5G信号处理：关键技术与系统提升

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xviii Preface

Part 1: Modulation, Coding and Waveform for 5G

The rst part, consisting of eight chapters, will present and compare the detailed algorithms

and implementations of all major candidate modulation and coding schemes for 5G, including

generalized frequency division multiplexing (GFDM), lter-bank multi-carrier (FBMC) trans-

mission, universal ltered multi-carrier (UFMC) transmission, bi-orthogonal frequency divi-

sion multiplexing (BFDM), spectrally efcient frequency division multiplexing (SEFDM), the

faster-than-Nyquist signaling (FTN) based time-frequency packing (TFP), sparse code mul-

tiple access (SCMA), multi-user shared access (MUSA) and non-orthogonal multiple access

(NOMA).

With a focus on FBMC, GFDM, UFMC, BFDM and TFP, Chapter 1 presents a compre-

hensive introduction to these waveform generation and modulation schemes by covering the

basic principles, mathematical models, step-by-step algorithms, implementation complexities,

schematic processing ows and the corresponding application scenarios involved.

Chapter 2 is devoted to the FTN data transmission method, with the emphasis on appli-

cations that are important for future 5G systems. What is explored in this chapter mainly

includes time-FTN methods with non-binary modulation and multi-subcarrier methods that

are similar in structure to OFDM. In either, there is an acceleration processing in time or com-

pacting in frequency that makes signal streams no longer orthogonal. FTN can be combined

with error-correcting coding structures to form true waveform coding schemes that work at

high-bit rates per Hertz and second. As a matter of fact, FTN based systems can potentially

double data transmission rates.

The technical evolution from OFDM to FBMC is addressed in Chapter 3, covering the

principles, algorithms, designs and implementations of these two schemes. This chapter rst

presents the details of OFDM-based schemes and the major shortcomings that prevent them

from being employed in 5G. Through introduction of synthesis and analysis lter banks, proto-

type lter design and the corresponding polyphase implementation, Chapter 3 then extensively

deals with the working principles of FBMC and compares it with OFDM in terms of perfor-

mance – power spectral density and out of band power radiation – and complexity – number

of fast Fourier transforms and lter banks. One can also see from this chapter that OFDM is a

special case of FBMC.

Easy and effective integration with massive multiple-input and multiple-output (MIMO)

technology is a key requirement for a modulation and waveform generation scheme in

5G. Chapter 4 demonstrates that FBMC can serve as a viable candidate waveform in the

application of massive MIMO. The chapter outlines the system model, algorithm formulation,

self-equalization property and pilot contamination of FBMC for massive MIMO channels,

and also shows that while FBMC offers the same processing gain as OFDM, it offers the

advantages of: more exible carrier aggregation (CA), higher bandwidth efciency – because

of the absence of cyclic prex (CP) – blind channel equalization and larger subcarrier

spacing, and hence less sensitivity to carrier frequency offset and lower peak-to-average

power ratio (PAPR).

Chapter 5 presents a non-orthogonal multicarrier system, namely, spectrally efcient fre-

quency division multiplexing (SEFDM), which packs subcarriers at a frequency separation less

than the symbol rate while maintaining the same transmission rate per individual subcarrier.

Thus spectral efciency is improved in comparison with the OFDM system. By transmitting

the same amount of data, the SEFDM system can conceptually save up to 45% bandwidth.

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Preface xix

This chapter also describes a practical experiment in which the SEFDM concept is evaluated

in a CA scenario considering a realistic fading channel. On the other hand, SEFDM involves

higher computation complexity and longer processing delays, mainly due to the requirement

for complex signal detection. This suggests that advanced hardware implementation is still

highly desirable, so as to make SEFDM a better t to 5G.

As pointed out in Chapter 6, non-orthogonal multi-user superposition and shared access is a

promising technology that can increase the system throughput and simultaneously serve mas-

sive connections. Non-orthogonal access allows multiple users to share time and frequency

resources in the same spatial layer via simple linear superposition or code-domain multiplex-

ing. This chapter overviews all major non-orthogonal access schemes, categorizing them into

two groups:

• the non-spreading methods, where modulation symbols are one-to-one mapped to the

time/frequency resource elements

• the spreading methods, where symbols are rst spread and then mapped to time/frequency

resources.

Their design principles, key features, advantages and disadvantages are extensively dis-

cussed in this chapter.

Chapter 7 is devoted to a new multiple access scheme, termed NOMA, which introduces

power-domain user multiplexing and exploits channel differences among users to improve

spectrum efciency. This chapter also explains the interface design aspects of NOMA, for

example multi-user scheduling and multi-user power control, and its combination with MIMO.

The performance evaluation and ongoing experimental trials of downlink and uplink NOMA

are reported. The simulation results and the measurements obtained from the testbed show that

under multiple congurations the cell throughput achieved by NOMA is 30% higher than that

of OFDMA.

With a tutorial style, Chapter 8 presents an overview of all the major multicarrier modulation

(MCM) candidates for 5G, categorizing them into three groups:

• subcarrier ltered MCM using linear convolution

• subcarrier ltered MCM using circular convolution

• subband windowed MCM.

General comparisons of these candidate algorithms are made in this chapter, covering PAPR,

OOB emission, processing and implementation complexity, spectrum efciency, the require-

ment of CP, intercarrier interference, intersymbol interference, multipath distortion, orthogo-

nality and the related effects of frequency offset and phase noise, synchronization requirements

in both the time domain and the frequency domain, latency, mobility, compatibility and inte-

gration with other processing such as massive MIMO.

Part 2: New Spatial Signal Processing for 5G

The ve chapters in Part 2 focus on new spatial signal processing technologies for 5G, mainly

addressing massive MIMO, full-dimensional MIMO (FD-MIMO), three-dimensional MIMO

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xx Preface

(3D-MIMO), adaptive 3D beamforming and diversity, continuous aperture phased MIMO

(CAP-MIMO) and orbital angular momentum (OAM) based multiplexing. Chapter 9 mainly

deals with the principle, theory, algorithm, design, testing, implementation and prototyping on

advanced computing and processing platforms for the massive MIMO technique, which will

certainly be employed in 5G standards. Core processing blocks, such as downlink precoding,

uplink detection and channel estimation, are reviewed rst, after which the emphasis is put

on the various hardware implementation issues of massive MIMO, covering radio frequency

(RF) front-end calibration, baseband processing, synchronization analyses, testbed design and

system prototyping, as well as the corresponding deployment scenarios.

Design and implementation of massive MIMO transmission and reception, which uses mil-

limeter wave (mmWave) bands, is presented in Chapter 10. More specically, this chapter

proposes a framework for the design, analysis, testing and practical implementation of a new

MIMO transceiver architecture: CAP-MIMO. Using the concept of beam-space MIMO com-

munication – multiplexing data into multiple orthogonal spatial beams in order to optimally

exploit the spatial antenna dimension – CAP-MIMO combines the directivity gains of tradi-

tional antennas, the beam-steering capability of phased arrays, and the spatial multiplexing

gains of MIMO systems to realize the multi-GBps capacity potential of mmWave technology,

as well as the unprecedented operational functionality of dynamic multibeam steering and data

multiplexing.

Chapter 11 mainly deals with the modeling and measurement of 3D propagation chan-

nels, which play very important roles in designing and implementing an FD-MIMO and

3D-beamforming system. This chapter rst presents the fundamental channel descriptions

and then provides advanced measurement and modeling techniques for 3D propagation

channels. The related measurement results and theoretical analyses for those propagation

effects that signicantly inuence 3D channel behaviors are also outlined. This chapter

can serve as a good start for modeling and measuring many other propagation channels

arising in application scenarios such as the outdoor-to-indoor scenario and high-density-user

scenario.

From theory to practice, all technical aspects of the massive-antenna-based 3D-MIMO

techniques are addressed in Chapter 12, with the emphasis on performance evaluation. More

specically, this chapter evaluates the performance of 3D-MIMO with massive antennas by

system-level simulation, using practical assumptions and a channel model, and by eld trials,

with a commercial terminal and networks. In addition, extensive comparisons and analyses

of the system-level simulation results and the eld-trial test measurements are provided. It is

shown that an active antenna system (AAS) can make a good compromise between cost and

performance by integrating the active transceivers and the passive antenna array into one unit.

This suggests that the AAS can be considered key to commercialization of 3D-MIMO with

massive antennas in future 5G systems.

Chapter 13 presents a comprehensive introduction to the basic concept of the OAM of

electromagnetic (EM) waves and its applications in wireless communication. It covers the

generation, detection of multiplexing and demultiplexing of OAM beams, as well as analyses

of the propagation effects in OAM channels. As reported in this chapter, OAM-based multi-

plexing can increase the system capacity and spectral efciency of wireless communication

links by transmitting multiple coaxial data streams. Moreover, OAM multiplexing can also be

combined with the polarization multiplexing and the traditional spatial multiplexing to further

improve system performance in terms of the capacity and spectral efciency.

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Preface xxi

Part 3: New Spectrum Opportunities for 5G

Organized into four chapters, Part 3 is devoted to signal processing algorithms and their imple-

mentation for 5G, taking advantage of new spectrum opportunities, such as the mmWave

band and full-duplex (FD) transmission. Chapter 14 provides an overview of the building

of a mmWave proof of concept (PoC) system for 5G, covering the RF front end, real-time

control, analog-to-digital and digital-to-analog converters, distributed multiprocessor control

and baseband processing implementation. Some important requirements of a exible proto-

typing platform are discussed in this chapter, along with the software and hardware system

architecture needed to enable high-throughput, high-bandwidth applications such as mmWave

radio access technology for 5G. For the purpose of showing how to handle design and imple-

mentation challenges, a case study of the design of a mmWave PoC system on the basis of a

commercial off-the-shelf platform is provided in this chapter as well.

Chapter 15 focuses on mmWave channel modeling and also discusses other signal process-

ing problems for mmWave communication in 5G. Two approaches to meet the requirements

of the 5G mmWave channel model are presented in this chapter, namely:

• an enhanced 3GPP-spatial channel model

• a ray-propagation-based statistical model.

Using understanding and analyses of the mmWave channel characteristics, this chapter pro-

vides system-design considerations for 5G mmWave band radio access technology and key

signal processing technologies related to 5G mmWave communications, including beam acqui-

sition, channel estimation and interference handling.

The general principles and basic algorithms of FD transmission are given in Chapter 16,

which explains FD system requirements, self-interference cancellation (SIC) techniques,

implementation challenges, impairment mitigation and hardware integration with MIMO. FD

operation offers not only the potential to double spectral efciency (bits/second/Hz) but also

improvement of the reliability and exibility of dynamic spectrum allocation. Meanwhile,

SIC is the key to making FD a reality. With the emphasis on signal processing aspects of SIC,

this chapter outlines four SIC techniques:

• passive self-interference (SI) suppression in the propagation domain

• active SIC in the analog domain

• active SIC in the digital domain

• auxiliary chain SIC.

Chapter 17 provides an overview of state-of-the-art SI mitigation and cancellation

techniques for multi-antenna in-band FD communication, including bidirectional and relay

transmission. Design and implementation of FD transceivers is described through concrete

examples, notably passive isolation, RF cancellation and nonlinear and adaptive digital

cancellation. In the nal part of Chapter 17, a demonstration of the in-band full-duplex

transceiver is given. The demonstration combines the antenna design with RF and digital

cancellation in a relay case, showing that overall SI suppression of nearly 100-dB – down to

the noise level – can be achieved, even when using regular low-cost components.

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xxii Preface

Part 4: New System-level Enabling Technologies for 5G

Part 4 consists of four chapters, which address all the new system-level enabling technologies

for 5G, including cloud radio access network (C-RAN), device-to-device (D2D) communi-

cation and ultradense networks (UDN). In Chapter 18, major signal processing issues for

C-RAN are rst reviewed and then the emphasis is moved to two key baseband signal pro-

cessing steps, namely channel estimation in the uplink and channel encoding/linear precoding

in the downlink. Together with theoretical analyses and numerical simulations, the chapter

outlines the corresponding algorithms for joint optimization of baseband fronthaul compres-

sion and baseband signal processing under different PHY functional splits, whereby uplink

channel estimation and downlink channel encoding/linear precoding are carried out either at

remote radio heads or at the baseband unit.

Motivated by the consideration that energy efciency is one of the drivers of 5G networks,

Chapter 19 addresses the problem of power allocation for energy efciency in wireless interfer-

ence networks. This is formulated as the maximization of the network global energy efciency

with respect to all of the user equipment’s transmit power, and a solution to the problem using

sequential fractional programming algorithms is outlined. As pointed out at the beginning of

this chapter, D2D communication is being considered as one of the key ingredients of 5G wire-

less networks. Therefore, the use of the sequential fractional programming algorithms in a 5G

cellular system with D2D communication is described, including algorithm details, theoretical

analyses and numerical simulations.

Chapter 20 is devoted to ultradense networks (UDNs), which are considered to be one of

the paramount and dominant approaches to meet the ultra-high trafc volume, density and

capacity required for 5G. All of the major technology challenges for deployment and operation

of UDN are addressed in this chapter, including site acquisition and expenditure, network

operation and management, interference management, mobility management and backhaul

resources. Key technologies presented include network coordination, interference mitigation

or cancellation-based receivers, dual connectivity, virtual cell, virtual layer, mobility anchor

and handover command diversity, as well as joint time and frequency synchronization.

The scope of Chapter 21 is to provide a thorough analysis and discussion of the radio

resources management (RRM) aspects of UDNs, with the emphasis on centralized optimiza-

tion problem modeling and solving. By rst presenting a series of mathematical models and

programming algorithms for optimal RRM decisions and then applying these algorithms to

potential UDN system setups, the chapter explores rate-performance trends as a function of

infrastructure densication, as well as the impact of individual RRM dimension optimization

on overall performance. It is shown that optimal RRM serves as a key enabler for getting the

most of the resource reuse and proximity benets offered by UDNs.

Part 5: Reference Design and 5G Standard Development

Serving as a practical implementation reference design example and a proof of concept, the

real-time prototyping of an FD communication system for 5G is described in Chapter 22,

which rst reviews major self-interference cancellation schemes and then presents the details

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