Massive MIMO For 5G - From Theory To Practice - Tsinghua - Linglong Dai

Massive MIMO for 5G: From
Theory to Practice
Linglong Dai （戴凌龙）
Department of Electronic Engineering
Tsinghua University
Dec. 2015
Massive MIMO for 5G: From Theory to Practice 1
Content
1 5G and Massive MIMO
2 Massive MIMO: Theoretical Performance
3 Massive MIMO: Practical Solutions
4 Future Research
5 Summary

How to realize 5G?
 Key requirement of 5G: 1000-fold capacity
 How to realize this goal from Shannon capacity?
 Three technical directions for 5G No. of APs Bandwidth
C = D * W * M * log (1+SINR)
No. of antennas Interference mitigation

What is massive MIMO?
 Use hundreds of BS antennas to simultaneously serve
multiple users
Conventional MIMO Massive MIMO
M:2~8, K:1~4 (LTE-A) M: ~100~1000, K: 16~64
T. L. Marzetta, “Non-cooperative Cellular Wireless with Unlimited Numbers of Base Station Antennas,” IEEE
Transactions on Wireless Communications, vol. 9, no. 11, pp. 3590-3599, Nov. 2010. (2013 IEEE Marconi prize)

Content
4 Future Research
5 Summary

Why Massive MIMO ?
 Spatial multiplexing
‒ Rate: min , log 1 SNR
 Reliability
‒ ∼ SNR
 Array gain (beamforming)
‒ Several antennas can be used to transmit signals
No. of antennas Error Probability ( ) Capacity ( ), bps/Hz

1, 1 (SISO) ∼ SNR log 1 SNR
1, 1 (SIMO) ∼ SNR log 1 SNR
1, 1 (MIMO) ∼ SNR min , log 1 SNR
: Diversity Gain min , : Multplexing Gain
 Massive , : significantly increased spectral efficiency

Theoretical Capacity Analysis
 MIMO link, channel ∈ with
SNR
log 1 , SNR
 If ∼ 1, then we have ∑ , so
‒ Rank-1 channel (LoS): , ⋯ 0
‒ Full rank channel: ⋯ favorable propagation
 If is i.i.d. and ≫ , then we have favorable propagation

Theoretical Capacity Analysis
 In massive MIMO, the channel matrix is decomposed
into two parts
‒ Small-scale fading: of size , elements are i.i.d.
/
‒ Large-scale fading: a diagonal matrix
⋯ 0
⋮ ⋱ ⋮
0 ⋯
Asymptotical orthogonality
⋯ 0
⋮ ⋱ ⋮ , ≫
0 ⋯
 Ideal massive MIMO channel has favorable propagation

Ideal Channels
 Massive MIMO has much larger ordered singular values
than conventional MIMO
F. Rusek, D. Persson, B. Lau, E. Larsson, T. Marzetta, O. Edfors, and F. Tufvesson, “Scaling up MIMO: Opportunities
and challenges with very large arrays,” IEEE Signal Processing Magazine, vol. 30, no. 1, pp. 40-60, Jan 2013.

Ideal Detection
 Optimal (coherent) uplink detector has complexity ~exp
min ∥ ∥
 With favorable propagation in massive MIMO ( ≫ )
1
we can have
1
min ∥ ∥ ⇔ min
 In massive MIMO, we can use simple (linear) detectors like
MF, ZF with good enough performance and low complexity
∼
 Similarly, simple (linear) precoders can be also used

Recent Advances of Massive MIMO
Feb. 2012, Rice university & Sep. 2013, Rice university & July 2013, Linköping &
Bell labs, Argos, 64 antennas, Bell labs, ArgosV2, 96 Lund University, 128
15 users, 85 bit/s/Hz, 1/64 antennas, 32 users antennas, 36 users
power consumption

World’s First Massive MIMO Prototype
Samsung, 2014

Opportunities and challenges
 Advantages
‒ Improve the spectrum efficiency by orders of magnitude
‒ Improve the energy efficiency by orders of magnitude
 Vision
‒ Considered as a promising key technology for 5G
 Challenges
‒ Theoretical analysis with practical constraints
‒ Reduce the power consumption of RF chains
‒ Pilot contamination in the uplink
‒ Efficient pilot design and channel estimation algorithm
‒ Efficient channel feedback mechanism
‒ Low-complexity near-optimal signal detection algorithm

Content
1 5G in The World
4 Future Research
5 Summary

Practical Solutions for Massive MIMO
 Work 1: Performance Analysis of Massive MIMO with Practical Constraints

 Work 2: Pilot Decontamination Based on Graph Coloring
 Work 3: Efficient Pilot Design and Channel Estimation Based on Compressive Sensing
 Work 4: Low-Complexity Multi-User Detection for Uplink Massive SM-MIMO
 Work 5: Energy-Efficient SIC-Based Hybrid Precoding for Massive MIMO
 Work 6: Beamspace Massive MIMO
Practical Solutions: Work 1
Performance Analysis of Massive MIMO

with Practical Constraints
Jiayi Zhang, Linglong Dai, Xinlin Zhang, Emil Björnson, and Zhaocheng Wang, “Ergodic Capacity of Massive MIMO Systems with
Transceiver Hardware Impairments over Rician Fading Channels,” to appear in IEEE Transactions on Vehicular Technology.

Motivation
 The performance of massive MIMO systems is usually
limited by practical constraints
‒ Hardware impairments
• Phase noise
• I/Q imbalance
• Amplifier non-linearities
• Quantization errors
‒ Space constrained
‒ Low-resolution ADC
‒ Channel aging
‒ Imperfect CSI
‒ Inter-carrier interference
‒ Co-channel interference
‒ …

Motivation
 Huge spatial degrees-of-freedom of massive MIMO
systems are achieved by coherent processing over these
massive arrays, which provide
‒ strong signal gains
‒ resilience to imperfect channel knowledge
‒ and low interference
 However, the hardware cost and circuit power

consumption scale linearly/exponentially with the number
of BS antennas, and practical constraints cannot be
removed completely
 Whether massive MIMO systems can provide robustness

to practical constraints?
Hardware Impairments
 The system model can be written as [1]
y = H  x + ηt  + ηr + n
 The additive distortion noise terms can be analytically
approximated by the central limit theorem as

ηt  CN 0,  t2 diag q1 ,  , qNt 

ηr  CN 0,  r2 tr  Q  I N r 
 In LTE, the error vector magnitude (EVM) are in the
range
 t   0.08, 0.175
[1] T. Schenk, RF Imperfections in High-Rate Wireless Systems: Impact and Digital Compensation. Springer,
2008.

 Normalized noise variance
  t2 H
 H H    r  1 I Nt , N t  N r
2
 Nt
Φ 2
  t HH H   2  1 I , N  N
 N t  r  Nr t r
 The ergodic achievable rate R can be expressed as
    H 1 

 E log 2 det  I Nt  H HΦ   , N t  N r
   Nt 
R
    1 

 E log 2 det  I Nr  N HH Φ   , N t  N r
H
   t 

 Proposition 1: The exact achievable rate of MIMO
systems with residual hardware impairments over Rician
fading channels can be expressed as
qG q q 
  p  q  m  k  nk
R 
ln 2 n1 m1
Dn,m 
k 0   k  1   p  q  k  1
p  q  m k
  K 1 / a  K  1   K 1 /b  K 1  
  e E pqmk t 1  e E pqmk t 1  
t 1   a   b 
q  min( Nt , Nr ), p  max( Nt , Nr )
 1    i1  i
q

2 2 e
a ,b  ,G 
t t
Nt 1    Nt 1     p  q  !    i 
2 2 q
t t j
1i  j q

 For → ∞, the achievable rate reduces to
  
RNt   N r log 2 1  
  t
2
  r
2
 1 
 For → ∞, the achievable rate reduces to
 1 
RNr   N t log 2 1  2 
 t 
 For and → ∞, the achievable rate reduces to
   1   t2     t2 
R  E log 2 det  HH H
 I Nr   log 2 det  HH H
 I Nr 
 N t   r  1
  2
  N t   r2  1 
   
  
 E log 2 det aHH H  I Nr  log 2 det bHH H  I Nr 
  

 J 1/ a, I Nr   J 1/ b, I 
Nr

 A finite rate ceiling
 An increase in SNR tends
to increase achievable rate
of both systems  t   r  0.15, N t  N r  2
 The relative difference 30
Non-ideal (Analytical)
between the curves gets 25
Non-ideal (Simulations)
Ideal capacity
steadily larger
Achievable Rate [bits/s/Hz]

20
 Higher K values yield lower K = 0, 10, 100
15
achievable rate
Ceiling
 The gap decreases as K

10
increases 5
0
-5 0 5 10 15 20 25 30 35 40
SNR [dB]

 The ceiling disappears for
large numbers of transmit
and receive antennas
 Larger values of K will  t   r  0.15, N t  N r ,   10
decrease the rank of
180
correlation matrix and the Non-ideal (Analytical)
160 Non-ideal (Simulations)
system’s achievable rate 140
Ideal Achievable Rate
 Utilize ideal hardware at 120
massive MIMO systems 100

K=0
80
when operating over strong K=10
60
LoS environment 40
K=100
20
0
0 10 20 30 40 50 60
Number of Transmit/Receive Antennas (N t =Nr)
Space Constrained
 A critical issue pertaining to practical massive MIMO
systems is the dense deployment for a large number of
antennas in a limited physical space
 The channel vectors for different UEs will be
asymptotically non-orthogonal
 Therefore, a space-constrained massive MIMO
architecture will suffer from increased spatial correlation,
whose impact needs to be rigorously quantified and
analyzed

Space Constrained
 The received vector y at the BS is given by
y pu Gx  n
 Channel matrix /
, where is the transmit
steering matrix and is given by
A  a 1  , a  2  , , a  P  
2 d 2 d T
1  j sin i j  M 1 sin i 
a i   1, e

, , e 

P  
 With receiver matrix T, the achievable uplink rate is
  
   
2
pu t kH g k
Rk  E log 2 1  
 2 
K
u k l
 
2
 p t H
g  tk 
  l k 
Space Constrained
 Proposition 1: For space-constrained massive MIMO
systems with MRC receivers, the approximated sum
achievable rate is given by
  2 P 2 
 pu  M   i   k 
R MRC  log 2 1   i 1  
 K P

u  l  i  M k
  2
 p 
 l k i 1 
where is the ith eigenvalue of A, and denotes the lth element of

Space Constrained
 denotes the normalized d 0  dM  , P  12, K  6
total antenna array space 10
 The sum rate saturates with 9.5
an increasing number of BS
9
antennas
 MRC suffers a substantial
8.5
rate degradation when 8
spatial correlation is high 7.5

Monte-Carlo simulation
 the gap decreases as 7

Analytical approximation
50 100 150 200 250 300 350 400 450 500

increases, which implies
that the effect of
becomes less pronounced

Space Constrained
systems with ZF receivers, the sum achievable rate is
lower bounded by
   P

K   K  Y    Yn   
RLZF   log 2 1  pu k exp    n   K   P  K 1     n   n  P  K  2 
k 1 

 nk 
  
P
i  j
  j  i   
  
P
i  j
  j  i    

   
  pq 1 , q  n
 Yk  p ,q   q 1
  p ln  p , q  n

Space Constrained
systems with ZF receivers, the sum achievable rate is
upper bounded by
 Δ2 Δ1 
R ZF
 K log 2   pu 
U
  K 1   K  i   K 1       i 1   K  i  1  i j   j  i  
K K
 i 1 i j j i
 P

K  K 1  n  Y
    n   n P K 2

ln 2  n 1
 
P
i  j
  j  i  

 
Δ1  Ξ1Φ1 , Δ 2  Ξ2Φ 2 Ξ2 p,q   pq 1 , q  1, , P  K  1
Ξ1 p,q   pq 1 , q  1, , P  K Φ2 p,q   pq   q  P  K  , q  P  K  2, , P
Φ1 p,q   pq   q  P  K  1 , q  P  K  1, , P
Space Constrained
 The lower bounds can explicitly predict the exact sum rate
 Large antennas can improves the sum rate of the massive
MIMO ZF by suppressing thermal noise, even in the space
constrained scenario
d 0  4, P  12
18
16
14
12
10
6 ZF Lower Bound
ZF Upper Bound
Monte-Carlo Simulation
4
10 20 30 40 50 60 70 80 90 100

Conclusions
 The massive MIMO systems is more prone to practical
constraints in strong LoS fading channel
 For space-constrained massive MIMO systems, we derive
‒ approximated sum rate expression of MRC receivers
‒ new lower and upper bounds on the sum rate of ZF
receivers
 The performance of ZF receivers is superior to the one of
MRC receivers for space-constrained massive MIMO
systems

Graph Coloring Based Pilot

Decontamination for Massive MIMO
Xudong Zhu, Linglong Dai, and Zhaocheng Wang, “Graph Coloring Based Pilot Allocation to Mitigate Pilot Contamination for
Multi-Cell Massive MIMO Systems,” IEEE Communications Letters, vol. 19, no. 10, pp. 1842-1845, Oct. 2015.

Massive MIMO in Mobile Network
 A mobile cellular network with cells, each of singe-
antenna users and ( ≫ ) antennas BS
– The system works in TDD protocol
– Channel of -th user in -th BS to -th BS: , , , , , ,
– Large-scale fading coefficient: , , 0 (channel strength).
– Small-scale fading vector: , , ∈ ,

What is Pilot Contamination (PC)?
 Channel estimation in uplink transmission
– User 〈 , 〉 utilizes pilot sequence ∈ for channel estimation
⋯ ∈ ,
– The channel estimation for user 〈 , 〉 will be contaminated by users in
other cells with the same pilot
, , , , , , , , .
 Uplink SINR limitation

– By adopting MF detector, uplink SINR of user 〈 , 〉 is limited by PC
, , , , → , ,
SINR ,
∑ | , , , , | , ∑ , ,
– , denotes the power of uncorrelated interference and noise

Example of PC
 Pilot reuse in adjacent cells
– Due to limited pilot resource, pilot reuse is unavoidable
– PC to users in cell center is usually light
– PC to users in cell edge is usually severe
– Total 3 pilots are utilized for 3 cells

– User 〈3,1〉 suffers from slight PC
– User 1,1 and 2,1 are
contaminated to each other

Existing Technology
 Frame structure design
– Using time-shifted pilots for asynchronous transmission among
adjacent cells is able to mitigate pilot contamination
 Exploiting channel properties

– AoA (angle-of-arrival) based methods
– Subspace partitioning based blind methods
– Coordinated multi-cell precoding
– ……

Motivation
 Potential PC among users in different cells
– Potential PC , ,〈 , 〉 is utilized to measure PC severity between two
users when they are assigned with the same pilot
, , , ,
, ,〈 , 〉 .
, , , ,
– , is actually the ratio of the interference channel strength and

,〈 , 〉
the effective channel strength
– Larger , ,〈 , 〉 indicates more severe PC will be introduced between
user 〈 , 〉 and 〈 , 〉 when they are assigned with the same pilot
– Key idea: Assign different pilots to users with a large

PC Graph Construction
 Potential PC threshold
– Based on a potential PC threshold , a binary potential PC matrix
, , , can be generated as
1, , ,
, ,〈 , 〉 1, , , , , ,
0, otherwise.
– A PC graph can be constructed based on
, , , , , , , 1
Pilot reuse among

connected users should
be avoided.

Conventional Graph Coloring (GC)
 Minimizing the total number of colors
– Conventional GC algorithms aim to minimize the total number of colors
to assign different colors to connected vertices
– To find the minimal number of colors for a certain is a NP problem
– The total number of required colors is defined as
– For various , is different and uncertain
Total 4 pilots are required

GC based Pilot Allocation (GC-PA)
 Under limited pilot resource
– For users within each cell, usually only pilots are available
– Users are sorted according to their degrees in , and assign pilots to
these users in a sequential way
– Assign different pilots to connected users as much as possible
– For various , only pilots are utilized for pilot assignment
Total 3 pilots are utilized

Analysis of Threshold
 How to obtain
– The potential PC graph is constructed based on
– The initial interval of can be easily obtained as
∈ ,
– min , ,〈 , 〉 and max , ,〈 , 〉
– By setting , only users within one cell are connected
– By setting , all users are connected to each other
– To obtain a near-optimal threshold , an iterative grid search (IGS)
algorithm is adopted
, , , .
– denotes the number of grids in each search step
– denotes the number of iterations

Iterative Grid Search (IGS) of
 IGS Algorithm
– The interval , is uniformly sampled by points in the first
iteration
:1 , ,
Δ , Δ .
1
– By denoting as one out of that can achieve the best
performance, a sub interval can be obtained after the first iteration, i.e.,
Δ Δ
,
2 2
– The sub interval will be further sampled, and this procedure is carried
out in an iterative way for times
– Finally, a near-optimal threshold can be obtained

Simulation result (1)
 IGS Algorithm
– System parameters: (1) 7; (2) 8; (3) 128
– IGS parameters: (1) 20; (2) 2
Average uplink SINR (dB)
18
First iteration of the IGS
16
14
The sub-interval for the next
iteration of the IGS process
12
10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
(th-min)/ max
Average uplink SINR (dB)
17.15
17.1
The final threshold th= (2)

max
17.05
Second iteration of the IGS
17
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
(th-(1) + (1)/2)/((1)
max 
+ (1)/2)
max 

 CDF curve of users’ uplink achievable rate
– System parameters: (1) 4; (2) 4; (3) 128
– The optimal solution is obtained by exhaustive search
1
Classical scheme [1]
0.9 Conventional GCAs [5]
Proposed GC-PA scheme
0.8
Optimal PA
0.7
The performance of the users
0.6 suffering from severe PC has
been significantly improved
CDF
0.5
0.4
The proposed GC-PA scheme
0.3 can approach the optimal pilot
allocation
0.2
0.1
0
1 2 3 4 5 6 7
User UL achievalable rate (bps/Hz)

 Average uplink achievable rate against antenna number
– System parameters: (1) 7; (2) 84; (3) 10 10000
5
Classical scheme [1]
Conventional GCAs [5]
4.5
Proposed GC-PA scheme
Average UL capacity per user (bps/Hz)
3.5 Gain of the restricted pilot

resource.
2.5
Gain of the significantly reduced The performance of the
PC by conventional GCA and the classical random scheme
proposed GC-PA scheme is limited by PC
2
1.5
1 2 3 4
10 10 10 10
Number of BS antennas M
Conclusions
 A graph coloring based pilot allocation (GC-PA) scheme is
proposed to mitigate pilot contamination for massive
MIMO
 Basic ideas
– Construct potential PC graph for multi-cell multi-user network
– GC-PA: Assign different pilots to connected users in PC graph to
mitigate severe PC as much as possible
– An iterative grid search (IGS) algorithm is proposed to obtain a near-
optimal threshold for PC graph construction
 Simulation result (2) has verified the near-optimal (0.1
bps/Hz) performance of our method compared with
optimal solution through exhaustive search

Compressive Sensing Based Efficient

Pilot Design and Channel Estimation
Zhen Gao, Linglong Dai, Zhaocheng Wang, Sheng Chen, “Spatially common sparsity based adaptive channel estimation and
feedback for FDD massive MIMO,” IEEE Transactions on Signal Processing, vol. 63, no. 23, pp. 6169-6183, Dec. 2015.

Motivation
 Orthogonal pilots for LTE/LTE-A
Different channels are distinguished by orthogonal pilots 100% pilot !

Angle-Domain Massive MIMO Channels
a DFT matrix for ULA with d   / 2
yn  xTn h n  wn  xTn  A B h n   wn
Angle-domain channel
M  128  f s  180 / M  1.406

10  10 1.406   8
n  supp h n   Sa  M
Massive MIIMO channels is sparse in the angle domain due to angle

spread is small (e.g., 10o) at the BS with limited scatters
X. Rao and V. K. N. Lau, “Distributed compressive CSIT estimation and feedback for FDD multi-user massive MIMO
systems,” IEEE Trans. Signal Process., vol. 62, no. 12, pp. 3261–3271, Jun. 2014.

Spatially Common Sparsity
K M
K M
K M
supp h 1  supp h 2     supp h N   
Spatially common sparsity holds due to spatial propagation characteristics

of the channels within the system bandwidth are almost unchanged
X. Rao and V. K. N. Lau, “Distributed compressive CSIT estimation and feedback for FDD multi-user massive MIMO
systems,” IEEE Trans. Signal Process., vol. 62, no. 12, pp. 3261–3271, Jun. 2014.

Background of Compressive Sensing
 Compressive Sensing (CS)
‒ (1949) Shannon-Nyquist sampling theory: sufficient condition for
perfect reconstruction of a bandwidth limited signals
f s  2B
Shannon
‒ (2006) Compressive sensing: Acquire and reconstruct a sparse signal
by a sampling rate much lower than the Nyquist rate
M  N
Donoho
D. L. Donoho, “Compressed sensing”, IEEE Trans. Info. Theory, vol. 52, no. 4, pp. 1289–1306, Apr. 2006. (cited by 14106 times)

 Key idea of CS
‒ Conventional way: sampling the signal at a high rate first, and then compress the signal
to remove the redundancy
‒ CS: directly sampling the inherent information of signals, and then reconstruct the high-
dimensional signal from low-dimensional measurement via optimization
‒ Three steps of CS: 1) Spare representation; 2) Compression; 3) Recovery
‒ Applications of CS: Image/Vedio processing, MRI, Radar, Wireless communications …
Compressive sensing is a breakthrough theory for signal processing, which has

great potential impacts in many applied fields including wireless communications
Proposed Non-Orthogonal Pilots
 Conventional orthogonal pilot  proposed non-orthogonal
pilots

CS-Based Channel Estimation
 Non-orthogonal pilots based channel estimation by
exploiting CS theory
rs
rie
ar
bc
su
N
M BS antennas
K M
K M
K M
Received pilot signal

A 
* T (q) (q)
r [ q ,G ]
p S [ q ,G ]
p B h p v [ q ,G ]
p Φ [ q ,G ]
p h p  v[pq ,G ]
in G time slots:
 
Spatially common sparsity: supp h 1  supp h 2    supp h N    
Proposed Distributed Sparsity Adapative
Matching Pursuit (DSAMP) Algorithm
Joint
Processing

Performance Analysis
 Problem 1 L
min  fl 0 . s.t. dl  Φl fl ,supp fl   , l
2
fl ,l
l 1
D
ri  Si hi  Si Ah i  Θi h i
 Pilot design S[ q ,G ]   e j t ,m , p

1  t  G ,1  m  M
 p  t ,m

Simulation Results
0
Simulation parameters: 10
J-OMP, Fixed Time Overhead, T=18
1. Carrier frequency 2 GHz
DSAMP, Fixed Time Overhead, T=18
2. System bandwidth 10 MHz CRLB of Conventional Linear Algorithms
3. FFT size 2048 -1

10
4. BS 128 Tx
MSE
5. 15°angle spread
-2
10
-3
10
10 15 20 25 30
SNR (dB)
Performance approaches the CRLB with substantially reduced pilot overhead !

Conclusions
 This paper focuses on the downlink pilot design and
channel estimation for massive MIMO systems
 At the transmitter, compared with standardized
orthogonal pilots (pilot overhead ∝ No. of Tx), we
proposed the non-orthogonal pilots design based on
structured CS can effectively solve this issue (pilot
overhead ∝ small angle spread)
 At the receiver, the proposed DSAMP algorithm can
exploit the spatially common sparsity of massive MIMO
channels for reliable channel estimation
 Moreover, the proposed scheme can be applied in the
uplink to solve the issue of pilot contamination

Low-Complexity Multi-User Detection

for Uplink Massive SM-MIMO
Zhen Gao, Linglong Dai, Zhaocheng Wang, Sheng Chen, and Lajos Hanzo, “Compressive Sensing Based Multi-User
Detector for Large-Scale SM-MIMO Uplink,” to appear in IEEE Transactions on Vehicular Technology.

Motivation and Background
 Key requirements of 5G
 Spectrum Efficiency (SE)
 Energy Efficiency (EE)
 Key techniques
 Massive MIMO improves SE at cost of low EE

Motivation and Background
 Key requirements of 5G
 Spectrum Efficiency (SE)
 Energy Efficiency (EE)
 Key techniques
 Massive MIMO improves SE at cost of low EE
 Spatial modulation (SM) MIMO improves EE at cost of low SE

System Model
 Spatial Modulation (SM) MIMO
 No. of RF chains << No. of antennas

System Model
 Spatial Modulation (SM) MIMO
 No. of RF chains << No. of antennas
 3-D constellation set
 Spatial and signal constellation symbols

System Model
 Massive SM-MIMO
 High SE
 Large No. of antennas
 Low cost antennas
 High EE
 Small number of RF chains
 Low hardware cost
 Low power consumption

System Model
 Challenges of Massive SM-MIMO
 Support multi-user transmission in the uplink
 Only consider single-user scenario
 Optimal for multi-user detection
 Large No. of users
 Large No. of antennas
 Optimal maximum like-hood (ML): High complexity
 Sphere decoding: High complexity
 Low complexity signal detector
 LMMSE-based detector [Renzo’14]: poor performance
 CS-based detector [Liu’14]: poor performance
[Renzo’14] M. Di Renzo, H. Haas, A. Ghrayeb, S. Sugiura, and L. Hanzo, “Spatial modulation for generalized MIMO: Challenges,
opportunities and implementation,” Proc. IEEE, vol. 102, no. 1, pp. 56-103, Jan. 2014.
[Liu’14] W. Liu, N. Wang, M. Jin, and H. Xu, “Denoising detection for the generalized spatial modulation system using sparse
property,” IEEE Commun. Lett., vol. 18, no. 1, pp. 22-25, Jan. 2014.

Proposed Solutions
 How to support multi-user transmission in uplink?
One RF chain but multiple antennas for each user !

Proposed Solutions
 How to reduce the complexity of signal detector?
x1
x2

xK
Sparsity of SM signals can be exploited!

Proposed Solutions
 Sparsity of SM signals can be exploited!
Signal constellation symbol (M-PSK, M-QAM)
x k  e k sk
Spatial constellation symbol
supp  e k   Q, e k 0
 1, e k 2
 1.

Proposed Solutions
The kth user's SM signal
K K
y   y k  w   H k xk  w AWGN
k 1 k 1
The kth user's MIMO

x1 channel matrix
x2
x

xK
Proposed Solutions
K K
y   y k  w   H k xk  w
k 1 k 1
x1 y  Hx  w
x2
x Compressive sensing problem !

xK
 Compressive Sensing (CS)
‒ (1949) Shannon-Nyquist sampling theory: sufficient condition for
perfect reconstruction of a bandwidth limited signals
f s  2B
Shannon
‒ (2006) Compressive sensing: Acquire and reconstruct a sparse signal
by a sampling rate much lower than the Nyquist rate
M  N
Donoho
D. L. Donoho, “Compressed sensing”, IEEE Trans. Info. Theory, vol. 52, no. 4, pp. 1289–1306, Apr. 2006. (cited by 14106 times)

 Key idea of CS
‒ Conventional way: sampling the signal at a high rate first, and then compress the signal
to remove the redundancy
‒ CS: directly sampling the inherent information of signals, and then reconstruct the high-
dimensional signal from low-dimensional measurement via optimization
‒ Three steps of CS: 1) Spare representation; 2) Compression; 3) Recovery
‒ Applications of CS: Image/Video processing, MRI, Radar, Wireless communications …
Compressive sensing is a breakthrough theory for signal processing, which has

great potential impacts in many applied fields including wireless communications
Proposed Solutions
y  Hx  w
Standard compressive sensing x1
Uniquely sparsity x2
x
Block sparsity 
xK
Reduced complexity and improved performance

Proposed Solutions
 How to enhance the reliability of signal detector?
 Introduce the structured sparsity J 3
 
supp xk   supp xk     supp xk
1
  2
  J x1
x2
x
y    H   x   w   ,1  j  J .
j j j j
xK
2
J ( j) 2 J K
y  H ( j ) x y   H (k j ) x
( j)
minJ ( j)
 minJ ( j)
k
x 
( j)
j 1
j 1 2
x 
( j)
j 1
j 1 k 1 2
     
2
x (k j ) 1  2 J 
s.t.  1,1  j  J ,1  k  K . supp x k  supp x k    supp x k
0
Proposed Solutions
 How to enhance the reliablity of signal detector?
 Introduce the channel diversity by interleaving
y    H   x   w   ,1  j  J .
j j j j
Temoral correlation Cyclic shift

Interleaving
of channels
H 1  H  2    H  J  H 1  H  2    H  J 
Improved performance Substantially improved

performance

Example for Interleaving (J=2)

Proposed Group SP (GSP) algorithm

Proposed Solutions
 Complexity comparison
Algorithm ML MMSE CS Proposed

GSP
Complexity O  ( Lnt ) K  O(M RF (nt K ) 2  (nt K )3 ) O  2M RF K  K  O(2 M RF K 2  K 3 )
2 3
‒ The optimal ML detector suffers from high complexity

‒ MMSE and CS detectors have low complexity but poor performance
‒ Proposed GSP algorithm enjoys low complexity with good performance

Simulations
 Obvious performance gain from interleaving!
Point-to-point SM-MIMO:
1. No. Tx 64
2. No. Rx 16
3. Correlation coff 0.4 for Tx/Rx
4. One Tx RF chain
5. 6 bit spatial constel. syb.
6. 8-PSKsignal constel. syb.
7. J=2

Simulations
 Higher throughput than massive MIMO !
 Near-optimal signal detection performance !
Multi-user SM-MIMO uplink:
1. BS 64 Tx but 18 receive RF chains
2. 8 Users each 4 Tx and 1 transmit RF
chain
3. Correlation coff 0.5 for Tx/Rx

Conclusions
 This paper focuses on the multi-user detection for uplink
massive SM-MIMO
 A reliable and low-complexity multi-user signal detector
is proposed
 Proposed signal detector can fully exploit the block
sparsity of equivalent SM signal for the reduced
complexity
 By introducing the SM signal interleaving, the signal
detection performance can be further improved
 Simulation results have demonstrated the good
performance of the proposed scheme

SIC-Based Energy-Efficient Hybrid

Precoding for Massive MIMO
Xinyu Gao, Linglong Dai, Shuangfeng Han, Chih-Lin I, and Robert Heath, “Energy-Efficient Hybrid Analog and Digital Precoding for
mmWave MIMO Systems with Large Antenna Arrays”, to appear in IEEE Journal on Selected Areas in Communications.

MmWave massive MIMO
 Why mmWave?
mmWave
High frequencies Short wavelength Serious path-loss
Spectrum extension Massive MIMO Small cell
1000x capacity increase!
 Why mmWave + massive MIMO?

– Short wavelength enables large antenna array in massive MIMO
– Massive MIMO provides sufficient gains to compensate the serious
path-loss by using precoding

Challenges of mmWave massive MIMO
 Challenges
– Traditional MIMO: one dedicated RF chain for one antenna
 Enormous number of RF chains due to large antenna array
 High complexity in signal processing
 Unaffordable energy consumption (250 mW per RF chain)
 64 antennas → 64 RF chains → 16 W !
How to reduce the required

number of RF chains?

Precoding for mmWave massive MIMO
 Traditional precoding
– Preformed in digital domain with optimized performance
– One RF chain is required to support one transmit antenna
– Impractical in energy consumption for mmWave massive MIMO
 250mW per RF chain, and 16W for 64 antennas [Amadori’15] !
 Hybrid analog and digital precoding
– Actual degree of freedom (i.e., #users) is much smaller than #antennas
– Divide digital precoding with large size into:
 Digital precoding with small size
 Analog precoding with large size (realized by phase shifter, PS)
– Significantly reduced number of RF chains
– Power-efficient, low complexity, without obvious performance loss
[Amadori’15] P. Amadori and C. Masouros, “Low RF-complexity millimeter-wave beamspace-MIMO systems by beam
selection,” IEEE Trans. Commun., vol. 63, no. 6, pp. 2212-2222, Jun. 2015.

Existing hybrid precoding architectures
 Fully-connected architecture
– RF chain is fully connected to all antennas
 Large number of PSs (N2M)
 Near-optimal but energy-intensive
– Spatially sparse precoding [Ayach’14]

– Codebook-based hybrid precoding [Roh’14]
 Sub-connected architecture
– RF chain is partially connected to a subset
of antennas
 Smaller number of PSs (NM)
 More energy-efficient
– The optimal solution is unavailable
 Challenge: changed constraints

[Ayach’14] O. El Ayach S. Rajagopal, S. Abu-Surra,Z. Pi, and R.W. Heath, “Spatially sparse precoding in millimeter wave MIMO systems,”
IEEE Trans. Wireless Commun., vol. 13, no. 3,pp. 1536-1276, Mar. 2014.
[Roh’14] W. Roh, et al., “Millimeter-wave beamforming as an enabling technology for 5G cellular communications: Theoretical feasibility and
prototype results,” IEEE Commun. Mag., vol. 52, no. 2, pp. 0163-6804, Feb. 2014.

Problem formulation
 System model
y   HADs  n   HPs  n,
 Total achievable rate

  
R  log 2  I N  HPP H
H H
.
 N  2

 Target
– Jointly design A and D to maximize the achievable rate
 Three non-convex constraints

– Structure constraint: P  AD  diag a1 ,, aN   diag d1 ,, d N 
– Amplitude constraint: All elements of ai have fixed amplitude 1 / M
– Power constraint: P F  N

SIC-based hybrid precoding
 Successive interference cancelation (SIC) for multi-user
signal detection
4
y   h(i ) x(i )
i1

SIC-based hybrid precoding
 Proposition 1: The total rate R can be decomposed as
 N
 H H 1 
R   log 2  1  p H Tn 1 Hp n
n 1  N  2 n

p 
where n is the nth column of P, Tn  I N  HP P H
H H
, and T0  I N
N 2
n n
 SIC-based hybrid precoding

– Total rate  sub-rate of sub-antenna array
– Optimize the sub-rate of each sub-antenna array one by one by exploiting the
concept of SIC for multi-user detection
T0  I N T1 TN 1
p1 p2 pN

Solution to the sub-rate optimization problem
 Target
– Optimize achievable rate of the nth sub-antenna array
  H  H 1
p opt  arg max log 2 1  p G  p  ， where G   H Tn 1H
 N
n n n 1 n n 1

2
p n 
– Consider non-zero elements

  H 
p nopt  arg max log 2  1  p G  p ，
 N
n n 1 n

2
p n F
where G n 1  RG n 1R H , R  0 M M  n 1 I M 0 M M  N  n  

 
 We prove that it is equivalent to a simplified problem
Proposition 2. The optimization problem is equivalent to the following problem
p nopt  arg min v1  p n 2 ， where v1 is the first right singular vector of Gn1
2
p n 
Find p n sufficiently close to v1 to maximize the achievable sub-rate

Design of analog and digital precoder
 Problem
– As we have p n  d n an , v1  p n
2
equals to
 
2

 d n  Re  v an    1   Re  v1H an  
2 2
v1  p n
2 H
2 1
 Solution
– Analog precoder: an  1 / M e
opt
 
jangle( v1 )
Digital precoder: d n Re  v1 an   v1 1 / M

opt H
–
Hybrid precoder: p n  1/ M  v1 1 e
opt jangle( v1 )
–
– Easy to check all the three constraint conditions are satisfied
 Summary of our method

– SVD of G n1 to obtain v1
– Compute p n  1/ M  v1 1 e
opt jangle( v1 )
for the nth sub-antenna array
– Update G n for the (n+1)th sub-antenna array

Complexity analysis
 Computation of v1
– Only the first right singular vector of G n1 is required
– Realized by power iteration algorithm with complexity   M 2 
 Acquire the optimal precoder

– The complexity is only   M  to obtain p n  1/ M  v1 1 e
opt jangle( v1 )
 Update G n
Proposition 2. The matrix G n can be simplified as
1
    2 H
G n  G n1  1  
2 1
 v v , 1 is largest singular value of G n 1
 N   N  2 1 1 1
– Corresponding complexity is   M 2 
 Total complexity   M 2 ( NS  K ) 
– Only 10% of [11] !

Simulation results
 Simulation setup
– Antennas: (1) NM  K  64  16 (2) NM  K  128  32
– RF chains: (1) N  8 (2) N  16
– Channel: Geometric Saleh-Valenzuela model
25 30
Optimal unconstrained precoding (full-connected) Optimal unconstrained precoding (fully-connected)

Spatially sparse precoding (full-connected) [6] Spatially sparse precoding (fully-connected) [6]
Optimal unconstrained precoding (sub-connected) Optimal unconstrained precoding (sub-connected)
25
Proposed SIC-based precoding (sub-connected) Proposed SIC-based precoding (sub-connected)
20
Conventional analog precoding (sub-connected) [21] Conventional analog precoding (sub-connected) [21]
Achievable rate (bps/Hz)

Achievable rate (bps/Hz)
20
15
15
10
10
87%
5
5
SIC-based hybrid precoding is near-optimal！

0 0
-30 -25 -20 -15 -10 -5 0 -30 -25 -20 -15 -10 -5 0
SNR (dB) SNR (dB)

Conclusions
 We proposed a hybrid precoding scheme with sub-connected
architecture for mmWave massive MIMO systems
 Basic ideas
– Decompose the total achievable rate into the sum of sub-rates
– Optimize the sub-rate of each sub-antenna array one by one by
exploiting the concept of SIC for multi-user detection
 The computational complexity of our method is   M 2 ( NS  K )  ,
only 10% of that of conventional scheme
 Simulation results have verified the near-optimal (87%)
performance of our method

Beamspace Massive MIMO
Xinyu Gao, Linglong Dai, Shuangfeng Han, Chih-Lin I, and Zhaocheng Wang, “Channel Estimation and Beam Selection in Beamspace for
Millimeter-Wave Massive MIMO,” to be submitted to IEEE Transactions on Signal Processing.

Advantages of mmWave massive MIMO
 Advantages
– Larger bandwidth: 50MHz → 1GHz
 More users and higher capacity
– Larger antenna array: 1~8 → 256~1024
 Larger antenna gain to compensate serious path loss
 More data streams to improve spectral efficiency
mmWave
Spectrum expansion Large antenna array Small cell
1000x data rates increase!

Challenges of mmWave massive MIMO
 Challenges
– Traditional MIMO: one dedicated RF chain for one antenna
 Enormous number of RF chains due to large antenna array
 High complexity in signal processing
 Unaffordable energy consumption (250 mW per RF chain)
 64 antennas → 64 RF chains → 16 W !
How to reduce the required

number of RF chains?

Category 1: Hybrid beamforming
 Basic idea [Ayach’14,Gao’15]
– Decompose fully digital beamformer of large size:
 Digital beamformer with small size (realized by RF chains)
 Analog beamformer with large size (realized by phase shifters)
 Performance
– Reduce RF chains by signal 
processing
– Not obvious performance loss  
– Require complicated design
– High computational complexity 
[Ayach’14] O. El Ayach, et al., “Spatially sparse precoding in millimeter wave MIMO systems,” IEEE Trans. Wireless Commun., 2014.
[Gao’15] X. Gao, et al., “Energy-efficient hybrid analog and digital precoding for mmwave MIMO systems with large antenna arrays,”
IEEE J. Sel. Areas Commun., 2015.
Category 2: Beamspace MIMO
 Basic idea [Brady’14]
– Transform spatial channel into beamspace channel (realized by lens)
 Limited scatters → beamspace channel is approximately sparse
– Select beams to reduce dimension (realized by switching network)
– Digital beamformer with small size (realized by RF chains)
 Performance
– Reduce RF chains by discrete
lens array (DLA)
– Classical beamformers can be
directly employed
– Low computational complexity
A different but promising thought to reduce RF chains

[Brady’14] J. Brady, et al., “Beamspace MIMO for millimeterwave communications: System architecture, modeling,
analysis, and measurements,” IEEE Trans. Ant. and Propag., vol. 61, no. 7, pp. 3814–3827, Jul. 2013.

Principle of beamspace MIMO
 System model
– K single-antenna users, BS with N antennas, N RF  K RF chains
y  H H x  n  H H Ps  n, H  h1 , h 2 ,, h K    N K
– Saleh-Valenzuela channel model [Ayach’14]
     a  ,
L
0 0 i  i  1 d
hk  k a  k a    e  j 2 m  ,   sin 
i 1
k k
N m  N  
LoS path NLoS paths ULA steering vector
where  : spatial direction and  : physical direction

– Transform the spatial channel into beamspace
 H Ps  n, U  a   , a   ,, a    H ,
y  H H U H Ps  n  H  1 2 N 
Beamspace channel DFT matrix realized by DLA

where  N   l   N  1 / 2, l  0,1,, N  1 ,  n   n   N  1 / 2  / N , n  1, 2,, N

Beamspace channel
 Sparsity
12
60
11
 1 , h 2 ,, h K UH Uh1 , Uh 2 ,, Uh K 

 h  
10
H 50
9
 only has small number of dominant
Beam index
– h
40
7
k 6
elements 30
5
– Approximately sparse
20
3
2
10
1
 Beam selection
2 4 6 8 10 12 14 16
User index
– Select a small number of dominant beams

 H P s  n, H
y  H   l ,:
 H
r r r l
– Pr is the dimension-reduced precoder

– Only a small number of RF chains

Challenges
 1st : Channel estimation
 H should be estimated with only N  K RF chains
– H RF
 H should be fully utilized
– Sparsity of H
We propose a support detection (SD) based channel estimation algorithm
 2nd : Beam selection

– Different users may select the same beam
 Severe interference
 Number of RF chains is uncertain and unfixed
– Near-optimal performance should be achieved with low complexity
We propose an interference-aware (IA) beam selection scheme

Outline of SD-based channel estimation
 Technological process
– Consider TDD system
– All the K users transmit pilots to the BS
– The BS employs analog combining to obtain measurement vectors
– OMP algorithm is utilized to estimate the channel with low overhead
– Channel reciprocity is utilized to obtain the downlink channel matrix

Measurements
 Measurements
– All the K users transmit orthogonal pilots over M  QK time slots
– During the mth time block
 UL UHΨ N HΨ
Y  N , m1, 2,, M , Pilot: Ψ m Ψ mH  Ψ mH Ψ m  I K
m m m m m
– The BS employs a combining matrix Wm of size K  N

 UL  W HΨ
R m  Wm Y    N eff
m m m  Wm N m Z m  R m Ψ mH  Wm H m
 Consider the kth column of the measurement matrix Z m
 z1,k   W1   n1,effk 
z  W   eff 
 2, k   n 2,k  A typical sparse signal
zk    2 
hk   n ,
 Wh
         k k
recovery problem !
     eff 
z
 M ,k   M  W n M ,k 

How to realize the combining matrix?
Beam selection is realized

by switching network
Switching network can not

be used for combing!

Proposed adaptive phase shifter network
We propose to replace switching

network by adaptive phase shifter
network
The bridge to connect hybrid

precoding and beamspace MIMO

Beam selection via phase shifter network
 How to realize beam selection by phase shifter network?
– Based on  opt , turn off some phase shifters (i.e., 0) and set some
phase shifters to shift the phase 0 degree (i.e., 1)
 e j11 e j12  e j1 N 
 j21 
e e j22  e j2 N  Combining matrix (realized
  by phase shifter network) for
   
 jK 1  channel estimation
e e jK 2  e jKN 
e j 0 0  0
  Switching matrix (realized by
0 0  e j0  adaptively reconfiguring the phase
      shifter network) for beam selection
 
0 e j0  0
Channel estimation and beam selection can share the same module
How to design combining matrix
 Observation
 n ,
z k  Wh k k
Performs like the sensing matrix in CS Sparse beamspace channel vector
 Design of combinging matrix W

– i.i.d. Bernoulli random matrix enjoys satisfying estimate performance
 Each element of W belongs to 1 / Q 1, 1 with equal probability
– Realized by phase shifters
 Only 1-bit phase shifters is required, low energy consumption
 Estimate the channel
– Classical compressed sensing algorithms can be used
– Poor performance when SNR is low
More efficient algorithm is required

SD-based channel estimation
 Problem: poor performance at low SNR
 Solution: exploiting asymptotical orthogonality and
structural characteristics of the beamspace channel
 as h   N/L 
L
Proposition 1. Represent the beamspace channel h k k
c ,
i 0 i
where ci  Uci is the ith channel component of h in the beamspace. Then, any
k
two channel components  ci and c j in the beamspace are asymptotically
orthogonal when the number of antennas N in beamspace mmWave massive
MIMO systems tends to infinity, i.e.,
lim ciH c j  0,  i, j  0,1,, L, i  j.

N 
 Insight of Proposition 1
– The total channel estimation problem can be decomposed into a series
of independent sub-problems
 Problem: poor performance at low SNR
 Solution: exploiting asymptotical orthogonality and
structural characteristics of the beamspace channel
Proposition 2. Consider the beamspace channel h  of the kth user. The ratio
k

between the power PV of V strongest elements of h k and the total power PT of the
channel can be lower-bounded by
PV 2 V /21
   2i  1
PT N 2 i 1 
.
sin 2  
 2 N 

Once the position n of the strongest element of h  is determined, other V-1
k
strongest elements will uniformly locate around it.

CS-based channel estimation
1
k Best case
Worst case
1
  
N sin  
 2N 
1
 3 
N sin  
 2N 
1/ N 1/ N 1 / 2N
 Insight of Proposition 2
 can be well-approximated by a sparse vector
– h k
 N  256, V  8, PV / PT  95%
 is determined by n
– The support (positions of nonzero elements) of h k
 at time according to n
We can directly obtain the support of h k

Insight

Existing beam selection method
 Magnitude maximization (MM) beam selection [Sayeed’14]
 with the largest magnitude
– Select V rows (beams) of h k
– The corresponding beam indices set  k = sk , sk ,, sk 

1 2 V
– The selected beams for all K users  =   k

k 1,2,K
 Problem
– Only retain power without considering multi-user interferences
– The number of required RF chains is uncertain and unfixed
Difficult to be realized in
practical system!
[Sayeed’14] A. Sayeed and J. Brady, “Beamspace MIMO for high-dimensional multiuser communication at millimeter-
wave frequencies,” in Proc. IEEE GLOBECOM’13, Dec. 2013, pp. 3679–3684.

Interference-aware (IA) beam selection
 Motivation
– Select the best beam for each user without repeat
– The required number of RF chains is fixed as the number of users
 Stage 1: Identify IUs and NIUs

– Classify all K users into two user groups, i.e., interference-users (IUs)
and noninterference-users (NIUs), according to their strongest beams.
 Stage 2: Search the best unshared beam

– Propose an incremental algorithm to search the appropriate beam for
each IU

Stage 1: Identify IUs and NIUs
 Inspiration

– The strongest beam bk of each user contains most of the total power
– bk will also lead to unobvious multi-user interferences
– Can we directly choose   b1* , b2* ,, bK*  ?
0
Lemma 5. Assume that spatial directions  k for k  1, 2,, K follow the i.i.d.
uniform distribution within  0.5,0.5 . The probability Pr2 that there exist users
sharing the same strongest beam is
N!
Pr 2  1  .
N  N  K !
K
 Definitions

– NIUs: one user k is NIU if its strongest beam bk is different from any
other strongest beams, i.e., bk*  b1* ,, bk*1 , bk*1 ,, bK* 
– IUs: any two users k1 and k2 are IUs if bk*1  bk*2

Stage 2: Search the best unshared beam
 Step 2: Search the optimal beam set Iopt of IUs
– Select the beams for NIUs NIU opt
= bk* | k   NIU 
– Select Card  IU  beams from 1, 2,, N  \ bk* | k   NIU  as IU
– Combine IU and NIUopt
to form the set 
– Based on  , select   K beams of beamspace channel H 
– The dimension-reduced MIMO system
  l ,:  ,
yH  H P s  n, H   H 
r r r l
Dimension-reduced digital precoder
– Search the optimal Iopt by maximizing the achievable sum-rate R

K 
h r ,k p r ,k
H 2
IU  arg max R, R   log 2 1   k ,  k 

opt
 m  k r ,k r ,m
 2
IU
k 1 h H
p   2
– Form the optimal set of selected beams for all K users  opt  IUopt  NIU
opt



Beam index






Simulation setup
 System parameters
– Frequency: 28 GHz
– MIMO configuration: N  K  256  16, N RF  K  16
– Total time slots: M  QK  128 ( Q  8 time slots for per user)
– Select V  3 candidate beams in the first stage of IA beam selection
– Digital beamformer: Zero forcing (ZF)
 Channel parameters
– Channel model: Saleh-Valenzuela model
– Antenna array: ULA at BS, with antenna spacing d   / 2
– Multiple paths: One LoS component and two NLoS components  L  2 
– LoS component
0  1 1
 Amplitude:  k    0,1 Spatial direction: k
0
    , 
 2 2
– NLoS components
 1 1
 Amplitude:  k ~   0,10  Spatial direction: k     ,  1  i  L
i  2 i 
 2 2
NMSE of channel estimation
 Observations
– CS-based channel estimation can achieve satisfying accuracy
– The required number of RF chains is only N RF  16 instead of 256
– The overhead can be reduced by 62.5% (96 instead of 256 time slots)
1
10
Conventional OMP-based channel estimation

Proposed SD-based channel estimation
0
10
 hˆ  h 
2

NMSE (dB)
NMSE= k  k k
2 
 h  2 
 
-1
10
 k 2

-2
10
0 5 10 15 20 25 30
Uplink SNR (dB)
Energy efficiency & sum-rate
 Observations
– IA beam selection can achieve much higher energy efficiency
– IA beam selection with SD-based channel estimation is near-optimal
18 100
Fully digital system Fully digital system

16 Conventional MM beam selection (2 beams per user) 90 IA beam selction with perfect CSI
Proposed IA beam selection (1 beam per user) SD-based channel estimation (uplink SNR = 0 dB)
14
80 OMP-based channel estimation (uplink SNR = 0 dB)
A c h ie v a b le s u m -ra te (b its /s /H z )
SD-based channel estimation (uplink SNR = 10 dB)
E n e rg y e ffic ie n t (b p s /H z /W )
70 OMP-based channel estimation (uplink SNR = 10 dB)

12
SD-based channel estimation (uplink SNR = 20 dB)
60
OMP-based channel estimation (uplink SNR = 20 dB)
10
50
8
40
6
30
4
20
2 10
0 0
8 10 20 30 40 50 60 64 0 5 10 15 20 25 30
Number of users K Downlink SNR (dB)

Conclusions
 We solve two challenging problems in beamspace MIMO
 The proposed CS-based channel estimation scheme may
be the first work to address the challenging channel
estimation problem
 The proposed CS-based channel estimation is realized by
exploiting asymptotical orthogonality and structural
characteristics of the beamspace channel
 We design an adaptive selecting network to adaptively
realize channel estimation and beam selection for
beamspace MIMO systems
 The proposed IA beam selection requires fixed number of
RF chains, and achieves the performance quite close to the
fully digital system
Content
1 5G in The World
4 Future Research
5 Summary

Millimeter-Wave Massive MIMO
 Advantages
– Larger bandwidth: 50MHz → 1GHz
 More users and more traffic
– Larger antenna array: 1~8 → 64~256
 Larger antenna gain to compensate serious path loss
 More data streams to improve spectral efficiency
mmWave
Spectrum expansion Large antenna array Small cell
1000x data rates increase!
Xinyu Gao, Linglong Dai, Shuangfeng Han, Chih-Lin I, and Robert Heath, “Energy-Efficient Hybrid Analog and Digital Precoding for mmWave MIMO
Systems with Large Antenna Arrays”, to appear in IEEE Journal on Selected Areas in Communications, available at: http://arxiv.org/abs/1507.04592

Beamspace Massive MIMO
 Basic idea [Brady’14]
– Transform (realized by lens) into beamspace channel
 Limited scatters → beamspace channel is sparse
– Select beams (realized by switching network) to reduce dimension
– Digital beamformer with small size (realized by RF chains)
 Performance
– Reduce RF chains by hardware
architecture
– Classical beamformers can be
directly employed
– Low computational complexity
A different but promising thought to reduce RF chains

Xinyu Gao, Linglong Dai, Shuangfeng Han, Chih-Lin I, and Zhaocheng Wang, “Channel Estimation and Beam Selection for
Beamspace Millimeter-Wave Massive MIMO Systems,” submitted to IEEE Transactions on Signal Processing.

Massive MIMO with Spatial Modulation
 Spatial Modulation (SM)
– Exploit antenna selection pattern to transmit extra data
– Energy efficient but spectrum inefficient
 Massive SM-MIMO
– Exploit more antennas to increase the spectrum efficiency
– Key challenges: signal detection and channel estimation
Zhen Gao, Linglong Dai, Zhaocheng Wang, Sheng Chen, and Lajos Hanzo, “Compressive Sensing Based Multi-User
Detector for Large-Scale SM-MIMO Uplink,” to appear in IEEE Transactions on Vehicular Technology.

Massive MIMO with 1-Bit ADC
 Performance analysis
‒ MmWave channel model
‒ Different antenna array (ULA, UPA, UCA)
‒ Hardware impairment
‒ Imperfect CSI
 Signal detector
‒ 1-bit detection performance
‒ Design optimization
Jiayi Zhang, Linglong Dai, Shengyang Sun, and Zhaocheng Wang, “On The Spectral Efficiency of Massive MIMO Systems with Low-
Resolution ADCs,” submitted to IEEE Communications Letters.

Extension of Massive MIMO
 Massive MIMO for THz
 Massive MIMO and NOMA
 Massive MIMO for UDN
 Massive MIMO for Energy Harvesting
 Massive MIMO for Wireless Power Transfer
Linglong Dai, Bichai Wang, Yifei Yuan, Shuangfeng Han, Chih-Lin I, and Zhaocheng Wang, “Non-Orthogonal Multiple Access for 5G:
Solutions, Challenges, Opportunities, and Future Research Trends,” IEEE Communications Magazine, vol. 53, no. 9, pp. 74-81, Sep. 2015.

Content
1 Introduction
3 Seven Proposals for Massive MIMO
4 Future Research Plan
5 Summary

Summary
 Massive MIMO is very promising technology for 5G wireless
communications
 Theoretically, massive MIMO can increase the spectrum and
energy efficiency by orders of magnitude
 We have proposed several practical solutions to address
challenging problems to realize massive MIMO
– Performance analysis with practical constraints
– Pilot decontamination based on graph coloring
– Efficient pilot design and channel estimation based on CS
– Low-complexity multi-user detection for uplink massive SM-MIMO
– Energy-efficient SIC-based hybrid precoding
– Beamspace massive MIMO
 Future research directions
– mmWave massive MIMO, massive SM-MIMO, beamspace massive
MIMO
– Massive MIMO for NOMA, UDN, THz, energy harvesting, wireless
power transfer…
Reference and Recent Publications
1. Xinyu Gao, Linglong Dai, Shuangfeng Han, Chih-Lin I, and Robert Heath, “Energy-Efficient Hybrid Analog and
Digital Precoding for mmWave MIMO Systems with Large Antenna Arrays”, to appear in IEEE Journal on Selected
Areas in Communications, 2015. (IF: 4.138)
2. Zhen Gao, Linglong Dai, Zhaocheng Wang, Sheng Chen, and Lajos Hanzo, “Compressive Sensing Based Multi-
User Detector for Uplink Large-Scale SM-MIMO,” to appear in IEEE Transactions on Vehicular Technology,
2015.
3. Xinyu Gao, Linglong Dai, Chau Yuen, and Zhaocheng Wang, “Turbo-Like Beamforming Based on Tabu Search
Algorithm for Millimeter-Wave Massive MIMO Systems,” to appear in IEEE Transactions on Vehicular
Technology, 2015.
4. Wenqian Shen, Linglong Dai, Byonghyo Shim, Shahid Mumtaz, and Zhaocheng Wang, “Joint CSIT Acquisition
Based on Low-Rank Matrix Completion for FDD Massive MIMO Systems,” to appear in IEEE Communications
Letters, 2015.
5. Zhen Gao, Linglong Dai, Zhaocheng Wang, and Sheng Chen, “Spatially Common Sparsity Based Adaptive
Channel Estimation and Feedback for FDD Massive MIMO”, IEEE Transactions on Signal Processing, vol. 63,
no. 23, pp. 6169-6183,. Dec. 2015. (IF: 3.198)
6. Linglong Dai, Xinyu Gao, Xin Su, Shuangfeng Han, Chih-Lin I, and Zhaocheng Wang, “Low-Complexity Soft-
Output Signal Detection Based on Gauss-Seidel Method for Uplink Multi-User Large-Scale MIMO Systems,” IEEE
Transactions on Vehicular Technology, vol. 64, no. 10, pp. 4839-4845, Oct. 2015.
7. Zhen Gao, Linglong Dai, De Mi, Zhaocheng Wang, Muhammad Ali Imran, and Muhammad Zeeshan Shakir,
“MmWave Massive MIMO Based Wireless Backhaul for 5G Ultra-Dense Network,” IEEE Wireless
Communications, vol. 22, no. 5, pp. 13-21, Oct. 2015. (IF: 6.524)

8. Xudong Zhu, Linglong Dai, and Zhaocheng Wang, “Graph Coloring Based Pilot Allocation to Mitigate Pilot
Contamination for Multi-Cell Massive MIMO Systems,” IEEE Communications Letters, vol. 19, no. 10, pp. 1842-
1845, Oct. 2015.
9. Wenqian Shen, Linglong Dai, Xudong Zhu, and Zhaocheng Wang, “Compressive Sensing Based Differential
Channel Feedback for Massive MIMO,” Electronics Letters, vol. 51, no. 22, pp. 1824-1826, Oct. 2015.
10. Zhen Gao, Linglong Dai, Chau Yuen, and Zhaocheng Wang, “Asymptotic Orthogonality Analysis of Time-Domain
Sparse Massive MIMO Channels,” IEEE Communications Letters, vol. 19, no. 10, pp. 1826-1829, Oct. 2015.
11. Linglong Dai, Bichai Wang, Yifei Yuan, Shuangfeng Han, Chih-Lin I, and Zhaocheng Wang, “Non-Orthogonal
Multiple Access for 5G: Solutions, Challenges, Opportunities, and Future Research Trends,” IEEE
Communications Magazine, vol. 53, no. 9, pp. 74-81, Sep. 2015. . (IF: 4.460)
12. Jiayi Zhang, Linglong Dai, Wolfgang H. Gerstacker, and Zhaocheng Wang, “Effective capacity of communication
systems over κ-µ shadowed fading channels,” Electronics Letters, vol. 51, no. 19, pp. 1540-1542, Sep. 2015.
(1.068)
13. Xinyu Gao, Linglong Dai, Yuting Hu, Yu Zhang, and Zhaocheng Wang, “A Low-Complexity Signal Detection
Algorithm for Large-Scale MIMO in Optical Wireless Communications,” IEEE Journal on Selected Areas in
Communications, vol. 33, no. 9, pp. 1903-1912, Sep. 2015. (IF: 4.138)
14. Jiayi Zhang, Linglong Dai, Yanjun Han, Yu Zhang, and Zhaocheng Wang, “On the Ergodic Capacity of MIMO
Free-Space Optical Systems over Turbulence Channels,” IEEE Journal on Selected Areas in Communications,
vol. 33, no. 9, pp. 1925-1934, Sep. 2015. (IF: 4.138)

15. Jiayi Zhang, Linglong Dai, Yu Zhang, and Zhaocheng Wang, “Unified Performance Analysis of Mixed Radio
Frequency/Free-Space Optical Dual-Hop Transmission Systems,” IEEE/OSA Journal of Lightwave Technology,
vol. 33, no. 11, pp. 2286-2293, June 2015.
16. Wenqian Shen, Linglong Dai, Zhen Gao, and Zhaocheng Wang, “Spatially Correlated Channel Estimation Based on
Block Iterative Support Detection for Massive MIMO,” Electronics Letters, vol. 51, no.7, pp. 587-588, Apr. 2015.
17. Xinyu Gao, Linglong Dai, Yongkui Ma, and Zhaocheng Wang, “Low-Complexity Near-Optimal Signal Detection for
Uplink Large-Scale MIMO Systems,” Electronics Letters, vol. 50, no. 18, pp. 1326-1328, Aug. 2014.
18. Zhen Gao, Linglong Dai, Zhaohua Lu, Chau Yuen, and Zhaocheng Wang, “Super-Resolution Sparse MIMO-OFDM
Channel Estimation Based on Spatial and Temporal Correlations,” IEEE Communications Letters, vol. 18, no. 7,
pp. 1266-1269, Jul. 2014.
19. Zhen Gao, Linglong Dai, and Zhaocheng Wang, “Structured Compressive Sensing Based Superimposed Pilot
Design in Downlink Large-Scale MIMO Systems,” Electronics Letters, vol. 50, no. 12, pp. 896-898, Jun. 2014.
20. Linglong Dai, Zhengyuan Xu, and Zhaocheng Wang, “Flexible Multi-Block OFDM Transmission for High-Speed
Fiber-Wireless Networks,” IEEE Journal on Selected Areas in Communications, vol. 31, no. 12, pp. 788-796,
Dec. 2013. (IF: 4.138)
21. Linglong Dai, Jintao Wang, Zhaocheng Wang, Paschalis Tsiaflakis, and Marc Moonen, “Spectrum- and Energy-
Efficient OFDM Based on Simultaneous Multi-Channel Reconstruction,” IEEE Transactions on Signal Processing,
vol. 61, no. 23, pp. 6047-6059, Dec. 2013. (IF: 3.198)
22. Linglong Dai, Zhaocheng Wang, and Zhixing Yang, “Compressive Sensing Based Time Domain Synchronous
OFDM Transmission for Vehicular Communications,” IEEE Journal on Selected Areas in Communications, vol.
31, no. 9, pp. no. 460-469, Sep. 2013. (IF: 4.138)

23. Linglong Dai, Zhaocheng Wang, Jun Wang, and Zhixing Yang, “Joint Time-Frequency Channel Estimation for Time
Domain Synchronous OFDM Systems,” IEEE Transactions on Broadcasting, vol. 59, no. 1, pp. 168-173, Mar. 2013.
24. Linglong Dai, Zhaocheng Wang, and Zhixing Yang, “Spectrally Efficient Time-Frequency Training OFDM for Mobile
Large-Scale MIMO Systems,” IEEE Journal on Selected Areas in Communications, vol. 31, no. 2, pp. 251-263,
Feb. 2013. (IF: 4.138)
25. Linglong Dai, Chao Zhang, Zhengyuan Xu, and Zhaocheng Wang, “Spectrum-Efficient Coherent Optical OFDM for
Transport Networks,” IEEE Journal on Selected Areas in Communications, vol. 31, no. 1, pp. 62-74, Jan. 2013.
(IF: 4.138)
26. Linglong Dai, Zhaocheng Wang, and Zhixing Yang, “Time-Frequency Training OFDM with High Spectral Efficiency
and Reliable Performance in High Speed Environments,” IEEE Journal on Selected Areas in Communications, vol.
30, no. 4, pp. 695-707, May 2012. (IF: 4.138)
27. Linglong Dai, Zhaocheng Wang, and Zhixing Yang, “Next-Generation Digital Television Terrestrial Broadcasting
Systems: Key Technologies and Research Trends,” IEEE Communications Magazine, vol. 50, no. 6, pp. 150-158,
Jun. 2012. (IF: 4.460)
28. Linglong Dai, Zhaocheng Wang, Changyong Pan, and Sheng Chen, “Wireless Positioning Using TDS-OFDM Signals
in Single-Frequency Networks,” IEEE Transactions on Broadcasting, vol. 58, no. 2, pp. 236-246, Jun. 2012.
29. Linglong Dai, Zhaocheng Wang, and Jian Song, “TDS-OFDMA: A Novel Multiple Access System Based on TDS-
OFDM,” IEEE Transactions on Consumer Electronics, vol. 57, no. 4, pp. 1528-1534, Nov. 2011.
30. Linglong Dai, Zhaocheng Wang, and Cheng Shen, “A Novel Uplink Multiple Access Scheme Based on TDS-FDMA,”
IEEE Transactions on Wireless Communications, vol. 10, no. 3, pp. 757-761, Mar. 2011.

MOST (973, 863), NSFC
Jiayi Zhang, Zhen Gao,

Xudong Zhu, Wenqian Shen,
Xinyu Gao

Massive MIMO For 5G - From Theory To Practice - Tsinghua - Linglong Dai

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Massive MIMO for 5G: From

1 5G and Massive MIMO

2 Massive MIMO: Theoretical Performance

3 Massive MIMO: Practical Solutions

Massive MIMO for 5G: From Theory to Practice 2

No. of antennas Interference mitigation

Massive MIMO for 5G: From Theory to Practice 3

Massive MIMO for 5G: From Theory to Practice 4

1 5G and Massive MIMO

2 Massive MIMO: Theoretical Performance

3 Massive MIMO: Practical Solutions

Massive MIMO for 5G: From Theory to Practice 5

No. of antennas Error Probability ( ) Capacity ( ), bps/Hz

 Massive , : significantly increased spectral efficiency

‒ Full rank channel: ⋯ favorable propagation

 If is i.i.d. and ≫ , then we have favorable propagation

Massive MIMO for 5G: From Theory to Practice 7

 Ideal massive MIMO channel has favorable propagation

Massive MIMO for 5G: From Theory to Practice 9

Massive MIMO for 5G: From Theory to Practice 10

Massive MIMO for 5G: From Theory to Practice 11

Massive MIMO for 5G: From Theory to Practice 12

Massive MIMO for 5G: From Theory to Practice 13

2 Massive MIMO: Theoretical Performance

3 Massive MIMO: Practical Solutions

Massive MIMO for 5G: From Theory to Practice 14

 Work 1: Performance Analysis of Massive MIMO with Practical Constraints

Performance Analysis of Massive MIMO

Massive MIMO for 5G: From Theory to Practice 16

Massive MIMO for 5G: From Theory to Practice 17

 However, the hardware cost and circuit power

 Whether massive MIMO systems can provide robustness

Massive MIMO for 5G: From Theory to Practice 19

Massive MIMO for 5G: From Theory to Practice 20

Massive MIMO for 5G: From Theory to Practice 21

Massive MIMO for 5G: From Theory to Practice 22

Achievable Rate [bits/s/Hz]

 Higher K values yield lower K = 0, 10, 100

 The gap decreases as K

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 Utilize ideal hardware at 120

massive MIMO systems 100

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 The sum rate saturates with 9.5

rate degradation when 8

spatial correlation is high 7.5

 the gap decreases as 7

50 100 150 200 250 300 350 400 450 500

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Massive MIMO for 5G: From Theory to Practice 29

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Graph Coloring Based Pilot

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 Uplink SINR limitation

– , denotes the power of uncorrelated interference and noise

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– Total 3 pilots are utilized for 3 cells

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 Exploiting channel properties

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