Preface xvii
List of Contributors xxv
Part I MODULATION, CODING AND WAVEFORM FOR 5G
1 An Introduction to Modulations and Waveforms for 5G Networks 3
Stefano Buzzi, Alessandro Ugolini, Alessio Zappone and Giulio Colavolpe
1.1 Motivation and Background 3
1.2 New Modulation Formats: FBMC, GFDM, BFDM, UFMC and TFP 7
1.3 Waveform Choice 19
1.4 Discussion and Concluding Remarks 20
References 22
2 Faster-than-Nyquist Signaling for 5G Communication 24
John B. Anderson
2.1 Introduction to FTN Signaling 25
2.2 Time FTN: Receivers and Performance 32
2.3 Frequency FTN Signaling 41
2.4 Summary of the Chapter 45
References 46
3 From OFDM to FBMC: Principles and Comparisons 47
Wei Jiang and Thomas Kaiser
3.1 Introduction 47
3.2 The Filter Bank 49
3.3 Polyphase Implementation 53
3.4 OFDM 55
3.5 FBMC 61
3.6 Comparison of FBMC and Filtered OFDM 62
3.7 Conclusion 65
References 66
4 Filter Bank Multicarrier for Massive MIMO 67
Arman Farhang, Nicola Marchetti and Behrouz Farhang-Boroujeny
4.1 System Model and FBMC Formulation in Massive MIMO 69
4.2 Self-equalization Property of FBMC in Massive MIMO 74
4.3 Comparison with OFDM 80
4.4 Blind Equalization and Pilot Decontamination 82
4.5 Conclusion 87
References 88
5 Bandwidth-compressed Multicarrier Communication: SEFDM 90
Izzat Darwazeh, Tongyang Xu and Ryan C Grammenos
5.1 Introduction 91
5.2 SEFDM Fundamentals 93
5.3 Block-SEFDM 97
5.4 Turbo-SEFDM 102
5.5 Practical Considerations and Experimental Demonstration 106
5.6 Summary 112
References 112
6 Non-orthogonal Multi-User Superposition and Shared Access 115
Yifei Yuan
6.1 Introduction 115
6.2 Basic Principles and Features of Non-orthogonal Multi-user Access 116
6.3 Downlink Non-orthogonal Multi-user Transmission 121
6.4 Uplink Non-orthogonal Multi-user Access 129
6.5 Summary and Future Work 140
References 142
7 Non-Orthogonal Multiple Access (NOMA): Concept and Design 143
Anass Benjebbour, Keisuke Saito, Anxin Li, Yoshihisa Kishiyama and Takehiro Nakamura
7.1 Introduction 143
7.2 Concept 145
7.3 Benefits and Motivations 148
7.4 Interface Design 150
7.5 MIMO Support 153
7.6 Performance Evaluations 157
7.7 Conclusion 166
References 167
8 Major 5G Waveform Candidates: Overview and Comparison 169
Hao Lin and Pierre Siohan
8.1 Why We Need New Waveforms 170
8.2 Major Multicarrier Modulation Candidates 171
8.3 High-level Comparison 178
8.4 Conclusion 184
List of acronyms 185
References 186
Part II NEW SPATIAL SIGNAL PROCESSING FOR 5G
9 Massive MIMO for 5G: Theory, Implementation and Prototyping 191
Ove Edfors, Liang Liu, Fredrik Tufvesson, Nikhil Kundargi and Karl Nieman
9.1 Introduction 192
9.2 Massive MIMO Theory 194
9.3 Massive MIMO Channels 199
9.4 Massive MIMO Implementation 204
9.5 Testbed Design 214
9.6 Synchronization 224
9.7 Future Challenges and Conclusion 227
Acknowledgments 228
References 228
10 Millimeter-Wave MIMO Transceivers: Theory, Design and Implementation 231
Akbar M. Sayeed and John H. Brady
10.1 Introduction 232
10.2 Overview of Millimeter-Wave MIMO Transceiver Architectures 235
10.3 Point-to-Point Single-User Systems 237
10.4 Point-to-Multipoint Multiuser Systems 243
10.5 Extensions 249
10.6 Conclusion 250
References 251
11 3D Propagation Channels: Modeling and Measurements 254
Andreas F. Molisch
11.1 Introduction and Motivation 255
11.2 Measurement Techniques 257
11.3 Propagation Effects 260
11.4 Measurement Results 263
11.5 Channel Models 266
11.6 Summary and Open Issues 268
Acknowledgements 269
Disclaimer 269
References 269
12 3D-MIMO with Massive Antennas: Theory, Implementation and Testing 273
Guangyi Liu, Xueying Hou, Fei Wang, Jing Jin and Hui Tong
12.1 Introduction 274
12.2 Application Scenarios of 3D-MIMO with Massive Antennas 276
12.3 Exploiting 3D-MIMO Gain Based on Techniques in Current Standards 277
12.4 Evaluation by System-level Simulations 283
12.5 Field Trials of 3D-MIMO with Massive Antennas 288
12.6 Achieving 3D-MIMO with Massive Antennas from Theory to Practice 292
12.7 Conclusions 294
References 295
13 Orbital Angular Momentum-based Wireless Communications: Designs and Implementations 296
Alan. E. Willner, Yan Yan, Yongxiong Ren, Nisar Ahmed and Guodong Xie
13.1 EM Waves Carrying OAM 297
13.2 Application of OAM to RF Communications 298
13.3 OAM Beam Generation, Multiplexing and Detection 300
13.4 Wireless Communications Using OAM Multiplexing 303
13.5 Summary and Perspective 315
References 316
Part III NEW SPECTRUM OPPORTUNITIES FOR 5G
14 MillimeterWaves for 5G: From Theory To Practice 321
Malik Gul, Eckhard Ohlmer, Ahsan Aziz, Wes McCoy and Yong Rao
14.1 Introduction 321
14.2 Building a mmWave PoC System 322
14.3 Desirable Features of a mmWave Prototyping System 323
14.4 Case Study: a mmWave Cellular PoC 326
14.5 Conclusion 352
References 353
15 *5G Millimeter-wave Communication Channel and Technology Overview 354
Qian (Clara) Li, Hyejung Jung, Pingping Zong and Geng Wu
15.1 Introduction 354
15.2 Millimeter-wave Channel Characteristics 355
15.3 Requirements for a 5G mmWave Channel Model 357
15.4 Millimeter-wave Channel Model for 5G 358
15.5 Signal Processing for mmWave Band 5G RAT 365
15.6 Summary 370
References 371
16 General Principles and Basic Algorithms for Full-duplex Transmission 372
Thomas Kaiser and Nidal Zarifeh
16.1 Introduction 373
16.2 Self-interference: Basic Analyses and Models 374
16.3 SIC Techniques and Algorithms 376
16.4 Hardware Impairments and Implementation Challenges 386
16.5 Looking Toward Full-duplex MIMO Systems 393
16.6 Conclusion and Outlook 396
References 397
17 Design and Implementation of Full-duplex Transceivers 402
Katsuyuki Haneda, Mikko Valkama, Taneli Riihonen, Emilio Antonio-Rodriguez and Dani Korpi
17.1 Research Challenges 405
17.2 Antenna Designs 409
17.3 RF Self-interference Cancellation Methods 411
17.4 Digital Self-interference Cancellation Algorithms 413
17.5 Demonstration 423
17.6 Summary 426
Acknowledgements 426
References 426
Part IV NEW SYSTEM-LEVEL ENABLING TECHNOLOGIES FOR 5G
18 Cloud Radio Access Networks: Uplink Channel Estimation and Downlink Precoding 431
Osvaldo Simeone, Jinkyu Kang, Joonkhyuk Kang and Shlomo Shamai (Shitz)
18.1 Introduction 432
18.2 Technology Background 432
18.3 Uplink: Where to Perform Channel Estimation? 434
18.4 Downlink: Where to Perform Channel Encoding and Precoding? 441
18.5 Concluding Remarks 453
References 454
19 Energy-efficient Resource Allocation in 5G with Application to D2D 456
Alessio Zappone, Francesco Di Stasio, Stefano Buzzi and Eduard Jorswieck
19.1 Introduction 457
19.2 Signal Model 459
19.3 Resource Allocation 461
19.4 Fractional Programming 462
19.5 Algorithms 466
19.6 Sequential Fractional Programming 469
19.7 System Optimization 471
19.8 Numerical Results 476
19.9 Conclusion 480
References 481
20 Ultra Dense Networks: General Introduction and Design Overview 483
Jianchi Zhu, Xiaoming She and Peng Chen
20.1 Introduction 484
20.2 Interference Management 487
20.3 Mobility Management 495
20.4 Architecture and Backhaul 499
20.5 Other Issues in UDNs for 5G 503
20.6 Conclusions 505
Acknowledgements 506
References 506
21 Radio-resource Management and Optimization in 5G Networks 509
Antonis Gotsis, Athanasios Panagopoulos, Stelios Stefanatos and Angeliki Alexiou
21.1 Introduction 510
21.2 Background 511
21.3 Optimal Strategies for Single-antenna Coordinated Ultradense Networks 514
21.4 Optimal Strategies for Multi-antenna Coordinated and Cooperative Ultradense Networks 525
21.5 Summary and Future Research Directions 533
Acknowledgments 534
References 534
Part V REFERENCE DESIGN AND 5G STANDARD DEVELOPMENT
22 Full-duplex Radios in 5G: Fundamentals, Design and Prototyping 539
Jaeweon Kim, Min Soo Sim, MinKeun Chung, Dong Ku Kim and Chan-Byoung Chae
22.1 Introduction 540
22.2 Self-interference 541
22.3 Analog Self-interference Cancellation 542
22.4 Digital Self-interference Cancellation 547
22.5 Prototyping Full-duplex Radios 550
22.6 Overall Performance Evaluation 558
22.7 Conclusion 559
References 559
23 5G Standard Development: Technology and Roadmap 561
Juho Lee and Yongjun Kwak
23.1 Introduction 561
23.2 Standards Roadmap from 4G to 5G 562
23.3 Preparation of 5G Cellular Communication Standards 570
23.4 Concluding Remarks 575
References 575
Index 577
