STAR-RIS Assisted SWIPT Systems: Active or Passive?

Abstract: A simultaneously transmitting and reflecting reconfigurable intelligent surface (STAR-RIS) assisted simultaneous wireless information and power transfer (SWIPT) system is investigated. Both active and passive STAR-RISs are considered. Passive STAR-RISs can be cost-efficiently fabricated to large aperture sizes with significant near-field regions, but the design flexibility is limited by the coupled phase-shifts. Active STAR-RISs can further amplify signals and have independent phase-shifts, but their aperture sizes are relatively small due to the high cost. To characterize and compare their performance, a power consumption minimization problem is formulated by jointly designing the beamforming at the access point (AP) and the STAR-RIS, subject to both the power and information quality-of-service requirements. To solve the resulting highly-coupled non-convex problem, the original problem is first decomposed into simpler subproblems and then an alternating optimization framework is proposed. For the passive STAR-RIS, the coupled phase-shift constraint is tackled by employing a vector-driven weight penalty method. While for the active STAR-RIS, the independent phase-shift is optimized with AP beamforming via matrix-driven semidefinite programming, and the amplitude matrix is updated using convex optimization techniques in each iteration. Numerical results show that: 1) given the same aperture sizes, the active STAR-RIS exhibits superior performance over the passive one when the aperture size is small, but the performance gap decreases with the increase in aperture size; and 2) given identical power budgets, the passive STAR-RIS is generally preferred, whereas the active STAR-RIS typically suffers performance loss for balancing between the hardware power and the amplification power.