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286 IEEE WIRELESS COMMUNICATIONS LETTERS, VOL. 4, NO. 3, JUNE 2015
m = 1, . . . , NtRF . The concatenated precoder F = FRF FBB is where = 0, . . . , Ny 1 and m = 0, . . . , Nz 1. With the afore-
assumed to follow the total power constraint tr{FFH } = Ns . mentioned system architecture, the achieved rate can be ex-
Without loss of generality, we can assume that the mil- pressed as R = log2 det{INs + Ns R1 H H H
n W HFF H W},
limeter wave channel is narrowband and block-faded.1 Un- 2
where Rn = n W W. H
der this assumption, the equivalent baseband channel can be
represented by the channel matrix H CNr Nt . Without loss
of generality, the channel matrix is assumed to have been III. R EVIEW ON THE S PATIALLY S PARSE
normalized to satisfy E{H2F } = Nt Nr . Using the above no- H YBRID T RANSCEIVER D ESIGN
tations, the received data vector y can then be represented as
In [8], a spatially sparse transceiver design is proposed to
y = HFRF FBB s+n, where n CNr 1 is the noise vector, maximize an approximation of the achieved rate. After some
modelled as CN (0, 2 INr ) representing a circularly symmet- mathematical approximations, the following optimization prob-
ric complex Gaussian random vector with zero-mean and co- lems are formulated [8]:
variance matrix 2 INr . At the receiver side, the data vector
y is processed by the concatenated combiner matrix WH = (Fopt opt
RF , FBB ) = arg min Fopt FRF FBB F
2
H H H H
WBB WRF , where WRF and WBB are the RF combiner and FBB ,FRF
the baseband combiner matrices, respectively. Again, the RF subject to [FRF ]:, {at (p,q , p,q ), for all p, q} ,
combiner is implemented by analog phase shifters, and hence
we can assume |[WRF ],m |2 = 1/Nr , for all = 1, . . . , Nr , and for all = 1, . . . , NtRF ,
m = 1, . . . , NrRF . FRF FBB 2F = Ns (3)
To take the channel characteristics of the millimeter wave
channel into account, we follow the model adopted in [8] which opt opt 21 2
WRF , WBB = arg min Ryy (WMMSE WRF WBB )
is based on the widely accepted extended Saleh-Valenzuela WBB ,WRF F
geometric channel model [11]. In this model the channel matrix
subject to [WRF ]:, {ar (p,q , p,q ), for all p, q} ,
H is expressed as
for all = 1, . . . , NrRF , (4)
Ncl N ray
H= p,q r rp,q , p,q
r
t tp,q , p,q
t 1 1
p=1 q=1
where Ryy 2
= {(/Ns )HFFH HH + n2 INr } 2 , WMMSE
t H is the optimal MMSE combiner given by WMMSE =
ar rp,q , p,q
r t
at p,q , p,q , (1)
( /Ns )R1 yy HF, and Fopt C
Nt Ns
is the optimal semi-
unitary precoder obtained as the right singular vectors of
where is a normalization factor such that E{H2F } = H associated with the largest Ns singular values. Fopt and
Nt Nr . p,q , rp,q (p,q r
), and tp,q (p,q t
) denote the complex WMMSE are also referred to as the optimal full-baseband
gain, the azimuth (elevation) angle of arrival (AOA), and the precoders and combiners, respectively.
azimuth (elevation) angle of departure (AOD) associated with In [8], the optimization problems (3) and (4) are then for-
the qth propagation path (ray) from the pth cluster, respectively. mulated into optimization problems with sparsity constraints,
(p,q , p,q
) and a (p,q , p,q
) represent the antenna gain and then solved approximately using the OMP algorithm [9].
and array response vector, respectively, for all {t, r}, p = The OMP-based hybrid transceiver enjoys low computational
1, . . . , Ncl and q = 1, . . . , Nray . The complex gain p,q is mod- complexity and has been shown to achieve rate performance
eled as CN (0, ,p 2
INr ), where ,p 2
denotes the average power close to that of the optimal full-baseband design in the simu-
associated with the propagation paths in the pth cluster. The lated mmWave channel [8].
azimuth angles p,q (elevation angles p,q
) within each cluster
are assumed to be Laplacian random variables with angle
spread ( ) centered at a uniformly distributed mean cluster IV. P ROPOSED I TERATIVE H YBRID T RANSCEIVER D ESIGN
angle p (p ), where {t, r}. For simplicity, we assume ideal A. Derivation of the Proposed Algorithm
sectored transmit and receive antenna elements whose antenna
gain is modeled as ( , ) = 1 for all [min , max ], In this subsection, we propose an iterative algorithm for the
and ( , ) = 0, otherwise. hybrid transceiver design problem in mmWave MIMO systems.
We consider the case of a uniform planar array (UPA) as the We start from the optimization problems in (3) and (4), and then
array geometry. It follows that the normalized array response express the objective functions in the following common form:
for an Ny Nz -element UPA in which Ny and Nz elements are 1 2
placed on the y-axis and z-axis can be expressed as J(, X) = 2 (Y AX) . (5)
F
1
a (, ) = 1, . . . , ejkd( sin sin +m cos ) , Here, = INt , y = Fopt , A = FRF , X = FBB in the
Ny Nz precoder design problem, and = Ryy , y = WMMSE ,
T
, ejkd((Ny 1) sin sin +(Nz 1) cos ) , (2) A = WRF , X = WBB in the combiner design problem.
The(, m)th element of A can be denoted as [A],m =
(1/ N )exp (j,m ) due to the norm constraints of the RF
1 In principle, a frequency-selective channel can always be converted into a precoders and combiners, where ,m = [],m . Here equals
parallel collection of frequency flat sub-channels using orthogonal-frequency- t in the precoder design problem, and equals r in the combiner
division-multiplexing (OFDM). design problem, respectively.
CHEN: AN ITERATIVE HYBRID TRANSCEIVER DESIGN ALGORITHM FOR MILLIMETER WAVE MIMO SYSTEMS 287
The minimization of (5) corresponds to the weighted nonlin- expressed as J( ) = tr{yH PT A(AH A)1 AH Py},
ear least squares problem, where and X are the nonlinear and where = PQ, and = PPT . In this new formulation,
linear parameters, respectively. Following the concentration []1,1 = 1,1 is the optimization variable and has to be varied
technique [12], the weighted least squares solution for X given evaluations in the optimization algorithm. For
for differentJ()
A() is obtained as X = (AH A)1 AH y. Substituting notational convenience, we denote A as A = [a, bH ; c, D],
X as X in the objective function (5), we then obtain the where a = (1/ N )exp(j1,1 ) C, while b, c, and D are
concentrated objective function the corresponding vectors and matrix that will be held constant
1 H during the optimization. Using the notation in A, AH A
J() = tr YH Y tr YH A AH A A Y can then be expressed as AH A = [e, f H ; f , G], where e =
T T
[a , cH ][aT , cT ] , f = [b, DH ][aT , cT ] are both func-
which only depends on the nonlinear parameter . Since T
tr{yH y} is independent of the parameter , the optimal tions of a, whereas G = [b, DH ][b , DT ] is independent
weighted least squares solution for can be obtained as = of a. By using the matrix inversion Lemma and also the
1
arg maxJ(), where Woodburys identity results [14], (AH A) can be computed
1
as (AH A) = [ 1 , ; 1 1
H H
, G ], where = G f
J() = tr YH A(AH A)1 AH Y . (6) and = e f H . The matrix inverse (AH A)1 can now be
(6) is known to be a non-convex function of and no closed- replaced by matrix-vector and vector-vector multiplications.
form solution is available to date. As a result, we propose to The algorithm is performed as follows. 1/2 , the Hermitian
search for a local optimal solution through alternating mini- matrix square root of , is first computed. The resulting com-
mization. The algorithm is briefly summarized as follows. plexity overhead is negligible when compared with the overall
Initialization: The proposed algorithm starts with some low- complexity of the algorithm and hence will not be counted
cost initial solution A, such as the solution obtained from the in the complexity analysis. At the beginning of each 1-D op-
OMP-based design. timization, the proposed algorithm computes 1/2 [b, DH ]H ,
1:N ,2:N c, and G1 only once because all these quantities
1/2
Iteration: In each iteration, the algorithm performs a local
search in each element of and then updates [A],m . When are independent of the current optimization variable. For each
,m is being optimized, the rest of the parameters in are function evaluation, the algorithm then computes 1/2 [aT ,
fixed to their latest updated values. Since ,m is merely a real ) using these newly
cT ]T , e, f , , and then computes J(
variable with bounded ranges [, ], a local optimal point of
computed quantities. With the proposed reduction scheme, it
(6) around the latest updated solution can be found efficiently
can be shown that the average computational complexity per
by performing 1-D search using the Nelder-Mead simplex-
function evaluation is reduced from the original O(N2 NRF )
method [13]. The algorithm performs N NRF element-wise
to O(max{N2 , N NRF Ns , N3 /Neval }), where Neval is the
local searches per iteration as proceeds from 1 to N , and m
average number of function evaluations needed in the 1-D
proceeds from 1 to NRF , respectively. The algorithm iterates
Nelder-Mead optimization. The complexity reduction method
the above procedure until the prescribed number of iterations
is therefore most effective when N3 /Neval NRF .
has been reached.
Construction of X: After A has been obtained, the linear
parameter X is estimated as X. For the precoding
problem, the V. S IMULATION R ESULTS
obtained parameter X is further scaled by Ns X/AXF to
Here, we present some simulation results of the proposed
satisfy the total power constraint described in (3).
iterative hybrid transceiver design simulated under an mmWave
Since the objective function J() monotonically increases MIMO channel model. For better comparison and cross-
in each update and is upper bounded by tr{yH y}, one can referencing, we follow the channel parameters used in [8] for
conclude that the proposed algorithm is guaranteed to converge our simulation. Throughout the simulation, the sector angles
to at least a local optimal solution. at the transmitter are assumed to be 60 wide in the azimuth
and 20 wide in the elevation domain, while the sector angle
B. Complexity Reduction Method for Evaluating J() at the receiver is assumed to be the whole angle space. The
mean azimuth angle and mean elevation angle are set to be
The Nelder-Mead simplex-method used in the proposed it- 0 and 90 , respectively. The channel is assumed to consist of
erative algorithm requires multiple computations of J() as Ncl = 8 clusters and Nray = 10 rays per cluster. The angular
the algorithm searches for optimized variables. Consequently, spreads are assumed to be t = t = r = r = , while the
multiple matrix inverses (AH A)1 or associated QR factor- average power associated with the propagation paths is assumed
izations need to be recomputed in (6) even though only a single 2
to be ,p = 1 for all clusters. The true angles-of-departure and
element in A has been changed. In this subsection, we derive angles-of-arrival are assumed to be available when performing
a complexity reduction method by exploiting the structure in the OMP-based design as in [8]. The received SNR is defined as
AH A via the low-rank update technique. SNR = /n2 , and each simulation point is averaged over 5000
Without loss of generality, we consider the 1-D optimiza- independent Monte Carlo runs.
tion problem where the phase in [A],m is the optimization In Fig. 2, the achieved rates of various transceiver designs are
variable. We can construct two permutation matrices P simulated under the scenario where the transmitter is assumed
CN N and Q CN N so that A = PAQ and [A]1,1 =
RF RF
to have Nt = 64 antennas and NtRF = 4 RF chains, while the
[A],m . With the above permutations, (6) can be equivalently receiver is assumed to have Nr = 16 antennas and NrRF = 4
288 IEEE WIRELESS COMMUNICATIONS LETTERS, VOL. 4, NO. 3, JUNE 2015
VI. C ONCLUSION
In this letter, an iterative hybrid transceiver design algorithm
for mmWave MIMO systems is presented. The proposed al-
gorithm is based on the nonlinear least-squares formulation in
which the residual is minimized iteratively in a greedy manner.
A complexity reduction method is also proposed to speed up
the optimization involved in each iteration. Simulations show
that the performance gap between the optimal full-baseband
and the existing OMP-based hybrid transceiver designs can be
substantially reduced by the proposed algorithm.