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.

Power Scaling of Uplink Massive MIMO Systems with Arbitrary-Rank Channel Means

This paper investigates the uplink achievable rates of massive multiple-input multiple-output (MIMO) antenna systems in Ricean fading channels, using maximal-ratio combining (MRC) and zero-forcing (ZF) receivers, assuming perfect and imperfect channel state information (CSI). In contrast to previous relevant works, the fast fading MIMO channel matrix is assumed to have an arbitrary-rank deterministic component as well as a Rayleigh-distributed random component. We derive tractable expressions for the achievable uplink rate in the large-antenna limit, along with approximating results that hold for any finite number of antennas. Based on these analytical results, we obtain the scaling law that the users' transmit power should satisfy, while maintaining a desirable quality of service. In particular, it is found that regardless of the Ricean K-factor, in the case of perfect CSI, the approximations converge to the same constant value as the exact results, as the number of base station antennas, M, grows large, while the transmit power of each user can be scaled down proportionally to 1/M. If CSI is estimated with uncertainty, the same result holds true but only when the Ricean K-factor is non-zero. Otherwise, if the channel experiences Rayleigh fading, we can only cut the transmit power of each user proportionally to 1/√M. In addition, we show that with an increasing Ricean K-factor, the uplink rates will converge to fixed values for both MRC and ZF receivers.

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.

An approach to nonirreducible MIMO FIR channel equalization

It is known that a nonirreducible multiple-input– multiple-output finite-impulse-response channel driven by colored signals that are mutually uncorrelated and of sufficiently diverse power spectra can be identified blindly by exploiting only the second-order statistics of the measured data. In this brief, we propose an approach to dealing with the equalization of a nonirreducible channel, provided that the estimate of the channel matrix is available. Both zero-forcing and minimum-mean-square-error equalizers are developed to perform the channel equalization. The effectiveness of the approach and equalizers is demonstrated by simulation examples.

Channel estimation for time-varying MIMO relay systems

In this paper, we investigate the channel estimation problem for multiple-input multiple-output (MIMO) relay communication systems with time-varying channels. The time-varying characteristic of the channels is described by the complex-exponential basis expansion model (CE-BEM). We propose a superimposed channel training algorithm to estimate the individual first-hop and second-hop time-varying channel matrices for MIMO relay systems. In particular, the estimation of the second-hop time-varying channel matrix is performed by exploiting the superimposed training sequence at the relay node, while the first-hop time-varying channel matrix is estimated through the source node training sequence and the estimated second-hop channel. To improve the performance of channel estimation, we derive the optimal structure of the source and relay training sequences that minimize the mean-squared error (MSE) of channel estimation. We also optimize the relay amplification factor that governs the power allocation between the source and relay training sequences. Numerical simulations demonstrate that the proposed superimposed channel training algorithm for MIMO relay systems with time-varying channels outperforms the conventional two-stage channel estimation scheme.

Velocity distributions in a plate heat exchanger channel

The development of a Laser Doppler Anemometer technique to measure the velocity distribution in a commercial plate heat exchanger is described. Detailed velocity profiles are presented and a preliminary investigation is reported on flow behaviour through a single cell in the channel matrix. The objective of the study was to extend previous investigations of plate heat exchanger flow patterns in the laminar range with the eventual aim of establishing the effect of flow patterns on heat transfer performance, thus leading to improved plate heat exchanger design and design methods. Accurate point velocities were obtained by Laser Anemometry in a perspex replica of the metal channel. Oil was used as a circulating liquid with a refractive index matched to that of the perspex so that the laser beams were not distorted. Cell-by-cell velocity measurements over a range of Reynolds number up to ten showed significant liquid mal-distribution. Local cell velocities were found to be as high as twenty seven times average velocity, contrary to the previously held belief of four times. The degree of mal-distribution varied across the channel as well as in the vertical direction, and depended on the upward or downward direction of flow. At Reynolds numbers less than one, flow zig-zagged from one side of the channel to the other in wave form, but increases in Reynolds number improved liquid distribution. A detailed examination of selected cells showed velocity variations in different directions, together with variation within individual cells. Experimental results are also reported on the flow split when passing through a single cell in a section of a channel . These observations were used to explain mal-distribution in the perspex channel itself.

Blind channel estimation and signal retrieving for MIMO relay systems

In this paper, we propose a blind channel estimation and signal retrieving algorithm for two-hop multiple-input multiple-output (MIMO) relay systems. This new algorithm integrates two blind source separation (BSS) methods to estimate the individual channel state information (CSI) of the source-relay and relay-destination links. In particular, a first-order Z-domain precoding technique is developed for the blind estimation of the relay-destination channel matrix, where the signals received at the relay node are pre-processed by a set of precoders before being transmitted to the destination node. With the estimated signals at the relay node, we propose an algorithm based on the constant modulus and signal mutual information properties to estimate the source-relay channel matrix. Compared with training-based MIMO relay channel estimation approaches, the proposed algorithm has a better bandwidth efficiency as no bandwidth is wasted for sending the training sequences. Numerical examples are shown to demonstrate the performance of the proposed algorithm.

On the empirical eigenvalue distribution of slotted amplify-and-forward relaying protocol model

In this paper we consider the case of large cooperative communication systems where terminals use the protocol known as slotted amplify-and-forward protocol to aid the source in its transmission. Using the perturbation expansion methods of resolvents and large deviation techniques we obtain an expression for the Stieltjes transform of the asymptotic eigenvalue distribution of a sample covariance random matrix of the type HH† where H is the channel matrix of the transmission model for the transmission protocol we consider. We prove that the resulting expression is similar to the Stieltjes transform in its quadratic equation form for the Marcenko-Pastur distribution.

MIMO Precoding With X- and Y- Codes

We consider a slow fading multiple-input multiple-output (MIMO) system with channel state information at both the transmitter and receiver. A well-known precoding scheme is based upon the singular value decomposition (SVD) of the channel matrix, which transforms the MIMO channel into parallel subchannels. Despite having low maximum likelihood decoding (MLD) complexity, this SVD precoding scheme provides a diversity gain which is limited by the diversity gain of the weakest subchannel. We therefore propose X- and Y-Codes, which improve the diversity gain of the SVD precoding scheme but maintain the low MLD complexity, by jointly coding information across a pair of subchannels. In particular, subchannels with high diversity gain are paired with those having low diversity gain. A pair of subchannels is jointly encoded using a 2 2 real matrix, which is fixed a priori and does not change with each channel realization. For X-Codes, these rotation matrices are parameterized by a single angle, while for Y-Codes, these matrices are left triangular matrices. Moreover, we propose X-, Y-Precoders with the same structure as X-, Y-Codes, but with encoding matrices adapted to each channel realization. We observed that X-Codes/Precoders are good for well-conditioned channels, while Y-Codes/Precoders are good for ill-conditioned channels.

Jointly Optimal MMSE design for non-redundant FIR precoding and equalization

We provide a filterbank precoding framework (FBP) for frequency selective channels using the minimum mean squared error (MMSE) criterion. The design obviates the need for introducing a guard interval between successive blocks, and hence can achieve the maximum possible bandwidth efficiency. This is especially useful in cases where the channel is of a high order. We treat both the presence and the absence of channel knowledge at the transmitter. In the former case, we obtain the jointly optimal precoder-equalizer pair of the specified order. In the latter case, we use a zero padding precoder, and obtain the MMSE equalizer. No restriction on the dimension or nature of the channel matrix is imposed. Simulation results indicate that the filterbank approach outperforms block based methods like OFDM and eigenmode precoding.

X-Codes: A Low Complexity Full-Rate High-Diversity Achieving Precoder for TDD MIMO Systems

We consider a time division duplex multiple-input multiple-output (nt × nr MIMO). Using channel state information (CSI) at the transmitter, singular value decomposition (SVD) of the channel matrix is performed. This transforms the MIMO channel into parallel subchannels, but has a low overall diversity order. Hence, we propose X-Codes which achieve a higher diversity order by pairing the subchannels, prior to SVD preceding. In particular, each pair of information symbols is encoded by a fixed 2 × 2 real rotation matrix. X-Codes can be decoded using nr very low complexity two-dimensional real sphere decoders. Error probability analysis for X-Codes enables us to choose the optimal pairing and the optimal rotation angle for each pair. Finally, we show that our new scheme outperforms other low complexity precoding schemes.

End-to-End BER Analysis of Space Shift Keying in Decode-and-Forward Cooperative Relaying

Space shift keying (SSK) is a special case of spatial modulation (SM), which is a relatively new modulation technique that is getting recognized to be attractive in multi-antenna communications. Our new contribution in this paper is an analytical derivation of exact closed-form expression for the end-to-end bit error rate (BER) performance of SSK in decode-and-forward (1)1,) cooperative relaying. An incremental relaying (IR) scheme with selection combining (SC) at the destination is considered. In SSK, since the information is carried by the transmit antenna index, traditional selection combining methods based on instantaneous SNRs can not be directly used. To overcome this problem, we propose to do selection between direct and relayed paths based on the Euclidean distance between columns of the channel matrix. With this selection metric, an exact analytical expression for the end-to-end BER is derived in closed-form. Analytical results are shown to match with simulation results.

On the Sphere Decoder for Frequency-Selective MIMO channels

This paper compares the complexity of the sphere decoder (SD) and a previously proposed detection scheme, denoted here as block SD (BSD), when they are applied to the detection of multiple-input multiple-output (MIMO) systems in frequency-selective channels. The complexity of both algorithms depends on their preprocessing and tree search stages. Although the BSD was proposed as a means of greatly reducing the complexity of the preprocessing stage of the SD, no study was done on how the complexity of the tree search stage could be affected by that reduced preprocessing stage. This paper shows, both analytically and through simulation, that the reduction in preprocessing complexity provided by the BSD has the side effect of increasing the complexity of its tree search stage compared to that of the SD, independent of the signal-to-noise ratio (SNR). In addition, this paper shows how sorting the columns of the frequency-selective channel matrix in the SD does not reduce the complexity of the tree search stage, contrary to what occurs in frequency-flat channels.

Low-complexity iterative method of equalization for single carrier with cyclic prefix in doubly selective channels

Orthogonal frequency division multiplexing (OFDM) requires an expensive linear amplifier at the transmitter due to its high peak-to-average power ratio (PAPR). Single carrier with cyclic prefix (SC-CP) is a closely related transmission scheme that possesses most of the benefits of OFDM but does not have the PAPR problem. Although in a multipath environment, SC-CP is very robust to frequency-selective fading, it is sensitive to the time-selective fading characteristics of the wireless channel that disturbs the orthogonality of the channel matrix (CM) and increases the computational complexity of the receiver. In this paper, we propose a time-domain low-complexity iterative algorithm to compensate for the effects of time selectivity of the channel that exploits the sparsity present in the channel convolution matrix. Simulation results show the superior performance of the proposed algorithm over the standard linear minimum mean-square error (L-MMSE) equalizer for SC-CP.

A Low Complexity Real-time MIMO-Preprocessing For Fixed Complexity Sphere Decoder

Modern Multiple-Input Multiple-Output (MIMO) communication systems place huge demands on embedded processing resources in terms of throughput, latency and resource utilization. State-of-the-art MIMO detector algorithms, such as Fixed-Complexity Sphere Decoding (FSD), rely on efficient channel preprocessing involving numerous calculations of the pseudo-inverse of the channel matrix by QR Decomposition (QRD) and ordering. These highly complicated operations can quickly become the critical prerequisite for real-time MIMO detection, exaggerated as the number of antennas in a MIMO detector increases. This paper describes a sorted QR decomposition (SQRD) algorithm extended for FSD, which significantly reduces the complexity and latency
of this preprocessing step and increases the throughput of MIMO detection. It merges the calculations of the QRD and ordering operations to avoid multiple iterations of QRD. Specifically, it shows that SQRD reduces the computational complexity by over 60-70% when compared to conventional
MIMO preprocessing algorithms. In 4x4 to 7x7 MIMO cases, the approach suffers merely 0.16-0.2 dB reduction in Bit Error Rate (BER) performance.