Sparse Array Enabled Near-Field Communications: Beam Pattern Analysis and Hybrid Beamforming Design

Extremely large-scale array (XL-array) has emerged as a promising technology to enable near-field communications for achieving enhanced spectrum efficiency and spatial resolution, by drastically increasing the number of antennas. However, this also inevitably incurs higher hardware and energy cost, which may not be affordable in future wireless systems. To address this issue, we propose in this paper to exploit two types of sparse arrays (SAs) for enabling near-field communications. Specifically, we first consider the linear sparse array (LSA) and characterize its near-field beam pattern. It is shown that despite the achieved beam-focusing gain, the LSA introduces several undesired grating-lobes, which have comparable beam power with the main-lobe and are focused on specific regions. An efficient hybrid beamforming design is then proposed for the LSA to deal with the potential strong inter-user interference (IUI). Next, we consider another form of SA, called extended coprime array (ECA), which is composed of two LSA subarrays with different (coprime) inter-antenna spacing. By characterizing the ECA near-field beam pattern, we show that compared with the LSA with the same array sparsity, the ECA can greatly suppress the beam power of near-field grating-lobes thanks to the offset effect of the two subarrays, albeit with a larger number of grating-lobes. This thus motivates us to propose a customized two-phase hybrid beamforming design for the ECA. Finally, numerical results are presented to demonstrate the rate performance gain of the proposed two SAs over the conventional uniform linear array (ULA).Comment: In this paper, we propose to exploit sparse arrays for enabling near-field communications and characterize its unique beam pattern for facilitating its hybrid beamforming desig

Array Signal Processing Based on Traditional and Sparse Arrays

Array signal processing is based on using an array of sensors to receive the impinging signals. The received data is either spatially filtered to focus the signals from a desired direction or it may be used for estimating a parameter of source signal like direction of arrival (DOA), polarization and source power. Spatial filtering also known as beamforming and DOA estimation are integral parts of array signal processing and this thesis is aimed at solving some key probems related to these two areas. Wideband beamforming holds numerous applications in the bandwidth hungry data traffic of present day world. Several techniques exist to design fixed wideband beamformers based on traditional arrays like uniform linear array (ULA). Among these techniques, least squares based eigenfilter method is a key technique which has been used extensively in filter and wideband beamformer design. The first contribution of this thesis comes in the form of critically analyzing the standard eigenfilter method where a serious flaw in the design formulation is highlighted which generates inconsistent design performance, and an additional constraint is added to stabilize the achieved design. Simulation results show the validity and significance of the proposed method. Traditional arrays based on ULAs have limited applications in array signal processing due to the large number of sensors required and this problem has been addressed by the application of sparse arrays. Sparse arrays have been exploited from the perspective of their difference co-array structures which provide significantly higher number of degrees of freedoms (DOFs) compared to ULAs for the same number of sensors. These DOFs (consecutive and unique lags) are utilized in the application of DOA estimation with the help of difference co-array based DOA estimators. Several types of sparse arrays include minimum redundancy array (MRA), minimum hole array (MHA), nested array, prototype coprime array, conventional coprime array, coprime array with compressed interelement spacing (CACIS), coprime array with displaced subarrays (CADiS) and super nested array. As a second contribution of this thesis, a new sparse array termed thinned coprime array (TCA) is proposed which holds all the properties of a conventional coprime array but with \ceil*{\frac{M}{2}} fewer sensors where $M$ is the number of sensors of a subarray in the conventional structure. TCA possesses improved level of sparsity and is robust against mutual coupling compared to other sparse arrays. In addition, TCA holds higher number of DOFs utilizable for DOA estimation using variety of methods. TCA also shows lower estimation error compared to super nested arrays and MRA with increasing array size. Although TCA holds numerous desirable features, the number of unique lags offered by TCA are close to the sparsest CADiS and nested array and significantly lower than MRA which limits the estimation error performance offered by TCA through (compressive sensing) CS-based methods. In this direction, the structure of TCA is studied to explore the possibility of an array which can provide significantly higher number of unique lags with improved sparsity for a given number of sensors. The result of this investigation is the third contribution of this thesis in the form of a new sparse array, displaced thinned coprime array with additional sensor (DiTCAAS), which is based on a displaced version of TCA. The displacement of the subarrays generates an increase in the unique lags but the minimum spacing between the sensors becomes an integer multiple of half wavelength. To avoid spatial aliasing, an additional sensor is added at half wavelength from one of the sensors of the displaced subarray. The proposed placement of the additional sensor generates significantly higher number of unique lags for DiTCAAS, even more than the DOFs provided by MRA. Due to its improved sparsity and higher number of unique lags, DiTCAAS generates the lowest estimation error and robustness against heavy mutual coupling compared to super nested arrays, MRA, TCA and sparse CADiS with CS-based DOA estimation

Statistical Performance Analysis of Sparse Linear Arrays

Direction-of-arrival (DOA) estimation remains an important topic in array signal processing. With uniform linear arrays (ULAs), traditional subspace-based methods can resolve only up to M-1 sources using M sensors. On the other hand, by exploiting their so-called difference coarray model, sparse linear arrays, such as co-prime and nested arrays, can resolve up to O(M^2) sources using only O(M) sensors. Various new sparse linear array geometries were proposed and many direction-finding algorithms were developed based on sparse linear arrays. However, the statistical performance of such arrays has not been analytically conducted. In this dissertation, we (i) study the asymptotic performance of the MUtiple SIgnal Classification (MUSIC) algorithm utilizing sparse linear arrays, (ii) derive and analyze performance bounds for sparse linear arrays, and (iii) investigate the robustness of sparse linear arrays in the presence of array imperfections. Based on our analytical results, we also propose robust direction-finding algorithms for use when data are missing. We begin by analyzing the performance of two commonly used coarray-based MUSIC direction estimators. Because the coarray model is used, classical derivations no longer apply. By using an alternative eigenvector perturbation analysis approach, we derive a closed-form expression of the asymptotic mean-squared error (MSE) of both estimators. Our expression is computationally efficient compared with the alternative of Monte Carlo simulations. Using this expression, we show that when the source number exceeds the sensor number, the MSE remains strictly positive as the signal-to-noise ratio (SNR) approaches infinity. This finding theoretically explains the unusual saturation behavior of coarray-based MUSIC estimators that had been observed in previous studies. We next derive and analyze the Cramér-Rao bound (CRB) for general sparse linear arrays under the assumption that the sources are uncorrelated. We show that, unlike the classical stochastic CRB, our CRB is applicable even if there are more sources than the number of sensors. We also show that, in such a case, this CRB remains strictly positive definite as the SNR approaches infinity. This unusual behavior imposes a strict lower bound on the variance of unbiased DOA estimators in the underdetermined case. We establish the connection between our CRB and the classical stochastic CRB and show that they are asymptotically equal when the sources are uncorrelated and the SNR is sufficiently high. We investigate the behavior of our CRB for co-prime and nested arrays with a large number of sensors, characterizing the trade-off between the number of spatial samples and the number of temporal samples. Our analytical results on the CRB will benefit future research on optimal sparse array designs. We further analyze the performance of sparse linear arrays by considering sensor location errors. We first introduce the deterministic error model. Based on this model, we derive a closed-form expression of the asymptotic MSE of a commonly used coarray-based MUSIC estimator, the spatial-smoothing based MUSIC (SS-MUSIC). We show that deterministic sensor location errors introduce a constant estimation bias that cannot be mitigated by only increasing the SNR. Our analytical expression also provides a sensitivity measure against sensor location errors for sparse linear arrays. We next extend our derivations to the stochastic error model and analyze the Gaussian case. We also derive the CRB for joint estimation of DOA parameters and deterministic sensor location errors. We show that this CRB is applicable even if there are more sources than the number of sensors. Lastly, we develop robust DOA estimators for cases with missing data. By exploiting the difference coarray structure, we introduce three algorithms to construct an augmented covariance matrix with enhanced degrees of freedom. By applying MUSIC to this augmented covariance matrix, we are able to resolve more sources than sensors. Our method utilizes information from all snapshots and shows improved estimation performance over traditional DOA estimators

Multi-source parameter estimation and tracking using antenna arrays

This thesis is concerned with multi-source parameter estimation and tracking using antenna arrays in wireless communications. Various multi-source parameter estimation and tracking algorithms are presented and evaluated. Firstly, a novel multiple-input multiple-output (MIMO) communication system is proposed for multi-parameter channel estimation. A manifold extender is presented for increasing the degrees of freedom (DoF). The proposed approach utilises the extended manifold vectors together with superresolution subspace type algorithms, to achieve the estimation of delay, direction of departure (DOD) and direction of arrival (DOA) of all the paths of the desired user in the presence of multiple access interference (MAI). Secondly, the MIMO system is extended to a virtual-spatiotemporal system by incorporating the temporal domain of the system towards the objective of further increasing the degrees of freedom. In this system, a multi-parameter es- timation of delay, Doppler frequency, DOD and DOA of the desired user, and a beamformer that suppresses the MAI are presented, by utilising the proposed virtual-spatiotemporal manifold extender and the superresolution subspace type algorithms. Finally, for multi-source tracking, two tracking approaches are proposed based on an arrayed Extended Kalman Filter (arrayed-EKF) and an arrayed Unscented Kalman Filter (arrayed-UKF) using two type of antenna arrays: rigid array and flexible array. If the array is rigid, the proposed approaches employ a spatiotemporal state-space model and a manifold extender to track the source parameters, while if it is flexible the array locations are also tracked simultaneously. Throughout the thesis, computer simulation studies are presented to investigate and evaluate the performance of all the proposed algorithms.Open Acces

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

Performance Analysis of Integrated Sensing and Communications Under Gain-Phase Imperfections

This paper evaluates the performance of uplink integrated sensing and communication systems in the presence of gain and phase imperfections. Specifically, we consider multiple unmanned aerial vehicles (UAVs) transmitting data to a multiple-input-multiple-output base-station (BS) that is responsible for estimating the transmitted information in addition to localising the transmitting UAVs. The signal processing at the BS is divided into two consecutive stages: localisation and communication. A maximum likelihood (ML) algorithm is introduced for the localisation stage to jointly estimate the azimuth-elevation angles and Doppler frequency of the UAVs under gain-phase defects, which are then compared to the estimation of signal parameters via rotational invariance techniques (ESPRIT) and multiple signal classification (MUSIC). Furthermore, the Cramer-Rao lower bound (CRLB) is derived to evaluate the asymptotic performance and quantify the influence of the gain-phase imperfections which are modelled using Rician and von Mises distributions, respectively. Thereafter, in the communication stage, the location parameters estimated in the first stage are employed to estimate the communication channels which are fed into a maximum ratio combiner to preprocess the received communication signal. An accurate closed-form approximation of the achievable average sum data rate (SDR) for all UAVs is derived. The obtained results show that gain-phase imperfections have a significant influence on both localisation and communication, however, the proposed ML is less sensitive when compared to other algorithms. The derived analysis is concurred with simulations.Comment: 38 pages, 7 figure