6554 IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 69, NO.
6, JUNE 2020
Adaptive Perturbation-Aided Opportunistic Hybrid
Beamforming for mmWave Systems
Thuan Van Le and Kyungchun Lee , Senior Member, IEEE
Abstract—In this paper, we propose an adaptive perturbation-
aided opportunistic hybrid beamforming (AP-OHBF) scheme for
temporally correlated millimeter wave (mmWave) channels. The
basic idea is that the proposed scheme perturbs the channel pa-
rameters to track the channels of the scheduled mobile stations
(MSs), whose channels are in favorable conditions, based on only
the signal-to-interference-plus-noise ratio (SINR) information of
MSs. Specifically, in each time slot, the proposed scheme makes
random perturbations to the “best” known channel parameters in
the memory, which corresponds to the maximum sum scheduling
metric. Then the base station (BS) constructs the channel estimates
from these parameters, which are subsequently used to generate
the precoders. For data transmission, the BS adopts the success-
ful perturbation, which achieves performance improvements. By
contrast, if a perturbation results in performance degradation, it is
discarded, whereas the precoders corresponding to the best-known
parameters in the memory are instead used for transmission. Sim-
ulation results show that in mmWave channels, the proposed AP-
OHBF scheme significantly improves the system throughput with
respect to the conventional opportunistic beamforming schemes for
the same amount of feedback information.
Index Terms—mmWave channel, opportunistic beamforming,
hybrid beamforming, adaptive perturbation.
I. INTRODUCTION
ILLIMETER wave (mmWave) communication is widely
M considered to be one of the most promising develop-
ments in the evolution of next-generation cellular communica-
tion systems [2]–[6]. The general consensus is that it will be
necessary to design and construct large antenna arrays in order
to achieve high data rates given the large path loss of mmWave
channels. Specifically, for the enhancement of link quality,
beamforming is performed at the base station (BS) in downlink.
Manuscript received June 17, 2019; revised November 28, 2019 and January
21, 2020; accepted April 6, 2020. Date of publication April 22, 2020; date of
current version June 18, 2020. This work was supported in part by Basic Science
Research Program through the National Research Foundation of Korea (NRF)
funded by the Ministry of Education (NRF-2019R1A6A1A03032119) and in
part by Basic Science Research Program through the NRF funded by the Ministry
of Education (NRF-2016R1D1A1B03933122). This article was presented in part
in the IEEE Wireless Communications and Networking Conference, 2020. The
review of this article was coordinated by Dr. L. Dai. (Corresponding author:
Kyungchun Lee.)
Thuan Van Le is with the Department of Electrical and Information Engineer-
ing, Seoul National University of Science and Technology, Seoul 01811, South
Korea (e-mail: vanthuan.le@seoultech.ac.kr).
Kyungchun Lee is with the Department of Electrical and Information En-
gineering and the Research Center for Electrical and Information Technology,
Seoul National University of Science and Technology, Seoul 01811, South Korea
(e-mail: kclee@seoultech.ac.kr).
Digital Object Identifier 10.1109/TVT.2020.2987110
0018-9545 © 2020 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
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Conventional fully digital beamforming, however, employs a
single radio frequency (RF) chain per antenna element, and
therefore requires excessively large cost and power consumption
in large antenna arrays.
To address these challenges, hybrid beamforming, which
consists of two beamforming stages–viz. baseband and RF
beamforming–has been developed [4], [7]–[11]. In [4], the
hybrid precoding/combining design based on the orthogonal
matching pursuit (OMP) algorithm [12] for single-user mmWave
systems was proposed. By employing the precoders/combiners
of this scheme, the performance of the mmWave systems be-
comes tightly close to that of the fully digital design. For multi-
user mmWave systems, the precoding scheme for multiplex
multiple streams was studied in [7], [8]. In [7], a two-stage
low complexity hybrid RF/baseband precoding algorithm was
proposed with the assumption of a limited feedback channel
between the BS and each mobile station (MS). In the first
stage of this algorithm, the BS and each MS select the best
RF precoding and combining vectors to maximize the desired
signal power while ignoring interference among MSs. In the
second stage, each MS quantizes its effective channel, which
is obtained after applying precoding/combining according to
a codebook, and feeds the codebook index of the quantized
channel back to the BS with a limited number of bits. Then,
the BS determines its zero-forcing baseband precoder for the
effective channels. In [8], to perform hybrid precoding with a
low computational complexity, a modified version of the OMP
algorithm was proposed. Specifically, similar to [4], the base-
band precoders at each MS are independently derived based on
the dominant channel paths, which allows the RF precoders to be
jointly designed to minimize the sum mean-squared error (MSE)
of all streams. Codebook-based hybrid precoding schemes for
mmWave systems were proposed in [7], [9]–[11], [13]. However,
in [9]–[11], only single-stream multiple-user or multiple-stream
single-user scenarios were considered. In the multiple-stream
multiple-user scenario, the information of effective channels is
typically required at the BS to mitigate interference among MSs
even in codebook-based precoding schemes [7], [13].
In hybrid beamforming as well as in digital beamforming, full
channel state information (CSI) is typically required for beam-
forming; however, for large antenna arrays, it can be problematic
to obtain full CSI at the transmitter owing to huge training
overhead and low signal-to-noise ratio (SNR) before beamform-
ing [7]. To resolve this problem, the opportunistic beamforming
scheme in [14] can be employed, where the precoder is randomly
 VAN LE AND LEE: ADAPTIVE PERTURBATION-AIDED OPPORTUNISTIC HYBRID BEAMFORMING FOR MMWAVE SYSTEMS
generated and each MS only feeds back its received signal-
to-interference-plus-noise ratio (SINR) information. However,
this beamforming scheme has not been well investigated in
the case of hybrid beamforming architecture. Furthermore, it
typically achieves much worse performance compared to full
CSI-based beamforming schemes when the number of MSs is
not sufficiently large. These aspects motivate the development of
a limited CSI-based hybrid beamforming scheme that requires
the same amount of feedback overhead as the opportunistic
beamforming scheme while improving the system throughput
for mmWave communication systems.
Previous studies, which include [15]–[17], have focused on
user scheduling to exploit the multi-user diversity gain for
mmWave systems. However, in [15], [16], the full CSI at the
BS is assumed. Unlike these previous studies, we assume that
only SINR information is available at the BS for opportunistic
beamforming. In [17], the performance of random beamforming
in sparse mmWave channels under greedy user scheduling is
evaluated using the knowledge of the received signal power for
all streams instead of full CSI. However, it was not primarily
designed for hybrid beamforming architecture, and they only
considered the MS with a single receive antenna.
In this paper, we propose a novel hybrid beamforming algo-
rithm, called adaptive perturbation-aided opportunistic hybrid
beamforming (AP-OHBF), for mmWave systems. The main
contributions of the paper can be summarized as follows:
r Developing novel hybrid beamforming schemes for mul-
tiple spatial streams, which perturb the parameters of
channel estimates in order to track the channels of the
scheduled MSs that are in favorable conditions. The pro-
posed schemes require only the SINR information from the
MSs, while significantly improving the system throughput
compared to the conventional opportunistic beamforming
schemes.
r Developing a novel user scheduling strategy, called
memory-based greedy user scheduling, to enhance the
multi-user diversity gain of the proposed AP-OHBF
scheme. The proposed scheduling algorithm aims at max-
imizing the sum proportional fair metric (PF-metric) [18]
of the scheduled MSs. To achieve this goal, the PF-metric
calculation is performed based on not only the current data
rates but also those stored in the memory.
In each time slot of the proposed AP-OHBF scheme, the
estimated channel parameters, precoders, and corresponding
data rates are stored in the memory. Furthermore, in each time
slot, random perturbations are applied to the “best” channel
parameters in the memory, which corresponds to the maximum
sum PF-metric. For data transmission, if the perturbation applied
to the channel parameter in a time slot is successful–that is, if
it results in performance improvement–then the corresponding
precoder is adopted. By contrast, a failed perturbation is dis-
carded, and the precoder corresponding to the “best” channel
parameters in the memory is instead used for data transmission.
Unlike the works in [14], [19]–[23], we apply random per-
turbations to the “best” channel parameters in the memory
rather than directly adding perturbations to the precoders or
randomly generating precoders. Furthermore, compared to the
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6555
work in [24], where digital beamforming in slow Rayleigh
fading channels is considered, the proposed AP-OHBF scheme
is developed for hybrid beamforming in mmWave channels.
The rest of the paper is organized as follows. In Section II, the
system and channel models for mmWave systems are described.
Section III reviews the related works for precoding design. The
proposed hybrid beamforming schemes for the multiple-stream
scenario are presented in Section IV. Simulation results are
shown in Section V, and the paper is concluded in Section VI.
Notations: Scalars a, vectors a, and matrices A are rep-
resented by lower-case, bold-face lower-case, and bold-face
upper-case letters, respectively. ai represents the ith element of
a. [A, B] denotes horizontal concatenation. diag(A) is a vector
formed by the diagonal elements of A. [A]i,j denotes the ith row
and jth column entry of A, whereas A(n) is the nth column of
A. (·)T and (·)H denote the transpose and conjugate transpose
operators, respectively. | · | denotes the magnitude of a scalar,
 · F represents the Frobenius norm operation. Furthermore,
E[·] denotes statistical expectation, whereas Cx×y , Rx×y , and
Nx×y represent the space of x × y complex, real, and natural
matrices, respectively. Finally, IN indicates an (N × N ) identity
matrix.
II. SYSTEM MODEL
A. Multi-User MIMO System
We consider the downlink of a multi-user mmWave system,
as shown in Fig. 1. A BS, which is equipped with NT transmit
antennas and NRF RF chains, and transmits Ns (≤NRF ) streams
to K MSs. Each MS is equipped with NR receive antennas.
We assume a full-connected hybrid beamforming architecture,
where each RF chain is connected to all NT transmit antennas.
We also assume each MS communicates with the BS via only
a single stream. Therefore, the maximum number of MSs that
can be simultaneously served by the BS equals the number of
RF chains at the BS, and each MS competes with the other MSs
for the channel resources.
In the data transmission, the BS employs an NRF × Ns base-
band precoder FBB = [fBB,1 , fBB,2 , . . . , fBB,Ns ], where fBB,i ∈
CNRF ×1 is the baseband precoding vector for stream i. Follow-
ing the baseband precoding, the RF precoding is performed
with an NT × NRF RF precoder FRF . Let F = FRF FBB =
[f1 , f2 , . . . , fNs ] denote the combined precoder, where fi =
FRF fBB,i is the combined precoding vector for stream i. Then
the transmitted signal can be expressed as

Ns
x= fi si = Fs, (1)
i=1
where s = [s1 , s2 , . . . , sNs ]T is the Ns × 1 vector of transmitted
symbols, which satisfy E[si sj ] = 0, i = j and E[|si |2 ] = 1.
In narrow-band block-fading channels, the received signal of
MS k can be expressed as

Ns
rk = Hk x + zk = Hk fi si + Hk fj s j + zk , (2)
j=i
 6556 IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 69, NO. 6, JUNE 2020

Fig. 1. A system model of a multi-user hybrid beamforming architecture.

where Hk ∈ CNR ×NT denotes the mmWave channel matrix be- B. Temporally Correlated mmWave Channel Model
tween the BS and MS k, and zk is the complex Gaussian noise To capture the poor scattering property of the mmWave en-
with zero mean and variance σ 2 , i.e., zk ∼ CN (0, σ 2 ). vironment, which is caused by large scale path loss, we adopt
In this study, we only consider an RF combiner at the MS a Saleh-Valenzuela geometric channel model, as in [2], [4], [7].
to reduce hardware cost and power consumption at the receiver Then the channel matrix Hk between the BS and MS k at the
side. Let wk denote the RF combiner of MS k, which is used to time slot t can be expressed as [4], [7]1
generate the combined received signal

NT NR 
L

Ns Hk [t] = αk,l [t]aMS (ϕk,l [t]) aH
BS (φk,l [t]) , (6)
yk = wkH Hk fi si + wkH Hk fj sj + wkH zk . (3) L
l=1
j=i
where L is the number of propagation paths that are observed
It is noted that analog phase shifters are used for RF precoders by each MS, αk,l is the complex path gain of the lth path,
{φk,l , ϕk,l } ∈ [0, 2π] are the angles of departure and arrival
and combiners. Hence, all entries √ in FRF and wk have√constant
modulus, i.e., |[FRF ]m,n | = 1/ NT and |wk,n | = 1/ NR . We (AoD/AoA) of the lth path, respectively. Furthermore, aBS (φk,l )
assume that the phase of each entry in FRF and wk is quan- and aMS (ϕk,l ) are the antenna array response vectors for the
tized to Q bits, thereby yielding [FRF ]m,n = √N 1
ejψm,n and AoD/AoA of the BS and MS k, respectively. It is noted that
 T
2(2Q −1)π  aBS (φk,l ) depends on the transmit antenna array structure. By
wk,n = √N 1
ejωn , where ψm,n , ωn ∈ 0, 22π Q,..., 2Q
. assuming a uniform linear array (ULA), aBS (φk,l ) can be written
R
Let FRF and WRF denote the sets of feasible RF precoders in the form
and combiners, i.e., the sets of NT × NRF matrices and NR × 1
1 
1, ej λ d sin(φk,l ) , . . . ,
2π
vectors with constant modulus entries and quantized phases, aBS (φk,l ) = √
respectively. The average total transmit power constraint is NT

satisfied by normalizing FBB such that FRF FBB 2F = Ns .
ej(NT −1) λ d sin(φk,l ) ,
2π
(7)
For the received signal in (2), the SINR at MS k for stream i
becomes where λ is the signal wavelength, and d is the minimum distance
 2 between antenna elements. The array response vector at the MS,
 H (i) 
wk Hk FRF fBB  aMS (ϕk,l ), can be written in the same manner as aBS (φk,l ).
SIN Rk,i =   2 . (4)
Ns  H (j)  2 2 In the temporally correlated channel model, we randomly
j=i wk H F f
k RF BB  + w k  σ generate αk,l [0] ∼ CN (0, 1), {φk,l [0], ϕk,l [0]} ∼ U (0, 2π),
k = 1, 2, . . . , K, l = 1, 2, . . . , L, for the initial time slot.
Then the achievable data-rate of MS k for stream i is given Then we construct α k [0] = [αk,1 [0], αk,2 [0], . . . , αk,L [0]]T ,
by φ k [0] = [φk,1 [0], φk,2 [0], . . . , φk,L [0]], and ϕ k [0] =
[ϕk,1 [0], ϕk,2 [0], . . . , ϕk,L [0]]. Subsequently, for the given
Rk,i = log2 (1 + SIN Rk,i ). (5) transmit antenna array structure, the channel Hk at the initial
time slot can be fully determined by α k [0], φ k [0], and ϕ k [0].
As previously mentioned, we assume that the BS serves Ns MSs Based on the channel model in [25], [26], the evolution of Hk
out of K MSs through Ns streams. Let g be the vector consisting
of the indices of Ns selected MSs, where gi represents the index
of the MS assigned to sstream i. Then the sum rate of the system 1 In the other parts of the paper, time slot index t is omitted for brevity unless
becomes Rsum = N i=1 Rgi ,i . needed for clarity.

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 VAN LE AND LEE: ADAPTIVE PERTURBATION-AIDED OPPORTUNISTIC HYBRID BEAMFORMING FOR MMWAVE SYSTEMS 6557

Algorithm 1: Spatially Sparse Precoding via OMP. Algorithm 2: Hybrid MMSE Precoding via OMP.
Input: Fopt , ABS Input: Ĥ, ABS
Output: FRF , FBB Output: FRF , FBB
1: FRF = Empty matrix 1: FRF = Empty matrix
2: Fres = Fopt 2: Vres = INs
3: for i ≤ NRF do 3: for i ≤ NRF do
4: Φ = AH BS Fres Φ = AH BS Ĥ Vres
H
4:
5: l∗ = arg maxl=1,...,KL (Φ ΦΦ H )l,l 5: ∗
l = arg maxl=1,...,KL (Φ ΦΦ H )l,l
(l∗ ) (l∗ )
6: FRF = [FRF , ABS ] 6: FRF = [FRF , ABS ]
−1 H
7: FBB = (FH RF FRF ) FRF Fopt VBB = (FH −1 H
RF Ĥ ĤFRF + σ FRF FRF ) FRF Ĥ
H 2 H H
7:
8: Ftemp = Fopt − FRF FBB 8: INs −FRF VBB
Vres = IN −FRF VBB F
Ftemp
9: Fres = Ftemp F 9: end for
s

10: end for FRF VBB 2F

√ 10: γ =
11: Normalize FBB = Ns FRFFFBBBB F
Ns

11: Normalize FBB = 1/γVBB

from time slot t to t + 1 proceeds as follows:

B. Hybrid MMSE Precoding
α k [t + 1] = ρααk [t] + 1 − ρ2 Δα αk [t],
φ k [t + 1] = φ k [t] + Δφ
φk [t],
ϕ k [t + 1] = ϕ k [t] + Δϕ
ϕk [t],
where Δα αk [t] ∈ CL×1 is a path gain variation vector consisting
of zero-mean unit-variance complex Gaussian random variables,
and ρ = J0 (2πfD T ) is the time correlation coefficient in Jake’s
model [27]. Here J0 (·) is the zeroth Bessel function of the first
kind, and fD and T denote the maximum Doppler frequency
and the duration of each time slot, respectively. Furthermore,
In [8], a new hybrid minimum MSE (MMSE) precoding
scheme was proposed, which allows for jointly designing the RF
(8) and baseband precoders for all MSs. Rather than approximating
a full digital precoder by hybrid precoders as in Algorithm 1, this
scheme makes the received signal ŷ = [ŷ1 , ŷ2 , . . . , ŷNs ], which
is obtained by applying an equalizer to the baseband signal at the
MS, as close to the transmitted signal y as possible. Specifically,
the MMSE hybrid precoding scheme designs precoders that will
minimize the sum-MSE of all streams, i.e., E[y − ŷ2 ].
Denote Ĥ = [h1 , . . . , hK ]H , where hH
k = wk Hk is the ef-
H

{Δφk,l [t], Δϕk,l [t]} ∼ N (0, σu2 ), the lth elements of Δφ φk [t]
and Δϕϕk [t] ∈ RL×1 , respectively, represent the angle variations.
III. REVIEW OF HYBRID PRECODING ALGORITHMS FOR
MMWAVE SYSTEMS
fective channel between the BS and MS k, and wk is the selected
RF combiner such that the channel gain wkH Hk  is maximized.
The algorithm to find the MMSE precoders is summarized in
Algorithm 2.

In this section, we review the related works for the hybrid
precoding algorithms. These algorithms are used to generate the
precoders for the perturbed channels in the proposed scheme.
A. Spatially Sparse Precoding (SS Precoding)
In [4], by exploiting the sparse-scattering structure of
mmWave channels, hybrid precoding is formulated as a prob-
lem of sparse signal reconstruction with multiple measurement
vectors. Given Fopt , the optimal unconstrained precoder [4], the
RF and baseband precoders are designed such that
{Fopt opt
RF , FBB } = arg min Fopt − FRF FBB F
FRF ,FBB
s.t. FRF ∈ FRF ,
FRF FBB 2F = Ns .
Here we restrict FRF to the set of array response vec-
tors, i.e., the columns of ABS = {aBS (φ1,1 ), . . . , aBS (φ1,L ),
aBS (φ2,1 ), . . . , aBS (φK,L )}.
The SS precoding algorithm for the solution of (9) is summa-
rized in Algorithm 1.
IV. AP-OHBF
In this section, we describe the proposed hybrid beamforming
scheme for multiple spatial streams. The main idea is to track the
channels of the scheduled MSs and generate the corresponding
precoders based on random perturbations and the SINR infor-
mation that is fed back from MSs. Similar to [24], the channel
parameters, corresponding precoders and data rates for up to M
recent time slots are stored in a memory block with size M .
We consider two phases for each time slot. In the first phase,
the proposed algorithm generates the RF and baseband precoders
by using Algorithm 1 or 2, based on the mmWave channel
created by the updated channel parameters. By utilizing the
precoders, the BS transmits pilot signals to all MSs. Each MS in-
dependently determines its RF combiner to receive pilot signals,
(9) measures its received SINRs, and feeds them back to the BS. In
the second phase, upon receiving the SINR information from
MSs, the BS adopts the perturbations to the channel parameters
if they yield a higher performance as compared to the one cor-
responding to the “best” stored channel parameters; otherwise,
they are discarded. In other words, the proposed algorithm aims
to exploit feedback information in order to track the time-varying

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 6558 IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 69, NO. 6, JUNE 2020

channel parameters of the scheduled MSs by adaptively adopting

Algorithm 3: Greedy User Scheduling.
and discarding random perturbations.
Input: PFM ∈ RK×Ns
A. Memory-Based Greedy User Scheduling Output: g ∈ NNs ×1
1: Initialization: U = {1, 2, . . . , K}, S = {1, 2, . . . , Ns }.
To guarantee fairness among the MSs and achieve multi-user 2: for u ≤ Ns do
diversity gains, the PF-metric [28] is employed. The PF-metric is 3: {gi∗ , i∗ } = arg maxk∈U P Fk,i M
calculated for each data rate stored in the memory. Let PFm ∈ i∈S
RK×Ns be the PF-metric matrix of K MSs for Ns streams in 4: U ← U \{gi∗ }, S ← S\{i∗ }
memory slot m, where the (k, i)th entry of the PFm is given by 5: end for
m
Rk,i
m
P Fk,i = , k = 1, 2, . . . , K, i = 1, 2, . . . , Ns , (10)
Tk Algorithm 4: Memory-Based Greedy User Scheduling.
where m = 1, 2, . . . , M denotes the memory slot index corre- Input: PF1 , PF2 , . . . , PFM ∈ RK×Ns
sponding to M recent time slots, i.e., from t − M + 1 to t, and Output: g ∈ NNs ×1 , m∗
m
Rk,i is the data rate of MS k for stream i stored in memory slot 1: Initialization: Γmax = 0.
m. Here Tk is the average throughput of MS k, which is updated 2: for m ≤ M do
in every time slot as 3: Initialization: U = {1, 2, . . . , K},
⎧  S = {1, 2, . . . , Ns }.
⎨ 1 − 1 Tk + 1 R k , if k ∈ {g1 , g2 , . . . , gNs } 4: for u ≤ Ns do
Tk ← 
tc  tc
⎩ 1− 1 5: {g̃i∗ , i∗ } = arg maxk∈U P Fk,i m
tc T k , if otherwise, i∈S
(11) 6: U ← U \{g̃i∗ }, S ← S\{i∗ }
where Rk = Rgi ,i if k = gi , and tc is the latency time-scale that 7: end for  s
indicates the trade-off between the multi-user diversity gain and 8: Calculates Γ = N m
i=1 P Fg̃i ,i .
the scheduling latency. 9: if Γ max
< Γ then
In this scheme, we perturb the channel parameters in order to 10: g ← g̃, Γmax ← Γ, m∗ ← m
track the channels of the scheduled MSs. Then the baseband and 11: end if
RF precoders are jointly designed to maximize the sum-PF met- 12: end for
ric of the scheduled MSs. This precoder/combiner optimization
can be formulated as follows:
M

Ns current time slot, i.e., P Fk,i , is maximum, and step 4 updates
{Fopt opt
RF , FBB , wgi } = arg
opt
max P Fgi ,i U , S and g.
FRF ,FBB ,wi
i=1 To more efficiently exploit stored data rates in the memory,
s.t. FRF ∈ FRF , we propose a novel scheduling algorithm, called memory-based
greedy user scheduling, which is summarized in Algorithm 4. In
wi ∈ WRF , this algorithm, we perform greedy user scheduling for each PF-
FRF FRF 2F = Ns . (12) metric matrix, which corresponds to a memory slot. Specifically,
from steps 3 to 7, greedy user scheduling is performed for the
Similar to the SS and MMSE precoding schemes, we also restrict entire memory, rather than only for the current memory slot. In
each column of RF precoders in the form of array response step 6, g̃ represents a temporary set of scheduled MSs. From
vectors in (7). step 8 to 11, the set of scheduled MSs, g, is updated to g̃ if the
Given a PF-metric matrix, we allocate each stream to an MS sum PF-metric Γ of g̃ is greater than that of g. We note that,
such that the total PF-metric of scheduled MSs is maximized. in Algorithm 4, the entire memory is searched to determine the
To achieve this goal, we first consider a greedy user scheduling optimal set of scheduled MSs as well as to determine the optimal
algorithm, as in [17], [29]. Specifically, in each iteration of the precoders and channel parameters for perturbation. Therefore,
greedy user scheduling algorithm, the BS selects an MS-stream its sum PF-metric for the scheduled MSs can be larger than that
pair that provides the largest PF-metric. For this scheduling of Algorithm 3.
procedure, we exploit the PF-metric of the current time slot.
However, motivated by the fact that previous perturbed channel
B. Proposed Opportunistic Hybrid Beamforming
parameters and their corresponding precoders stored in the
memory can be better than the ones for the current time slot, In this section, we consider the multiple-stream beamforming,
we can choose the stored precoders over the current precoders where the BS simultaneously serves Ns MSs via Ns streams. For
for data transmission, as will be discussed in Sections IV-B. simplicity, we set Ns = NRF .
In the greedy user scheduling algorithm, which is summarized αi [t], φ̂
Let α̂ φi [t], and ϕ̂
ϕi [t], i = 1, 2, . . . , Ns , be the “best”
in Algorithm 3, the set of MSs U and the set of streams S are channel path gain, AoD, and AoA vectors for stream i, i.e., the
initialized in step 1. Then, in each iteration, step 3 schedules the channel parameters of the scheduled MS for stream i, respec-
MS gi∗ for stream i∗ in which its PF-metric corresponding to the tively. The AP-OHBF scheme can be described as follows:

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 VAN LE AND LEE: ADAPTIVE PERTURBATION-AIDED OPPORTUNISTIC HYBRID BEAMFORMING FOR MMWAVE SYSTEMS 6559

 s
1) In the initial time slot t = 0, the channel parame- of scheduled MSs is maximum, i.e., N m∗
i=1 P Fgi ,i , over
ters are randomly generated, where α̃i,l [t] ∼ CN (0, 1), the whole memory.
φ̃i,l [t] and ϕ̃i,l [t] are uniformly distributed in the set 9) From the selected memory slot m∗ , the BS takes the
∗
m∗
of quantized angles, i.e., {φ̃i,l [t], ϕ̃i,l [t]} ∈ [0, 22π
Q,..., RF precoder FmRF , baseband precoder FBB , path gain
(2Q −1)π ∗ m∗ ∗

2Q
],
i = 1, 2, . . . , Ns and l = 1, 2, . . . , L. αm
vectors α̃ ϕm
φi , and AOA vectors ϕ̃
i , AoD∗ vectors ∗φ̃ i .
2) We construct the tracked channel matrix H̃1 , . . . , H̃Ns , By exploiting FRF and FBB , the BS transmits data to Ns
m m

where H̃i is the channel for stream i, which is obtained by selected MSs and updates the average throughput based
substituting α̃i,l [t], φ̃i,l [t], and ϕ̃i,l [t] for αk,l [t], φk,l [t], on (11).
and ϕk,l [t] in (6). The tracked channel matrix H̃i can be 10) The tracked channel parameters are updated to
∗
decomposed via ordered singular value decomposition αi [t] = α̃
α̂ αm i ,
(SVD) as H̃i = UiΣ i ViH .
m∗
3) The BS obtains the optimal unconstrained precoder φi [t] = φ̃
φ̂ φi ,
(1)
Fopt = [fopt,1 , . . . , fopt,Ns ], where fopt,i = Vi . Denote ∗
ϕi [t] = ϕ̃
ϕ̂ ϕm i , i = 1, 2, . . . , Ns . (16)
H̃ = [h̃1 , . . . , h̃Ns ]H , where h̃H
i = w̃i H̃i is the tracked
H

effective MISO channel for stream i. Here, the BS 11) The channel parameter set for each stream is updated by
chooses w̃i from WRF such that it maximizes the down- applying random perturbations:
link channel gain:

  αi [t + 1] = ρα̂
α̃ αi [t] + 1 − ρ2 Δα̃αi [t],
 
w̃i = arg max wiH H̃i . (13) ϕi [t + 1] = ϕ̂
ϕ̃ ϕi [t] + Δϕ̃
ϕi [t],
wi ∈WRF

Furthermore, the BS obtains the matrices of ar- φi [t + 1] = φ̂

ray response vectors ÃBS = [aBS (φ̃1,1 ), . . . , aBS (φ̃1,L ),
aBS (φ̃2,1 ), . . . , aBS (φ̃Ns ,L )].
4) By performing Algorithm 1 or 2 with the inputs H̃, Fopt ,
and ÃBS , the RF and baseband precoders FRF and FBB
are generated.
5) The BS uses FRF and FBB to transmit pilot signals to all
MSs.
6) Based on the pilot signals, each MS independently de-
termines its RF combiner by solving the following opti-
mization problem
 
 (i) 
wk∗ = arg max wkH Hk FRF FBB , (14)
wk ∈WRF
measures its SINRs for Ns streams by using (4), i.e.,
{SIN Rk,1 , SIN Rk,2 , . . . , SIN Rk,Ns }, and feeds them
back to the BS. Here, to reduce the complexity of deter-
mining RF combiners, we restrict each entry wk of the RF
combiner codebook WRF in the form of array response
vectors, i.e., WRF = {aMS (ϕk,1 [t]), . . . , aMS (ϕk,L [t])}.
7) The BS calculates the achievable data rates, Rk,i , from
the SINR information and saves them with α̃ αi [t], φ̃
φi [t],
ϕi [t], FRF , and FBB into the memory. Subsequently,
ϕ̃
P Fk,im
is calculated for every memory slot as (10).
8) If Algorithm 3 is employed, the BS schedules a set of Ns
MSs, g, according to the PF-metric in the current time
slot. Then the BS selects memory slot m∗ where the sum
of PF-metrics for the scheduled MSs, g, is maximum,
i.e.,

Ns
m∗ = arg max P Fgmi ,i ,
m=1,2,...,M
i=1
m
where P Fk,i is defined in (10).
If Algorithm 4 is employed, the BS selects a set of Ns
MSs, g, in memory slot m∗ such that the sum PF-metrics
φ̃ φi [t] + Δφ̃
φi [t], i = 1, 2, . . . , Ns , (17)
where we have Δα̃i,l [t] ∼ CN (0, 1), and
{Δφ̃i,l [t], Δϕ̃i,l [t]} ∈ {± 22π Q} are uniform binary
random variables, i = 1, 2, . . . , Ns and l = 1, 2, . . . , L.
12) The process is repeated from step 2 to step 11 with t ←
t + 1.
αi [t], φ̂
In step 11, α̂ φi [t], and ϕ̂
ϕi [t], which are obtained in step 10,
are used to generate the new channel parameters instead of α̃ αi [t],
φi [t], and ϕ̃
φ̃ ϕi [t]. This means that, based on the feedback informa-
tion, we only adopt the successful perturbations, which provide
system throughput improvements. By contrast, the failed pertur-
bations, which result in performance degradation, are discarded,
and the precoders corresponding to the best channel parameters
in the memory are instead used. By adaptively adopting and
discarding perturbations based on the feedback information, the
proposed algorithms are capable of improving the overall system
performance. The algorithm is summarized in Algorithm 5.
V. SIMULATION RESULTS
We have performed simulations to numerically analyze the
performance of the proposed hybrid beamforming schemes. For
comparison, we consider the modified versions of opportunistic
beamforming [14] and time-coherence opportunistic beamform-
ing [19] schemes for hybrid beamforming architectures, abbrevi-
ated as OHBF and TC-OHBF. We note that they require the same
amount of feedback information as the proposed schemes. For
these beamforming schemes, we assume that the precoders are
randomly generated, such that each column of the RF precoder
is in the form of array response vector in (7). For the throughput
comparison, we have also tested the SS and MMSE precoding
(15) schemes with the assumption that the perfect CSI is known at
the BS.
We consider a MIMO system where the BS is equipped
with NT transmit antennas and NRF = 8 RF chains, while each
MS is equipped with NR = 4 receive antennas and only one

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 6560 IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 69, NO. 6, JUNE 2020

Algorithm 5: Adaptive Perturbation Aided-OHBF.

Initialization
1: At t = 0, the BS generates the initial channel
parameters: α̃ αi [t], φ̃
φi [t], and ϕ̃
ϕi [t].
Iterative Update
2: By using (6), the BS obtains H̃i and its SVD
H̃i = UiΣ i ViH .
3: The BS obtains the optimal unconstrained precoder
Fopt = [fopt,1 , . . . , fopt,Ns ] and the tracked effective
channel H̃ = [h̃1 , . . . , h̃Ns ]H , where h̃H i = w̃i H̃i .
H

4: By using Algorithm 1 or 2, the BS generates FRF and

FBB with the inputs Fopt , H̃, and ABS .
5: The BS exploits FRF and FBB to send pilot signals to
all MSs.
6: Each MS determines its RF combiner wk to measure
SINRs in (4), and then feeds them back to the BS. Fig. 2. Average throughput vs. number of MSs with NT = 32, NRF = 8,
7: The BS calculates Rk,i in (5) and stores them with NR = 4, and SN R = 0 dB.
αi [t], φ̃
α̃ φi [t], ϕ̃
ϕi [t], FRF , and FBB in the memory. P Fk,i m

is calculated as (10).
8: By using Algorithm 3 or 4, the BS selects a set of
scheduled MSs, g ∈ NNs , and memory slot m∗ in (15).
∗
m∗
9: The BS utilizes Fm RF and FBB in the selected memory
slot m∗ to transmit data to the scheduled MSs and
updates Tk according to (11).
10: Update the tracked channel parameters, α̂ αi [t], φ̂
φi [t],
ϕi [t], according to (16).
and ϕ̂
11: Apply the perturbation on the tracked channel
parameter according to (17) to obtain α̃ αi [t + 1],
φi [t + 1], and ϕ̃
φ̃ ϕi [t + 1].
12: Go to step 2 with t ← t + 1.

RF chain. The number of streams is set NRF for the multiple-

stream, respectively. We assume the carrier frequency of 28 GHz
and SNR = 0 dB, and the number of propagation paths is
L = 4. The duration of each time slot is set to T = 1 ms, and
the parameter tc for the PF-metric calculation is set to 1000.
The antenna spacing at the BS is assumed to be d = λ2 . It is
also assumed that the MSs are moving at a walking speed of
v = 3 km/h, which results in a temporal correlation coefficient
of ρ = 0.9924. In the simulation, we set the angle variation
parameter to σu2 = ( 360 π 2
) [30]. The number of bits used to
quantize the phases of the RF precoder is assumed to be Q = 6.
The memory size M , which was empirically optimized based
on the simulation results, is set to 20 for both the proposed
and compared schemes. The BS utilizes the array response
vector for tracked AoDs to find the RF precoder, i.e., ABS =
[aBS (φ̃1,1 ), . . . , aBS (φ̃1,L ), aBS (φ̃2,1 ), . . . , aBS (φ̃Ns ,L )]. Assum-
ing that there are no errors in the feedback channel from each
MS to the BS, the perfect SINR information is available at the
BS in each time slot.
Fig. 2 compares the throughput performances of hybrid beam-
forming schemes for NT = 32. It is seen from Fig. 2 that the pro-
posed algorithm significantly outperforms the OHBF and TC-
OHBF schemes. For example, compared to the OHBF scheme,
the AP-OHBF scheme based on SS precoding with Algorithms 3
Fig. 3. Average throughput vs. number of transmit antennas with K = 16,
NRF = 8, NR = 4, and SN R = 0 dB.
and 4 achieves 206.4% and 336.8% throughput gains over OHBF
with K = 32, respectively. Furthermore, by being incorporated
with the MMSE precoding scheme, the AP-OHBF scheme with
Algorithm 3 and 4 provide 307.8% and 407.5% throughput gains
over the OHBF scheme. It is worth noting that the performance of
Algorithm 4 surpasses that of Algorithm 3 because it efficiently
exploits the stored information in the memory. Specifically, by
performing the greedy user scheduling algorithm based on the
PF-metrics over the whole memory, rather than using only the
one for the current time slot, Algorithm 4 can choose a set of
MSs providing a higher sum PF-metric than that of Algorithm
3. Consequently, the stored precoders corresponding to this set
of MSs can potentially increase the total system throughput.
In Fig. 3, we plot the throughput performance of hybrid
schemes versus number of transmit antennas for K = 16. Simi-
lar to Fig. 2, the figure demonstrates that the proposed algorithms
achieve considerable throughput gains over the OHBF and TC-
OHBF schemes, especially for large NT .

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 VAN LE AND LEE: ADAPTIVE PERTURBATION-AIDED OPPORTUNISTIC HYBRID BEAMFORMING FOR MMWAVE SYSTEMS 6561

schemes. Specifically, computational complexity is defined as

Fig. 4. Average system fairness vs. number of MSs with NT = 32, NRF = 8,
NR = 4, and SN R = 0 dB.
the average number of real additions and multiplications per
time slot required for channel tracking based on perturbations
in Sections IV-C, precoder generation in Algorithms 1 and 2,
signal combining, and user scheduling in Algorithms 3 and 4.
Fig. 5 demonstrates that the AP-OHBF scheme based on SS
precoding with Algorithms 3 and 4 require 31.6% and 33.0%
higher complexities compared to the OHBF scheme for K = 32.
Furthermore, if the MMSE precoding is employed, the proposed
AP-OHBF schemes with Algorithms 3 and 4 have 42.5% and
43.0% higher complexities compared to the OHBF scheme,
respectively. We note that the increased computational load
of the proposed AP-OHBF scheme is caused by the adaptive
perturbation-aided channel tracking procedure. Furthermore,
Algorithm 4 requires higher complexities than Algorithm 3
because Algorithm 4 performs the greedy user scheduling for
the whole memory, rather than only using the information stored
in the current memory slot. It is worth noting that, even though
the proposed schemes require up to 4.9% higher computational
loads for large K = 256, its throughput gain over the OHBF
reaches 623.3%, as shown in Fig. 3.

VI. CONCLUSION
In this work, we have developed a novel adaptive hybrid
beamforming scheme, called AP-OHBF, for temporally cor-
related mmWave channels. By exploiting the poor scattering
property of the mmWave environment, the proposed AP-OHBF
scheme perturbs the channel parameters in order to track the
channels of the scheduled MSs, whose channels are in favor-
able conditions. In terms of the PF-metric, to more efficiently
exploit the feedback information, the AP-OHBF scheme adopts
the successful perturbations on the channel parameters, which
results in performance improvements. By contrast, the failed
perturbations are discarded, and the precoders corresponding to
Fig. 5. Computational complexity vs. number of MSs with NT = 32, NRF = the best parameters in the memory are instead used for transmis-
8, NR = 4, and SN R = 0 dB. sion. For further performance enhancement, the memory-based
greedy user scheduling algorithm is also proposed, which ex-
ploits the stored data rates and precoders corresponding to M
Fig. 3 indicates the system fairness of different precoding past time slots for scheduling. The computer simulation results
schemes versus the number of MSs. To evaluate the system demonstrate that the proposed scheme can achieve substantial
fairness, given Pk , the probability of MS k being scheduled, throughput gains over the OHBF and TC-OHBF schemes, which
the self-fairness of MS k is defined as [31] require the same amount of feedback information as the pro-
log(Pk ) posed scheme. The numerical results also show that the proposed
ζk = − . (18)
log(K) scheme with Algorithms 3 and 4 can maintain fairness among
MSs while providing up to 307.8% and 407.5% throughput
Then the average system fairness can be formulated as
gains over the OHBF scheme for multiple-stream beamforming,

K 
K
log(Pk ) respectively. For future research, the extension of the proposed
ζ= Pk ζk = − Pk . (19) scheme to exploit multipath diversity in mmWave channels can
log(K)
k=1 k=1 be considered.
If Pk = 1/K, ∀k ∈ 1, 2, . . . , K, which results in ζ = 1, the
system is strictly fair. Fig. 4 shows that similar to the OHBF and
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Thuan Van Le received the B.S. degree in electronic
and telecommunication engineering from the Hanoi
University of Science and Technology (HUST),
Hanoi, Vietnam in 2014, and the M.S. degree in elec-
trical and information engineering from the Seoul Na-
tional University of Science and Technology, Seoul,
Korea in 2017. From June 2014 until August 2015,
he worked as an Associate Engineer at Samsung Viet-
nam Mobile R&D Center (SVMC), Hanoi, Vietnam.
He is currently pursuing the Ph.D. degree with the
Department of Electrical and Information Engineer-
ing at the Seoul National University of Science and Technology, Seoul, Korea.
His research interests are in the area of wireless communications and applied
machine learning with a focus on massive MIMO systems, link adaptation, and
mmWave communication.
Kyungchun Lee (Senior Member, IEEE) received
B.S., M.S., and Ph.D. degrees in electrical engineer-
ing from the Korea Advanced Institute of Science and
Technology (KAIST), Daejeon, in 2000, 2002, and
2007, respectively. From April 2007 until June 2008,
he was a Postdoctoral Researcher at the University of
Southampton, United Kingdom. From July 2008 to
August 2010, he was with Samsung Electronics, Su-
won, Korea. Since September 2010, he has been with
the Seoul National University of Science and Tech-
nology, Korea. In 2017, he was a Visiting Assistant
professor at North Carolina State University, Raleigh, NC. His research interests
include wireless communications and applied machine learning. He received the
Best Paper Award at the IEEE International Conference on Communications in
2009.