Energy Efficient Multi-User Beamforming and 3D Position Optimization for SIM-Assisted UAVs

Abstract

This paper studies energy-efficient downlink multi-user transmissions with unmanned aerial vehicle (UAV) communication systems equipped with stacked intelligent metasurfaces (SIM), enabling wave-domain analog beamforming through multiple cascaded metasurface layers, while low-dimensional digital precoding is carried out using a limited number of transmit radio-frequency chains. This architecture enables flexible electromagnetic wave manipulation with reduced hardware complexity, making it particularly suitable for energy-constrained aerial platforms. We formulate a hardware-aware energy-efficiency (EE) maximization problem aiming to jointly optimize the digital precoder, the phase shifts of all SIM layers, and the three-dimensional UAV position under transmit-power, SIM operation, and UAV deployment constraints. The resulting problem is highly non-convex due to the fractional objective, the cascaded SIM structure and the unit-modulus phase constraints of the constituent metasurface layers, as well as the non-linear UAV-dependent channel. To address these challenges, we develop a transform-based alternating optimization framework that combines Dinkelbach's method, dual and quadratic transforms, to enable closed-form digital beamforming, Riemannian manifold optimization for SIM phase shifts, and successive convex approximation (SCA) for UAV positioning. Convergence and complexity analyses are provided to characterize the proposed algorithm. The presented numerical results showcase that the proposed joint design significantly improves EE compared with fully digital and maximum ratio transmission benchmark schemes, while revealing important design trade-offs among transmit power, SIM size, and the number of its constituent stacked layers.