Signal Processing for 5G

Fa-Long Luo, Element CXI, San Jose, CaliforniaDr. Fa-Long Luo is an IEEE Fellow and the Chief Scientist of two leading international companies, headquartered in Silicon Valley, dealing with software-defined radio and wireless multimedia. He is also an Affiliate Full Professor at the University of Washington.  From 2007 to 2011, he was the founding editor-in-chief of the International Journal of Digital Multimedia Broadcasting. From 2011 to 2012, he was the chairman of the IEEE Industry DSP Standing Committee and technical board member of the IEEE Signal Processing Society. He is now associate editor of the IEEE Access and IEEE Internet of Things Journal. He has 33 years of research and industry experience in signal processing, multimedia, communication and broadcasting with real-time implementation, applications and standardization and has gained international recognition. He has published 5 books, more than 100 technical papers, and has 18 patents in these fields.  He was awarded the Fellowship by the Alexander von Humboldt Foundation of Germany.Charlie (Jianzhong) Zhang, Samsung Research America, USACharlie (Jianzhong) Zhang is Vice President and head of the Standards and Research Lab with Samsung Research America at Dallas, where he leads research and standard efforts for 5G cellular systems and next generation multimedia networks. From Aug 2009 to Aug 2013, he served as the Vice Chairman of 3GPP RAN1 working group and led development of LTE and LTE-Advanced technologies such as 3D channel modeling, UL-MIMO and CoMP, Carrier Aggregation for TD-LTE, etc. Before joining Samsung, he was with Motorola from 2006 to 2007 working on 3GPP HSPA standards, and with Nokia Research Center from 2001 to 2006 working on IEEE 802.16e (WiMAX) standard and EDGE/CDMA algorithms. He received his Ph.D. degree from the University of Wisconsin, Madison. Dr. Zhang is also an IEEE Fellow.

• Preface xviiList of Contributors xxvPart I MODULATION, CODING AND WAVEFORM FOR 5G1 An Introduction to Modulations and Waveforms for 5G Networks 3Stefano Buzzi, Alessandro Ugolini, Alessio Zappone and Giulio Colavolpe1.1 Motivation and Background 31.2 New Modulation Formats: FBMC, GFDM, BFDM, UFMC and TFP 71.3 Waveform Choice 191.4 Discussion and Concluding Remarks 20References 222 Faster-than-Nyquist Signaling for 5G Communication 24John B. Anderson2.1 Introduction to FTN Signaling 252.2 Time FTN: Receivers and Performance 322.3 Frequency FTN Signaling 412.4 Summary of the Chapter 45References 463 From OFDM to FBMC: Principles and Comparisons 47Wei Jiang and Thomas Kaiser3.1 Introduction 473.2 The Filter Bank 493.3 Polyphase Implementation 533.4 OFDM 553.5 FBMC 613.6 Comparison of FBMC and Filtered OFDM 623.7 Conclusion 65References 664 Filter Bank Multicarrier for Massive MIMO 67Arman Farhang, Nicola Marchetti and Behrouz Farhang-Boroujeny4.1 System Model and FBMC Formulation in Massive MIMO 694.2 Self-equalization Property of FBMC in Massive MIMO 744.3 Comparison with OFDM 804.4 Blind Equalization and Pilot Decontamination 824.5 Conclusion 87References 885 Bandwidth-compressed Multicarrier Communication: SEFDM 90Izzat Darwazeh, Tongyang Xu and Ryan C Grammenos5.1 Introduction 915.2 SEFDM Fundamentals 935.3 Block-SEFDM 975.4 Turbo-SEFDM 1025.5 Practical Considerations and Experimental Demonstration 1065.6 Summary 112References 1126 Non-orthogonal Multi-User Superposition and Shared Access 115Yifei Yuan6.1 Introduction 1156.2 Basic Principles and Features of Non-orthogonal Multi-user Access 1166.3 Downlink Non-orthogonal Multi-user Transmission 1216.4 Uplink Non-orthogonal Multi-user Access 1296.5 Summary and Future Work 140References 1427 Non-Orthogonal Multiple Access (NOMA): Concept and Design 143Anass Benjebbour, Keisuke Saito, Anxin Li, Yoshihisa Kishiyama and Takehiro Nakamura7.1 Introduction 1437.2 Concept 1457.3 Benefits and Motivations 1487.4 Interface Design 1507.5 MIMO Support 1537.6 Performance Evaluations 1577.7 Conclusion 166References 1678 Major 5G Waveform Candidates: Overview and Comparison 169Hao Lin and Pierre Siohan8.1 Why We Need New Waveforms 1708.2 Major Multicarrier Modulation Candidates 1718.3 High-level Comparison 1788.4 Conclusion 184List of acronyms 185References 186Part II NEW SPATIAL SIGNAL PROCESSING FOR 5G9 Massive MIMO for 5G: Theory, Implementation and Prototyping 191Ove Edfors, Liang Liu, Fredrik Tufvesson, Nikhil Kundargi and Karl Nieman9.1 Introduction 1929.2 Massive MIMO Theory 1949.3 Massive MIMO Channels 1999.4 Massive MIMO Implementation 2049.5 Testbed Design 2149.6 Synchronization 2249.7 Future Challenges and Conclusion 227Acknowledgments 228References 22810 Millimeter-Wave MIMO Transceivers: Theory, Design and Implementation 231Akbar M. Sayeed and John H. Brady10.1 Introduction 23210.2 Overview of Millimeter-Wave MIMO Transceiver Architectures 23510.3 Point-to-Point Single-User Systems 23710.4 Point-to-Multipoint Multiuser Systems 24310.5 Extensions 24910.6 Conclusion 250References 25111 3D Propagation Channels: Modeling and Measurements 254Andreas F. Molisch11.1 Introduction and Motivation 25511.2 Measurement Techniques 25711.3 Propagation Effects 26011.4 Measurement Results 26311.5 Channel Models 26611.6 Summary and Open Issues 268Acknowledgements 269Disclaimer 269References 26912 3D-MIMO with Massive Antennas: Theory, Implementation and Testing 273Guangyi Liu, Xueying Hou, Fei Wang, Jing Jin and Hui Tong12.1 Introduction 27412.2 Application Scenarios of 3D-MIMO with Massive Antennas 27612.3 Exploiting 3D-MIMO Gain Based on Techniques in Current Standards 27712.4 Evaluation by System-level Simulations 28312.5 Field Trials of 3D-MIMO with Massive Antennas 28812.6 Achieving 3D-MIMO with Massive Antennas from Theory to Practice 29212.7 Conclusions 294References 29513 Orbital Angular Momentum-based Wireless Communications: Designs and Implementations 296Alan. E. Willner, Yan Yan, Yongxiong Ren, Nisar Ahmed and Guodong Xie13.1 EM Waves Carrying OAM 29713.2 Application of OAM to RF Communications 29813.3 OAM Beam Generation, Multiplexing and Detection 30013.4 Wireless Communications Using OAM Multiplexing 30313.5 Summary and Perspective 315References 316Part III NEW SPECTRUM OPPORTUNITIES FOR 5G14 MillimeterWaves for 5G: From Theory To Practice 321Malik Gul, Eckhard Ohlmer, Ahsan Aziz, Wes McCoy and Yong Rao14.1 Introduction 32114.2 Building a mmWave PoC System 32214.3 Desirable Features of a mmWave Prototyping System 32314.4 Case Study: a mmWave Cellular PoC 32614.5 Conclusion 352References 35315 *5G Millimeter-wave Communication Channel and Technology Overview 354Qian (Clara) Li, Hyejung Jung, Pingping Zong and Geng Wu15.1 Introduction 35415.2 Millimeter-wave Channel Characteristics 35515.3 Requirements for a 5G mmWave Channel Model 35715.4 Millimeter-wave Channel Model for 5G 35815.5 Signal Processing for mmWave Band 5G RAT 36515.6 Summary 370References 37116 General Principles and Basic Algorithms for Full-duplex Transmission 372Thomas Kaiser and Nidal Zarifeh16.1 Introduction 37316.2 Self-interference: Basic Analyses and Models 37416.3 SIC Techniques and Algorithms 37616.4 Hardware Impairments and Implementation Challenges 38616.5 Looking Toward Full-duplex MIMO Systems 39316.6 Conclusion and Outlook 396References 39717 Design and Implementation of Full-duplex Transceivers 402Katsuyuki Haneda, Mikko Valkama, Taneli Riihonen, Emilio Antonio-Rodriguez and Dani Korpi17.1 Research Challenges 40517.2 Antenna Designs 40917.3 RF Self-interference Cancellation Methods 41117.4 Digital Self-interference Cancellation Algorithms 41317.5 Demonstration 42317.6 Summary 426Acknowledgements 426References 426Part IV NEW SYSTEM-LEVEL ENABLING TECHNOLOGIES FOR 5G18 Cloud Radio Access Networks: Uplink Channel Estimation and Downlink Precoding 431Osvaldo Simeone, Jinkyu Kang, Joonkhyuk Kang and Shlomo Shamai (Shitz)18.1 Introduction 43218.2 Technology Background 43218.3 Uplink: Where to Perform Channel Estimation? 43418.4 Downlink: Where to Perform Channel Encoding and Precoding? 44118.5 Concluding Remarks 453References 45419 Energy-efficient Resource Allocation in 5G with Application to D2D 456Alessio Zappone, Francesco Di Stasio, Stefano Buzzi and Eduard Jorswieck19.1 Introduction 45719.2 Signal Model 45919.3 Resource Allocation 46119.4 Fractional Programming 46219.5 Algorithms 46619.6 Sequential Fractional Programming 46919.7 System Optimization 47119.8 Numerical Results 47619.9 Conclusion 480References 48120 Ultra Dense Networks: General Introduction and Design Overview 483Jianchi Zhu, Xiaoming She and Peng Chen20.1 Introduction 48420.2 Interference Management 48720.3 Mobility Management 49520.4 Architecture and Backhaul 49920.5 Other Issues in UDNs for 5G 50320.6 Conclusions 505Acknowledgements 506References 50621 Radio-resource Management and Optimization in 5G Networks 509Antonis Gotsis, Athanasios Panagopoulos, Stelios Stefanatos and Angeliki Alexiou21.1 Introduction 51021.2 Background 51121.3 Optimal Strategies for Single-antenna Coordinated Ultradense Networks 51421.4 Optimal Strategies for Multi-antenna Coordinated and Cooperative Ultradense Networks 52521.5 Summary and Future Research Directions 533Acknowledgments 534References 534Part V REFERENCE DESIGN AND 5G STANDARD DEVELOPMENT22 Full-duplex Radios in 5G: Fundamentals, Design and Prototyping 539Jaeweon Kim, Min Soo Sim, MinKeun Chung, Dong Ku Kim and Chan-Byoung Chae22.1 Introduction 54022.2 Self-interference 54122.3 Analog Self-interference Cancellation 54222.4 Digital Self-interference Cancellation 54722.5 Prototyping Full-duplex Radios 55022.6 Overall Performance Evaluation 55822.7 Conclusion 559References 55923 5G Standard Development: Technology and Roadmap 561Juho Lee and Yongjun Kwak23.1 Introduction 56123.2 Standards Roadmap from 4G to 5G 56223.3 Preparation of 5G Cellular Communication Standards 57023.4 Concluding Remarks 575References 575Index 577