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High-frequency wideband cellular communications over mmWave and sub-THz offer the opportunity for high data rates. However, it also presents high path loss, resulting in limited coverage. High-gain beamforming from the antenna array is essential to mitigate the coverage limitations. The conventional phased antenna arrays (PAA) cause high scheduling latency owing to analog beam constraints, i.e., only one frequency-flat beam is generated. Recently introduced joint phase-time array (JPTA) architecture, which utilizes both true-time-delay (TTD) units and phase shifters (PSs), alleviates analog beam constraints by creating multiple frequency-dependent beams for scheduling multiple users at different directions in a frequency-division manner. One class of previous studies offered solutions with ``rainbow" beams, which tend to allocate a small bandwidth per beam direction. Another class focused on uniform linear array (ULA) antenna architecture, whose frequency-dependent beams were designed along a single axis of either azimuth or elevation direction. This paper presents a novel 3D beamforming design that maximizes beamforming gain toward desired azimuth and elevation directions and across sub-bands partitioned according to scheduled users' bandwidth requirements. We provide analytical solutions and iterative algorithms to design the PSs and TTD units for a desired subband beam pattern. Through simulations of the beamforming gain, we observe that our proposed solutions outperform the state-of-the-art solutions reported elsewhere.

Hybrid beamforming is an attractive solution to build cost-effective and energy-efficient transceivers for millimeter-wave and terahertz systems. However, conventional hybrid beamforming techniques rely on analog components that generate a frequency flat response such as phase-shifters and switches, which limits the flexibility of the achievable beam patterns. As a novel alternative, this paper proposes a new class of hybrid beamforming called Joint phase-time arrays (JPTA), that additionally use true-time delay elements in the analog beamforming to create frequency-dependent analog beams. Using as an example two important frequency-dependent beam behaviors, the numerous benefits of such flexibility are exemplified. Subsequently, the JPTA beamformer design problem to generate any desired beam behavior is formulated and near-optimal algorithms to the problem are proposed. Simulations show that the proposed algorithms can outperform heuristics solutions for JPTA beamformer update. Furthermore, it is shown that JPTA can achieve the two exemplified beam behaviors with one radio-frequency chain, while conventional hybrid beamforming requires the radio-frequency chains to scale with the number of antennas to achieve similar performance. Finally, a wide range of problems to further tap into the potential of JPTA are also listed as future directions., Comment: The paper is a revised version of the IEEE Access paper, that includes the full operation of Algorithms 1-3 to help curtail incorrect implementations

Beam management (BM), i.e., the process of finding and maintaining a suitable transmit and receive beam pair, can be challenging, particularly in highly dynamic scenarios. Side-information, e.g., orientation, from on-board sensors can assist the user equipment (UE) BM. In this work, we use the orientation information coming from the inertial measurement unit (IMU) for effective BM. We use a data-driven strategy that fuses the reference signal received power (RSRP) with orientation information using a recurrent neural network (RNN). Simulation results show that the proposed strategy performs much better than the conventional BM and an orientation-assisted BM strategy that utilizes particle filter in another study. Specifically, the proposed data-driven strategy improves the beam-prediction accuracy up to 34% and increases mean RSRP by up to 4.2 dB when the UE orientation changes quickly.

Beam correspondence, or downlink-uplink (DL-UL) beam reciprocity, refers to the assumption that the best beams in the DL are also the best beams in the UL. This is an important assumption that allows the existing beam management framework in 5G to rely heavily on DL beam sweeping and avoid UL beam sweeping: UL beams are inferred from the measurements of the DL reference signals. Beam correspondence holds when the radio configurations are symmetric in the DL and UL. However, as mmWave technology matures, the DL and the UL face different constraints often breaking the beam correspondence. For example, power constraints may require a UE to activate only a portion of its antenna array for UL transmission, while still activating the full array for DL reception. Meanwhile, if the UL beam with sub-array, named as sub-chain beam in this paper, has a similar radiation pattern as the DL beam, the beam correspondence can still hold. This paper proposes methods for sub-chain beam codebook design to achieve a trade-off between the power saving and beam correspondence., Comment: 6 pages, 7 figures, accepted by Asilomar conference 2021

Beam alignment - the process of finding an optimal directional beam pair - is a challenging procedure crucial to millimeter wave (mmWave) communication systems. We propose a novel beam alignment method that learns a site-specific probing codebook and uses the probing codebook measurements to predict the optimal narrow beam. An end-to-end neural network (NN) architecture is designed to jointly learn the probing codebook and the beam predictor. The learned codebook consists of site-specific probing beams that can capture particular characteristics of the propagation environment. The proposed method relies on beam sweeping of the learned probing codebook, does not require additional context information, and is compatible with the beam sweeping-based beam alignment framework in 5G. Using realistic ray-tracing datasets, we demonstrate that the proposed method can achieve high beam alignment accuracy and signal-to-noise ratio (SNR) while significantly - by roughly a factor of 3 in our setting - reducing the beam sweeping complexity and latency.

A beam codebook of 5G millimeter wave (mmWave) for data communication consists of multiple high-peak-gain beams to compensate the high pathloss at the mmWave bands. These beams also have to point to different angular directions, such that by performing beam searching over the codebook, a good mmWave signal coverage over the full sphere around the terminal (spherical coverage) can be achieved. A model-based beam codebook design that assumes ideal omni-directional antenna pattern, and neglects the impact of terminal housing around the antenna, does not work well because the radiation pattern of a practical mmWave antenna combined with the impact of terminal housing is highly irregular. In this paper, we propose a novel and efficient data-driven method to generate a beam codebook to boost the spherical coverage of mmWave terminals. The method takes as inputs the measured or simulated electric field response data of each antenna and provides the codebook according to the requirements on the codebook size, spherical coverage, etc. The method can be applied in a straightforward manner to different antenna type, antenna array configuration, placement and terminal housing design. Our simulation results show that the proposed method generates a codebook better than the benchmark and 802.15.3c codebooks in terms of the spherical coverage., Comment: 17 pages, 12 figures. Published by IEEE Access

This paper studies the effect of the user hand grip on the design of beamforming codebooks for 5G millimeter-wave (mmWave) mobile handsets. The high-frequency structure simulator (HFSS) is used to characterize the radiation fields for fourteen possible handgrip profiles based on experiments we conducted. The loss from hand blockage on the antenna gains can be up to 20-25 dB, which implies that the possible hand grip profiles need to be taken into account while designing beam codebooks. Specifically, we consider three different codebook adaption schemes: a grip-aware scheme, where perfect knowledge of the hand grip is available; a semi-aware scheme, where just the application (voice call, messaging, etc.) and the orientation of the mobile handset is known; and a grip-agnostic scheme, where the codebook ignores hand blockage. Our results show that the ideal grip-aware scheme can provide more than 50% gain in terms of the spherical coverage over the agnostic scheme, depending on the grip and orientation. Encouragingly, the more practical semi-aware scheme we propose provides performance approaching the fully grip-aware scheme. Overall, we demonstrate that 5G mmWave handsets are different from pre-5G handsets: the user grip needs to be explicitly factored into the codebook design., Comment: GLOBECOM 2019

Communication systems with low-resolution analog-to-digital-converters (ADCs) can exploit channel state information at the transmitter and receiver. This paper presents codebook designs and performance analyses for limited feedback MIMO systems with finite-bit ADCs. A point-to-point single-user channel is firstly considered. When the received signal is sliced by 1-bit ADCs, the absolute phase at the receiver is important to align the phase of the received signals. A new codebook design for beamforming, which separately quantizes the channel direction and the residual phase, is therefore proposed. For the multi-bit case where the optimal transmission method is unknown, suboptimal Gaussian signaling and eigenvector beamforming is assumed to obtain a lower bound of the achievable rate. It is found that to limit the rate loss, more feedback bits are needed in the medium SNR regime than the low and high SNR regimes, which is quite different from the conventional infinite-bit ADC case. Second, a multi-user system where a multiple-antenna transmitter sends signals to multiple single-antenna receivers with finite-bit ADCs is considered. Based on the derived performance loss due to finite-bit ADCs and finite-bit CSI feedback, the number of bits per feedback should increase linearly with the ADC resolution in order to restrict the rate loss., Comment: 30 pages, 12 figures, submitted to IEEE Transactions on Wireless Communications

We analyze limited feedback in systems where a multiple-antenna transmitter sends signals to single-antenna receivers with finite-bit ADCs. If channel state information (CSI) is not available with high resolution at the transmitter and the precoding is not well designed, the inter-user interference is a big decoding challenge for receivers with low-resolution quantization. In this paper, we derive achievable rates with finite-bit ADCs and finite-bit CSI feedback. The performance loss compared to the case with perfect CSI is then analyzed. The results show that the number of bits per feedback should increase linearly with the ADC resolution to restrict the loss., Comment: To appear in the Proceedings of 50th Asilomar Conference on Signals, Systems and Computers

We develop a broadband channel estimation algorithm for millimeter wave (mmWave) multiple input multiple output (MIMO) systems with few-bit analog-to-digital converters (ADCs). Our methodology exploits the joint sparsity of the mmWave MIMO channel in the angle and delay domains. We formulate the estimation problem as a noisy quantized compressed-sensing problem and solve it using efficient approximate message passing (AMP) algorithms. In particular, we model the angle-delay coefficients using a Bernoulli-Gaussian-mixture distribution with unknown parameters and use the expectation-maximization (EM) forms of the generalized AMP (GAMP) and vector AMP (VAMP) algorithms to simultaneously learn the distributional parameters and compute approximately minimum mean-squared error (MSE) estimates of the channel coefficients. We design a training sequence that allows fast, FFT-based implementation of these algorithms while minimizing peak-to-average power ratio at the transmitter, making our methods scale efficiently to large numbers of antenna elements and delays. We present the results of a detailed simulation study that compares our algorithms to several benchmarks. Our study investigates the effect of SNR, training length, training type, ADC resolution, and runtime on channel estimation MSE, mutual information, and achievable rate. It shows that our methods allow one-bit ADCs to perform comparably to infinite-bit ADCs at low SNR, and 4-bit ADCs to perform comparably to infinite-bit ADCs at medium SNR., Comment: Accepted

Hybrid analog/digital architectures and receivers with low-resolution analog-to-digital converters (ADCs) are two low power solutions for wireless systems with large antenna arrays, such as millimeter wave and massive MIMO systems. Most prior work represents two extreme cases in which either a small number of RF chains with full-resolution ADCs, or low resolution ADC with a number of RF chains equal to the number of antennas is assumed. In this paper, a generalized hybrid architecture with a small number of RF chains and finite number of ADC bits is proposed. For this architecture, achievable rates with channel inversion and SVD based transmission methods are derived. Results show that the achievable rate is comparable to that obtained by full-precision ADC receivers at low and medium SNRs. A trade-off between the achievable rate and power consumption for different numbers of bits and RF chains is devised. This enables us to draw some conclusions on the number of ADC bits needed to maximize the system energy efficiency. Numerical simulations show that coarse ADC quantization is optimal under various system configurations. This means that hybrid combining with coarse quantization achieves better energy-rate trade-off compared to both hybrid combining with full-resolutions ADCs and 1-bit ADC combining., Comment: 30 pages, 8 figures, submitted to IEEE Transactions on Wireless Communications

In massive multiple-input multiple-output (MIMO) systems, it may not be power efficient to have a high-resolution analog-to-digital converter (ADC) for each antenna element. In this paper, a near maximum likelihood (nML) detector for uplink multiuser massive MIMO systems is proposed where each antenna is connected to a pair of one-bit ADCs, i.e., one for each real and imaginary component of the baseband signal. The exhaustive search over all the possible transmitted vectors required in the original maximum likelihood (ML) detection problem is relaxed to formulate an ML estimation problem. Then, the ML estimation problem is converted into a convex optimization problem which can be efficiently solved. Using the solution, the base station can perform simple symbol-by-symbol detection for the transmitted signals from multiple users. To further improve detection performance, we also develop a two-stage nML detector that exploits the structures of both the original ML and the proposed (one-stage) nML detectors. Numerical results show that the proposed nML detectors are efficient enough to simultaneously support multiple uplink users adopting higher-order constellations, e.g., 16 quadrature amplitude modulation. Since our detectors exploit the channel state information as part of the detection, an ML channel estimation technique with one-bit ADCs that shares the same structure with our proposed nML detector is also developed. The proposed detectors and channel estimator provide a complete low power solution for the uplink of a massive MIMO system., Comment: 13 pages, 8 figures, 2 tables, submitted to IEEE Transactions on Communications

Communication systems with low-resolution analog-to-digital-converters (ADCs) can exploit channel state information at the transmitter (CSIT) and receiver. This paper presents initial results on codebook design and performance analysis for limited feedback systems with one-bit ADCs. Different from the high-resolution case, the absolute phase at the receiver is important to align the phase of the received signals when the received signal is sliced by one-bit ADCs. A new codebook design for the beamforming case is proposed that separately quantizes the channel direction and the residual phase., Comment: Asilomar Conference on Signals, Systems, and Computers 2015

With bandwidths on the order of a gigahertz in emerging wireless systems, high-resolution analog-to-digital convertors (ADCs) become a power consumption bottleneck. One solution is to employ low resolution one-bit ADCs. In this paper, we analyze the flat fading multiple-input multiple-output (MIMO) channel with one-bit ADCs. Channel state information is assumed to be known at both the transmitter and receiver. For the multiple-input single-output channel, we derive the exact channel capacity. For the single-input multiple-output and MIMO channel, the capacity at infinite signal-to-noise ratio (SNR) is found. We also derive upper bound at finite SNR, which is tight when the channel has full row rank. In addition, we propose an efficient method to design the input symbols to approach the capacity achieving solution. We incorporate millimeter wave channel characteristics and find the bounds on the infinite SNR capacity. The results show how the number of paths and number of receive antennas impact the capacity.

This paper studies the secure beamforming design in a multiple-antenna three-node system where two source nodes exchange messages with the help of an untrusted relay node. The relay acts as both an essential signal forwarder and a potential eavesdropper. Both two-phase and three-phase two-way relay strategies are considered. Our goal is to jointly optimize the source and relay beamformers for maximizing the secrecy sum rate of the two-way communications. We first derive the optimal relay beamformer structures. Then, iterative algorithms are proposed to find source and relay beamformers jointly based on alternating optimization. Furthermore, we conduct asymptotic analysis on the maximum secrecy sum-rate. Our analysis shows that when all transmit powers approach infinity, the two-phase two-way relay scheme achieves the maximum secrecy sum rate if the source beamformers are designed such that the received signals at the relay align in the same direction. This reveals an important advantage of signal alignment technique in against eavesdropping. It is also shown that if the source powers approach zero the three-phase scheme performs the best while the two-phase scheme is even worse than direct transmission. Simulation results have verified the efficiency of the secure beamforming algorithms as well as the analytical findings., Comment: 10 figures, Submitted to IEEE Transactions on Signal Processing

Two-way relaying can considerably improve spectral efficiency in relay-assisted bidirectional communications. However, the benefits and flexible structure of orthogonal frequency division multiplexing (OFDM)-based two-way decode-and-forward (DF) relay systems is much less exploited. Moreover, most of existing works have not considered quality-of-service (QoS) provisioning for two-way relaying. In this paper, we consider the OFDM-based bidirectional transmission where a pair of users exchange information with or without the assistance of a single DF relay. Each user can communicate with the other via three transmission modes: direct transmission, one-way relaying, and two-way relaying. We jointly optimize the transmission policies, including power allocation, transmission mode selection, and subcarrier assignment for maximizing the weighted sum rates of the two users with diverse quality-of-service (QoS) guarantees. We formulate the joint optimization problem as a mixed integer programming problem. By using the dual method, we efficiently solve the problem in an asymptotically optimal manner. Moreover, we derive the capacity region of two-way DF relaying in parallel channels. Simulation results show that the proposed resource-allocation scheme can substantially improve system performance compared with the conventional schemes. A number of interesting insights are also provided via comprehensive simulations., Comment: Accepted by IEEE Transactions on Wireless Communications

We study the degrees of freedom (DOF) of a multiple-input multiple-output (MIMO) two-way X relay channel, where there are two groups of source nodes and one relay node, each equipped with multiple antennas, and each of the two source nodes in one group exchanges independent messages with the two source nodes in the other group via the relay node. It is assumed that every source node is equipped with M antennas while the relay is equipped with N antennas. We first show that the upper bound on the total DOF for this network is 2min{2M,N} and then focus on the case of N \leq 2M so that the DOF is upper bounded by the number of antennas at the relay. By applying signal alignment for network coding and joint transceiver design for interference cancellation, we show that this upper bound can be achieved when N \leq8M/5. We also show that with signal alignment only but no joint transceiver design, the upper bound is achievable when N\leq4M/3. Simulation results are provided to corroborate the theoretical results and to demonstrate the performance of the proposed scheme in the finite signal-to-noise ratio regime., Comment: 28 pages, 6 figures

This work studies the problem of secure connection in cooperative wireless communication with two relay strategies, decode-and-forward (DF) and randomize-and-forward (RF). The four-node scenario and cellular scenario are considered. For the typical four-node (source, destination, relay, and eavesdropper) scenario, we derive the optimal power allocation for the DF strategy and find that the RF strategy is always better than the DF to enhance secure connection. In cellular networks, we show that without relay, it is difficult to establish secure connections from the base station to the cell edge users. The effect of relay placement for the cell edge users is demonstrated by simulation. For both scenarios, we find that the benefit of relay transmission increases when path loss becomes severer., Comment: 4 pages, 6 figures, Accepted by IEEE Communications Letters

Providing physical-layer security for mobile users in future broadband wireless networks is of both theoretical and practical importance. In this paper, we formulate an analytical framework for resource allocation in a downlink OFDMA-based broadband network with coexistence of secure users (SU) and normal users (NU). The SU's require secure data transmission at the physical layer while the NU's are served with conventional best-effort data traffic. The problem is formulated as joint power and subcarrier allocation with the objective of maximizing average aggregate information rate of all NU's while maintaining an average secrecy rate for each individual SU under a total transmit power constraint for the base station. We solve this problem in an asymptotically optimal manner using dual decomposition. Our analysis shows that an SU becomes a candidate competing for a subcarrier only if its channel gain on this subcarrier is the largest among all and exceeds the second largest by a certain threshold. Furthermore, while the power allocation for NU's follows the conventional water-filling principle, the power allocation for SU's depends on both its own channel gain and the largest channel gain among others. We also develop a suboptimal algorithm to reduce the computational cost. Numerical studies are conducted to evaluate the performance of the proposed algorithms in terms of the achievable pair of information rate for NU and secrecy rate for SU at different power consumptions., Comment: to appear in IEEE Trans. on Information Forensics & Security, special issue on using the physical layer for securing the next generation of communication systems

We consider the symmetric Gaussian interference channel where two users try to enhance their secrecy rates in a cooperative manner. Artificial noise is introduced along with useful information. We derive the power control and artificial noise parameter for two kinds of optimal points, max-min point and single user point. It is shown that there exists a critical value $P_c$ of the power constraint, below which the max-min point is an optimal point on the secrecy rate region, and above which time-sharing between single user points achieves larger secrecy rate pairs. It is also shown that artificial noise can help to enlarge the secrecy rate region, in particular on the single user point., Comment: 3 pages, 3 figures, to appear in IEEE Communications Letters