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Signal Processing for 5G: Algorithms and Implementations

ISBN: 978-1-119-11646-2
610 pages
October 2016, Wiley-IEEE Press
Signal Processing for 5G: Algorithms and Implementations (1119116465) cover image


A comprehensive and invaluable guide to 5G technology, implementation and practice in one single volume. For all things 5G, this book is a must-read. 

Signal processing techniques have played the most important role in wireless communications since the second generation of cellular systems. It is anticipated that new techniques employed in 5G wireless networks will not only improve peak service rates significantly, but also enhance capacity, coverage, reliability , low-latency, efficiency, flexibility, compatibility and convergence to meet the increasing demands imposed by applications such as big data, cloud service, machine-to-machine (M2M) and mission-critical communications.

This book is a comprehensive and detailed guide to all signal processing techniques employed in 5G wireless networks. Uniquely organized into four categories, New Modulation and  Coding,  New Spatial Processing, New Spectrum Opportunities and New System-level  Enabling Technologies, it covers everything from network architecture, physical-layer (down-link and up-link),  protocols and air interface, to cell acquisition, scheduling and rate adaption, access  procedures and relaying to spectrum allocations. All technology aspects and major roadmaps of global 5G standard development and deployments are included in the book.    
Key Features:

  • Offers step-by-step guidance on bringing 5G technology into practice, by applying algorithms and design methodology to real-time circuit implementation, taking into account rapidly growing applications that have multi-standards and multi-systems.  
  • Addresses spatial signal processing for 5G, in particular massive multiple-input multiple-output (massive-MIMO), FD-MIMO and 3D-MIMO along with orbital angular momentum multiplexing,  3D beamforming and diversity.
  • Provides detailed algorithms and implementations, and compares all multicarrier modulation and multiple access schemes that offer superior data transmission performance including FBMC, GFDM, F-OFDM, UFMC, SEFDM,  FTN, MUSA, SCMA and NOMA.
  • Demonstrates the translation of  signal processing theories into practical solutions  for new spectrum opportunities in terms of millimeter wave, full-duplex  transmission and license assisted access.            
  • Presents well-designed implementation examples, from individual function block to system level for effective and accurate learning.    
  • Covers signal processing aspects of emerging system and network architectures, including ultra-dense networks (UDN), software-defined networks (SDN), device-to-device (D2D) communications and cloud radio access network (C-RAN).
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Table of Contents

Preface xvii

List of Contributors xxv


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


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


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


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


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

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Author Information

Fa-Long Luo, Element CXI, San Jose, California
Dr. 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, USA

Charlie (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.
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