetic and the possibility of reducing the number of antennas

Cognitive Radio Systems

Cognitive radio is a hot research area for future wireless communications in the recent years. In order to increase the spectrum utilization, cognitive radio makes it possible for unlicensed users to access the spectrum unoccupied by licensed users. Cognitive radio let the equipments more intelligent to communicate with each other in a spectrum-aware manner and provide a new approach for the co-existence of multiple wireless systems. The goal of this book is to provide highlights of the current research topics in the field of cognitive radio systems. The book consists of 17 chapters, addressing various problems in cognitive radio systems

Modulation, Coding, and Receiver Design for Gigabit mmWave Communication

While wireless communication has become an ubiquitous part of our daily life and the world around us, it has not been able yet to deliver the multi-gigabit throughput required for applications like high-definition video transmission or cellular backhaul communication. The throughput limitation of current wireless systems is mainly the result of a shortage of spectrum and the problem of congestion. Recent advancements in circuit design allow the realization of analog frontends for mmWave frequencies between 30GHz and 300GHz, making abundant unused spectrum accessible. However, the transition to mmWave carrier frequencies and GHz bandwidths comes with new challenges for wireless receiver design. Large variations of the channel conditions and high symbol rates require flexible but power-efficient receiver designs. This thesis investigates receiver algorithms and architectures that enable multi-gigabit mmWave communication. Using a system-level approach, the design options between low-power time-domain and power-hungry frequency-domain signal processing are explored. The system discussion is started with an analysis of the problem of parameter synchronization in mmWave systems and its impact on system design. The proposed synchronization architecture extends known synchronization techniques to provide greater flexibility regarding the operating environments and for system efficiency optimization. For frequency-selective environments, versatile single-carrier frequency domain equalization (SC-FDE) offers not only excellent channel equalization, but also the possibility to integrate additional baseband tasks without overhead. Hence, the high initial complexity of SC-FDE needs to be put in perspective to the complexity savings in the other parts of the baseband. Furthermore, an extension to the SC-FDE architecture is proposed that allows an adaptation of the equalization complexity by switching between a cyclic-prefix mode and a reduced block length overlap-save mode based on the delay spread. Approaching the problem of complexity adaptation from time-domain, a high-speed hardware architecture for the delayed decision feedback sequence estimation (DDFSE) algorithm is presented. DDFSE uses decision feedback to reduce the complexity of the sequence estimation and allows to set the system performance between the performance of full maximum-likelihood detection and pure decision feedback equalization. An implementation of the DDFSE architecture is demonstrated as part of an all-digital IEEE802.11ad baseband ASIC manufactured in 40nm CMOS. A flexible architecture for wideband mmWave receivers based on complex sub-sampling is presented. Complex sub-sampling combines the design advantages of sub-sampling receivers with the flexibility of direct-conversion receivers using a single passive component and a digital compensation scheme. Feasibility of the architecture is proven with a 16Gb/s hardware demonstrator. The demonstrator is used to explore the potential gain of non-equidistant constellations for high-throughput mmWave links. Specifically crafted amplitude phase-shift keying (APSK) modulation achieve 1dB average mutual information (AMI) advantage over quadrature amplitude modulation (QAM) in simulation and on the testbed hardware. The AMI advantage of APSK can be leveraged for a practical transmission using Polar codes which are trained specifically for the constellation

Adaptive Communications for Next Generation Broadband Wireless Access Systems

Un dels aspectes claus en el disseny i gestió de les xarxes sense fils d'accés de banda ampla és l'ús eficient dels recursos radio. Des del punt de vista de l'operador, l'ample de banda és un bé escàs i preuat que s´ha d'explotar i gestionar de la forma més eficient possible tot garantint la qualitat del servei que es vol proporcionar. Per altra banda, des del punt de vista del usuari, la qualitat del servei ofert ha de ser comparable al de les xarxes fixes, requerint així un baix retard i una baixa pèrdua de paquets per cadascun dels fluxos de dades entre la xarxa i l'usuari. Durant els darrers anys s´han desenvolupat nombroses tècniques i algoritmes amb l'objectiu d'incrementar l'eficiència espectral. Entre aquestes tècniques destaca l'ús de múltiples antenes al transmissor i al receptor amb l'objectiu de transmetre diferents fluxos de dades simultaneament sense necessitat d'augmentar l'ample de banda. Per altra banda, la optimizació conjunta de la capa d'accés al medi i la capa física (fent ús de l'estat del canal per tal de gestionar de manera optima els recursos) també permet incrementar sensiblement l'eficiència espectral del sistema.L'objectiu d'aquesta tesi és l'estudi i desenvolupament de noves tècniques d'adaptació de l'enllaç i gestió dels recursos ràdio aplicades sobre sistemes d'accés ràdio de propera generació (Beyond 3G). Els estudis realitzats parteixen de la premissa que el transmisor coneix (parcialment) l'estat del canal i que la transmissió es realitza fent servir un esquema multiportadora amb múltiples antenes al transmisor i al receptor. En aquesta tesi es presenten dues línies d'investigació, la primera per casos d'una sola antenna a cada banda de l'enllaç, i la segona en cas de múltiples antenes. En el cas d'una sola antena al transmissor i al receptor, un nou esquema d'assignació de recursos ràdio i priorització dels paquets (scheduling) és proposat i analitzat integrant totes dues funcions sobre una mateixa entitat (cross-layer). L'esquema proposat té com a principal característica la seva baixa complexitat i que permet operar amb transmissions multimedia. Alhora, posteriors millores realitzades per l'autor sobre l'esquema proposat han permès també reduir els requeriments de senyalització i combinar de forma óptima usuaris d'alta i baixa mobilitat sobre el mateix accés ràdio, millorant encara més l'eficiència espectral del sistema. En cas d'enllaços amb múltiples antenes es proposa un nou esquema que combina la selecció del conjunt optim d'antenes transmissores amb la selecció de la codificació espai- (frequència-) temps. Finalment es donen una sèrie de recomanacions per tal de combinar totes dues línies d'investigació, així con un estat de l'art de les tècniques proposades per altres autors que combinen en part la gestió dels recursos ràdio i els esquemes de transmissió amb múltiples antenes.Uno de los aspectos claves en el diseño y gestión de las redes inalámbricas de banda ancha es el uso eficiente de los recursos radio. Desde el punto de vista del operador, el ancho de banda es un bien escaso y valioso que se debe explotar y gestionar de la forma más eficiente posible sin afectar a la calidad del servicio ofrecido. Por otro lado, desde el punto de vista del usuario, la calidad del servicio ha de ser comparable al ofrecido por las redes fijas, requiriendo así un bajo retardo y una baja tasa de perdida de paquetes para cada uno de los flujos de datos entre la red y el usuario. Durante los últimos años el número de técnicas y algoritmos que tratan de incrementar la eficiencia espectral en dichas redes es bastante amplio. Entre estas técnicas destaca el uso de múltiples antenas en el transmisor y en el receptor con el objetivo de poder transmitir simultáneamente diferentes flujos de datos sin necesidad de incrementar el ancho de banda. Por otro lado, la optimización conjunta de la capa de acceso al medio y la capa física (utilizando información de estado del canal para gestionar de manera óptima los recursos) también permite incrementar sensiblemente la eficiencia espectral del sistema.El objetivo de esta tesis es el estudio y desarrollo de nuevas técnicas de adaptación del enlace y la gestión de los recursos radio, y su posterior aplicación sobre los sistemas de acceso radio de próxima generación (Beyond 3G). Los estudios realizados parten de la premisa de que el transmisor conoce (parcialmente) el estado del canal a la vez que se considera que la transmisión se realiza sobre un sistema de transmisión multiportadora con múltiple antenas en el transmisor y el receptor. La tesis se centra sobre dos líneas de investigación, la primera para casos de una única antena en cada lado del enlace, y la segunda en caso de múltiples antenas en cada lado. Para el caso de una única antena en el transmisor y en el receptor, se ha desarrollado un nuevo esquema de asignación de los recursos radio así como de priorización de los paquetes de datos (scheduling) integrando ambas funciones sobre una misma entidad (cross-layer). El esquema propuesto tiene como principal característica su bajo coste computacional a la vez que se puede aplicar en caso de transmisiones multimedia. Posteriores mejoras realizadas por el autor sobre el esquema propuesto han permitido también reducir los requisitos de señalización así como combinar de forma óptima usuarios de alta y baja movilidad. Por otro lado, en caso de enlaces con múltiples antenas en transmisión y recepción, se presenta un nuevo esquema de adaptación en el cual se combina la selección de la(s) antena(s) transmisora(s) con la selección del esquema de codificación espacio-(frecuencia-) tiempo. Para finalizar, se dan una serie de recomendaciones con el objetivo de combinar ambas líneas de investigación, así como un estado del arte de las técnicas propuestas por otros autores que combinan en parte la gestión de los recursos radio y los esquemas de transmisión con múltiples antenas.In Broadband Wireless Access systems the efficient use of the resources is crucial from many points of views. From the operator point of view, the bandwidth is a scarce, valuable, and expensive resource which must be exploited in an efficient manner while the Quality of Service (QoS) provided to the users is guaranteed. On the other hand, a tight delay and link quality constraints are imposed on each data flow hence the user experiences the same quality as in fixed networks. During the last few years many techniques have been developed in order to increase the spectral efficiency and the throughput. Among them, the use of multiple antennas at the transmitter and the receiver (exploiting spatial multiplexing) with the joint optimization of the medium access control layer and the physical layer parameters.In this Ph.D. thesis, different adaptive techniques for B3G multicarrier wireless systems are developed and proposed focusing on the SS-MC-MA and the OFDM(A) (IEEE 802.16a/e/m standards) communication schemes. The research lines emphasize into the adaptation of the transmission having (Partial) knowledge of the Channel State Information for both; single antenna and multiple antenna links. For single antenna links, the implementation of a joint resource allocation and scheduling strategy by including adaptive modulation and coding is investigated. A low complexity resource allocation and scheduling algorithm is proposed with the objective to cope with real- and/or non-real- time requirements and constraints. A special attention is also devoted in reducing the required signalling. However, for multiple antenna links, the performance of a proposed adaptive transmit antenna selection scheme jointly with space-time block coding selection is investigated and compared with conventional structures. In this research line, mainly two optimizations criteria are proposed for spatial link adaptation, one based on the minimum error rate for fixed throughput, and the second focused on the maximisation of the rate for fixed error rate. Finally, some indications are given on how to include the spatial adaptation into the investigated and proposed resource allocation and scheduling process developed for single antenna transmission

MIMO designs for filter bank multicarrier and multiantenna systems based on OQAM

From the perspective of increasingly data rate requirements in mobile communications, it is deemed necessary to do further research so that the future goals can be reached. To that end, the radio-based communications are resorting to multicarrier modulations and spatial diversity. Until today, the orthogonal frequency division multiplexing (OFDM) modulation is regarded as the dominant technology. On one hand, the OFDM modulation is able to accommodate multiantenna configurations in a very straightforward manner. On the other hand, the poor stopband attenuation exhibited by the OFDM modulation, highlights that a definitely tight synchronization is required. In addition, the cyclic prefix (CP) has to be sufficiently long to avoid inter-block interference, which may substantially reduce the spectral efficiency. In order to overcome the OFDM drawbacks, the filter bank multicarrier modulation based on OQAM (FBMC/OQAM) is introduced. This modulation does not need any CP and benefits from pulse shaping techniques. This aspect becomes crucial in cognitive radio networks and communication systems where nodes are unlikely to be synchronized. In principle, the poor frequency confinement exhibited by OFDM should tip the balance towards FBMC/OQAM. However, the perfect reconstruction property of FBMC/OQAM systems does not hold in presence of multipath fading. This means that the FBMC/OQAM modulation is affected by inter-symbol and inter-carrier interference, unless the channel is equalized to some extent. This observation highlights that the FBMC/OQAM extension to MIMO architectures becomes a big challenge due to the need to cope with both modulation- and multiantenna-induced interference. The goal of this thesis is to study how the FBMC/OQAM modulation scheme can benefit from the degrees of freedom provided by the spatial dimension. In this regard, the first attempt to put the research on track is based on designing signal processing techniques at reception. In this case the emphasis is on single-input-multiple-output (SIMO) architectures. Next, the possibility of pre-equalizing the channel at transmission is investigated. It is considered that multiple antennas are placed at the transmit side giving rise to a multiple-input-single-output (MISO) configuration. In this scenario, the research is not only focused on counteracting the channel but also on distributing the power among subcarriers. Finally, the joint transmitter and receiver design in multiple-input-multiple-output (MIMO) communication systems is covered. From the theory developed in this thesis, it is possible to conclude that the techniques originally devised in the OFDM context can be easily adapted to FBMC/OQAM systems if the channel frequency response is flat within the subchannels. However, metrics such as the peak to average power ratio or the sensitivity to the carrier frequency offset constraint the number of subcarriers, so that the frequency selectivity may be appreciable at the subcarrier level. Then, the flat fading assumption is not satisfied and the specificities of FBMC/OQAM systems have to be considered. In this situation, the proposed techniques allow FBMC/OQAM to remain competitive with OFDM. In addition, for some multiantenna configurations and propagation conditions FBMC/OQAM turns out to be the best choice. The simulation-based results together with the theoretical analysis conducted in this thesis contribute to make progress towards the application of FBMC/OQAM to MIMO channels. The signal processing techniques that are described in this dissertation allow designers to exploit the potentials of FBMC/OQAM and MIMO to improve the link reliability as well as the spectral efficiency