ISSSTA2004, Sydney, Australia, 30 Aug. - 2 Sep. 2004

Joint DOA Estimation And Multi-User Detection For WCDMA Using DELSA  



Raja D. Balakrishnan, Bagawan S. Nugroho, Hyuck M. Kwon, Seung H. Min and Dong H. Kang. Correspondent: Hyuck M. Kwon. Email: [email protected] 



Abstract— We propose an algorithm to jointly perform the azimuthal direction-of-arrival (DOA) estimation and multi-user detection (MUD), of signals that impinge an array of antennas. We treat DOA estimation and MUD as an inverse problem of finding specific sets of parameters, and the corresponding . We reformulate viz., this nonlinear estimation problem into a highly underdetermined linear system. We solve the resulting least squares problem by employing the well-known conjugate gradients (CG) iterations on the normal equations (NE). From the solution, we recover the DOA and detect the desired user’s information, thereby achieving joint DOA estimation and multi-user detection. Simulation results for a typical 3GPP WCDMA [6], demonstrates the robustness of our algorithm in the regimes of low signal-to-noise ratios (SNRs), fast fading and closely spaced interferences. 















I. I NTRODUCTION The estimation of direction-of-arrival (DOA) of the signals impinging an array of antennas has been a topic of interest for numerous military and commerical applications. With the advent of third generation mobile communication, the need for DOA estimation has considerably risen, especially in down-link beamforming. We observe that the arrival angle in conjunction with the transmitted data, uniquely identifies a desired user. The task of recognizing a desired user is much easier in CDMA systems where a user-specific pseudo noise (PN) code is employed. We propose a new method which treats the DOA estimation and the detection of desired user’s information as a mathematical inverse problem of and , finding specific sets of parameters, viz., which can explain the received signal based on a reasonable physical model. We reformulate this nonlinear













estimation problem into a highly underdetermined linear system that exploits the spatial structure of the antenna array. We employ the well-known conjugate gradients (CG) iterations on the resulting normal equations (NE) to obtain a least squares solution. We recover the DOA and the information of the desired user from this least squares solution. Unlike the other existing methods, see [2] and [1], our algorithm requires only one symbol for DOA estimation while a hard/soft decision on the least squares solution yields the desired user’s transmitted information in that symbol. Simulation results confirm the validity of our approach and exhibits the robustness of the algorithm in the regimes of low SNR and closely spaced interferences. We proceed to Section II, where we present a brief discussion of the system model and our approach to solve the problem. We then formally summarize our approach in the form of an algorithm in Section III. This section includes a two-part algorithm of DOA estimation and MUD. In Section IV we briefly explain the 3GPP specification and discuss the implementation of DELSA for it. Simulation results of Section V demonstrate the ability of our algorithm in various scenarios of interest. Finally we draw some conclusions in Section V. II. I NVERSE P ROBLEM













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————————– This research was, in part, supported by Samsung Electronics Ltd. Dept. of Electrical and Computer Engineering, Wichita State University, Wichita KS 67260-0044. Samsung Electronics Ltd.

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Note that we suppress the dependency on time . In essence, the solution of (4) is computed for an instant of time, which is one of the greatest advantages of our approach over the existing algorithms found in [2] and [3]. We observe that (4) is a higly underdetermined system and . It is evident that (4) has as either no solution or infinitely many solutions. Instead we solve the least squares problem 

 





and . The superscript denotes with the transpose of a matrix. We note that represents the information transmitted user. Typically the vector of additive noise by the is assumed to have a complex gaussian distribution. We refer the reader to [2] and [3] for a thorough overview of techniques that are used to estimate the DOA of the signals based on the above system model. We now present our approach, called DELSA an acronym for DOA Estimation using iterative Least Squares Approach. We consider the integral equation 





























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and are defined in (2) and (1), respecwhere tively, and the integral is computed over the parameter . For clarity of presentation we assume that the angle of to . This is the case in arrival extends from most practical applications; other situations require only minimal modifications. We discretize the integral in (3) by a uniform spatial sampling with a resolution of . We note that one can adopt a non-uniform sampling also and that the choice of sampling and resolution is left to the discretion of the engineer. Equation (3) thus gives rise to 

































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where denotes conjugate-transpose of a matrix. We note that the solution of (7) yields the minimum norm solution of the least squares problem (6). A direct solution of (7) involves matrix inversion which is numerically expensive and inaccurate when the right hand side is contaminated by noise. On the other hand, iterative methods, such as the conjugate gradients (CG) algorithm, are numerically stable and inexpensive, accurate and possesses regularization properties. We refer the reader to [13] for a comprehensive treatment of CG algorithm. We now apply the CG algorithm to solve the normal equations (7), since it has well-known regularization properties. Denoting the solution of (7) as , we define a spatial gain function as 6



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2) Obtain ’s, corresponding to the ’s found in step 4 of DOA estimation; 3) For QPSK data, employ hard/soft decision on both , which correthe real and imaginary parts of sponds to the transmitted information. 







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with denoting complex conjuwhere gation. We observed that the peaks of (9) correspond to the correDOA of the signals and that the solution sponding to the peaks reflect the transmitted information. We leave the detailed theoritical analysis for further study, while we validate our reasoning through numerical results of Section V.

































III. A LGORITHM DOA estimation We present a formal summary of DELSA algorithm: 1) Collect the data from the antenna array and form ; 2) Set up the array response matrix , as in (5) and solve the system of normal equations (7) using CGNE; as in (9); 3) Evaluate the spatial gain and the corresponding 4) Locate the peaks of ’s using a suitable threshold. Multi-User Detection (MUD) We now present a MUD scheme based on DELSA: 1) Using the normal equations (7) compute the solution ; 

































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We consider a 3GPP WCDMA uplink (UL) model including the transport layer and physical layer for implementation. We employ UL reference measurement kbps. We refer the reader channel with a data rate of to [6] for descriptions and terminologies. The DPDCH data is spread by an orthogonal variable whose length depends spreading factor (OVSF) code in our case. On the other on the spreading factor (SF), hand the DPCCH data is spread with another OVSF code of length . The spread data is then weighted in and , respectively. These weighted amplitude by spread DPDCH and DPCCH data form the in-phase (I) and quadrature-phase (Q) component of the complex data at the output of the combiner. We observe that this and complex data is spread using the long code pulse shaped by a root-raised-cosine (RRC) filter, before transmission using a carrier of frequency . Cross-combiner We introduce a new cross-combining technique to employ DELSA in both DPDCH and DPCCH channels. We refer down-conversion, matched filtering, sampling and long-code despreading as initial processing. After initial processing, we spread the real and imaginary parts and . of the signal separately, by OVSF codes After accumulation over the period of the OVSF code, we then combine the likely branches in quadrature, hence isolating the DPDCH and DPCCH channels.





























































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Directional gain compensator We consider a practical 3-sector uniform linear array (ULA) of 8 elements with a directional gain pattern as in Fig 3. We note that the DOAs cannot be estimated accurately without compensating the ULA’s directional gain pattern. We propose a method to compensate the directional gain pattern of the ULA. We introduce a map such that (16) 



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with is taken in to where the orthogonality of account. We recover the bit level transmitted information by this new technique. We also note that the DOA which appears as the argument of the exponential is preserved. Our simulation results confirm the validity of this technique. Fading compensator We observed during our simulations that DELSA performs well even in a severe fading environment. Whereas the MUD performance of DELSA suffered a serious setback as the phase-axis rotation caused by fading was not compensated. To enhance the MUD performance of DELSA, we propose a new technique to compensate the phase-axis rotation that occurs during fading. From (12) we have the equivalent in fading channel,







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We first present symbol level DPDCH DOA estimation results. Figures 4, and 5 demonstrate the ability of DELSA to estimate the DOAs for every symbol in a given frame. In all these cases the desired user is assumed to contribute two equal strength paths with chip-energy-to-noise-density ratio, , of dB. We also set eight interferences in total arriving from different angles with signal-to-interference ratio (SIR) of dB for every interferer. In other words, for . Here the desired user is assumed to arrive from and , respectively, while the interferences arrive from and , respectively. We also assumed that the interferences have non zero correlation with the desired user. This simulation, possibly represents one of the worst case scenario in practice. We note that even when the interferences are closely spaced, DELSA was able to accurately estimate the desired user’s DOA using only one symbol per estimation. DELSA for DPCCH channel We adopt the same simulation parameters in this case study as well, with the SNR of desired user and the SIR of every interferer remaining the same. Also the DOAs of desired user’s paths and that of interferences are also retained the same value. We observe that the difference in data rates has an effect only on the DPDCH channel and not on the DPCCH channel where the spreading . factor, SF, is always set at Figure 6 illustrates the performance of DELSA using the DPCCH channel. Again, we notice that DELSA is very consistent, robust and is accurate even in harsh environments. We now present a scenario of interest in wireless mobile communications, the multipath propagation. Figure 7 depicts the performance of DELSA when three paths of the desired user arrive at and with average relative power of dB and for all the paths and relative delays of nano seconds (ns), respectively. The user is assumed to move at a speed of 3 kmph. The interferences are assumed to arrive from and with dB for all the interferences. SIR Notice that one of the interferences arrives from the exact same angle as that of the desired user’s path. DELSA performs remarkably well even in this scenario, even though the number of hits for certain angles are reduced. We account this effect to the extent correlation between the paths within a symbol time as the three paths may add destructively. Here we consider another multipath scenario where in ;



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is defined in (5). The real-symmetric matrix where represents the mutual coupling between the antenna elements and consequently, the inverse of which reduces the coupling effects. We now define the weight compensator as , where given by (17). The received signal, subjected to the ULA’s directional gain effect, is then multiplied with the weight compensator before applying the DELSA algorithm. The compensated input to DELSA is then given as 

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V. S IMULATION R ESULTS We now illustrate the performance of DELSA for DPDCH and DPCCH channels and the effectiveness of the implementational schemes discussed in Section IV. In all the cases we consider a ULA of 8 elements with prescribed antenna pattern. We employ histograms as a measure of consistency of the DOA estimation, as peak position is more important in the spatial spectrum than the peak value itself. We use an automatic peak finder with a high threshold of 0.9 and identify the peak in the spatial spectrum. We use this peak position to compute the histograms depicted in the following figures. In all these estimations, we use only one symbol per DOA estimation. We compare a popular DOA estimation algorithm MUSIC with DELSA in all our simulations. a priori for We provide the number of users to be MUSIC to perform while DELSA does not require any such information. DELSA for DPDCH Channel



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addition to the assumptions of multipath, case 1, another path of the desired user is assumed to arrive from . Unlike the previous scenario, here the user moves at a speed of 120 kmph, with the relative delay of the and ns and relative power at paths at and , respectively and that the SIR is set at 0 dB here. All other parameters remain unaltered for this case study. Figure 8 explains the performance of DELSA in this scenario. Unfortunately DELSA fails to detect the DOA of the two weaker paths while it does locate the first path with greater accuracy. Multi-user Detection using DELSA We now demonstrate the capability of DELSA to detect the desired user’s transmitted information while simultaneously estimating his DOA. This excellent capacity of DELSA is possible as we use an inverse problem approach for detection. BER results Figure 12 show the MUD capability of DELSA under AWGN and Jakes’ fading environments. The theoretical BER values, denoted by , represent the performance of a single antenna system under AWGN channel with no interference, no power control and no error correction code applied and that the user is assumed to employ a binary phase shift keying (BPSK) signalling scheme. Whereas the other two BER curves, denoted by and , represent the performance of DELSA under an AWGN and a fading environment, with vehicular speed of kmph. We note that DPDCH channel employs data modulation (see [6]) kbps DPDCH channel with a and we consider a spreading factor of . The DOA of desired user was assumed to be while that of the interferences were set at and and assumed to transmit random data with random pseudo noise (PN) sequences and that we receive only one path from the desired user. Note that an interference is assumed to arrive from the same angle as that of the desired user. DELSA is remarkably resilient even though the interference is assumed to have a non-zero correlation with the desired user. We also set the other interfering user’s bit-energyat dB, while that of the to-noise-density ratio to dB for simulations. desired user is varied from We employ a soft-decision Viterbi decoder to decode the convolutionally encoded data bits of code rate and of dB or higher. observed bit errors for 





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mathematical inverse problem based approach. We successfully reformulated the nonlinear problem of estimation into a highly underdetermined linear system. Rather than attempting a direct solution, we employ the well-known conjugate gradients (CG) iterations on the resulting normal equations (NE) to obtain a least squares solution. With the use of this solution we developed an algorithm, DELSA, that estimates the DOA while a subsequent extension of it performs MUD by detecting the information transmitted by the user. We demonstrated the effectiveness of both the schemes through simulations for a typical WCDMA system [6], which exhibited the robustness of the algorithms in the regimes of high noise and high interferences.















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VI. C ONCLUSIONS We proposed a new method to jointly estimate the DOA and perform multi-user detection (MUD), by the

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[1] S. Verdu, “Optimum multi-user signal detection”, Ph. D. dissertation, Dep. Elec. Comput. Eng., Univ. Illinois, UrbanaChampaign, Cooridnated Sci. Lab., Urbana, IL, Rep. T-151, Aug. 1984. [2] H. Krim and M. Viberg, “Two Decades of Array Signal Processing and Research”, IEEE Signal Processing Mag., pp 67-94, July 1996. [3] L. C. Godara, “Application of Antenna Arrays to Mobile Communications, Part II: Beam-Forming and Direction-of-Arrival Considerations”, Proc. of the IEEE, vol. 85, no. 8, pp 1195-1245, August 1997. [4] R. D. Balakrishnan, B. F. Bunck, T. Hrycak and H. M. Kwon, “DOA Estimation by iterative Least Squares Approach – DELSA”, submitted to IEEE Trans. Signal Processsing. [5] R. D. Balakrishnan, B. S. Nugroho, H. M. Kwon, S . H. Min and D. S. Kang, “Joint DOA Estimation and Multi-User Detection using DELSA”, in review EURASIP JWCN. [6] Third Generation Partnership Project, “Physical Channel and Mapping of Transport Channel onto Physical Channel (FDD)”, TS 25.211-215, vol.3.6.0, March 2001. [7] G. H. Golub and C. F. Van Loan, Matrix Computations, 2nd ed. Baltimore: Johns Hopkins, 1989. [8] A. Bj¨orck, Numerical methods for least squares problems, Philadelphia: SIAM 1996. [9] Y. Saad, Iterative Methods for Sparse Linear Systems, Boston: PWS Publishing 1996. [10] L. N. Trefethen and D. Bau III, Numerical Linear Algebra, Philadelphia: SIAM 1997. [11] J. W. Demmel, Applied Numerical Linear Algebra, Philadelphia: SIAM 1997. [12] P. C. Hansen, Rank-Deficient and Discrete Ill-Posed Problems, Philadelphia, SIAM 1998. [13] D. S. Watkins, Fundamentals of Matrix Computations, 2nd ed. New York: Wiley Inter-Science 2002.

Joint DOA Estimation and Multi-User Detection for ...

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