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k SIGNAL PROCESSING FOR 5G k k k

k SIGNAL PROCESSING FOR 5G ALGORITHMS AND IMPLEMENTATIONS Edited by Fa-Long Luo, Ph.D., IEEE Fellow Charlie (Jianzhong) Zhang, Ph.D., IEEE Fellow k k k

k k This edition first published 2016 © 2016 John Wiley & Sons, Ltd Registered office John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, United Kingdom For details of our global editorial offices, for customer services and for information about how to apply for permission to reuse the copyright material in this book please see our website at www.wiley.com. The right of the author to be identified as the author of this work has been asserted in accordance with the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted by the UK Copyright, Designs and Patents Act 1988, without the prior permission of the publisher. Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. Designations used by companies to distinguish their products are often claimed as trademarks. All brand names and product names used in this book are trade names, service marks, trademarks or registered trademarks of their respective owners. The publisher is not associated with any product or vendor mentioned in this book. Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. It is sold on the understanding that the publisher is not engaged in rendering professional services and neither the publisher nor the author shall be liable for damages arising herefrom. If professional advice or other expert assistance is required, the services of a competent professional should be sought. Library of Congress Cataloging-in-Publication Data Names: Luo, Fa-Long, editor. | Zhang, Charlie, editor. Title: Signal processing for 5G : algorithms and implementations / edited by Fa-Long Luo, Charlie Zhang. Description: Chichester, West Sussex, United Kingdom : John Wiley & Sons Inc., [2016] | Includes bibliographical references and index. Identifiers: LCCN 2016010334| ISBN 9781119116462 (cloth) | ISBN 9781119116486 (epub) | ISBN 9781119116479 (Adobe PDF) Subjects: LCSH: Signal processing–Digital techniques–Mathematics. | Mobile communication systems–Standards. | Wireless communication systems–Standards. | Computer algorithms. Classification: LCC TK5102.9 .S5423 2016 | DDC 621.3845/6–dc23 LC record available at https://lccn.loc.gov/2016010334 A catalogue record for this book is available from the British Library. Set in 10/12pt, TimesLTStd by SPi Global, Chennai, India. 1 2016 k k

k Contents Preface List of Contributors Part I MODULATION, CODING AND WAVEFORM FOR 5G 1 An Introduction to Modulations and Waveforms for 5G Networks Stefano Buzzi, Alessandro Ugolini, Alessio Zappone and Giulio Colavolpe 1.1 Motivation and Background k 1.1.1 The LTE Solution: OFDM and SC-FDMA 1.2 New Modulation Formats: FBMC, GFDM, BFDM, UFMC and TFP Filter-bank Multicarrier Bi-orthogonal Frequency Division Multiplexing 1.2.1 1.2.2 Generalized Frequency Division Multiplexing 1.2.3 1.2.4 Universal Filtered Multicarrier 1.2.5 1.2.6 Time-frequency Packing Single-carrier Schemes 1.3 Waveform Choice 1.4 Discussion and Concluding Remarks References 2 2.1 2.2 Faster-than-Nyquist Signaling for 5G Communication John B. Anderson Introduction to FTN Signaling 2.1.1 Definition of FTN: FTN from Detection Theory 2.1.2 2.1.3 Time FTN: Receivers and Performance 2.2.1 2.2.2 2.2.3 2.2.4 The BCJR Algorithm and Iterative Decoding Binary Coded FTN Performance Four-level Coded FTN Summary The Shannon Limit for FTN Summary k k xvii xxv 3 3 6 7 7 10 13 14 15 18 19 20 22 24 25 26 31 32 32 33 36 38 41

k Contents vi 2.3 2.4 3 3.1 3.2 3.3 3.4 OFDM 41 41 44 44 45 46 47 47 49 49 51 53 55 56 60 61 62 63 64 65 65 66 67 69 69 72 74 75 79 80 82 85 87 88 90 91 93 93 95 97 k Frequency FTN Signaling 2.3.1 Definition of Frequency FTN 2.3.2 2.3.3 Summary of the Chapter References Implementation of Frequency FTN Summary From OFDM to FBMC: Principles and Comparisons Wei Jiang and Thomas Kaiser Introduction The Filter Bank 3.2.1 3.2.2 Polyphase Implementation The Synthesis Filters The Analysis Filters 3.4.1 Cyclic Prefix 3.4.2 Guard Band FBMC 3.5 3.6 Comparison of FBMC and Filtered OFDM 3.6.1 Classical Approaches to Sidelobe Suppression 3.6.2 3.6.3 Complexity Performance k 3.7 Conclusion References 4 4.1 4.2 Filter Bank Multicarrier for Massive MIMO Arman Farhang, Nicola Marchetti and Behrouz Farhang-Boroujeny System Model and FBMC Formulation in Massive MIMO 4.1.1 4.1.2 Self-equalization Property of FBMC in Massive MIMO 4.2.1 Numerical Study of Polyphase-based CMT in a Massive MIMO Channel 4.2.2 Numerical Study of FS-based CMT in a Massive MIMO Channel Polyphase-based CMT in Massive MIMO FS-based CMT in Massive MIMO 4.3 Comparison with OFDM 4.4 Blind Equalization and Pilot Decontamination 4.4.1 Simulation Results 4.5 Conclusion References 5 5.1 5.2 Bandwidth-compressed Multicarrier Communication: SEFDM Izzat Darwazeh, Tongyang Xu and Ryan C Grammenos Introduction SEFDM Fundamentals 5.2.1 5.2.2 Generation of SEFDM Signals 5.2.3 Detection of SEFDM Signals The Principle of SEFDM k

k Contents 5.3 Block-SEFDM Principle of Turbo-SEFDM Soft Detection Principle of Block-SEFDM Two-stage Signal Detection 5.3.1 5.3.2 Turbo-SEFDM 5.4.1 5.4.2 Practical Considerations and Experimental Demonstration 5.5.1 Channel Estimation 5.5.2 Summary References Experimental Demonstration Non-orthogonal Multi-User Superposition and Shared Access Yifei Yuan Introduction 6.1 6.2 Basic Principles and Features of Non-orthogonal Multi-user Access 6.2.1 Non-orthogonal Multi-user Superposition for Improved Spectral Efficiency 6.2.2 Non-orthogonal Multi-user Access for Massive Connectivity k 6.3 Downlink Non-orthogonal Multi-user Transmission 6.3.1 Direct Superposition without Gray Mapping 6.3.2 Superposition with Gray Mapping 6.4 Uplink Non-orthogonal Multi-user Access 5.4 5.5 5.6 6 6.5 7 LDS-CDMA/OFDM 6.4.1 6.4.2 SCMA 6.4.3 MUSA 6.4.4 PDMA Summary and Future Work References Non-Orthogonal Multiple Access (NOMA): Concept and Design Anass Benjebbour, Keisuke Saito, Anxin Li, Yoshihisa Kishiyama and Takehiro Nakamura Introduction 7.1 7.2 Concept 7.2.1 Downlink NOMA 7.2.2 Uplink NOMA 7.3 Benefits and Motivations 7.4 Interface Design 7.4.1 Downlink NOMA 7.4.2 Uplink NOMA 7.5 MIMO Support 7.5.1 Downlink NOMA 7.5.2 Uplink NOMA Performance Evaluations 7.6 k vii 97 97 98 102 102 103 106 106 109 112 112 115 115 116 117 119 121 121 121 129 129 131 132 138 140 142 143 143 145 145 147 148 150 150 151 153 153 156 157 k

k viii Contents 7.6.1 Downlink NOMA 7.6.2 Uplink NOMA 7.7 Conclusion References 8 Major 5G Waveform Candidates: Overview and Comparison Hao Lin and Pierre Siohan 8.1 Why We Need New Waveforms 8.2 Major Multicarrier Modulation Candidates 8.2.1 CP-OFDM Modulation 8.2.2 8.2.3 8.2.4 Subcarrier Filtered MCM using Linear Convolution Subcarrier Filtered MCM using Circular Convolution Subband Filtered MCM 8.3 High-level Comparison Spectral Efficiency Tail Issue Spectrum Confinement 8.3.1 8.3.2 8.3.3 8.3.4 Mobility 8.3.5 Latency 8.3.6 Modem Complexity 8.3.7 Compatibility with LTE 8.4 Conclusion List of acronyms References k Part II NEW SPATIAL SIGNAL PROCESSING FOR 5G 9 Massive MIMO for 5G: Theory, Implementation and Prototyping Ove Edfors, Liang Liu, Fredrik Tufvesson, Nikhil Kundargi and Karl Nieman Introduction 9.1 9.2 Massive MIMO Theory Linear Precoding Schemes 9.2.1 Downlink 9.2.2 9.2.3 Uplink 9.2.4 9.2.5 Channel Estimation Linear Detection Schemes 9.3 Massive MIMO Channels Existing Conventional MIMO Models 9.3.1 9.3.2 Necessary Model Extensions 9.3.3 A Massive MIMO Extension of the COST 2100 Channel Model 9.4 Massive MIMO Implementation Antennas and Analog Front-ends Baseband Processing Prototyping 9.4.1 9.4.2 9.4.3 9.4.4 Deployment Scenarios k 157 163 166 167 169 170 171 171 172 174 177 178 179 180 181 182 182 182 183 184 185 186 191 192 194 194 195 196 196 197 199 200 201 202 204 204 209 212 213 k

k k Contents 9.5 9.6 9.7 Streaming IO Rates Architecture and Functional Partitioning Antenna Array Testbed Design 9.5.1 Hierarchical Overview 9.5.2 9.5.3 9.5.4 9.5.5 Mechanical Structure and Electrical Characteristics of LuMaMi Testbed Synchronization Types of Synchronization 9.6.1 Future Challenges and Conclusion Acknowledgments References ix 214 216 219 220 223 223 224 224 227 228 228 10 Millimeter-Wave MIMO Transceivers: Theory, Design and Implementation 231 Akbar M. Sayeed and John H. Brady 10.1 Introduction 10.1.1 Millimeter-Wave MIMO Technology: Background and Promise 10.1.2 Organization 10.2 Overview of Millimeter-Wave MIMO Transceiver Architectures 10.3 Point-to-Point Single-User Systems 10.3.1 Sampled MIMO System Representation 10.3.2 Beamspace MIMO System Representation 10.3.3 Channel Modeling 10.3.4 Beam Selection: Low-dimensional Beamspace MIMO Channel 10.3.5 Optimal Transceiver 10.3.6 Beamspace MIMO Transceivers 10.3.7 Numerical Results 10.4 Point-to-Multipoint Multiuser Systems 10.4.1 Channel Model 10.4.2 Beamspace System Model 10.4.3 Beam Selection: Low-dimensional Channel 10.4.4 Multiuser Beamspace MIMO Precoders 10.4.5 Numerical Results 10.5 Extensions 10.6 Conclusion References 11 3D Propagation Channels: Modeling and Measurements Andreas F. Molisch 11.1 Introduction and Motivation 11.1.1 Full-dimensional MIMO 11.1.2 Fundamental Channel Descriptions 11.2 Measurement Techniques 11.2.1 Basic Channel Measurement Techniques 11.2.2 MIMO Sounders 11.2.3 Parameter Extraction Techniques 11.2.4 Ray Tracing 232 233 235 235 237 237 238 238 240 241 241 243 243 244 244 244 245 246 249 250 251 254 255 255 256 257 257 257 259 260 k k

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