Transceiver designs and analysis for LTI, LTV and broadcast channels - new matrix decompositions and majorization theory

Signal processing techniques play important roles in the design of digital communication systems. These include information manipulation, transmitter signal processing, channel estimation, channel equalization and receiver signal processing. By interacting with communication theory and system implementing technologies, signal processing specialists develop efficient schemes for various communication problems by wisely exploiting various mathematical tools such as analysis, probability theory, matrix theory, optimization theory, and many others. In recent years, researchers realized that multiple-input multiple-output (MIMO) channel models are applicable to a wide range of different physical communications channels. Using the elegant matrix-vector notations, many MIMO transceiver (including the precoder and equalizer) design problems can be solved by matrix and optimization theory. Furthermore, the researchers showed that the majorization theory and matrix decompositions, such as singular value decomposition (SVD), geometric mean decomposition (GMD) and generalized triangular decomposition (GTD), provide unified frameworks for solving many of the point-to-point MIMO transceiver design problems.

In this thesis, we consider the transceiver design problems for linear time invariant (LTI) flat MIMO channels, linear time-varying narrowband MIMO channels, flat MIMO broadcast channels, and doubly selective scalar channels. Additionally, the channel estimation problem is also considered. The main contributions of this dissertation are the development of new matrix decompositions, and the uses of the matrix decompositions and majorization theory toward the practical transmit-receive scheme designs for transceiver optimization problems. Elegant solutions are obtained, novel transceiver structures are developed, ingenious algorithms are proposed, and performance analyses are derived.

The first part of the thesis focuses on transceiver design with LTI flat MIMO channels. We propose a novel matrix decomposition which decomposes a complex matrix as a product of several sets of semi-unitary matrices and upper triangular matrices in an iterative manner. The complexity of the new decomposition, generalized geometric mean decomposition (GGMD), is always less than or equal to that of geometric mean decomposition (GMD). The optimal GGMD parameters which yield the minimal complexity are derived. Based on the channel state information (CSI) at both the transmitter (CSIT) and receiver (CSIR), GGMD is used to design a butterfly structured decision feedback equalizer (DFE) MIMO transceiver which achieves the minimum average mean square error (MSE) under the total transmit power constraint. A novel iterative receiving detection algorithm for the specific receiver is also proposed. For the application to cyclic prefix (CP) systems in which the SVD of the equivalent channel matrix can be easily computed, the proposed GGMD transceiver has K/log_2(K) times complexity advantage over the GMD transceiver, where K is the number of data symbols per data block and is a power of 2. The performance analysis shows that the GGMD DFE transceiver can convert a MIMO channel into a set of parallel subchannels with the same bias and signal to interference plus noise ratios (SINRs). Hence, the average bit rate error (BER) is automatically minimized without the need for bit allocation. Moreover, the proposed transceiver can achieve the channel capacity simply by applying independent scalar Gaussian codes of the same rate at subchannels.

In the second part of the thesis, we focus on MIMO transceiver design for slowly time-varying MIMO channels with zero-forcing or MMSE criterion. Even though the GGMD/GMD DFE transceivers work for slowly time-varying MIMO channels by exploiting the instantaneous CSI at both ends, their performance is by no means optimal since the temporal diversity of the time-varying channels is not exploited. Based on the GTD, we develop space-time GTD (ST-GTD) for the decomposition of linear time-varying flat MIMO channels. Under the assumption that CSIT, CSIR and channel prediction are available, by using the proposed ST-GTD, we develop space-time geometric mean decomposition (ST-GMD) DFE transceivers under the zero-forcing or MMSE criterion. Under perfect channel prediction, the new system minimizes both the average MSE at the detector in each space-time (ST) block (which consists of several coherence blocks), and the average per ST-block BER in the moderate high SNR region. Moreover, the ST-GMD DFE transceiver designed under an MMSE criterion maximizes Gaussian mutual information over the equivalent channel seen by each ST-block. In general, the newly proposed transceivers perform better than the GGMD-based systems since the super-imposed temporal precoder is able to exploit the temporal diversity of time-varying channels. For practical applications, a novel ST-GTD based system which does not require channel prediction but shares the same asymptotic BER performance with the ST-GMD DFE transceiver is also proposed.

The third part of the thesis considers two quality of service (QoS) transceiver design problems for flat MIMO broadcast channels. The first one is the power minimization problem (min-power) with a total bitrate constraint and per-stream BER constraints. The second problem is the rate maximization problem (max-rate) with a total transmit power constraint and per-stream BER constraints. Exploiting a particular class of joint triangularization (JT), we are able to jointly optimize the bit allocation and the broadcast DFE transceiver for the min-power and max-rate problems. The resulting optimal designs are called the minimum power JT broadcast DFE transceiver (MPJT) and maximum rate JT broadcast DFE transceiver (MRJT), respectively. In addition to the optimal designs, two suboptimal designs based on QR decomposition are proposed. They are realizable for arbitrary number of users.

Finally, we investigate the design of a discrete Fourier transform (DFT) modulated filterbank transceiver (DFT-FBT) with LTV scalar channels. For both cases with known LTV channels and unknown wide sense stationary uncorrelated scattering (WSSUS) statistical channels, we show how to optimize the transmitting and receiving prototypes of a DFT-FBT such that the SINR at the receiver is maximized. Also, a novel pilot-aided subspace channel estimation algorithm is proposed for the orthogonal frequency division multiplexing (OFDM) systems with quasi-stationary multi-path Rayleigh fading channels. Using the concept of a difference co-array, the new technique can construct M^2 co-pilots from M physical pilot tones with alternating pilot placement. Subspace methods, such as MUSIC and ESPRIT, can be used to estimate the multipath delays and the number of identifiable paths is up to O(M^2), theoretically. With the delay information, a MMSE estimator for frequency response is derived. It is shown through simulations that the proposed method outperforms the conventional subspace channel estimator when the number of multipaths is greater than or equal to the number of physical pilots minus one.

Nearest neighbour decoding and pilot-aided channel estimation in stationary Gaussian flat-fading channels

We study the information rates of non-coherent, stationary, Gaussian, multiple-input multiple-output (MIMO) flat-fading channels that are achievable with nearest neighbour decoding and pilot-aided channel estimation. In particular, we analyse the behaviour of these achievable rates in the limit as the signal-to-noise ratio (SNR) tends to infinity. We demonstrate that nearest neighbour decoding and pilot-aided channel estimation achieves the capacity pre-logwhich is defined as the limiting ratio of the capacity to the logarithm of SNR as the SNR tends to infinityof non-coherent multiple-input single-output (MISO) flat-fading channels, and it achieves the best so far known lower bound on the capacity pre-log of non-coherent MIMO flat-fading channels. © 2011 IEEE.

On bandlimited fading channels at high SNR

This paper provides an overview of results on the capacity of noncoherent, multiple-input multiple-output (MIMO) flat-fading channels with a bandlimited power spectral density. The focus is on results that concern the capacity at high signal-to-noise ratio (SNR). In particular, the capacity pre-log, defined as the limiting ratio of the capacity to the logarithm of the SNR as the SNR tends to infinity, is studied. It is observed that the capacity pre-log is a function of the number of antennas as well as of the bandwidth of the fading channel's power spectral density. It is further observed that the capacity pre-log can be achieved with a simple communication system where the data detection and the channel estimation are performed separately. © 2011 ACM.

A Novel 0.72-6.2GHz Continuously-Tunable Delta Sigma Fractional-N Frequency Synthesizer

This paper presents a wideband Delta Sigma-based fractional-N synthesizer with three integrated quadrature VCOs for multiple-input multiple-output (MIMO) wireless communication applications. It continuously covers a wide range frequency from 0.72GHz to 6.2GHz that is suitable for multiple communication standards. The synthesizer is designed in 0.13-um RE CMOS process. The dual clock full differential multi-modulus divide (MMD) with low power consumption can operate over 9GHz under the worst condition. In the whole range frequency from 0.72GHz to 6.2GHz, the maximal tuning range of the QVCOs reaches 33.09% and their phase noise is -119d8/Hz similar to 124d8/Hz @1MHz. Its current is less than 12mA at a 1.2V voltage supply when it operates at the highest frequency of 6.2GHz.

Iterative Multiuser Detection and Decoding for DS-CDMA System With Space-Time Linear Dispersion

This paper considers a Q-ary orthogonal direct-sequence code-division multiple-access (DS-CDMA) system with high-rate space-time linear dispersion codes (LDCs) in time-varying Rayleigh fading multiple-input-multiple-output (MIMO) channels. We propose a joint multiuser detection, LDC decoding, Q-ary demodulation, and channel-decoding algorithm and apply the turbo processing principle to improve system performance in an iterative fashion. The proposed iterative scheme demonstrates faster convergence and superior performance compared with the V-BLAST-based DS-CDMA system and is shown to approach the single-user performance bound. We also show that the CDMA system is able to exploit the time diversity offered by the LDCS in rapid-fading channels.

Approaching near-capacity on a multi-antenna channel using successive decoding and interference cancellation receivers

In this paper, we address the problem of designing multirate codes for a multiple-input and multiple-output (MIMO) system by restricting the receiver to be a successive decoding and interference cancellation type, when each of the antennas is encoded independently. Furthermore, it is assumed that the receiver knows the instantaneous fading channel states but the transmitter does not have access to them. It is well known that, in theory, minimum-mean-square error (MMSE) based successive decoding of multiple access (in multi-user communications) and MIMO channels achieves the total channel capacity. However, for this scheme to perform optimally, the optimal rates of each antenna (per-antenna rates) must be known at the transmitter. We show that the optimal per-antenna rates at the transmitter can be estimated using only the statistical characteristics of the MIMO channel in time-varying Rayleigh MIMO channel environments. Based on the results, multirate codes are designed using punctured turbo codes for a horizontal coded MIMO system. Simulation results show performances within about one to two dBs of MIMO channel capacity.

A Kernel Interleaved Scheduling Method for Streaming Applications on Soft-core Vector Processors

Massively parallel networks of highly efficient, high performance Single Instruction Multiple Data (SIMD) processors have been shown to enable FPGA-based implementation of real-time signal processing applications with performance and
cost comparable to dedicated hardware architectures. This is achieved by exploiting simple datapath units with deep processing pipelines. However, these architectures are highly susceptible to pipeline bubbles resulting from data and control hazards; the only way to mitigate against these is manual interleaving of
application tasks on each datapath, since no suitable automated interleaving approach exists. In this paper we describe a new automated integrated mapping/scheduling approach to map algorithm tasks to processors and a new low-complexity list scheduling technique to generate the interleaved schedules. When applied to a spatial Fixed-Complexity Sphere Decoding (FSD) detector
for next-generation Multiple-Input Multiple-Output (MIMO) systems, the resulting schedules achieve real-time performance for IEEE 802.11n systems on a network of 16-way SIMD processors on FPGA, enable better performance/complexity balance than current approaches and produce results comparable to handcrafted implementations.

Inverse Gaussian Modeling of Turbulence-Induced Fading in Free-Space Optical Systems

We propose the inverse Gaussian distribution, as a less complex alternative to the classical log-normal model, to describe turbulence-induced fading in free-space optical (FSO) systems operating in weak turbulence conditions and/or in the presence of aperture averaging effects. By conducting goodness of fit tests, we define the range of values of the scintillation index for various multiple-input multiple-output (MIMO) FSO configurations, where the two distributions approximate each other with a certain significance level. Furthermore, the bit error rate performance of two typical MIMO FSO systems is investigated over the new turbulence model; an intensity-modulation/direct detection MIMO FSO system with Q-ary pulse position modulation that employs repetition coding at the transmitter and equal gain combining at the receiver, and a heterodyne MIMO FSO system with differential phase-shift keying and maximal ratio combining at the receiver. Finally, numerical results are presented that validate the theoretical analysis and provide useful insights into the implications of the model parameters on the overall system performance. © 2011 IEEE.

Threshold-based substream selection for closed-loop spatial multiplexing

We propose a low-complexity closed-loop spatial multiplexing method with limited feedback over multi-input-multi-output (MIMO) fading channels. The transmit adaptation is simply performed by selecting transmit antennas (or substreams) by comparing their signal-to-noise ratios to a given threshold with a fixed nonadaptive constellation and fixed transmit power per substream. We analyze the performance of the proposed system by deriving closed-form expressions for spectral efficiency, average transmit power, and bit error rate (BER). Depending on practical system design constraints, the threshold is chosen to maximize the spectral efficiency (or minimize the average BER) subject to average transmit power and average BER (or spectral efficiency) constraints, respectively. We present numerical and Monte Carlo simulation results that validate our analysis. Compared to open-loop spatial multiplexing and other approaches that select the best antenna subset in spatial multiplexing, the numerical results illustrate that the proposed technique obtains significant power gains for the same BER and spectral efficiency. We also provide numerical results that show improvement over rate-adaptive orthogonal space-time block coding, which requires highly complex constellation adaptation. We analyze the impact of feedback delay using analytical and Monte Carlo approaches. The proposed approach is arguably the simplest possible adaptive spatial multiplexing system from an implementation point of view. However, our approach and analysis can be extended to other systems using multiple constellations and power levels.

A Four-element Antenna System for Mobile Phones

In this letter, a multiantenna system with four printed monopoles is presented. The monopoles that occupy relatively small area are positioned at the four corners of a printed circuit board, so that the four-element antenna system can be equipped on the lid of a folder-type mobile phone, leaving enough space for the circuits and reducing the effect of human hands. Based on simulation, a prototype for the Universal Mobile Telecommunications System (UMTS) operation has been constructed and tested. The measured -10-dB impedance bandwidths of the four elements are larger than 320 MHz with higher than 11.5-dB isolation. Moreover, the proposed antenna can provide spatial and pattern diversity in a diversity/multiple-input-multiple-output (MIMO) system.

High Performance Real-time Pre-Processing for Fixed-Complexity Sphere Decoder

Pre-processing (PP) of received symbol vector and channel matrices is an essential pre-requisite operation for Sphere Decoder (SD)-based detection of Multiple-Input Multiple-Output (MIMO) wireless systems. PP is a highly complex operation, but relative to the total SD workload it represents a relatively small fraction of the overall computational cost of detecting an OFDM MIMO frame in standards such as 802.11n. Despite this, real-time PP architectures are highly inefficient, dominating the resource cost of real-time SD architectures. This paper resolves this issue. By reorganising the ordering and QR decomposition sub operations of PP, we describe a Field Programmable Gate Array (FPGA)-based PP architecture for the Fixed Complexity Sphere Decoder (FSD) applied to 4 × 4 802.11n MIMO which reduces resource cost by 50% as compared to state-of-the-art solutions whilst maintaining real-time performance.

IQ Imbalance in Multiuser Systems: Channel Estimation and Compensation

In this paper, we consider the uplink of a single-cell multi-user single-input multiple-output (MU-SIMO) system with in-phase and quadrature-phase imbalance (IQI). Particularly, we investigate the effect of receive (RX) IQI on the performance of MU-SIMO systems with large antenna arrays employing maximum-ratio combining (MRC) receivers. In order to study how IQI affects channel estimation, we derive a new channel estimator for the IQI-impaired model and show that the higher the value of signal-to-noise ratio (SNR) the higher the impact of IQI on the spectral efficiency (SE). Moreover, a novel pilot-based joint estimator of the augmented MIMO channel matrix and IQI coefficients is described and then, a low-complexity IQI compensation scheme is proposed which is based on the
IQI coefficients’ estimation and it is independent of the channel gain. The performance of the proposed compensation scheme is analytically evaluated by deriving a tractable approximation of the ergodic SE assuming transmission over Rayleigh fading channels with large-scale fading. Furthermore, we investigate how many MSs should be scheduled in massive multiple-input multiple-output (MIMO) systems with IQI and show that the highest SE loss occurs at the optimal operating point. Finally,
by deriving asymptotic power scaling laws, and proving that the SE loss due to IQI is asymptotically independent of the number of BS antennas, we show that massive MIMO is resilient to the effect of RX IQI.

Design and performance of wireless cooperative relaying

In recent years, a new paradigm for communication called cooperative communications has been proposed for which initial information theoretic studies have shown the potential for improvements in capacity over traditional multi-hop wireless networks. Extensive research has been done to mitigate the impact of fading in wireless networks, being mostly focused on Multiple-Input Multiple-Output (MIMO) systems. Recently, cooperative relaying techniques have been investigated to increase the performance of wireless systems by using diversity created by different single antenna devices, aiming to reach the same level of performance of MIMO systems with low cost devices. Cooperative communication is a promising method to achieve high spectrum efficiency and improve transmission capacity for wireless networks. Cooperative communications is the general idea of pooling the resources of distributed nodes to improve the overall performance of a wireless network. In cooperative networks the nodes cooperate to help each other. A cooperative node offering help is acting like a middle man or proxy and can convey messages from source to destination. Cooperative communication involves exploiting the broadcast nature of the wireless medium to form virtual antenna arrays out of independent singleantenna network nodes for transmission. This research aims at contributing to the field of cooperative wireless networks. The focus of this research is on the relay-based Medium Access Control (MAC) protocol. Specifically, I provide a framework for cooperative relaying called RelaySpot which comprises on opportunistic relay selection, cooperative relay scheduling and relay switching. RelaySpot-based solutions are expected to minimize signaling exchange, remove estimation of channel conditions, and improve the utilization of spatial diversity, minimizing outage and increasing reliability.

Characterization of RSOA modulators in radio over fiber links

In this work physical and behavioral models for a bulk Reflective Semiconductor Optical Amplifier (RSOA) modulator in Radio over Fiber (RoF) links are proposed. The transmission performance of the RSOA modulator is predicted under broadband signal drive. At first, the simplified physical model for the RSOA modulator in RoF links is proposed, which is based on the rate equation and traveling-wave equations with several assumptions. The model is implemented with the Symbolically Defined Devices (SDD) in Advanced Design System (ADS) and validated with experimental results. Detailed analysis regarding optical gain, harmonic and intermodulation distortions, and transmission performance is performed. The distribution of the carrier and Amplified Spontaneous Emission (ASE) is also demonstrated. Behavioral modeling of the RSOA modulator is to enable us to investigate the nonlinear distortion of the RSOA modulator from another perspective in system level. The Amplitude-to-Amplitude Conversion (AM-AM) and Amplitude-to-Phase Conversion (AM-PM) distortions of the RSOA modulator are demonstrated based on an Artificial Neural Network (ANN) and a generalized polynomial model. Another behavioral model based on Xparameters was obtained from the physical model. Compensation of the nonlinearity of the RSOA modulator is carried out based on a memory polynomial model. The nonlinear distortion of the RSOA modulator is reduced successfully. The improvement of the 3rd order intermodulation distortion is up to 17 dB. The Error Vector Magnitude (EVM) is improved from 6.1% to 2.0%. In the last part of this work, the performance of Fibre Optic Networks for Distributed and Extendible Heterogeneous Radio Architectures and Service Provisioning (FUTON) systems, which is the four-channel virtual Multiple Input Multiple Output (MIMO), is predicted by using the developed physical model. Based on Subcarrier Multiplexing (SCM) techniques, four-channel signals with 100 MHz bandwidth per channel are generated and used to drive the RSOA modulator. The transmission performance of the RSOA modulator under the broadband multi channels is depicted with the figure of merit, EVM under di erent adrature Amplitude Modulation (QAM) level of 64 and 254 for various number of Orthogonal Frequency Division Multiplexing (OFDM) subcarriers of 64, 512, 1024 and 2048.

Dynamics and Control Strategies for a Butanol Fermentation Process

Fundação de Amparo à Pesquisa do Estado de São Paulo (FAPESP)