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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 1k K
opt
signaling can be formulated as follows [4]: k 1
F
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 1k 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.
(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,
In order to investigate how the number of RF chains which means more feedback information, than the second
affects spectral efficiency, Fig.3. shows how the
method with less complexity when 𝐿𝑡 > 𝑁𝑠 .
performance of the proposed approaches varies with the
number of RF chains when 𝑆𝑁𝑅 = −20 and 0 𝑑𝐵 , REFERENCES
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