RIS-Enabled Wireless Communications for Enhanced Energy Efficiency

.
Reconfigurable Intelligent Surface: Energy Efficiency and

Intelligent Configuration in Wireless Communication
.
Chongwen Huang1 , Alessio Zappone3 , George C. Alexandropoulos2 ,

Mérouane Debbah2,3 , and Chau Yuen1
1 Singapore University of Technology and Design, Singapore

2 Mathematical and Algorithmic Sciences Lab,
Huawei Technologies France SASU
3 CentraleSupélec, Université Paris-Saclay, France
IEEE VTS and Comsoc Joint Workshop on 6G

SUTD, Apr. 24, 2019
. . . . . .
C. Huang, et al. () Communication via Intelligent Surfaces SUTD, Apr. 24, 2019 1 / 34
Outline
. Introduction & Background

1
Introduction
Background
Application Scenarios
. Recent Research Results

2
Reconfigurable Intelligent Surfaces (RIS) for Energy Efficiency in

Wireless Networks (TWC Under third reviewing)
Achievable Rate Maximization By Passive Intelligent Mirrors (ICASSP,
Apr. 2018, Calgary, Alberta, Canada)
Low Resolution Reconfigurable Intelligent Surfaces (Goblecom Dec.
2018, Abu Dhabi, UAE)
. . . . . .
Outline
. Introduction & Background

1
Introduction
Background
. Recent Research Results

2
Reconfigurable Intelligent Surfaces (RIS) for Energy Efficiency in

Wireless Networks (TWC Under third reviewing)
. . . . . .
Introduction & Background
5G Use Cases
. . . . . .
A Vision of Beyond 5G Communication
Figure: . . .
Source: A Speculative Study on 6G, https://arxiv.org/abs/1902.06700. . . .
Concerns for Beyond 5G (Post-5G and 6G) Communication
Tbps throughput per connection.
Centimeter level localization.
Latency in the order of nanoseconds.
Increased Energy Efficiency (EE).
Intelligent algorithms in all network layers: learn, predict, and adapt.
. . . . . .
.
What’s Reconfigurable Intelligent Surfaces (RIS)?
.
RIS: Man-made surface composed of many small-unit reflectors equipped with
simple low-cost sensors and a cognitive enginea b .
Capability of soft controlling each of the units, which can effectively produce more
flexible manipulation of impinging electromagnetic field, such as polarization,
scattering, focusing reflection control, absorbing, etc . c .
a
Hu et al., “The potential of using large antenna arrays on intelligent surfaces,”in 2017 IEEE 85th VTC
Spring, June 2017, pp. 1–6.
b
Hum et al., “Reconfigurable reflect arrays and array lenses for dynamic antenna beam Control: A review,”
IEEE TAP, 2014.
c
H. Yang, et al., “A programmable metasurface with dynamic polarization, scattering and focusing control”.
.
Scientific reports, 6, 35692, 2016.
. . . . . .
Figure: The programming and control of impinging electromagnetic field, such as

polarization, scattering control, focusing reflection control.
1
H. Yang, et al., “A programmable metasurface with dynamic polarization, scattering and focusing control”.
Scientific reports, 6, 35692, 2016. . . . . . .
2
Background (1/2)
Currently, Most
implementation by 2D
materials (Meta-surface)
Example: 0.4m2 and 1.5mm
thickness surface consisting of
102 controllable cells and
operating at 2.47GHz.
Each unit cell is a rectangular
patch sitting on a ground plane
and offering binary phase
modulation.
2
Kaina et al., ‘Shaping complex microwave fields in reverberating media with binary tunable metasurfaces,”
Scientific Reports, 2014. . . . . . .
Background (2/2)
.
Key RIS Features
.
1. Passive (nearly): No need any dedicated energy source
2. Can be contiguous surface: Ideally, each point can reflect
3. No receiver noise: due to no ADCs/DACs and Amplifier
4. Soft programming: Ideally, each point of surface can be reconfigured
5. Full-band response (Ideally): due to the reconfigurable; can work at any

operating frequency wave
6. Easily deployment: buildings facades,factory ceilings, human clothing, etc.

.
. . . . . .
Application Scenarios-Outdoor
Figure: Outdoor wireless network operation (a) Current network (b) Smart network
(O1, O2 and O3 coated with RIS).
Notes: The objects O1, O2, O3 are now coated with reconfigurable
meta-surfaces that modify the radio waves according to the generalized
laws of reflection and refraction.
. . . . . .
Application Scenarios-Indoor
Figure: (a) Without RIS Wall, (b) With RIS Wall

Notes: (a) the signal experiences path loss and multi-path fading and
hardly reaches the target user. Whereas in (b), the signal propagation can
be reconfigured by RIS coated in the surfaces so that the signal is directed
towards the target user.
. . . . . .
Outline
1. Introduction & Background

Introduction
Background
2. Recent Research Results

Reconfigurable Intelligent Surfaces for Energy Efficiency in Wireless
Networks (TWC Under third reviewing) 3
3
Chongwen Huang, Alessio Zappone, George C. Alexandropoulos, Mérouane Debbah and Chau Yuen,
“Reconfigurable Intelligent Surfaces for Energy Efficiency in Wireless Networks” Submitted to the IEEE
Transactions on Wireless Communications . . . . . .
System Model
The received signal at the k-th

Large Intelligent Surface (LIS)
mobile user
Reflecting Element
yk = h2,k ΦH1 x + nk ,
User where:
h2,k ∈ C1×N represents the
channel between RIS and the
User k-th mobile user.
H1 ∈ CN×M for the channel
Base station
User
between BS and RIS.
Figure: The considered RIS-based Φ , diag[ϕ1 , ϕ2 , . . . , ϕN ] is a
multi-user MISO system comprising of diagonal matrix including the
a M-antenna base station serving in the effective phase shifting
downlink K single-antenna users. RIS is values ϕn ∀n = 1, 2, . . . , N
assumed to be attached to a for all RIS elements.
surrounding building’s facade. . . . . . .
Problem Formulation
.
Objective
.
Jointly optimal design of the RIS phase shifting matrix and the transmit
power
. allocation matrix by maximizing the EE under QoS constraints.
.
Problem Formulation
. ∑K ( )
k=1 log2 1 + pk σ −2
max ∑K (1a)
Φ,P ξ pk + PBS + KPUE + NPn (b)
(k=1 )
s.t. log2 1 + pk σ −2 ≥ Rmin,k ∀k = 1, 2, . . . , K , (1b)
+
tr((H2 ΦH1 ) P(H2 ΦH1 ) +H
) ≤ Pmax , (1c)
|ϕn | = 1 ∀n = 1, 2, . . . , N, (1d)
Problem (4) is non-convex; and
Optimizing Φ is challenging due to the its discrete nature.
.
. . . . . .
Proposed Solution (1/3)
Alternating optimization:
Optimization with respect to Φ
min tr((H2 ΦH1 )+ P(H2 ΦH1 )+H ) (2a)

Φ
s.t. |ϕn | = 1 ∀n = 1, 2, . . . , N (2b)
Using Sequential Fractional Programming, (4) will becomes
max 2Re(yH (λmax IN 2 − A)y(t) ) (3a)

y
s.t. |yi | = 1 , ∀i = (j − 1)N + j, j = 1, 2, . . . , N, (3b)

yi = 0 , ∀i ̸= (j − 1)N + j , j = 1, 2, . . . , N. (3c)
+H +H
where y = vec(Φ−1 ) , A , (H2
2 ×N 2
⊗ H+ H
1 ) (H2 ⊗ H+
1)∈C
N .
. . . . . .
Optimization with respect to Φ
min tr((H2 ΦH1 )+ P(H2 ΦH1 )+H ) (4a)

Φ
s.t. |ϕn | = 1 ∀n = 1, 2, . . . , N (4b)
Using Gradient Descent Approach, (4) will becomes
vec(Θ)(t+1) = vec(Θ)(t) + µd(t) , (5)

jvec(Θ)(t+1) jµd(t)
y(t+1) = e ◦ vec(IN ) = y(t) ◦ e , (6)
(q(t+1) − q(t) )T q(t+1) (t)
d(t+1) = −q(t+1) + d , (7)
∥q(t) ∥2
( )
q(t) , ∇Θ (y(t) )H Ay(t) .
. . . . . .
Optimization with respect to P
∑K ( )
k=1 log2 1 + pk σ −2
max ∑K (8a)
P ξ k=1 pk + PBS + KPUE + NPn (b)
s.t. pk ≥ σ (2 2 Rmin,k
− 1), ∀k = 1, 2, . . . , K , (8b)
tr((H2 ΦH1 )+ P(H2 ΦH1 )+H ) ≤ Pmax . (8c)
For fixed Φ, the numerator of (13a) is concave in P, globally solved

with limited complexity using Dinkelbach’s algorithm.
. . . . . .
Simulation Results
Figure: The simulated RIS-based K -user MISO communication scenario

comprising of a M-antenna base station and a N-element intelligent surface.
. . . . . .
Simulation Results
Particularly, the EE of the

RIS-based system is 300%
larger than that of the one
based on the AF relay.
Figure: Average EE using either RIS or

AF relay versus Pmax for
Rmin = 0bps/Hz. . . . . . .
Simulation Results
150 all designs perform similarly for
Pmax ≤ 15dBm, which
indicates that the EE and SE
100
objectives are nearly equivalent
for such transmit power levels.
using full BS transmit power
50
for low Pmax is optimal.
for Pmax > 15dBm, the SE
maximization design naturally
0 increases the SE, but leads to
-20 -10 0 10 20 30 40
decreasing EE.
Figure: Average EE using RIS versus EE is maximized subject to
Pmax for M = 32, K = 16, and N = 16 QoS,the excess transmit power
using: a) EE maximization for is used in order to fulfill the
Rmin = {0, 0.2R}; b) full power those constraints, but reduce
allocation; and c)sum rate
the EE.
. . . . . .
maximization.
Simulation Results
both proposed algorithms yield

very similar performance curves
that are quite close to the ones
obtained from the global
optimization.
larger the N value is, the larger
is the achievable SE.
Figure: Average sum rate using RIS

versus N for SNR = 20dB, M = 64,
K = 64 and Rmin = 2bps/Hz with both
our presented algorithms as well as
exhaustive global optimization. . . . . . .
Simulation Results
when N is quite small, all
170
designs exhibit the same trend.
160 large N to observe EE
150
decreasing, this behavior seems
not to happen for
140 Pn (b) = 0.01dBm due to small
Pn (b).
130
an optimal trade-off exists
120
between the rate benefit of
110
deploying larger and larger RIS
structure and its corresponding
100
0 10 20 30 40 50 energy consumption cost.
Figure: Average EE using RIS versus N

for SNR = −10dB and
Rmin = 0bps/Hz, . . . . . .
Outline
1. Introduction & Background

Introduction
Background
2. Recent Research Results

Reconfigurable Intelligent Surfaces for Energy Efficiency in Wireless
Networks (TWC Under third reviewing)
2018, Abu Dhabi, UAE) 4
4
Chongwen Huang, George C.Alexandropoulos, Alessio Zappone, Mérouane Debbah and Chau Yuen, “Energy
Efficient Multi-User MISO Communication using Low Resolution Reconfigurable Intelligent Surfaces” IEEE
GLOBECOM, Abu Dhabi, UAE, 2018. . . . . . .
Simulation Results
The received signal at the k-th
Large Intelligent Surface (LIS) mobile user
Low resolution
antenna element
yk = (h2,k ΦH1 + h1,k ) x + nk ,
User
where: h1,k ∈ C1×M the direct

Direct signal path
channel between BS and the
User
k-th mobile user.
Base station
User
Phase shifting value (finite
Figure: RIS-assisted multi-user MISO resolution) for the n-th
communication comprising of a M-antenna element:
base station simultaneously serving in the { ( )}2b −1
downlink K single-antenna users j2πm
ϕn ∈ F , exp .
2b m=0
(9)
. . . . . .
Proposed Joint Design Formulation
EE maximization problem is given:
∑K ( pk )
k=1 log2 1 + σ 2
max ∑K (10a)
k=1 µk pk + KPc + NPn (b)
Φ,P
( pk )
s.t. log2 1 + 2 ≥ Rmin,k ∀k = 1, 2, . . . , K , (10b)
σ
tr((H2 ΦH1 + H)+ P((H2 ΦH1 + H)+ )H ) ≤ P, (10c)
j21−b π j2π(2b −1)/2b
ϕn ∈ F = {1, e ,...,e }, b = 1, 2, . . .
∀n = 1, 2, . . . , N. (10d)
Challenges:
(10) is non-convex; and
Optimizing Φ is challenging due to the its discrete nature.
. . . . . .
Proposed Joint Design (1/4)
.
Solution Approach
.
Employ alternating optimization to separately and iteratively solve for
matrices
. P and Φ.
.
RIS with 1-bit Phase Resolution
.
First, optimization with respect to Φ:
min tr((H2 ΦH1 + H)+ P((H2 ΦH1 + H)+ )H ) (11a)

Φ
s.t. θn = {0, π} ∀n = 1, 2, . . . , N. (11b)
Still non-convex!
Proposed Solution: Relax the θn : constraint as
0 ≤ θn ≤ 2π.
.
. . . . . .
.
.
Optimization with respect to Φ:

Φ
s.t. 0 ≤ θn ≤ 2π ∀n = 1, 2, . . . , N. (12b)
Convex! Leveraging the function fmincon in MATLAB

Approximated solution
2 ≤ θn < 2π and 0 ≤ θn <
3π π
θn = 0: When 2.
2 ≤ θn < 2 .
π 3π
θn = π: When
Low Complexity approach!
.
. . . . . .
.
.
Optimization with respect to P:
∑K ( pk )
k=1 log2 1 + σ 2
max ∑K (13a)
k=1 µk pk + KPc + NPn (1)
P
s.t. pk ≥ σ 2 (2Rmin,k − 1) ∀k = 1, 2, . . . , K , (13b)

tr((H2 ΦH1 + H) P((H2 ΦH1 + H) ) ) ≤ P.
+ + H
(13c)
Convex!
Problem (13) can be globally solved with limited complexity using
Dinkelbach’s methoda .
a
. Dinkelbach, “On nonlinear fractional programming,” Manag. Science, 1967.
. . . . . .
.
RIS with Finite Phase Resolution Elements
.
2-bit resolution case:

Φ
π 3π
s.t. θn = {0, , π, } ∀n = 1, 2, . . . , N. (14b)
2 2
Similar with One-bit!
Approximated solution
θn = 0: When 0 ≤ θn < π4 and 7π
4 ≤ θn < 2π.
θn = π2 : When π4 ≤ θn < 3π 4 .
θn = π: When 3π 4 ≤ θ n < 5π
4 .
θn = 3π2 : Otherwise.
Similarly,
. it can be extended to other finite phase resolution.
. . . . . .
Simulation Results
Figure: The simulated RIS-assisted K -user MISO communication scenario

comprising of a M-antenna base station and a N-element intelligent surface.
. . . . . .
Simulation Results: Globecom Dec. 2018 (1)
280
260
240
220
200
180
2-bit phase resolution performs
160
quite close to the infinite one.
140
Infinite resolution exhaustive search

120
1-bit resolution exhaustive search
100 Proposed with 1-bit resolution
Proposed with 2-bit resolution
80
Amplify-and-forward relay
60
-20 -15 -10 -5 0 5 10 15 20 25 30
Figure: Achievable sum rate vs the

transmit SNR for K = 16, M = 12,
N = 32, and Rmin,k = log2 (1 + SNR
2K )
bps/Hz ∀k = 1, 2, . . . , 16. . . . . . .
Simulation Results: Globecom Dec. 2018 (2)
180
160
140
120
100
80
The two low resolution cases
result in the highest EE.
60
Infinite resolution exhaustive search
40 1-bit resolution exhaustive search Up to 45% Higher EE than the

Proposed with 1-bit resolution
20 Proposed with 2-bit resolution
relay-assisted case.
Amplify-and-forward relay
0
-10 -5 0 5 10 15 20 25 30 35 40
Figure: Energy efficiency maximization

vs the total BS transmit power P for
K = 16, M = 12, N = 32, and
Rmin,k = 0 bps/Hz ∀k = 1, 2, . . . , 16.
. . . . . .
Simulation Results: ICASSP Apr. 2018
200
180
160
140
120
100
The proposed method
80
approaches the optimal.
60
With RIS, there are huge gain
40
than that of without RIS.
20
0
-10 -5 0 5 10 15 20 25 30
Fig. R2.2. The average SE

comparison of the proposed
RIS system with no RIS
system. a) M = 32,K = 16, . . . . . .

RIS-Enabled Wireless Communications for Enhanced Energy Efficiency

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.

Reconfigurable Intelligent Surface: Energy Efficiency and

Chongwen Huang1 , Alessio Zappone3 , George C. Alexandropoulos2 ,

1 Singapore University of Technology and Design, Singapore

IEEE VTS and Comsoc Joint Workshop on 6G

. Introduction & Background

. Recent Research Results

Reconfigurable Intelligent Surfaces (RIS) for Energy Efficiency in

. Introduction & Background

. Recent Research Results

Reconfigurable Intelligent Surfaces (RIS) for Energy Efficiency in

Concerns for Beyond 5G (Post-5G and 6G) Communication

Tbps throughput per connection.

Centimeter level localization.

Latency in the order of nanoseconds.

Increased Energy Efficiency (EE).

Intelligent algorithms in all network layers: learn, predict, and adapt.

Figure: The programming and control of impinging electromagnetic field, such as

2. Can be contiguous surface: Ideally, each point can reflect

3. No receiver noise: due to no ADCs/DACs and Amplifier

4. Soft programming: Ideally, each point of surface can be reconfigured

5. Full-band response (Ideally): due to the reconfigurable; can work at any

6. Easily deployment: buildings facades,factory ceilings, human clothing, etc.

Figure: (a) Without RIS Wall, (b) With RIS Wall

1. Introduction & Background

2. Recent Research Results

The received signal at the k-th

min tr((H2 ΦH1 )+ P(H2 ΦH1 )+H ) (2a)

Using Sequential Fractional Programming, (4) will becomes

max 2Re(yH (λmax IN 2 − A)y(t) ) (3a)

s.t. |yi | = 1 , ∀i = (j − 1)N + j, j = 1, 2, . . . , N, (3b)

min tr((H2 ΦH1 )+ P(H2 ΦH1 )+H ) (4a)

Using Gradient Descent Approach, (4) will becomes

vec(Θ)(t+1) = vec(Θ)(t) + µd(t) , (5)

For fixed Φ, the numerator of (13a) is concave in P, globally solved

Figure: The simulated RIS-based K -user MISO communication scenario

Particularly, the EE of the

Figure: Average EE using either RIS or

both proposed algorithms yield

Figure: Average sum rate using RIS

Figure: Average EE using RIS versus N

1. Introduction & Background

2. Recent Research Results

where: h1,k ∈ C1×M the direct

min tr((H2 ΦH1 + H)+ P((H2 ΦH1 + H)+ )H ) (11a)

min tr((H2 ΦH1 + H)+ P((H2 ΦH1 + H)+ )H ) (12a)

Convex! Leveraging the function fmincon in MATLAB

s.t. pk ≥ σ 2 (2Rmin,k − 1) ∀k = 1, 2, . . . , K , (13b)

min tr((H2 ΦH1 + H)+ P((H2 ΦH1 + H)+ )H ) (14a)

Figure: The simulated RIS-assisted K -user MISO communication scenario

Infinite resolution exhaustive search

Figure: Achievable sum rate vs the

40 1-bit resolution exhaustive search Up to 45% Higher EE than the

Figure: Energy efficiency maximization

Fig. R2.2. The average SE

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