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Low Complexity Hybrid Wideband Beamforming

for Millimeter-Wave Massive MIMO-OFDM


Systems
Mohammad Assaf Oleg G Ponomarev
Radiophysic department Radiophysic department
Tomsk State University Tomsk State University
Tomsk, Russian Federation Tomsk, Russian Federation
e-mail: md.moh1600@gmail.com e-mail: ponomarev@phys.tsu.ru

Abstract—In mmWave massive multiple-input multiple- in the literature on hybrid beamforming, where the digital
output (MIMO) communication systems, the extension of low- and analog beamformers are assumed to remain constant
complexity narrowband precoding schemes to be operated on across the whole bandwidth. In a wideband multicarrier
wideband systems under frequency-selective channels system, precoding and combining should be performed at
remains an important challenge at the current time. This each subcarrier, so in conventional multicarrier MIMO
paper investigates a low complexity wideband hybrid systems, beamforming can simply be converted from
precoding scheme for mmWave massive MIMO multicarrier frequency flat to frequency-selective because it is
systems under a single-user, fully-connected hybrid performed in the digital domain. However, this simple
architecture. We show that the radio frequency (RF)
adaptation cannot be used in massive MIMO hybrid systems
precoding/combining vectors can be directly derived from the
eigenvectors of the optimal fully-digital covariance matrix
because it requires that the analog precoding matrix remain
over all subcarriers in order to maximize the sum rate of constant across the whole bandwidth. This makes the design
spectral efficiency. We also suggest a new method that of wideband hybrid precoding challenging.
iteratively reduces the residual error between the covariance Numerous studies are available in [10]-[15] that relate to
matrix and the sum of products of precoding matrices over all wideband massive MIMO beamforming, In [10], the
the subcarriers to improve the performance in the case where proposed precoding technique is based on the channel
the number of RF chains is higher than the number of
covariance matrix to construct the analog RF matrix at the
streams. The results of the simulation show that the proposed
transmitter side to maximize the sum of mutual information
schemes' complexity is low compared to the present methods,
and their performance can almost reach the upper bound
over all subcarriers. In their design, the hybrid combiner
achieved by the optimal full-baseband design. optimization is completely disregarded. Tabu-search (TS) -
based joint hybrid precoding and combining scheme is
Keywords— analog/ digital precoding, Millimeter wave proposed in [11] to intelligently find the nearly ideal pairing
communication, massive MIMO, wideband hybrid of hybrid precoder and combiner. It is demonstrated in [12]
beamforming. that the equivalent frequency-flat precoding and combining
are sufficient to reach the desired spectral efficiency when
I. INTRODUCTION the frequency-selective channel does not include a lot of
One of the important technologies for achieving high scattering paths. The sparsity of the mmWave channels is
capacity performance in fifth-generation (5G) new radio exploited in [13], and it is demonstrated that since the
(NR) and beyond is the utilization of the millimeter (mm) channel covariance matrices at various subcarriers have
wave spectrum, which is commonly considered to be nearly the same set of eigenvectors, it is possible to apply
between 30 and 300 GHz. It can support a large number of the frequency flat precoding scheme proposed in [14] to the
users with several gigabit-per-second data rates [1]. This average of channel covariance matrices to derive the
technology became practical thanks to the use of a large precoding and combining matrices. Two wideband hybrid
number of antennas, or what is currently referred to as precoding methods were presented by the author in [15].
massive multiple-input multiple-output (MIMO), to The first uses a multi-linear SVD to identify common
mitigate the problem of large path loss at high frequencies analog combiner vectors, while the second uses a
[2]. The benefits of massive MIMO mmWave cannot be classification of beamforming vectors to maximize gain for
achieved unless using large bandwidths; for example, in 5G, the equivalent baseband channel.
the bandwidth per carrier may reach 400 MHz according to A. Main Contributions
the 3rd generation partnership project (3GPP). However,
more difficulties arise when the bandwidth is increased As can be seen from the existing methods, high-
compared to the narrowband case, one of which is the complexity full channel knowledge approaches are typically
frequency selectivity of the channel [3]. In order to mitigate used to get the required precoders/combiner matrices in
the frequency selectivity of the channel, cyclic prefix- wideband multicarrier massive MIMO systems in order to
orthogonal frequency division multiplexing (CP-OFDM) reach near-optimal performance. The usage of a channel
has been chosen for usage in wideband communication for covariance matrix as in [10][13], a multi-linear SVD [15],
both uplink and downlink transmissions in 5G. Wideband or iterative techniques [11] to increase the sum rate of the
channels are split into frequency-flat subchannels by using spectral efficiency are the reasons that lead to the increased
OFDM in order to achieve high spectral efficiency as well complexity. This motivates us to study low-complexity
as high performance in various multipath scenarios. hybrid precoding methods in wideband mmWave massive
Numerous studies on narrowband beamforming [4]-[9], also MIMO systems, which use less information to construct the
known as single carrier beamforming, have been observed precoding/combining matrices. This article's major
contributions can be summed up as follows:
Fig. 1. A block diagram of a hybrid beamforming massive MIMO-OFDM system.

 The proposed approaches do not require complete lowercase letters. The superscripts 𝐻 and −1 represent the
knowledge of the high-dimension channel matrices conjugate transpose and inverse, respectively. ‖ . ‖𝐹
or antenna response vectors because they only denotes the Frobenius norm of a matrix. 𝐈𝑁 is the N × N
depend on fully digital precoding/combining identity matrix; 𝟎𝑀×𝑁 is the M × N all-zeros matrix;
matrices over all subcarriers. Consequently, if we
assume that the channel is estimated in the receiver, II. SYSTEM MODEL FOR SINGLE-USER MASSIVE
the feedback information from the receiver to the MIMO
transmitter can be significantly decreased. A. Signal model
 We show that the RF precoding/combining vectors An mmWave hybrid massive MIMO-OFDM system for
can be directly derived from the eigenvectors of the a single-user with K subcarriers is shown in Fig.1. The
optimal fully-digital covariance matrix over all transmitter is assumed to have N s spatial data streams per
subcarriers in order to maximize the sum rate
subcarrier transmitted via N t antennas using 𝐿𝑡 RF chains,
spectral efficiency for all subcarriers.
while the receiver is assumed to use N r receive antennas
 In the first proposed method, the phase angles of the
and 𝐿𝑟 RF chains for reception. To achieve the hybrid
elements belonging to the ordered eigenvectors of
structure's main objective of low-complexity, the number of
the covariance matrix are used to produce all the RF
RF chains should be less than the number of antennas, and
precoding/combining vectors, and the baseband
precoding/combining matrices are obtained by hence N s  N tRF ( N rRF ) N t ( N r ).
solving the least squares problem for each
subcarrier. As shown in Fig.1. the N s 1 symbol vector 𝒔[𝑘] at
each subcarrier 𝑘 = 1,2, … , 𝐾 is first precoded in the digital
 The second proposed scheme works in an iterative
domain by the baseband matrix FBB [k ]  Lt  Ns , followed
manner in order to minimize the residual error
between the covariance matrix and the sum of by OFDM modulation (K -point inverse fast Fourier
products of precoding matrices over all the transforms (IFFTs) and cyclic prefix (CP) addition), then
subcarriers. This method uses only 𝑁𝑠 eigenvectors forming the required beams in the analog domain using
of the covariance matrix, even if 𝐿𝑡 > 𝑁𝑠 , where 𝑁𝑠 high-dimensional RF precoding matrix FRF  Nt Lt . The
is the number of streams and 𝐿𝑡 is the number of RF final transmitted signal can be written as:
chains, which means less information than the first
method. x[k ]  FRF FBB [k ]s[k ], k  1, 2,..., K (1)

 We show that our proposed algorithm's complexity We will adopt an equal power allocation for all streams
is in the order of   KN t2  , where K is the number in each subcarrier, so the elements of the vector 𝒔[𝑘] are
supposed to be independent with normalized power at each
of subcarriers and N t is the number of antennas at subcarrier 𝐸{𝒔[𝑘]𝒔[𝑘]𝐻 } = 𝐈𝑵𝒔 . The power constraint here
both transmission sides, whereas the complexity of will be taken into account for each subcarrier, as it is
the related traditional techniques is in the order of desirable for practical systems, so the baseband matrix
  KN t3  . As a result, the complexity and amount of FBB [k ] and RF matrix FRF are coupled through power
feedback information have considerably decreased.
Thus, the presented techniques are applicable to any
constraint as in F RF FBB [k ] F  pk
2

1 k  K
, where pk is the
K
communication circumstance.
total power transmitted at 𝑘 𝑡ℎ subcarrier and p
k 1
k  ptot
B. Paper Organization and Notations
The rest of this article is structured as follows: Part II where ptot is the total transmit power.
provides a brief description of the system model and The digital baseband precoding is performed before the
problem formulation. The suggested hybrid precoding
IFFT module in the frequency domain, allowing FBB [k ] to
approach is discussed in depth in Part III. Part IV discusses
the complexity analysis of the proposed scheme. Part V be designed for each subcarrier. The analog RF precoding is
illustrates some simulation results. The last section of the performed after the IFFT module in the time domain, so
article is a conclusion. FRF will be shared for all subcarriers in the whole
transmission bandwidth. As analog phase shifters only
In this paper, both matrices and vectors are bolded, with
adjust the signal's phase at the element antenna level, we
matrices using uppercase letters and vectors using
should assume that the elements of the two RF matrices
have a constant modulus. Therefore, contrary to single- The main objective of this paper is to design an efficient
carrier systems, which only have to deal with the problem method that can maximize the sum of the spectral efficiency
of RF matrix constant modulus, designing hybrid over all the subcarriers as in:
beamformers for OFDM wideband systems has two
challenges: constant modulus and common RF matrix for all
subcarriers. Fopt
RF
opt
, WRF , FΒΒ
opt opt
, WBB 
K

k 1  arg max
FRF , WRF ,FBB [ k ], WBB [ k ]k 1
K
R

B. Channel model
The mmWave communication has a short wavelength,

 F F [k ] 2  p
 RF BB F k
1 k  K (5)


which results in significant pathloss and less number of s.t.  FRF  i, j   1  i, j
scattering paths as compared to microwave band 
transmission. Therefore, we use the expanded Saleh-  WRF  i, j   1  i, j

Valenzuela geometric model as in [3] to model the
considered single-user frequency-selective MIMO channel. D. Problem Discussion:
It is based on the idea that Ncl scattering clusters, each with In this paper, we will refer to the fully digital optimal
N ray propagation paths, combine together to produce the unconstrained precoder 𝐅𝑜𝑝𝑡 [𝑘] at the transmitter as the
channel matrix H. The frequency-selective mmWave targeting precoding matrix at subcarrier k and the optimal
channel matrix at subcarrier k can be formulated as: unconstrained combiner at the receiver as the targeting
combining matrix 𝐖𝑜𝑝𝑡 [𝑘] at subcarrier k. They can be
N cl N ray defined by using the 𝑁𝑠 columns of left and right singular
ar ir,l  at it,l 
Nt N r
 
2 j i ,l f k *
H[k ]  i ,l e (2) vectors of channel matrix H[k] that correspond to the
N cl N ray i 1 l 1
highest singular values as in:
where  i ,l and  i , l are the complex gain and the delay of H[k ]  U[ k ]Σ[ k ]V * [ k ] and
the l ray in the i cluster. a r   and a t   are the
th th r
i ,l
r
i ,l 
V[k ]  N s principal right singular vectors of H[k ]
array response vectors at the receiver and transmitter of the 
U[k ]  N s principal left singular vectors of H[ k ]

l th ray in the i th cluster, with azimuth angles ir,l and it,l ,
respectively. The channel matrix at each subcarrier where U[k] and V[k] are N r  N r and Nt  Nt unitary
H[k ]  Nr  Nt is normalized to satisfy matrices, respectively, and 𝚺[k] is Nr  Nt diagonal


E H[k ] F  Nt N r
2
 matrix with diagonal entries arranged in decreasing order.
Then the targeting matrices Fopt [k ]  V[k ][k ] , and
C. Problem Formulation Wopt [k ]  U[k ] , where [k ] contains the power allocation
On the receiver side, the data vector x[k ] is processed for each stream at each subcarrier. Here we will suppose that
by the combiner matrix W* [k ] = WBB
* *
[k ]WRF , where the transmitter and receiver have all information about the
targeting precoding and combining matrices.
Lt  Ns
WBB [k ]  is the per subcarrier baseband combiner
Due to the constraints of a constant modulus and a
Nr  Lt
and WRF  is the RF combiner, which is common common RF matrix for all subcarriers, it is hard to obtain an
for all subcarriers. The resultant signal at the receiver is: exact solution to equation (4). Thus, various strategies are
proposed to achieve suboptimal solutions while maintaining
yˆ[k ]  WBB
*
[k ]WR* F H[k ]FRF FBB [k ]s[k ]  z[ k ] (3) a reasonable computational overhead. In our paper, we will
use the strategy proposed in [4], which divides the
Where the noise vector z[k ] is assumed to have zero- optimizations into two stages: the first is to design the two
mean and covariance matrix  2 I Nr . precoding matrices as close to the optimal unconstrained
precoding matrix as possible, and the second is to optimize
If we assume that the transmitter obtains the channel the corresponding combining matrices in the same way to
matrix information through the explicit method [16], in achieve high spectral efficiency.
which the receiver estimates the channel and then feeds that On the transmitter side, the objective of the hybrid
information back to the transmitter, then it is essential for design is to optimize the baseband matrices over all
any precoding method to minimize the feedback
information by using as little information as possible. subcarriers FBB  k 1 k  K and RF matrix FRF jointly that

One of the most important key performance criteria that approaches the targeting matrix at each subcarrier Fopt [ k ] as
should be maximized when designing the precoding and in:
combining matrices is spectral efficiency. The average of
K

F
2
spectral efficiency for all subcarriers under Gaussian max *
[k ]FRF FBB [k ]
FRF ,FBB  k 1k  K
opt
signaling can be formulated as follows [4]: k 1
F

 I Ns  R n1[k ]WBB s.t. FRF  i, j   1  i, j (6)


1 K
*
[k ]WRF*
H[k ]FRF FBB [k ] 
R   log 2   (4)
K k 1 
 ×FB*B [k ]FRF
*
H* [k ]WRF WBB [k ] 
 s.t. F RF FBB [k ]
2
F
 pk  1 k  K

Where R n [k ]   W [k ]W WRF WBB [k ] is the noise


2
n
*
BB
*
RF
It is worth noting that the transmit power per stream and
covariance matrix after combining. per subcarrier can be regulated by the baseband precoders
FBB [k ] .
III. THE PROPOSED METHOD A. First approach:
In the case of narrowband hybrid beamforming, there is The RF precoding matrix can be directly derived as the
one channel matrix H from which baseband and RF phase angles of the matrix Fcand ’s elements, where Fcand
precoding/combining matrices have to be derived. Most of will be chosen as 𝐿𝑡 principal eigenvectors of covariance
the proposed solutions are based on the idea that the angle matrix P, so we can write
information of the analog phase shifters is first extracted
from an angle source and that the baseband matrix can then FRF  Fcand . / abs  Fcand  (10)
be derived using the least-squares method, which reduces
the sum of the squares of the differences between the chosen After obtaining the matrix FRF , the baseband precoding
RF matrix and the optimal targeted matrix. There are matrix FBB [k ] can be obtained using the least squares
different sources of RF precoding vectors, the proposed
solution at each subcarrier k:
techniques in [7][8][9] employ the phase information of the
FBB [k ]   FRF FRF  FRF
principal left singular vectors of the targeting matrix, * * 1
Fopt [k ] (11)
whereas the OMP-based approaches in [4] [5][6] use the
antenna array response vectors to construct FRF . The right B. Second approach:
singular vectors of the channel matrix are used to choose the
In this approach, The baseband and RF precoding
RF matrix's vectors in [10]. However, in the case of
wideband hybrid beamforming, there are K different matrices are divided into L parts, each part comprises N s
channel matrices that should be employed to extract the columns for the RF matrix FRF and 𝑁𝑠 rows for the
angle information of the phase shifters. It is demonstrated in baseband matrix FBB [k ] . The 𝑖 𝑡ℎ part of the two matrices
[13] that when the number of antennas at both the
transmitter and receiver is sufficiently large, the similarity FRF and FBB [k ] are calculated at the 𝑖 𝑡ℎ iteration based on
(i ) (i )
between the channel covariance matrices in various candidate matrix Fcand as in the first approach, where Fcand
subcarriers is quite high due to the sparse nature of the comprise the 𝑁𝑠 principal eigenvectors of P, and P is
calculated based on the targeting matrices Fopt  k 
mmWave channel. Based on this feature, the precoding
design problem is transformed from being for frequency- 1 k  K
selective channels to a design for flat-fading channels in after removing the contribution of the computed parts of the
which the channel covariance matrix is given by the average two matrices FRF and FBB [k ] until the 𝑖 𝑡ℎ iteration.
of the covariance matrices of frequency domain channels Algorithm 1 shows the pseudo-code for the proposed
over subcarriers. However, using the channel covariance precoder.
matrix leads to high complexity, especially for large antenna
arrays, so in this paper; the RF matrix’s phase information Algorithm 1. The proposed hybrid precoding algorithm.
will be extracted directly by using the targeting matrices Require Fopt [k ] , available power  pk 1 k  K
Fopt  k  in order to reduce the complexity and the
1 k  K
1 k  K

FRF , FBB 1 k  K are empty matrices, 𝐿 = ⌈𝑁𝑡 ⌉


𝐿
feedback information. To do that, we must select a single 1.
𝑠
candidate matrix that may optimize the following issue:
2. for 𝑖 = 1: 𝐿
1 K 3. for 𝑘 = 1 ∶ 𝐾
F
2
opt
Fcand  max *
[ k ]Fcand (7)
Fcand K k 1
opt F 4. Fres [k ]  Fopt [k ]  FRF FBB [k ]
5. end for
We can simplify (7) by using  tr .  tr  . as 1 K

follows: 6. P
K
F
k 1
res
*
[ k ]Fres [k ]

7. (i )
 N s principal eigen vectors of P
 tr  F [k ]Fcand 
1 K
1 K
Set Fcand
F
2
*
[k ]Fcand  * *
Fopt [k ]Fopt
Fˆ RF  Fcand . / abs  Fcand 
opt cand
K k 1
F K k 1 8. ( i ) (i )

 
 * 1  9. for 𝑘 = 1 ∶ 𝐾
 opt opt  cand  (8)
K
 tr  Fcand
K
 F [ k ]F *
[ k ] F
10. 
Fˆ BB [k ]  Fˆ RF
* ˆ
FRF 
1
Fˆ RF
*
Fres [k ]
 k 1 
 Ρ 
FBB [k ]  FBB [k ] | Fˆ BB [ k ]
 tr  Fcand ΡFcand 
* 11.
12. end for
As can be observed from (8), to maximize (7), the
columns of Fcand should be chosen as the 𝑁𝑠 principal 13. FRF  FRF | Fˆ RF  ,
eigenvectors of P, where P equal to the targeting covariance 14. end for
matrices over all subcarriers: 15. for 𝑘 = 1 ∶ 𝐾
FBB [k ]
 F opt [ k ]Fopt [ k ] 
K
Ρ
1 *
(9) 16. FBB [k ]  pk
K k 1
FRF FBB [k ] F
17. end for
The exact solution to (7) is not existed when 𝐿𝑡 ≠ 𝑁𝑠 ,
to generalize the solution to the case when 𝐿𝑡 ≥ 𝑁𝑠 we will 𝐫𝐞𝐭𝐮𝐫𝐧 FRF ,FBB  k 1k  K
follow these two approaches:
In summary, the first N s columns of the RF precoder are targeting covariance matrices over all subcarriers, Then the
computed in step 8 by setting Fˆ  F (i ) . / abs  F ( i )  ,
first 𝑁𝑠 rows of the FBB [k ] is calculated based on equation
RF cand cand
(11) in step 10. In the next iteration, the residual error
where at the first iteration Fres [k ]  Fopt [k ] and P is the

(a) (b)

Fig. 2. Spectral efficiencies with varying SNRs when 𝑁𝑡 = 64 and 𝑁𝑟 = 32. (a) Data stream 𝑁𝑠 = 1. (b) Data stream 𝑁𝑠 = 4.

between the matrix Fopt [ k ] and the product FRF FBB [k ] at   


each subcarrier k is calculated in step 4 as a matrix Fres [k ] ,   KN s2  Nt  N r   L  KNt2 N s  2 N s2 Nt  K  N s3  3N s2 Nt   
 
 
then the next 𝑁𝑠 columns of FRF and N s rows of FBB [k ]  To calculate Fopt [ k ]  Calculation P SVD for P To obtain K matrix of FBB [ k ] 
are computed to minimize the residual error.
It is not necessary for 𝐿𝑡 to be an integer of N s in the Considering that both transmission sides have the same
number of antennas, 𝑁𝑟 = 𝑁𝑡 and 𝑁𝑠 = 𝐿𝑡 , it can be
proposed approach. In the case where 𝐿𝑡 is not a multiple of shown that the computational complexity of the first and
second proposed approaches is in order   KN t2  , whereas
N s , the required columns and rows are subtracted from the
two matrices Fˆ [k] and Fˆ in the last iteration to provide
BB RF the complexity of the current conventional methods that use
the appreciate dimensions for both matrices FBB [k] and FRF the channel's covariance matrix as in [10][13][15] is
, where the remained vectors can be ignored.   KN t3  . As a result, the complexity of the proposed
It is worth noting that the hybrid RF and baseband techniques is lower than that of traditional approaches from
combiners on the receiver side can be obtained in the same one side and requiring less feedback data from the other.
way as the hybrid precoder design in Algorithm 1.
V. NUMERICAL RESULTS
IV. COMPLEXITY ANALYSIS In this section, we provide numerical simulation results
The previous section presented two wideband hybrid for both proposed approaches presented in the previous
beamforming algorithms. Instead of using frequency- section, as well as compare them with the algorithm
domain channels that have large dimensions, the proposed proposed in [13] and the second approach in [15] by means
methods employ the average of the covariance matrices of of spectral efficiency as a function of signal to noise ratio
optimal unconstrained matrices. In the first proposed (SNR). We consider the uniform planar array antenna
technique, the common RF matrix is obtained directly using (UPA) structure with half-wavelength antenna spacing. The
𝐿𝑡 principal eigenvectors of the covariance matrix, and system's bandwidth is 𝐵 = 400 𝑀𝐻𝑧, and it operates at a
iteratively in the second method with a relatively small frequency carrier of 38 GHz. The number of active
number of iterations because the number of RF chains is subcarriers is assumed to be 𝐾 = 64, with a cyclic prefix
often assumed to be closest to the number of data streams. length of 16. The radio channel is generated based on the
In traditional beamforming schemes, high-complexity following settings: the number of clusters 𝑁𝑐𝑙 = 8 , the
operations are required to find the optimal RF precoder, number of rays 𝑁𝑟𝑎𝑦 = 6, and all the rays are spread with
especially for high-dimension channel matrices. Laplacian distributed azimuth and elevation angles of
arrival and departure. The spread angles in the azimuth and
The total complexity of the first proposed method is:
elevation directions are set as 20𝑜 and 60𝑜 , respectively.
  Each simulation point is averaged across 1000 different
  KN s2  Nt  N r   KNt2 N s  2 L2t Nt  K  L3t  2L2t Nt  Lt N s Nt   channel realizations.
 
 To calculate Fopt [ k ] Calculation P SVD for P
To obtain K matrix of FBB [ k ]  Fig. 2 illustrates the spectral efficiencies versus the
varying SNRs under the conditions of
The total complexity of the second proposed
method is:
 Nt  64, Nr  32, Lt  Lr  4 for different values of 𝑁𝑠 .
From the simulation results in Fig. 2, the two proposed proposed approach performs the same as the optimal
approaches outperform the precoding schemes proposed in precoding scheme, and when Lt  N s  4 , the achieved
[13][15] in terms of spectral efficiency over the whole SNR performance is similar for the two approaches, where the
range. We can also observe that when N s  1 , the second

(a) (b)

Fig. 3. Spectral efficiency with different values of RF chains 𝐿𝑡 when 𝑁𝑡 = 64 and 𝑁𝑟 = 16. (a) 𝑆𝑁𝑅 = −20. (b) 𝑆𝑁𝑅 = 0.

gap with the optimal scheme increases, but is still less and the additional RF chains are used in an iterative process
than the gap with the current scheme in [13]. to reduce residual error and then improve spectral
efficiency, whereas the first method uses more eigenvectors,
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