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Detection and Estimation Algorithms in Massive MIMO Systems

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Signal Detection and Parameter Estimation in
Massive MIMO Systems
Rodrigo C. de Lamare and Raimundo Sampaio-Neto
Centre for Telecommunications Studies (CETUC)
Pontifical Catholic University of Rio de Janeiro, Gávea - 22453-900, Rio de Janeiro, Brazil
Communications Research Group
Department of Electronics, University of York, York Y010 5DD, United Kingdom
Email: delamare@cetuc.puc-rio.br,raimundo@cetuc.puc-rio.br

Abstract— This book chapter reviews signal detection and network architectures, protocols and signal processing. The
parameter estimation techniques for multiuser multiple-antenna network architecture, in particular, will evolve from homo-
wireless systems with a very large number of antennas, known as geneous cellular layouts to heterogeneous architectures that
massive multi-input multi-output (MIMO) systems. We consider
both centralized antenna systems (CAS) and distributed antenna include small cells and the use of coordination between cells
systems (DAS) architectures in which a large number of antenna [9]. Since massive MIMO will be incorporated into mobile
elements are employed and focus on the uplink of a mobile cellular networks in the future, the network architecture will
cellular system. In particular, we focus on receive processing necessitate special attention on how to manage the inter-
techniques that include signal detection and parameter estimation ference created [10] and measurements campaigns will be
problems and discuss the specific needs of massive MIMO
systems. Simulation results illustrate the performance of detection of fundamental importance [11]- [13]. The coordination of
and estimation algorithms under several scenarios of interest. adjacent cells will be necessary due to the current trend
Key problems are discussed and future trends in massive MIMO towards aggressive reuse factors for capacity reasons, which
systems are pointed out. inevitably leads to increased levels of inter-cell interference
Index Terms— massive MIMO, signal detection, parameter and signalling. The need to accommodate multiple users while
estimation, algorithms, keeping the interference at an acceptable level will also require
significant work in scheduling and medium-access protocols.
I. I NTRODUCTION Another important aspect of massive MIMO networks lies
in the signal processing, which must be significantly advanced
Future wireless networks will have to deal with a substantial for 5G. In particular, MIMO signal processing will play a
increase of data transmission due to a number of emerging crucial role in dealing with the impairments of the physical
applications that include machine-to-machine communications medium and in providing cost-effective tools for processing
and video streaming [1]- [4]. This very large amount of data information. Current state-of-the-art in MIMO signal process-
exchange is expected to continue and rise in the next decade ing requires a computational cost for transmit and receive
or so, presenting a very significant challenge to designers of processing that grows as a cubic or super-cubic function of the
fifth-generation (5G) wireless communications systems [4]. number of antennas, which is clearly not scalable with a large
Amongst the main problems are how to make the best use number of antenna elements. We advocate the need for simpler
of the available spectrum and how to increase the energy effi- solutions for both transmit and receive processing tasks, which
ciency in the transmission and reception of each information will require significant research effort in the next years.
unit. 5G communications will have to rely on technologies Novel signal processing strategies will have to be developed
that can offer a major increase in transmission capacity as to deal with the problems associated with massive MIMO
measured in bits/Hz/area but do not require increased spectrum networks like computational complexity and its scalability,
bandwidth or energy consumption. pilot contamination effects, RF impairments, coupling effects,
Multiple-antenna or multi-input multi-output (MIMO) wire- delay and calibration issues.
less communication devices that employ antenna arrays with In this chapter, we focus on signal detection and parameter
a very large number of antenna elements which are known as estimation aspects of massive MIMO systems. We consider
massive MIMO systems have the potential to overcome those both centralized antenna systems (CAS) and distributed an-
challenges and deliver the required data rates, representing a tenna systems (DAS) architectures in which a large number
key enabling technology for 5G [5]- [8]. Among the devices of of antenna elements are employed and focus on the uplink of
massive MIMO networks are user terminals, tablets, machines a mobile cellular system. In particular, we focus on the uplink
and base stations which could be equipped with a number and receive processing techniques that include signal detection
of antenna elements with orders of magnitude higher than and parameter estimation problems and discuss specific needs
current devices. Massive MIMO networks will be structured by of massive MIMO systems. We review the optimal maximum
the following key elements: antennas, electronic components, likelihood detector, nonlinear and linear suboptimal detec-
The work of the authors is funded by the Pontifical Catholic University of tors and discuss potential contributions to the area. We also
Rio de Janeiro and CNPq. describe iterative detection and decoding algorithms, which
exchange soft information in the form of log likelihood ratios [4], which is illustrated in Fig. 1. In such networks, massive
(LLRs) between detectors and channel decoders. Another MIMO will play a key role with the deployment of hundreds of
important area of investigation includes parameter estimation antenna elements at the base station using CAS or using DAS
techniques, which deal with methods to obtain the channel over the cell of interest, coordination between cells and a more
state information, compute the parameters of the receive filters modest number of antenna elements at the user terminals. At
and the hardware mismatch. Simulation results illustrate the the base station, very large antenna arrays could be deployed
performance of detection and estimation algorithms under on the roof or on the façade of buildings. With further
scenarios of interest. Key problems are discussed and future development in the area of compact antennas and techniques to
trends in massive MIMO systems are pointed out. mitigate mutual coupling effects, it is likely that the number of
This chapter is structured as follows. Section II reviews the antenna elements at the user terminals (mobile phones, tables
signal models with CAS and DAS architectures and discusses and other gadgets) might also be significantly increased from
the application scenarios. Section III is dedicated to detec- 1−4 elements in current terminals to 10−20 in future devices.
tion techniques, whereas Section IV is devoted to parameter In these networks, it is preferable to employ time-division-
estimation methods. Section V discusses the results of some duplexing (TDD) mode to perform uplink channel estimation
simulations and Section VI presents some open problems and and obtain downlink CSI by reciprocity for signal processing
suggestions for further work. The conclusions of this chapter at the transmit side. This operation mode will require cost-
are given in Section VII. effective calibration algorithms. Another critical requirement is
the uplink channel estimation, which employs non-orthogonal
II. S IGNAL M ODELS AND A PPLICATION S CENARIOS pilots and, due to the existence of adjacent cells and the
coherence time of the channel, needs to reuse the pilots [63].
In this section, we describe signal models for the uplink of Pilot contamination occurs when CSI at the base station in
multiuser massive MIMO systems in mobile cellular networks. one cell is affected by users from other cells. In particular, the
In particular, we employ a linear algebra approach to describe uplink (or multiple-access channel) will need CSI obtained
the transmission and how the signals are collected at the base by uplink channel estimation, efficient multiuser detection
station or access point. We consider both CAS and DAS and decoding algorithms. The downlink (also known as the
[15], [16] configurations. In the CAS configuration a very broadcast channel) will require CSI obtained by reciprocity
large array is employed at the rooftop or at the façade of a for transmit processing and the development of cost-effective
building or even at the top of a tower. In the DAS scheme, scheduling and precoding algorithms. A key challenge in the
distributed radio heads are deployed over a given geographic scenario of interest is how to deal with a very large number
area associated with a cell and these radio devices are linked of antenna elements and develop cost-effective algorithms,
to a base station equipped with an array through either fibre resulting in excellent performance in terms of the metrics of
optics or dedicated radio links. These models are based on interest, namely, bit error rate (BER), sum-rate and throughput.
the assumption of a narrowband signal transmission over flat In what follows, signal models that can describe CAS and DAS
fading channels which can be easily generalized to broadband schemes will be detailed.
signal transmission with the use of multi-carrier systems.

A. Centralized Antenna System Model


In this subsection, we consider a multiuser massive MIMO
system with CAS using NA antenna elements at the receiver,
which is located at a base station of a cellular network installed
at the rooftop of a building or a tower, as illustrated in Fig. 1.
Base Station Following this description, we consider a multiuser massive
MIMO system with K users that are equipped with NU
antenna elements and communicate with a receiver with NA
antenna elements, where NA ≥ KNU . At each time instant,
Building the K users transmit N[U symbols which are organized ]T into a
NU × 1 vector sk [i] = sk,1 [i], sk,2 [i], . . . , sk,NU [i] taken
Terminal K
from a modulation constellation A = {a1 , a2 , . . . , aN }.
Terminal 1
Small cell
The data vectors sk [i] are then transmitted over flat fad-
Terminal 2 ing channels. The received signal after demodulation, pulse-
matched [ filtering and sampling is]Tcollected in an NA ×1 vector
r[i] = r1 [i], r2 [i], . . . , rNA [i] with sufficient statistics for
estimation and detection as described by

K
Fig. 1. Mobile cellular network with a CAS configuration. r[i] = γk H k sk [i] + n[i]
k=1
(1)
∑K
The scenario we are interested in this work is that of mobile = Gk sk [i] + n[i],
cellular networks beyond LTE-A [2] and 5G communications k=1
where the NA × 1 vector n[i] is a zero mean complex
circular
[ symmetric
] Gaussian noise with covariance matrix
E n[i]nH [i] = σn2 I. The data
[ vectors] sk [i] 2have zero mean
and covariance matrices E sk [i]sHk [i] = σsk I, where σsk
2
k
is the user k transmit signal power. The elements hi,j of the
NA ×NU channel matrices H k are the complex channel gains Distributed Antenna System
Base Station

from the jth transmit antenna of user k to the ith receive


antenna. For a CAS architecture, the channel matrices H k
can be modeled using the Kronecker channel model [14] as
Building
detailed by
1/2 1/2
H k = ΘR H ok ΘT , (2) Terminal K

where H ok has complex channel gains obtained from complex Terminal 1


Small cell
Gaussian random variables with zero mean and unit variance,
Terminal 2
ΘR and ΘT denote the receive and transmit correlation
matrices, respectively. The components of correlation matrices
ΘR and ΘT are of the form
 2 
1 ρ ρ4 . . . ρ(Na −1)
 .. 
 ρ 1 ρ ... .  Fig. 2. Mobile cellular network with a DAS configuration.
 
 . 
ΘR/T =  ρ 4
ρ 1 .. ρ 4  (3)
 
 .. .. .. .. .. 
 . . . . . 
Fig. 2. Following this description, we consider a multiuser
ρ(Na −1)
2
... ρ4 ρ 1 massive MIMO system with K users that are equipped with
where ρ is the correlation index of neighboring antennas and NU antenna elements and communicate with a receiver with
Na is the number of antennas of the transmit or receive array. a DAS architecture with a total of NA = NB + LQ antenna
When ρ = 0 we have an uncorrelated scenario and when elements, where NA ≥ KNU . In our exposition, when the
ρ = 1 we have a fully correlated scenario. The channels number of remote radio heads is set to zero, i.e., L = 0, the
between the different users are assumed uncorrelated due to DAS architecture reduces to the CAS scheme with NA = NB .
their geographical location. At each time instant, the K users transmit NU sym-
The parameters γk represent the large-scale propagation bols which are organized into a NU × 1 vector sk [i] =
[ ]T
effects for user k such as path loss and shadowing which are sk,1 [i], sk,2 [i], . . . , sk,NU [i] taken from a modulation
represented by constellation A = {a1 , a2 , . . . , aN }. The data vectors
γk = αk βk , (4) sk [i] are then transmitted over flat fading channels. The
received signal after demodulation, pulse-matched filtering
where the path loss αk for each user is computed by and sampling is collected in an NA × 1 vector r[i] =
√ [ ]T
Lk r1 [i], r2 [i], . . . , rNA [i] with sufficient statistics for es-
αk = , (5) timation and detection as described by
dτk

K
where Lk is the power path loss of the link associated with r[i] = γ k H k sk [i] + n[i]
user k, dk is the relative distance between the user and the k=1
base station, τ is the path loss exponent chosen between 2 (7)
∑K
and 4 depending on the environment. = Gk sk [i] + n[i],
The log-normal shadowing βk is given by k=1
σk vk
βk = 10 10 , (6) where the NA × 1 vector n[i] is a zero mean complex
circular
[ symmetric
] Gaussian noise with covariance matrix
where σk is the shadowing spread in dB and vk corresponds E n[i]nH [i] = σn2 I. The [data vectors
to a real-valued Gaussian random variable with zero mean ] sk [i]2 have zero mean
and covariance matrices E sk [i]sH [i] = σsk I, where σs2k is
and unit variance. The NA × NU composite channel matrix k
the user k signal power. The elements hi,j of the NA × NU
that includes both large-scale and small-scale fading effects is
channel matrices H k are the complex channel gains from the
denoted as Gk .
jth transmit antenna to the ith receive antenna. Unlike the CAS
architecture, in a DAS setting the channels between remote
B. Distributed Antenna Systems Model radio heads are less likely to suffer from correlation due to
In this subsection, we consider a multiuser massive MIMO the fact that they are geographically separated. However, for
system with a DAS configuration using NB antenna elements the antenna elements located at the base station and at each
at the base station and L remote radio heads each with Q remote radio head, the L + 1 submatrices of H k can be
antenna elements, which are distributed over the cell and modeled using the Kronecker channel model [14] as detailed
linked to the base station via wired links, as illustrated in in the previous subsection. The major difference between CAS
and DAS schemes lies in the large-scale propagation effects. where the KNU × 1 data vector s[i] has the symbols of
Specifically, with DAS the links between the users and the all users stacked and the KNU × NA channel matrix G =
distributed antennas experience in average lower path loss [G1 . . . GK ] contains the channels of all users concatenated.
effects because of the reduced distance between their antennas. The ML detector has a cost that is exponential in the number
This helps to create better wireless links and coverage of the of data streams and the modulation order which is too costly
cell. Therefore, the large-scale propagation effects are modeled for systems with a large number of antennas. Even though
by an NA × NA diagonal matrix given by the ML solution can be alternatively computed using sphere
  decoder (SD) algorithms [19]- [22] that are very efficient for
  MIMO systems with a small number of antennas, the cost
γ k = diag γk,1 . . . γk,1 γk,2 . . . γk,2 . . . γk,L+1 . . . γk,L+1  ,of SD algorithms depends on the noise variance, the number
| {z } | {z } | {z }
NB Q Q of data streams to be detected and the signal constellation,
(8) resulting in high computational costs for low SNR values,
where the parameters γk,j for j = 1, . . . , L + 1 denote the high-order constellations and a large number of data streams.
large-scale propagation effects like shadowing and pathloss The high computational cost of the ML detector and the
from the kth user to the jth radio head. The parameters γk,j SD algorithms in scenarios with large arrays have motivated
for user k and distributed antenna j are described by the development of numerous alternative strategies for MIMO
γk,j = αk,j βk,j , j = 1, . . . , L + 1 (9) detection, which are based on the computation of receive filters
and interference cancellation strategies. The key advantage of
where the path loss αk,j for each user and antenna is computed these approaches with receive filters is that the cost is typically
by √ not dependent on the modulation, the receive filter is computed
Lk,j only once per data packet and performs detection with the
αk,j = , (10) aid of decision thresholds. Algorithms that can compute the
dτk,j
parameters of receive filters with low cost are of central
where Lk,j is the power path loss of the link associated importance to massive MIMO systems. In what follows, we
with user k and the jth radio head, dk,j is the relative will briefly review some relevant suboptimal detectors, which
distance between the user and the radio head, τ is the path include linear and decision-driven strategies.
loss exponent chosen between 2 and 4 depending on the Linear detectors [23] include approaches based on the
environment. The log-normal shadowing βk,j is given by receive matched filter (RMF), zero forcing (ZF) and minimum
σk vk,j
mean-square error (MMSE) designs that are described by
βk,j = 10 10 , (11) ( )
ŝ[i] = Q W H r[i] , (13)
where σk is the shadowing spread in dB and vk,j corresponds
to a real-valued Gaussian random variable with zero mean where the receive filters are
and unit variance. The NA × NU composite channel matrix
W RMF = G, for the RMF, (14)
that includes both large-scale and small-scale fading effects is
denoted as Gk . W MMSE = G(GH G + σs2 /σn2 I)−1 , for the MMSE design,
(15)
III. D ETECTION T ECHNIQUES and
W ZF = G(GH G)−1 , for the ZF design, (16)
In this section, we examine signal detection algorithms
for massive MIMO systems. In particular, we review various and Q(·) represents the slicer used for detection.
detection techniques and also describe iterative detection and Decision-driven detection algorithms such as successive in-
decoding schemes that bring together detection algorithms and terference cancellation (SIC) approaches used in the Vertical-
error control coding. Bell Laboratories Layered Space-Time (VBLAST) systems
[24]- [28] and decision feedback (DF) [29]- [46] detectors
are techniques that can offer attractive trade-offs between
A. Detection Algorithms performance and complexity. Prior work on SIC and DF
In the uplink of the multiuser massive MIMO systems under schemes has been reported with DF detectors with SIC (S-
consideration, the signals or data streams transmitted by the DF) [24]- [28] and DF receivers with parallel interference
users to the receiver overlap and typically result in multiuser cancellation (PIC) (P-DF) [39], [40], [44], combinations of
interference at the receiver. This means that the interfering these schemes and mechanisms to mitigate error propagation
signals cannot be easily demodulated at the receiver unless [43], [46], [47].
there is a method to separate them. In order to separate the SIC detectors [24]- [28] apply linear receive filters to
data streams transmitted by the different users, a designer must the received data followed by subtraction of the interference
resort to detection techniques, which are similar to multiuser and subsequent processing of the remaining users. Ordering
detection methods [17]. algorithms play an important role as they significantly affect
The optimal maximum likelihood (ML) detector is de- the performance of SIC receivers. Amongst the existing criteria
scribed by for ordering are those based on the channel norm, the SINR,
the SNR and on exhaustive search strategies. The perfor-
ŝML [i] = arg min ||r[i] − Gs[i]||2 (12)
s[i]∈A mance of exhaustive search strategies is the best followed by
SINR-based ordering, SNR-based ordering and channel norm- not practical. Therefore, a reduced number of branches S must
based ordering, whereas the computational complexity of an be employed. In terms of computational complexity, the MB-
exhaustive search is by far the highest, followed by SINR- SIC algorithm requires S times the complexity of a standard
based ordering, SNR-based ordering and channel norm-based SIC algorithm. However, it is possible to implement it using
ordering. The data symbol of each user is detected according a multi-branch decision feedback structure [27], [42] that is
to: ( ) equivalent in performance but which only requires a single
ŝk [i] = Q wH
k r k [i] , (17) matrix inversion as opposed to K matrix inversions required
by the standard SIC algorithm and SK matrix inversions
where the successively cancelled received data vector that
required by the MB-SIC algorithm.
follows a chosen ordering in the k-th stage is given by
DF detectors employ feedforward and feedback matrices

k−1 that perform interference cancellation as described by
r k [i] = r[i] − g j ŝj [i], (18) ( )
j=1 ŝ = Q W H r[i] − F H ŝo [i] , (22)
where g j corresponds to the columns of the composite channel where ŝo corresponds to the initial decision vector that is
matrix Gj . After subtracting the detected symbols from the usually performed by the linear section represented by W of
received signal vector, the remaining signal vector is processed the DF receiver (e.g., ŝo = Q(W H r)) prior to the application
either by an MMSE or a ZF receive filter for the data estima- of the feedback section F , which may have a strictly lower
tion of the remaining users. The computational complexity of triangular structure for performing successive cancellation or
the SIC detector based on either the MMSE or the ZF criteria zeros on the main diagonal when performing parallel can-
is similar and requires a cubic cost in NA (O(NA3 )) although cellation. The receive filters W and F can be computed
the performance of MMSE-based receive filters is superior to using various parameter estimation algorithms which will be
that of ZF-based detectors. discussed in the next section. Specifically, the receive filters
A generalization of SIC techniques, the multi-branch suc- can be based on the RMF, ZF and MMSE design criteria.
cessive interference cancellation (MB-SIC) algorithm, em- An often criticized aspect of these sub-optimal schemes is
ploys multiple SIC algorithms in parallel branches. The that they typically do not achieve the full receive-diversity
MB-SIC algorithm relies on different ordering patterns and order of the ML algorithm. This led to the investigation of
produces multiple candidates for detection, approaching the detection strategies such as lattice-reduction (LR) schemes
performance of the ML detector. The ordering of the first [30], [31], QR decomposition, M-algorithm (QRD-M) de-
branch is identical to a standard SIC algorithm and could tectors [33], probabilistic data association (PDA) [34], [35],
be based on the channel norm or the SINR, whereas the multi-branch [42], [45] detectors and likelihood ascent search
remaining branches are ordered by shifted orderings relative techniques [48], [49], which can approach the ML perfor-
to the first branch. In the ℓ-th branch, the MB-SIC detector mance at an acceptable cost for moderate to large systems.
successively detects the symbols given by the vector ŝℓ [i] = The development of cost-effective detection algorithms for
[ŝℓ,1 [i], ŝℓ,2 [i], . . . , ŝℓ,K [i]]T . The term ŝℓ [i] represents the massive MIMO systems is a challenging topic that calls for
K × 1 ordered estimated symbol vector, which is detected new approaches and ideas in this important research area.
according to the ordering pattern Tℓ , ℓ = 1, . . . , S for the
ℓ-th branch. The interference cancellation performed on the B. Iterative Detection and Decoding Techniques
received vector r[i] is described by:
Iterative detection and decoding (IDD) techniques have

k−1
received considerable attention in the last years following
r ℓ,k [i] = r[i] − g ℓ,j ŝℓ,j [i] (19) the discovery of Turbo codes [50] and the application of
j=1 the Turbo principle to interference mitigation [29], [50]–[58].
where the transformed channel column g is obtained by g ℓ = More recently, work on IDD schemes has been extended to
T ℓ g, the term g ′k represents the k-th column of the ordered low-density parity-check codes (LDPC) [54] and [57] and their
channel G′ and ŝℓ,k denotes the estimated symbol for each extensions which compete with Turbo codes. The goal of an
data stream obtained by the MB-SIC algorithm. IDD system is to combine an efficient soft-input soft-output
At the end of each branch we can transform ŝℓ [i] back to (SISO) detection algorithm and a SISO decoding technique
the original order s̃ℓ [i] by using T ℓ as s̃ℓ [i] = T Tℓ ŝℓ [i]. At the as illustrated in Fig. 3. Specifically, the detector produces
end of the MB-SIC structure, the algorithm selects the branch log-likelihood ratios (LLRs) associated with the encoded bits
with the minimum Euclidean distance according to and these LLRs serve as input to the decoder. Then, in the
second phase of the detection/decoding iteration, the decoder
ℓopt = arg min C(ℓ) (20) generates a posteriori probabilities (APPs) after a number
1≤ℓ≤S
of (inner) decoding iterations for encoded bits of each data
where C(ℓ) = ||r[i] − T ℓ Gs̃ℓ [i]|| is the Euclidean distance stream. These APPs are fed to the detector to help in the next
for the ℓ-th branch. The final detected symbol vector is iterations between the detector and the decoder, which are
called outer iterations. The joint process of detection/decoding
ŝj [i] = Q(wH
ℓopt ,j r ℓopt ,j [i]), j = 1, . . . , KNU . (21)
is then repeated in an iterative manner until the maximum
The MB-SIC algorithm can bring a close-to-optimal perfor- number of (inner and outer) iterations is reached. In mobile
mance, however, the exhaustive search of S = K! branches is cellular networks, a designer can employ convolutional, Turbo
P [r[i]|b j,c[i]=+1]
or LDPC codes in IDD schemes for interference mitigation. log P [r[i]|bj,c [i]=−1] represents the extrinsic information com-
LDPC codes exhibit some advantages over Turbo codes that puted by the SISO detector based on the received data r[i],
include simpler decoding and implementation issues. However, and the prior information about the code bits λp2 [bj,c [i]], j =
LDPC codes often require a higher number of decoding 1, . . . , KNU , c = 1, . . . , C and the ith data symbol. The
iterations which translate into delays or increased complexity. extrinsic information λ1 [bj,c [i]] is obtained from the detector
The development of IDD schemes and decoding algorithms and the prior information provided by the MAP decoder, which
that perform message passing with reduced delays are of is de-interleaved and fed back into the MAP decoder of the
fundamental importance in massive MIMO systems because jth data/user stream as the a priori information in the next
they will be able to cope with audio and 3D video which are iteration.
delay sensitive.
For the MAP decoding, we assume that the interference plus
r[i] λ1 [bj,c ] Λ2 [bj,c ] noise at the output z j [i] of the receive filters is Gaussian. This
Joint Detector
assumption has been reported in previous works and provides
Decoder
an efficient and accurate way of computing the extrinsic
information. Thus, for the jth stream/user and the qth iteration
the soft output of the detector is
λ2 [bj,c ]
(q) (q) (q)
zj [i] = Vj sj [i] + ξj [i], (25)
Iterative
Processing (q)
where Vj [i] is a scalar variable equivalent to the magnitude
(q)
of the channel corresponding to the jth data stream and ξj [i]
2
Fig. 3. Block diagram of an IDD scheme. is a Gaussian random variable with variance σ (q) [i]. Since we
ξj
have [ (q)[i] ]
= E s∗j [i]zj
(q)
Vj (26)
The massive MIMO systems described at the beginning of
this chapter are considered here with convolutional codes and and [ (q) ]
(q)
an iterative receiver structure consists of the following stages: σξ2(q) = E |zj [i] − Vj [i]sj [i]|2 , (27)
j
A soft-input-soft-output (SISO) detector and a maximum a
posteriori (MAP) decoder. Extensions to other channel codes (q)
the receiver can obtain the estimates V̂j and σ̂ 2(q) via cor-
ξj
are straightforward. These stages are separated by interleavers
responding sample averages over the received symbols. These
and deinterleavers. The soft outputs from the detector are used
estimates are used to compute the a posteriori probabilities
to estimate LLRs which are interleaved and serve as input (q)
P [bj,c [i] = ±1|zj,l [i]] which are de-interleaved and used as
to the MAP decoder for the convolutional code. The MAP
input to the MAP decoder. In what follows, it is assumed
decoder [52] computes a posteriori probabilities (APPs) for
that the MAP decoder generates APPs P [bj,c [i] = ±1], which
each stream’s encoded symbols, which are used to generate
are used to compute the input to the receiver. From (25)
soft estimates. These soft estimates are subsequently used to
the extrinsic information generated by the iterative receiver
update the receive filters of the detector, de-interleaved and
is given by
fed back through the feedback filter. The detector computes
(q)
the a posteriori log-likelihood ratio (LLR) of a symbol (+1 P [zj |bj,c [i] = +1]
or −1) for every code bit of each data stream in a packet with λ1 [bj,c ][i] = log (q)
, i = 1, . . . , P,
P symbols as given by P [zj |bj,c [i] = −1]
∑ ( |z(q) −V (q) S|2 )
P [bj,c [i] = +1|r[i]] exp − j 2σ2 j (28)
Λ1 [bj,c [i]] = log , (q)
P [bj,c [i] = −1|r[i]] (23) S∈S+1
c ξ
j
= log
∑ ( (q)
|zj −Vj S|2
(q) ),
j = 1, . . . , KNU , c = 1, . . . , C, exp − 2σ 2(q)
S∈S−1 ξ
where C is the number of bits used to map the constellation. c j

−1
Using Bayes’ rule, the above equation can be written as where S+1c and Sc are the sets of all possible constellations
P [r|bj,c [i] = +1] P [bj,c [i] = +1] that a symbol can take on such that the cth bit is 1 and −1,
Λ1 [bj,c [i]] = log + log respectively. Based on the trellis structure of the code, the
P [r[i]|bj,c [i] = −1] P [bj,c [i] = −1]
MAP decoder processing the jth data stream computes the a
= λ1 [bj,c [i]] + λp2 [bj,c [i]], posteriori LLR of each coded bit as described by
(24)
P [bj,c [i] = +1|λp1 [bj,c [i]; decoding]
λp2 [bj,c [i]]
P [bj,c [i]=+1] Λ2 [bj,c [i]] = log
where = log P [bj,c
is the a priori LLR of
[i]=−1] P [bj,c [i] = −1|λp1 [bj,c [i]; decoding]
the code bit bj,c [i], which is computed by the MAP decoder (29)
= λ2 [bj,c [i]] + λp1 [bj,c [i]],
processing the jth data/user stream in the previous iteration,
for j = 1, . . . , KNU , c = 1, . . . , C.
interleaved and then fed back to the detector. The superscript
p
denotes the quantity obtained in the previous iteration. The computational burden can be significantly reduced using
Assuming equally likely bits, we have λp2 [bj,c [i]] = 0 in the the max-log approximation. From the above, it can be seen
first iteration for all streams/users. The quantity λ1 [bj,c [i]] = that the output of the MAP decoder is the sum of the prior
information λp1 [bj,c [i]] and the extrinsic information λ2 [bj,c [i]] A. TDD operation
produced by the MAP decoder. This extrinsic information One of the key problems in modern wireless systems is the
is the information about the coded bit bj,c [i] obtained from acquisition of CSI in a timely way. In time-varying channels,
the selected prior information about the other coded bits TDD offers the most suitable alternative to obtain CSI because
λp1 [bj,c [i]], j ̸= k. The MAP decoder also computes the a the training requirements in a TDD system are independent of
posteriori LLR of every information bit, which is used to the number of antennas at the base station (or access point) [6],
make a decision on the decoded bit at the last iteration. After [63], [64] and there is no need for CSI feedback. In particular,
interleaving, the extrinsic information obtained by the MAP TDD systems rely on reciprocity by which the uplink channel
decoder λ2 [bj,c [i]] for j = 1, . . . KNU , c = 1, . . . , C is fed estimate is used as an estimate of the downlink channel.
back to the detector, as prior information about the coded bits An issue in this operation mode is the difference in the
of all streams in the subsequent iteration. For the first iteration, transfer characteristics of the amplifiers and the filters in the
λ1 [bj,c [i]] and λ2 [bj,c [i]] are statistically independent and as two directions. This can be addressed through measurements
the iterations are computed they become more correlated and and appropriate calibration [65]. In contrast, in a frequency
the improvement due to each iteration is gradually reduced. division duplexing (FDD) system the training requirements
It is well known in the field of IDD schemes that there is no is proportional to the number of antennas and CSI feedback
performance gain when using more than 5 − 8 iterations. is essential. For this reason, massive MIMO systems will
The choice of channel coding scheme is fundamental for most likely operate in TDD mode and will require further
the performance of iterative joint detection schemes. More investigation in calibration methods.
sophisticated schemes than convolutional codes such as Turbo
or LDPC codes can be considered in IDD schemes for the
B. Pilot contamination
mitigation of multi-beam and other sources of interference.
LDPC codes exhibit some advantages over Turbo codes that The adoption of TDD mode and uplink training in massive
include simpler decoding and implementation issues. However, MIMO systems with multiple cells results in a phenomenon
LDPC codes often require a higher number of decoding called pilot contamination. In multi-cell scenarios, it is difficult
iterations which translate into delays or increased complexity. to employ orthogonal pilot sequences because the duration of
The development of IDD schemes and decoding algorithms the pilot sequences depends on the number of cells and this
that perform message passing with reduced delays [60]–[62] duration is severely limited by the channel coherence time due
are of great importance in massive MIMO systems. to mobility. Therefore, non-orthogonal pilot sequences must be
employed and this affects the CSI employed at the transmitter.
Specifically, the channel estimate is contaminated by a linear
IV. PARAMETER E STIMATION T ECHNIQUES combination of channels of other users that share the same
pilot [63], [64]. Consequently, the detectors, precoders and
Amongst the key problems in the uplink of multiuser resource allocation algorithms will be highly affected by
massive MIMO systems are the estimation of parameters such the contaminated CSI. Strategies to control or mitigate pilot
as channels gains and receive filter coefficients of each user as contamination and its effects are very important for massive
described by the signal models in Section II. The parameter MIMO networks.
estimation task usually relies on pilot (or training) sequences,
the structure of the data for blind estimation and signal C. Estimation of Channel Parameters
processing algorithms. In multiuser massive MIMO networks, Let us now consider channel estimation techniques for mul-
non-orthogonal training sequences are likely to be used in most tiuser Massive MIMO systems and employ the signal models
application scenarios and the estimation algorithms must be of Section II. The channel estimation problem corresponds to
able to provide the most accurate estimates and to track the solving the following least-squares (LS) optimization problem:
variations due to mobility within a reduced training period.
Standard MIMO linear MMSE and least-squares (LS) channel ∑
i
Ĝ[i] = arg min λi−l ||r[l] − G[i]s[l]||2 , (30)
estimation algorithms [67] can be used for obtaining CSI. G[i]
l=1
However, the cost associated with these algorithms is often
cubic in the number of antenna elements at the receiver, where the NA × KNU matrix G = [G1 . . . GK ] contains
i.e., NA in the uplink. Moreover, in scenarios with mobility the channel parameters of the K users, the KNU × 1 vector
the receiver will need to employ adaptive algorithms [66] contains the symbols of the K users stacked and λ is a
which can track the channel variations. Interestingly, massive forgetting factor chosen between 0 and 1. In particular, it is
MIMO systems may have an excess of degrees of freedom that common to use known pilot symbols s[i] in the beginning of
translates into a reduced-rank structure to perform parameter the transmission for estimation of the channels and the other
estimation. This is an excellent opportunity that massive receive parameters. This problem can be solved by computing
MIMO offers to apply reduced-rank algorithms [72]- [82] and the gradient terms of (30), equating them to a zero matrix and
further develop these techniques. In this section, we review manipulating the terms which yields the LS estimate
several parameter estimation algorithms and discuss several Ĝ[i] = Q[i]R−1 [i], (31)
aspects that are specific for massive MIMO systems such as ∑i
TDD operation, pilot contamination and the need for scalable where Q[i] = l=1 λ r[l]s [l] is a NA × KN U matrix
i−l H

estimation algorithms. with estimates of cross-correlations between the pilots and


∑i
the received data r[i] and R[i] = l=1 λi−l s[i]sH [i] is an where the NA × 1 vector wk contains the parameters of the
estimate of the auto-correlation matrix of the pilots. When receive filters for the kth data stream, the symbol sk [i] contains
the channel is static over the duration of the transmission, it the symbols of the kth data stream. Similarly to channel
is common to set the forgetting factor λ to one. In contrast, estimation, it is common to use known pilot symbols sk [i] in
when the channel is time-varying one needs to set λ to a value the beginning of the transmission for estimation of the receiver
that corresponds to the coherence time of the channel in order filters. This problem can be solved by computing the gradient
to track the channel variations. terms of (37), equating them to a null vector and manipulating
The LS estimate of the channel can also be computed recur- the terms which yields the LS estimate
sively by using the matrix inversion lemma [66], [67], which
wk,o [i] = R−1 r [i]pk [i], (38)
yields the recursive LS (RLS) channel estimation algorithm
∑i i−l
[27] described by where Rr [i] = l=1 λ r[i]r H [i] is the auto-correlation
∑i
λ−2 P [i − 1]s[i]sH [i]P [i − 1] matrix of the received data and pk [i] = l=1 λi−l r[l]sH k [l]
P [i] = λ−1 P [i − 1] − s[i], is a NA × 1 vector with cross-correlations between the pilots
1 + λ−1 sH [i]P [i − 1]
(32) and the received data r[i]. When the channel is static over
T [i] = λT [i − 1] + r[i]sH [i], (33) the duration of the transmission, it is common to set the
forgetting factor λ to one. Conversely, when the channel is
Ĝ[i] = T [i]P [i], (34) time-varying one needs to set λ to a value that corresponds to
where the computational complexity of the RLS channel esti- the coherence time of the channel in order to track the channel
mation algorithm is NA (KNU )2 +4(KNU )2 +2NA (KNU )+ variations. In these situations, a designer can also compute
2KNU + 2 multiplications and NA (KNU )2 + 4(KNU )2 − the parameters recursively, thereby taking advantage of the
KNU additions [27]. previously computed LS estimates and leading to the RLS
algorithm [66] given by
An alternative to using LS-based algorithms is to em-
ploy least-mean square (LMS) techniques [68], which can λ−1 P [i − 1]r[i]
k[i] = , (39)
reduce the computational cost. Consider the mean-square error 1 + λ−1 r H [i]P [i − 1]r[i]
(MSE)-based optimization problem:
P [i] = λ−1 P [i − 1] − λ−1 k[i]r H [i]P [i − 1], (40)
Ĝ[i] = arg min E||r[i] − G[i]s[i]|| ], 2
(35)
G[i] wk [i] = wk [i − 1] − k[i]e∗k,a [i], (41)
where E[·] stands for expected value. This problem can be where ek,a [i] = sk [i]−wHk [i−1]r[i] is the a priori error signal
solved by computing the instantaneous gradient terms of (35), for the kth data stream. Several other variants of the RLS algo-
using a gradient descent rule and manipulating the terms which rithm could be used to compute the parameters of the receive
results in the LMS channel estimation algorithm given by filters [69]. The computational cost of this RLS algorithm
Ĝ[i + 1] = Ĝ[i] + µe[i]sH [i], (36) for all data streams corresponds to KNU (3NA2 + 4NA + 1)
multiplications and KNU (3NA2 + 2NA − 1) + 2NA KNU
where the error vector signal is e[i] = r[i] − Ĝ[i]s[i] and the additions
step size µ should be chosen between 0 and 2/tr[R] [66].
The cost of the LMS channel estimation algorithm in this A reduced complexity alternative to the RLS algorithms is to
scheme is NA (KNU )2 + NA (KNU ) + KNU multiplications employ the LMS algorithm to estimate the parameters of the
and NA (KNU )2 +NA KNU +NA −KNU additions. The LMS receive filters. Consider the mean-square error (MSE)-based
approach has a cost that is one order of magnitude lower than optimization problem:
the RLS but the performance in terms of training speed is wk,o [i] = arg min E[|sk [i] − wH 2
k [i]r[i]| ], (42)
worse. The channel estimates obtained can be used in the ML wk [i]

rule for ML detectors and SD algorithms, and also to design Similarly to the case of channel estimation, this problem can
the receive filters of ZF and MMSE type detectors outlined in be solved by computing the instantaneous gradient terms of
the previous section. (42), using a gradient descent rule and manipulating the terms
which results in the LMS estimation algorithm given by

D. Estimation of Receive Filter Parameters ŵk [i + 1] = ŵk [i] + µe∗k [i]r[i], (43)

An alternative to channel estimation techniques is the direct where the error signal for the kth data stream is ek [i] = sk [i]−
computation of the receive filters using LS techniques or adap- wHk [i]r[i] and the step size µ should be chosen between 0 and
tive algorithms. In this subsection, we consider the estimation 2/tr[R] [66]. The cost of the LMS estimation algorithm in
of the receive filters for multiuser Massive MIMO systems and this scheme is KNU (NA + 1) multiplications and KNU NA
employ again the signal models of Section II. The receive filter additions.
estimation problem corresponds to solving the LS optimization In parameter estimation problems with a large number of
problem described by parameters such as those found in massive MIMO systems,

i an effective technique is to employ reduced-rank algorithms
wk,o [i] = arg min λi−l |sk [l] − wH 2 which perform dimensionality reduction followed by parame-
k [i]r[l]| , (37)
wk [i] ter estimation with a reduced number of parameters. Consider
l=1
the mean-square error (MSE)-based optimization problem: In the first example, we compare the BER performance
[ ] H H 2against the SNR of several detection algorithms, namely, the
w̄k,o [i], T D,k,o [i] = arg min E[|sk [i]−w̄k [i]T D,k [i]r[i]| ],
w̄k [i],T D,k RMF with multiple users and with a single user denoted
(44) as single user bound, the linear MMSE detector [17], the
where T D,k [i] is an NA × D matrix that performs dimen- SIC-MMSE detector using a successive interference cancella-
sionality reduction and w̄k [i] is a D × 1 parameter vector. tion [26] and the multi-branch SIC-MMSE (MB-SIC-MMSE)
Given T D,k [i], a generic reduced-rank RLS algorithm [82] detector [27], [42], [45]. We assume perfect channel state
with D-dimensional quantities can be obtained from (39)-(41) information and synchronization. In particular, a scenario
by substituting the NA ×1 received vector r[i] by the reduced- with NA = 64 antenna elements at the receiver, K = 32
dimension D × 1 vector r̄[i] = T H D,k [i]r[i]. users and NU = 2 antenna elements at the user devices is
A central design problem is how to compute the dimen- considered, which corresponds to a scenario without an excess
sionality reduction matrix T D,k [i] and several techniques have of degrees of freedom with NA ≈ KNU . The results shown
been considered in the literature, namely: in Fig. 4 indicate that the RMF with a single user has the
• Principal components (PC): T D,k [i] = ϕD [i], where
best performance, followed by the MB-SIC-MMSE, the SIC-
ϕD [i] corresponds to a unitary matrix whose columns MMSE, the linear MMSE and the RMF detectors. Unlike
are the D eigenvectors corresponding to the D largest previous works [6] that advocate the use of the RMF, it is clear
eigenvectors of an estimate of the covariance matrix R̂[i]. that the BER performance loss experienced by the RMF should
• Krylov subspace techniques: T D,k [i] = be avoided and more advanced receivers should be considered.
D−1 tk [i] However, the cost of linear and SIC receivers is dictated by
[tk [i]R̂[i]tk [i] . . . R̂ [i]tk [i], where tk [i] = ||p [i]|| ,
k the matrix inversion of NA × NA matrices which must be
for k = 1, 2, . . . , D correspond to the bases of the reduced for large systems. Moreover, it is clear that a DAS
Krylov subspace [70]- [74]. configuration is able to offer a superior BER performance due
• Joint iterative optimization methods: T D,k [i] is estimated
to a reduction of the average distance from the users to the
along with w̄k [i] using an alternating optimization strat- receive antennas and a reduced correlation amongst the set of
egy and adaptive algorithms [75]- [83]. Na receive antennas, resulting in improved links.
NA = 64, NB = 32, L = 32, Q = 1, K = 32, NU = 2 users
V. S IMULATION R ESULTS 0
10

In this section, we illustrate some of the techniques outlined


in this article using massive MIMO configurations, namely, −1
10
a very large antenna array, an excess of degrees of freedom
provided by the array and a large number of users with mul- −2
10
tiple antennas. We consider QPSK modulation, data packets
BER

of 1500 symbols and channels that are fixed during each data
packet and that are modeled by complex Gaussian random −3
10
SU−Bound
CAS−RMF
variables with zero mean and variance equal to unity. For CAS−Linear−MMSE
CAS−SIC−MMSE
coded systems and iterative detection and decoding, a non- −4 CAS−MB−SIC−MMSE
10
recursive convolutional code with rate R = 1/2, constraint DAS−RMF
DAS−Linear−MMSE
length 3, generator polynomial g = [7 5]oct and 4 decoding DAS−SIC−MMSE
DAS−MB−SIC−MMSE
iterations is adopted. The numerical results are averaged over
0 5 10 15 20 25
106 runs . For the CAS configuration, we employ Lk = SNR (dB)
0.7, τ = 2, the distance dk to the BS is obtained from a
uniform discrete random variable between 0.1 and 0.95 , the
shadowing spread is σk = 3 dB and the transmit and receive Fig. 4. BER performance against SNR of detection algorithms in a scenario
with NA = 64, NB = 32, L = 32, Q = 1, K = 32 users and NU = 2
correlation coefficients are equal to ρ = 0.2. The signal-to- antenna elements.
noise ratio (SNR) in dB per receive antenna is given by SNR =
KNU σ 2
10 log10 RC σs2r , where σs2r = σs2 E[|γk |2 ] is the variance of In the second example, we consider the coded BER perfor-
the received symbols, σn2 is the noise variance, R < 1 is the mance against the SNR of several detection algorithms with a
rate of the channel code and C is the number of bits used to DAS configuration using perfect channel state information, as
represent the constellation. For the DAS configuration, we use illustrated in Fig. 5. The results show that the BER is much
Lk,j taken from a uniform random variable between 0.7 and 1, lower than that obtained for an uncoded systems as indicated
τ = 2, the distance dk,j for each link to an antenna is obtained in Fig. 4. Specifically, the MB-SIC-MMSE algorithm obtains
from a uniform discrete random variable between 0.1 and 0.5 the best performance followed by the SIC-MMSE, the linear
, the shadowing spread is σk,j = 3 dB and the transmit and MMSE and the RMF techniques. Techniques like the MB-
receive correlation coefficients for the antennas that are co- SIC-MMSE and SIC-MMSE are more promising for systems
located are equal to ρ = 0.2. The signal-to-noise ratio (SNR) with a large number of antennas and users as they can operate
in dB per receive antenna for the DAS configuration is given with lower SNR values and are therefore more energy efficient.
KNU σ 2
by SNR = 10 log10 RC σs2r , where σs2r = σs2 E[|γk,j |2 ] is the Interestingly, the RMF can offer a BER performance that is
variance of the received symbols. acceptable when operating with a high SNR that is not energy
NA = 64, NB = 32, L = 32, Q = 1, K = 32, NU = 2 users
efficient and has the advantage that it does not require a 0
10
matrix inversion. If a designer chooses stronger channel codes
like Turbo and LDPC techniques, this choice might allow the
operation of the system at lower SNR values. −1
10

NA = 64, NB = 32, L = 32, Q = 1, K = 32, NU = 2 users


0
10
DAS−RMF

BER
−2
DAS−Linear−MMSE 10
−1 DAS−SIC−MMSE
10
DAS−MB−SIC−MMSE

−2 −3
10 10
DAS−RMF
DAS−Linear−MMSE
BER

−3
10 DAS−SIC−MMSE
DAS−MB−SIC−MMSE
−4
10
−4 0 5 10 15 20 25
10 SNR (dB)

−5
10
Fig. 6. BER performance against SNR of detection algorithms in a scenario
−6
with channel estimation, NA = 64, NB = 32, L = 32, Q = 1, K = 32
10 users and NU = 2 antenna elements. Parameters: λ = 0.999 and µ = 0.05.
0 5 10 15 20 25
SNR (dB) The solid lines correspond to perfect channel state information, the dashed
lines correspond to channel estimation with the RLS algorithm and the dotted
lines correspond to channel estimation with the LMS algorithm.
Fig. 5. Coded BER performance against SNR of detection algorithms with
DAS in a scenario with NA = 64, NB = 32, L = 32, Q = 1, K = 32
users, NU = 2 antenna elements and 4 iterations.
converge to the MMSE bound and the reduced-rank algorithms
might converge to the MMSE bound or to higher MSE values
In the third example, we assess the estimation algorithms depending on the structure of the covariance matrix R and the
when applied to the analyzed detectors. In particular, we choice of the rank D.
compare the BER performance against the SNR of several
SNR = 15 dB, NA = 64, NB = 32, L = 32, Q = 1, K = 32, NU = 2 users
detection algorithms with a DAS configuration using perfect 0
10
channel state information and estimated channels with the RLS SIC−RLS
SIC−Krylov−RLS
and the LMS algorithms. The channels are estimated with 250 SIC−JIO−RLS
pilot symbols which are sent at the beginning of packets with SIC−JIDF−RLS
1500 symbols. The results shown in Fig. 6 indicate that the −1
10
performance loss caused by the use of the estimated channels
is not significant as it remains within 1-2 dB for the same BER
BER

performance. The main problems of the use of the standard


RLS and LMS is that they require a reasonably large number −2
10
of pilot symbols to obtain accurate estimates of the channels,
resulting in reduced transmission efficiency.
In the fourth example, we evaluate the more sophisticated
reduced-rank estimation algorithms to reduce the number of
−3
pilot symbols for the training of the receiver filters. In partic- 10
0 100 200 300 400 500
ular, we compare the BER performance against the number Received symbols

of received symbols for a SIC type receiver using a DAS


configuration and the standard RLS [66], the Krylov-RLS [?]
Fig. 7. BER performance against the number of received symbols for SIC
and JIO-RLS [82] and the JIDF-RLS [80] algorithms. We receivers with a DAS architecture operating at SNR = 15 dB in a scenario with
provide the algorithms pilots for the adjustment of the receive the estimation of the receive filters, NA = 64, NB = 32, L = 32, Q = 1,
filters and assess the BER convergence performance. The K = 32 users and NU = 2 antenna elements. Parameters: λ = 0.999,
D = 5 for all reduced-rank methods, and interpolators with I = 3 parameters
results shown in Fig. 7 illustrate that the performance of the and 12 branches for the JIDF scheme.
reduced-rank algorithms is significantly better than the stan-
dard RLS algorithm, indicating that the use of reduced-rank
algorithms can reduce the need for pilot symbols. Specifically,
the best performance is obtained by the JIDF-RLS algorithm, VI. F UTURE T RENDS AND E MERGING T OPICS
followed by the JIO-RLS, the Krylov-RLS and the standard In this section, we discuss some future signal detection
RLS techniques. In particular, the reduced-rank algorithms and estimation trends in the area of massive MIMO systems
can obtain a performance comparable to the standard RLS and point out some topics that might attract the interest of
algorithm with a fraction of the number of pilot symbols researchers. The topics are structured as:
required by the RLS algorithm. It should be remarked that • Signal detection:
for larger training periods the standard RLS algorithm will
→ Cost-effective detection algorithms: Techiques to R EFERENCES
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