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Optimization and Learning for Large-Scale MIMO-OFDM Wireless Systems: Theory, Algorithms, and Applications
KTH, School of Electrical Engineering and Computer Science (EECS), Computer Science, Network and Systems Engineering. Ericsson AB.ORCID iD: 0000-0002-5334-4734
2022 (English)Doctoral thesis, comprehensive summary (Other academic)
Abstract [en]

The requirements for next-generation wireless communications networks, particularly fifth-generation (5G) and beyond, are driven by at least three broad use cases. These include enhanced mobile broadband services to support extremely high data rates in terms of network or per user in both uplink and downlink, massive machine-type communications to accommodate massive internet-of-things applications, and critical machine-type communications to handle mission-critical applications that require ultra-high reliability and low latency.

These new-generation wireless communication systems adopt orthogonal frequency division multiplexing (OFDM) with cyclic prefix and multiple antennas at the transmitter and receiver (MIMO). There are many attractive characteristics of OFDM, namely robustness to the adverse effects of time dispersion due to multipath fading, simplicity in equalization, and flexibility in supporting both low and high symbol rates---thereby supporting a variety of various quality-of-service requirements.

It has been known for a long time that OFDM has problems with high out-of-band emissions (OOBE) and high peak-to-average-power ratio (PAPR). The OOBE must be adequately suppressed since high OOBE causes significant interference in the adjacent channels. Furthermore, high PAPR typically requires expensive linear radio frequency (RF) transmitter components and consequently costly digital predistortion to manage and mitigate OOBE resulting from the distortion caused by RF components, e.g., power amplifiers. Additionally, there are practical 5G standard constraints, which necessitate using only data-carrying subcarriers for OOBE and PAPR reduction. Hence, it is of utmost importance to reduce OOBE and PAPR for MIMO-OFDM-based systems and mitigate/minimize the signal distortion at the receiver(s) to meet the new generation systems’ requirements encompassing various use cases.

In this thesis, we seek principled approaches to tackle the distortion-based OOBE and PAPR reduction problems. More specifically, we present optimization formulations for these well-known issues in large-scale MIMO-OFDM-based systems, such as 5G New Radio (NR), and future extensions thereof. Unfortunately, these problems cannot be solved via a general-purpose optimization solver since these off-the-shelf solvers typically employ interior-point-based methods, which have prohibitive complexity for state-of-the-art radio hardware systems. Hence, we propose large-scale optimization techniques to tackle these problems resulting in implementation-friendly algorithms. More concretely, we develop (near) optimal and computationally-efficient data-dependent solutions by proposing a type of three-operator alternating direction method of multipliers (ADMM) method that essentially employs a divide-and-conquer approach to solve the huge and cumbersome OOBE and PAPR reduction problems in large-scale MIMO-OFDM-based systems. Moreover, in the last part of the thesis, we also investigate the application of our proposed three-operator ADMM (TOP-ADMM) for federated learning (FL) over networks that capitalize on the potentially rich datasets generated at the physical layer and/or RF hardware of a base station located near an edge server.

In summary, this thesis develops principled, implementation-friendly, and standards-agnostic algorithms for distortion-based OOBE and PAPR reduction algorithms using first-order optimization algorithms, which provide insights into the trade-off between computational complexities and in-band and out-of-band performance. Furthermore, we develop a novel yet simple TOP-ADMM first-order algorithm suitable for tackling centralized and distributed optimization problems. Additionally, this thesis studies the feasibility of the TOP-ADMM algorithm for edge FL exploiting rich datasets available at the base station(s) besides (private) datasets at the users. Finally, this thesis may provide input to the systemization and implementation of large-scale MIMO-OFDM-based wireless communication systems. 

Abstract [sv]

Kraven för nästa generations trådlösa kommunikationsnätverk, särskilt femte gener-ationens (5G) och senare, drivs av minst tre breda användningsfall. Dessa inkluderarförbättrade mobila bredbandstjänster för att stödja extremt höga datahastigheter i formav systemkapacitet eller per användare i både upplänk och nedlänk, kommunikation avmaskintyp för att tillgodose tillgodose storskaliga internet-of-things-applikationer, och kritisk kommunikation av maskintyp för att hantera verksamhetskritiska applikationer somkräver ultrahög tillförlitlighet och låg latens.Dessa nya generationens trådlösa kommunikationssystem använder ortogonal frekvens-delningsmultiplexering (OFDM) med cykliskt prefix och flera antenner vid både sändaren och mottagaren (MIMO). Det finns många attraktiva egenskaper hos OFDM, nämligen robusthet mot de negativa effekterna av tidsspridning på grund av flervägsutbredning,enkelhet i utjämning och flexibilitet när det gäller att stödja både låga och höga symbolhastigheter. OFDM stöder därigenom en mängd olika servicekvalitetskrav.De välkända nackdelarna med OFDM är höga störningsnivåer utanför huvudbandet(OOBE) och högt topp-till-medeleffektförhållande (PAPR). OOBE måste undertryckas eftersom hög OOBE orsakar betydande störningar på de intilliggande kanalerna. Vidarekräver hög PAPR typiskt dyra linjära radiofrekvenskomponenter (RF) och följaktligen kostsam digital för distorsion för att hantera och mildra OOBE som genereras av distorsionfrån icke-linjära sändarkomponenter, t.ex. effektförstärkare. Dessutom finns det praktiska begränsningar i 5G-standarden, som kräver att endast databärande under bärvågor användsför OOBE- och PAPR-reduktion. Därför är det av yttersta vikt att minska OOBE ochPAPR för MIMO-OFDM-baserade system och mildra/minimera signalförvrängningenvid mottagaren/mottagarna för att möta den nya generationens systemkrav för olikaanvändningsfall.I denna avhandling söker vi principiella tillvägagångssätt för att tackla de distor-sionsbaserade OOBE- och PAPR-reduceringsproblemen. Mer specifikt ställer vi uppoptimeringsproblem för dessa välkända problem i storskaliga MIMO-OFDM-baseradesystem såsom 5G NR och framtida vidareutveckling därav. Tyvärr kan dessa problem intelösas via generella optimeringslösare eftersom dessa standardlösare vanligtvis använderinrepunktsmetoder, som har alltför hög komplexitet för moderna radiohårdvarusystem.Därför föreslår vi storskaliga optimeringstekniker för att ta itu med dessa problemvilket resulterar i implementeringsvänliga algoritmer. Närmare bestämt utvecklar vi (nästan) optimala och beräkningseffektiva databeroende lösningar genom att föreslå entyp av multiplikatormetoder (ADMM) med tre operatorer som i huvudsak använderen söndra och härska metod för att lösa de stora och besvärliga OOBE- och PAPR-reduktionsproblemen i storskaliga MIMO-OFDM-baserade system. I den sista delen av avhandlingen undersöker vi dessutom tillämpningen av vår föreslagna ADMM-metod medtre operatorer för federerad inlärning över nätverk som drar nytta av den potentiellt innehållsrika datamängden som genereras i det fysiska lagret och/eller radiokomponenterna hos en basstation som ligger nära en randserver.Sammanfattningsvis utvecklar denna avhandling grundläggande, implementeringsvän-  liga och standardagnostiska algoritmer för distorsionsbaserad reduktion av OOBE ochPAPR, med hjälp av första ordningens optimeringsalgoritmer vilket ger insikter i avvägningen mellan beräkningskomplexitet och prestandan inomband och utomband. I avhan-dlingen presenterar vi en ny men ändå enkel TOP-ADMM första ordningens algoritm lämplig för att hantera centraliserade och distribuerade optimeringsproblem. Dessutomstuderas hur TOP-ADMM-algoritmen kan användas för edge FL med hjälp av datamängder tillgängliga vid basstationen(erna) förutom (privata) data hos användarna. Slutligen kandenna avhandling ge vägledning vid systemisering och implementering av storskaliga MIMO-OFDM-baserade trådlösa kommunikationssystem.

Place, publisher, year, edition, pages
KTH Royal Institute of Technology, 2022. , p. 55
Series
TRITA-EECS-AVL ; 2022:66
Keywords [en]
First-Order Optimization, Convex Optimization, ADMM, Three-operator ADMM (TOP-ADMM), EVM, OOBE, PAPR, ACLR, MIMO, OFDM, Federated Learning
National Category
Signal Processing
Research subject
Telecommunication; Applied and Computational Mathematics, Optimization and Systems Theory; Electrical Engineering
Identifiers
URN: urn:nbn:se:kth:diva-320905ISBN: 978-91-8040-386-3 (print)OAI: oai:DiVA.org:kth-320905DiVA, id: diva2:1708046
Public defence
2022-12-02, F3, Lindstedtsvägen 26, Stockholm, 14:00 (English)
Opponent
Supervisors
Funder
Swedish Foundation for Strategic Research, ID17-0114
Note

QC 20221103

Available from: 2022-11-03 Created: 2022-11-02 Last updated: 2024-07-24Bibliographically approved
List of papers
1. EVM-Constrained and Mask-Compliant MIMO-OFDM Spectral Precoding
Open this publication in new window or tab >>EVM-Constrained and Mask-Compliant MIMO-OFDM Spectral Precoding
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2021 (English)In: IEEE Transactions on Wireless Communications, ISSN 1536-1276, E-ISSN 1558-2248, Vol. 20, no 1, p. 590-606Article in journal (Refereed) Published
Abstract [en]

Spectral precoding is a promising technique to suppress out-of-band emissions and comply with leakage constraints over adjacent frequency channels and with mask requirements on the unwanted emissions. However, spectral precoding may distort the original data vector, which is formally expressed as the error vector magnitude (EVM) between the precoded and original data vectors. Notably, EVM has a deleterious impact on the performance of multiple-input multiple-output orthogonal frequency division multiplexing-based systems. In this paper we propose a novel spectral precoding approach which constrains the EVM while complying with the mask requirements. We first formulate and solve the EVM-unconstrained mask-compliant spectral precoding problem, which serves as a springboard to the design of two EVM-constrained spectral precoding schemes. The first scheme takes into account a wideband EVM-constraint which limits the average in-band distortion. The second scheme takes into account frequency-selective EVM-constraints, and consequently, limits the signal distortion at the subcarrier level. Numerical examples illustrate that both proposed schemes outperform previously developed schemes in terms of important performance indicators such as block error rate and system-wide throughput while complying with spectral mask and EVM constraints.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2021
Keywords
Sidelobe suppression, spectral precoding, MIMO, OFDM, EVM, out-of-band emissions, ACLR, Consensus ADMM, Douglas-Rachford Splitting.
National Category
Communication Systems Signal Processing Telecommunications
Identifiers
urn:nbn:se:kth:diva-281868 (URN)10.1109/TWC.2020.3027345 (DOI)000607808800042 ()2-s2.0-85099512530 (Scopus ID)
Funder
Swedish Foundation for Strategic Research, ID17-0114
Note

QC 20200925

Available from: 2020-09-25 Created: 2020-09-25 Last updated: 2024-07-24Bibliographically approved
2. Efficient Optimization for Large-Scale MIMO-OFDM Spectral Precoding
Open this publication in new window or tab >>Efficient Optimization for Large-Scale MIMO-OFDM Spectral Precoding
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2021 (English)In: IEEE Transactions on Wireless Communications, ISSN 1536-1276, E-ISSN 1558-2248, Vol. 20, no 9, p. 5496-5513Article in journal (Refereed) Published
Abstract [en]

Although spectral precoding is a propitious technique to suppress out-of-band emissions, it has a detrimental impact on the system-wide throughput performance, notably, in high data-rate multiple-input multiple-output (MIMO) systems with orthogonal frequency division multiplexing (OFDM), because of (spatially-coloured) transmit error vector magnitude (TxEVM) emanating from spectral precoding. The first contribution of this paper is to propose two mask-compliant spectral precoding schemes, which mitigate the resulting TxEVM seen at the receiver by capitalizing on the immanent degrees-of-freedom in (massive) MIMO systems and consequently improve the system-wide throughput. Our second contribution is an introduction to a new and simple three-operator consensus alternating direction method of multipliers (ADMM) algorithm, referred to as TOP-ADMM, which decomposes a large-scale problem into easy-to-solve subproblems. We employ the proposed TOP-ADMM-based algorithm to solve the spectral precoding problems, which offer computational efficiency. Our third contribution presents substantial numerical results by using an NR release 15 compliant simulator. In case of perfect channel knowledge at the transmitter, the proposed methods render similar block error rate and throughput performance as without spectral precoding yet meeting out-of-band emission (OOBE) requirements at the transmitter. Further, no loss on the OOBE performance with a graceful degradation on the throughput is observed under channel uncertainty.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2021
Keywords
Spectral precoding, MIMO OFDM, EVM, out-of-band emissions, ACLR, three-operator ADMM
National Category
Signal Processing
Research subject
Electrical Engineering
Identifiers
urn:nbn:se:kth:diva-294584 (URN)10.1109/TWC.2021.3068207 (DOI)000694698500004 ()2-s2.0-85103775854 (Scopus ID)
Note

QC 20210518

Available from: 2021-05-18 Created: 2021-05-18 Last updated: 2024-07-24Bibliographically approved
3. EVM Mitigation with PAPR and ACLR Constraints in Large-Scale MIMO-OFDM Using TOP-ADMM
Open this publication in new window or tab >>EVM Mitigation with PAPR and ACLR Constraints in Large-Scale MIMO-OFDM Using TOP-ADMM
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2022 (English)In: IEEE Transactions on Wireless Communications, ISSN 1536-1276, E-ISSN 1558-2248, Vol. 21, no 11, p. 9460-9481Article in journal (Refereed) Published
Abstract [en]

Although signal distortion-based peak-to-average power ratio (PAPR) reduction is a feasible candidate for orthogonal frequency division multiplexing (OFDM) to meet standard/regulatory requirements, the error vector magnitude (EVM) stemming from the PAPR reduction has a deleterious impact on the performance of high data-rate achieving multiple-input multiple-output (MIMO) systems. Moreover, these systems must constrain the adjacent channel leakage ratio (ACLR) to comply with regulatory requirements. Several recent works have investigated the mitigation of the EVM seen at the receivers by capitalizing on the excess spatial dimensions inherent in the large-scale MIMO that assume the availability of perfect channel state information (CSI) with spatially uncorrelated wireless channels. Unfortunately, practical systems operate with erroneous CSI and spatially correlated channels. Additionally, most standards support user-specific/CSI-aware beamformed and cell-specific/non-CSI-aware broadcasting channels. Hence, we formulate a robust EVM mitigation problem under channel uncertainty with nonconvex PAPR and ACLR constraints catering to beamforming/broadcasting. To solve this formidable problem, we develop an efficient scheme using our recently proposed three-operator alternating direction method of multipliers (TOP-ADMM) algorithm and benchmark it against two three-operator algorithms previously presented for machine learning purposes. Numerical results show the efficacy of the proposed algorithm under imperfect CSI and spatially correlated channels.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2022
Keywords
nonconvex PAPR reduction, Three-operator ADMM (TOP-ADMM), EVM, ACLR, MIMO-OFDM
National Category
Signal Processing
Identifiers
urn:nbn:se:kth:diva-320445 (URN)10.1109/twc.2022.3177136 (DOI)000882003900043 ()2-s2.0-85131720709 (Scopus ID)
Funder
Swedish Foundation for Strategic Research, ID17-0114
Note

QC 20221206

Available from: 2022-10-21 Created: 2022-10-21 Last updated: 2024-07-24Bibliographically approved
4. Federated Learning using Three-Operator ADMM
Open this publication in new window or tab >>Federated Learning using Three-Operator ADMM
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(English)Manuscript (preprint) (Other academic)
National Category
Other Electrical Engineering, Electronic Engineering, Information Engineering
Identifiers
urn:nbn:se:kth:diva-320447 (URN)
Note

Submitted to the IEEE Journal on Selected Topics in Signal Processing

QC 20221025

Available from: 2022-10-21 Created: 2022-10-21 Last updated: 2024-07-24Bibliographically approved

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