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Ultra-dense network (UDN) has been considered as a
promising candidate for future 5G network to meet the explosive
data demand. To realize UDN, a reliable, Gigahertz bandwidth,
and cost-effective backhaul connecting ultra-dense small-cell base
stations (BSs) and macro-cell BS is prerequisite. Millimeter-wave
(mmWave) can provide the potential Gbps traffic for wireless
backhaul. Moreover, mmWave can be easily integrated with
massive MIMO for the improved link reliability. In this article,
we discuss the feasibility of mmWave massive MIMO based
wireless backhaul for 5G UDN, and the benefits and challenges
are also addressed. Especially, we propose a digitally-controlled
phase-shifter network (DPSN) based hybrid precoding/combining
scheme for mmWave massive MIMO, whereby the low-rank
property of mmWave massive MIMO channel matrix is leveraged
to reduce the required cost and complexity of transceiver with
a negligible performance loss. One key feature of the proposed
scheme is that the macro-cell BS can simultaneously support
multiple small-cell BSs with multiple streams for each smallcell
BS, which is essentially different from conventional hybrid
precoding/combining schemes typically limited to single-user
MIMO with multiple streams or multi-user MIMO with single
stream for each user. Based on the proposed scheme, we further
explore the fundamental issues of developing mmWave massive
MIMO for wireless backhaul, and the associated challenges,
insight, and prospect to enable the mmWave massive MIMO
based wireless backhaul for 5G UDN are discussed.

- LTE Mimo Mode
- 4-5_090911_introduction of Lte-A Mimo_tta Imt-Adv Ws_v1
- thesis_Tomi_Johansson.pdf
- Massive MIMO
- 31May2012_LTE.pdf
- 08 Fo_fc3146_e01_1 Zte Lr14 Lte Fdd Qos Feature Guide
- Cac Tai Lieu Can Tham Khao Ve MIMO
- WIRE_CONWIRE.pdf
- 04_TM51174EN01GLA2_mimo
- MIMO_Cellular_Gorokhov.pdf
- 15_Sayeed_P
- Handout Lecture 6
- Optical Spatial Modulation
- 1
- LTE-MIMO1
- 5G
- Towards the Fifth-generation Innovation Process
- 13.IJAEST Vol No 7 Issue No 1 Capacity Enhancement of MIMO System Using Water Filling Model 092 097
- PCWorld April 2018
- 5g sran

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for 5G Ultra-Dense Network

Zhen Gao, Linglong Dai, De Mi, Zhaocheng Wang, Muhammad Ali Imran, and Muhammad Zeeshan Shakir

promising candidate for future 5G network to meet the explosive

data demand. To realize UDN, a reliable, Gigahertz bandwidth,

and cost-effective backhaul connecting ultra-dense small-cell base

stations (BSs) and macro-cell BS is prerequisite. Millimeter-wave

arXiv:1508.03940v3 [cs.IT] 27 Nov 2015

backhaul. Moreover, mmWave can be easily integrated with

massive MIMO for the improved link reliability. In this article,

we discuss the feasibility of mmWave massive MIMO based

wireless backhaul for 5G UDN, and the benefits and challenges

are also addressed. Especially, we propose a digitally-controlled

phase-shifter network (DPSN) based hybrid precoding/combining

scheme for mmWave massive MIMO, whereby the low-rank

property of mmWave massive MIMO channel matrix is leveraged

Fig. 1. MmWave massive MIMO based wireless backhaul for 5G UDN.

to reduce the required cost and complexity of transceiver with

a negligible performance loss. One key feature of the proposed

scheme is that the macro-cell BS can simultaneously support many ultra-dense small-cell BSs with much smaller coverage

multiple small-cell BSs with multiple streams for each small- provide the high data rate for low-mobility users. Due to ultra-

cell BS, which is essentially different from conventional hybrid dense small-cell BSs, better frequency reuse can be achieved,

precoding/combining schemes typically limited to single-user

MIMO with multiple streams or multi-user MIMO with single and energy efficiency can be also substantially improved due

stream for each user. Based on the proposed scheme, we further to the reduced path loss in small cells [1].

explore the fundamental issues of developing mmWave massive To enable UDN, a reliable, cost-effective, and Gigahertz

MIMO for wireless backhaul, and the associated challenges, bandwidth backhaul connecting macro-cell BS and the asso-

insight, and prospect to enable the mmWave massive MIMO ciated small-cell BSs is prerequisite. It has been demonstrated

based wireless backhaul for 5G UDN are discussed.

that backhaul with 1∼10 GHz bandwidth is required to ef-

Index Terms—Ultra-dense network (UDN), mmWave back- fectively support UDN [2]. Conventional optical fiber enjoys

haul, massive MIMO, precoding/combining. large bandwidth and reliability, but its application to UDN as

I. I NTRODUCTION backhaul may not be an economical choice for operators due to

the restriction of deployment and installation. Hence, wireless

T HE explosive traffic demand is challenging current cellu-

lar networks, including the most advanced 4G network.

It has been the consensus that future 5G network should

backhaul, especially millimeter-wave (mmWave) backhaul, is

more attractive to overcome the geographical constraints. The

advantages of mmWave backhaul are:

realize the goals of thousand-fold system capacity, hundred-

• A large amount of underutilized band in mmWave can be

fold energy efficiency, and tens of lower latency. To realize

such aggressive 5G version, ultra-dense network (UDN) has leveraged to provide the potential Gigahertz transmission

been considered as a promising system architecture to enable bandwidth, which is different from scarce microwave

Gbps user experience, seamless coverage, and green commu- band in conventional cellular networks [3].

• A large number of antennas can be easily employed for

nications [1].

In UDN, as shown in Fig. 1, the macro-cell base stations mmWave communications due to the small wavelength

(BSs) with large coverage usually control the user scheduling, of mmWave, which can improve the signal directivity

resource allocation, and support high-mobility users, while (reduce the co-channel interference) and link reliability

(mitigate the large path loss) for mmWave backhaul [4].

Z. Gao, L. Dai, and Z. Wang are with Tsinghua National Laboratory This article combines mmWave with a large number of

for Information Science and Technology (TNList), Department of Electronic

Engineering, Tsinghua University, Beijing 100084, P. R. China (E-mails: gao- antennas, which is also referred to as mmWave massive

z11@mails.tsinghua.edu.cn; {daill, zcwang}@tsinghua.edu.cn). MIMO, to provide wireless backhaul for future 5G UDN. The

D. Mi and M. A. Imran are with Institute for Communication Systems contributions of this article are listed as follows:

(ICS), Home of 5G Innovation Center (5GIC), University of Surrey, Guildford,

UK (E-mails: {d.mi, m.imran}@surrey.ac.uk). • We discuss the feasibility and challenges of the mmWave

M. Z. Shakir is with the Department of Electrical and Computer Engineer- massive MIMO based backhaul for UDN, where its

ing, Texas A&M University at Qatar (TAMUQ), Education City, P.O. Box

23874, Doha, Qatar (E-mail: muhammad.shakir@qatar.tamu.edu). advantages, differences compared with conventional mas-

This work was supported in part by the International Science & Technology sive MIMO working at sub 3∼6 GHz for radio access

Cooperation Program of China (Grant No. 2015DFG12760), the National Nat- networks (RAN) are also addressed. Moreover, the spar-

ural Science Foundation of China (Grant No. 61201185 and 61271266), the

Beijing Natural Science Foundation (Grant No. 4142027), and the Foundation sity of mmWave massive MIMO channels is stressed.

of Shenzhen government. • We explore key issues and potential research directions

2

of the cost-effective mmWave massive MIMO for UDN B. MmWave Massive MIMO is Different from Microwave

backhaul. Especially, a digitally-controlled phase-shifter Massie MIMO

network (DPSN) based hybrid precoding/combining and

Inheriting the advantages from conventional microwave

the associated compressive sensing (CS) based channel

massive MIMO, mmWave massive MIMO has the flexi-

estimation is proposed.

ble beamforming, spatial multiplexing, and diversity. Hence

• We address the benefits of the wireless backhaul for 5G

mmWave massive MIMO brings not only the improved relia-

UDN with the technique of mmWave massive MIMO,

bility of backhaul link, but also new architecture of backhaul

which may provide a viable approach to realize the novel

network including the flexible network topology, scheduling

backhaul network topology, scheduling strategy, efficient

scheme, which will be further detailed in Section VI. However,

in-band backhaul in mmWave.

compared with conventional microwave (sub 3∼6 GHz) mas-

sive MIMO used for RAN, the implementation of mmWave

II. F EASIBILITY AND C HALLENGES OF M M WAVE massive MIMO also brings challenges as follows.

M ASSIVE MIMO FOR W IRELESS BACKHAUL IN 5G UDN • First, the cost and complexity of transceiver including

high-speed analog-digital converters (ADCs) and digital-

In UDN, small cells are densely deployed in hotspots (e.g., analog converters (DACs), synthesizers, mixers, etc., in

office buildings, shopping malls, resident apartments) with mmWave communications are much larger than that in

high data rate to provide traffic offload from macro cells, conventional microwave communications. Hence, mas-

since the large majority of traffic demand comes from these sive low-cost antennas but a limited number of expensive

hotspots. Hence, the backhaul between the macro-cell BS and baseband (BB) chains can be an appealing transceiver

the associated small-cell BSs should provide large bandwidth structure for mmWave massive MIMO, which, however,

with reliable link transmission. Besides, power efficiency and challenges conventional precoding/combining schemes.

deployment cost are also key considerations for operators. • Second, the number of antennas in mmWave at both

macro and small-cell BSs can be much larger than that in

A. MmWave is Suitable for Wireless Backhaul in 5G UDN conventional microwave massive MIMO due to the much

smaller wavelength of mmWave. This implies the chal-

Traditionally, mmWave is not used for RAN in existing lenge that channel estimation in mmWave massive MIMO

cellular networks due to its high path loss and expensive can be more difficult even when time division duplex

electron components. However, mmWave is especially suitable (TDD) leveraging the channel reciprocity is considered.

for backhaul in UDN due to the following reasons. Even for TDD-based mmWave communications, the syn-

• High Capacity and Inexpensive: The large amount of chronization and calibration error of radio frequency (RF)

underutilized mmWave including unlicensed V-band (57- chains to guarantee the channel reciprocity are not trivial

67GHz) and lightly licensed E-band (71-76GHz and 81- [5].

86GHz) (the specific regulation may vary from country to • Third, since single-antenna users are typically considered

country) can provide the potential Gigahertz transmission in microwave massive MIMO due to the limited form fac-

bandwidth [3]. For example, more than one Gbps back- tor, only channel state information at transmitter (CSIT)

haul capacity can be supported over 250 MHz channel in is required for precoding. However, for mmWave massive

E-band [2]. MIMO where each small-cell BS can be equipped with

• Immunity to Interference: Transmission distance comfort massive antennas, precoding in the uplink and combining

zone for E-band is up to several kilometers due to the in the downlink at small-cell BSs are also necessary,

rain attenuation, while that for V-band is about 500- since precoding/combining can effectively support multi-

700m due to both the rain and oxygen attenuation. Owing ple streams and directional transmission for the improved

to the high path loss, mmWave is suitable for UDN, link reliability. Therefore, channel state information at

where the improved frequency reuse and reduced inter- receiver (CSIR) is also required for mmWave massive

cell interference are expected. It should be pointed out MIMO, which indicates another challenge that channel

that rain attenuation is not a big issue for mmWave estimation acquired in the uplink by leveraging the chan-

used in UDN. If we consider the very heavy rainfall of nel reciprocity should also be feedback to small-cell BSs.

25mm/hr, the rain attenuation is only around 2 dB in E-

band if we consider the distance of backhaul link is 200m III. M M WAVE C HANNEL C HARACTERISTICS

in typical urban UDN [3].

• Small Form Factor: The small wavelength of mmWave As discussed above, the mmWave massive MIMO based

implies that massive antennas can be easily equipped backhaul is apt to the transceiver with the limited number of

at both macro and small-cell BSs, which can improve BB chains. Compared with microwave massive MIMO using

the signal directivity and compensate severe path loss of full digital precoding, precoding/combining with the smaller

mmWave to achieve larger coverage in turn [4]. Hence number of BB chains than that of antenna elements can make

the compact mmWave backhaul equipment can be easily mmWave massive MIMO suffer from a certain performance

deployed with low cost sites (such as light poles, building loss, which is largely dependent on the propagation condition

walls, bus stations) and short installation time. of mmWave massive MIMO channels.

3

T

√1

j2πd sin(θ )/λ

NT

1, e l

, · · · , ej2π(NT −1)d sin(θl )/λ and

1

j2πd sin(ϕ )/λ j2π(N −1)d sin(ϕ )/λ

T

bR (ϕl ) = √N 1, e l

,··· ,e R l

R

are steering vectors at the transmitter and receiver,

respectively, AT = [aT (θ1 ) |aT (θ2 ) | · · · |aT (θL )],

∗

BR = [bR (ϕ1 ) |bR (ϕ2 ) | · · · |bR (ϕL )] , and the diagonal

$

matrix D = diag {α1 , α2 , · · · , αL }, where λ and d are

wavelength and antenna spacing, respectively.

B. Low-Rank Property of MmWave Massive MIMO Channels

!

The spatial/angular sparsity of mmWave channels with

"

small L (e.g., 3∼5) and massive MIMO channel matrix with

$

large NT , NR (dozens even hundreds) implies that mmWave

# ≈ massive MIMO channel matrix has the low-rank property [7].

For example, Fig. 2 provides the energy probability distribu-

tion of singular values of H with descending order against

Fig. 2. Energy probability distribution of singular values with descending different L’s, where NT = 512, NR = 32, and path gains fol-

order of mmWave massive MIMO channel matrix versus different L’s, where

NT = 512 and NR = 32. low the independent and identically distributed (i.i.d.) complex

Gaussian distribution. It can be observed that the mmWave

A. MmWave Channels with Spatial/Angular Sparsity massive MIMO channel matrix has the obvious low-rank

Extensive experiments have shown that mmWave massive property. If we consider single user (SU)-MIMO with CSIT

MIMO channels exhibit the obviously spatial/angular sparsity for precoding and CSIR for combining, the low-rank channel

due to its high path loss for non-line-of-sight (NLOS) signals, matrix indicates that the number of effective independent

where only a small number of dominated multipaths (typi- streams which can be exploited is small. Theoretical analysis

cally, 3∼5 multipaths in realistic environments [6]) consist of has shown that the capacity of MIMO systems over sparse

mmWave MIMO multipath channels. If we consider the widely mmWave channels appears ceiling effect with the increased

used uniform linear array (ULA), the point-to-point mmWave number of BB chains [7]. Hence, we can leverage the finite

massive MIMO channel can be modeled as [6] number of BB chains to maximize the backhaul capacity over

s

L

s sparse mmWave channels, where the number of BB chains can

NT NR X NT NR be as small as the effective rank of mmWave massive MIMO

H= αl aT (θl ) b∗R (ϕl )= AT DB∗R ,

ρ ρ channel matrix.

l=1

(1)

IV. K EY I SSUES OF D ESIGNING M M WAVE M ASSIVE

where NT and NR are the numbers of transmit and receive

MIMO FOR 5G UDN BACKHAUL

antennas, respectively, ρ is the average path loss, L is the

number of multipaths, αl is the complex gain of the lth A. Hybrid Precoding/Combining Design

path, θl ∈ [0, 2π] and ϕl ∈ [0, 2π] are azimuth angles of In order to realize the reliable point-to-multiple-points

departure or arrival (AoD/AoA). In addition, aT (θl ) = (P2MP) backhaul link, mmWave massive MIMO for UDN

PA LNA

!

…

!

! … !

…

… …

!

… …

! … ! !

… … … … … … … …

… … …

…

! … ! !

… … …

Fig. 3. Comparison of precoding/combining schemes, where PA denotes power amplifier and LNA denotes low-noise amplifier: (a) Analog pre-

coding/combining scheme in mmWave multi-antenna systems; (b) Digital precoding in microwave massive MIMO for RAN; (c) Conventional hybrid

precoding/combining in mmWave massive MIMO for RAN; (d) Proposed DPSN based hybrid precoding/combining for mmWave massive MIMO in UDN

backhaul.

4

backhaul should exploit the flexible beamforming and spatial the following iterative approach to acquire Pd,k and Pa,k

multiplexing to simultaneously support multiple small-cell that can minimize kPk − Pd,k Pa,k kF with the constraint

BSs and provide multiple streams for each small-cell BS, that elements in Pa,k are constant modulus. We initialize

which challenges conventional precoding/combining schemes. that P̃k ← Pk . Then, we perform the following operations

1) Overview of Existing Precoding/Combining Schemes: iteratively until Pa,k and Pd,k converge: 1) every element of

Conventional mmWave multi-antenna systems utilize single Pa,k has the same phase with the corresponding element in

RF chain and analog (e.g., ferrite based) phase-shifters for P̃k ; 2) Pd,k ← Pk (Pa,k )† , 3) P̃k ← (Pd,k )† Pk . Note that

†

precoding/combining as shown in Fig. 3 (a), but it is limited Pa,k always meets the constraint of constant modulus and ()

to SU-MIMO with single stream. Full digital precoding in mi- is the Moore-Penrose pseudoinverse. Similarly, we can acquire

crowave massive MIMO, as shown in Fig. 3 (b), can simultane- Cd,k and Ca,k according to Ck with the same approach.

ously support multiple single-antenna users, i.e., MU-MIMO, Besides, some power allocation strategies such as waterfilling

but it requires one specific RF chain to be connected to each can be integrated in the digital baseband precoding/combining

antenna, which can be unaffordable in mmWave communi- to further improve the achievable capacity.

cations [7]. Recently, the hybrid precoding/combining scheme Furthermore, consider the downlink MU-MIMO, where the

consisting of analog and digital precoding/combining as shown channel matrix between macro-cell BS and K small-cell BSs

Ma Sm

in Fig. 3 (c), has been proposed for mmWave massive MIMO can be denoted as H ∈ CNa ×KNa , and it can be repre-

∗

with the reduced cost and complexity of transceiver. However, sented as H= [H1 |H2 | · · · |HK ] with Hk ≈ U1k Σ1k Vk1 for

state-off-the-art hybrid precoding/combining schemes are usu- 1 ≤ k ≤ K according to (2). Hence we further obtain

ally limited to SU-MIMO with multiple streams or multi-user

H ≈ U11 |Un12 | · · · |U1K × diag Σ11 , Σ12 ,o· · · , Σ1K

(MU)-MIMO with single stream for each user [4], [6]–[8]. ∗ ∗ (3)

1 ∗

× diag V11 , V21 , · · · , VK

2) Proposed DPSN Based Hybrid Precoding/Combining: ,

Multi-User and Multi-Stream: To support multi-user and

where Hk for 1 ≤ k ≤ K are assumed to share the same

multi-stream, we propose the DPSN based hybrid precod-

effective rank Rk = R. For precoding/combining in the

ing/combining scheme as shown in Fig. 3 (d), which can effec-

proposed MU-MIMO system, the analog precoding matrix at

tively reduce the cost and complexity of transceiver. Specifi- T Ma

macro-cell BS is Pa = PTa,1 |PTa,2 | · · · |PTa,K ∈ CKR×Na ,

cally, consider the macro-cell BS has NaMa antennas but NBB Ma

Ma Ma and the analog and digital combining matrices for the kth

BB chains, where Na ≫ NBB , while each small-cell BS

small-cell BS can be Ca,k and Cd,k , respectively. To further

has NaSm antennas but NBB Sm

BB chains, where NaSm ≫ NBB Sm

.

the multi-user interference, digital precoding Pd =

eliminate

The number of simultaneously supported small-cell BSs is K. −1

Ma Sm

Hk ∈ CNa ×Na with NaMa > NaSm denotes the mmWave P̃d Pa Ũ is proposed at the macro-cell BS, where P̃d =

diag {Pd,1 , Pd,2 , · · · , Pd,K } and Ũ = U11 |U12 | · · · |U1K .

massive MIMO channel matrix associated with the macro-cell

BS and the kth small-cell BS, and it can be expressed as The precoding/combining in the uplink of mmWave massive

follows according to singular value decomposition (SVD): MIMO based backhaul is similar to the downlink, which will

1 not be detailed in this article owing to the space limitation.

1 2 Σk 02

∗

Vk1

∗ The proposed precoding/combining scheme can diagonal-

Hk = Uk |Uk 0 Σk 2 ∗ ≈ U1k Σ1k Vk1 ,

Vk ize the equivalent channel Pd Pa Hdiag {C1 , C2 , · · · , CK }

0 0

with Ck = Ca,k Cd,k to realize multi-user and multi-stream

Ma Ma ∗ (2) transmission, which is essentially different from existing

where both U1k |U2k ∈ CNa ×Na and Vk1 |Vk2

∈

Sm Sm schemes. Moreover, thanks to the obvious low-rank property

CNa ×Na are unitary matrices, Σ1k ∈ CRk ×Rk and Σ2k ∈

of mmWave massive MIMO channel matrix as shown in Fig.

C(Na −Rk )×(Na −Rk ) are diagonal matrices whose diagonal

Sm Sm

elements are singular values of Hk , and Rk is the effective of BB chains only suffers from a negligible performance loss,

rank of Hk . The approximation in (2) is due to the low-rank which will be shown in Section V.

Ma

property of Hk with Σ2k ≈ 0, so that U1k ∈ CNa ×Rk and

∗ Sm

Vk1 ∈ CRk ×Na . B. CSI Acquisition for MmWave Massive MIMO

Ma Sm

Eq. (2) indicates that NBB and NBB can be reduced to To effectively realize the proposed DPSN based hybrid pre-

Rk in SU-MIMO due to only Ns = Rk effective independent coding/combining scheme, a reliable CSI acquisition scheme

∗ Moreover, we can use the precoding matrix Pk =

streams. with low overhead is another challenge.

U1k and the combining matrix Ck = Vk1 to effectively real- 1) Challenging Channel Estimation for MmWave Massive

ize the independent multi-stream transmission [9]. To achieve MIMO: As we have discussed in Section II-B, mmWave

this goal, we can use the emerging low-cost silicon-based SiGe massive MIMO may suffers from the prohibitively high over-

and CMOS based programmable DPSN [10] to realize partial head for channel estimation, and calibration error of RF

precoding/combining in the analog RF. With the cascade of chains as well as synchronization are also not trivial in TDD.

the digital precoding matrix Pd,k ∈ CRk ×Rk (or combin- Additionally, due to the much smaller number of BB chains

ing matrix Cd,k ∈ CRk ×Rk ) and analog precoding matrix than that of antennas, the effective dimensions that can be

Ma Sm

Pa,k ∈ CRk ×Na (or combining matrix Ca,k ∈ CNa ×Rk ), exploited for channel estimation will be substantially reduced

we can use Pd,k Pa,k (or Ca,k Cd,k ) to approximate Pk although massive antennas are employed. Furthermore, chan-

(or Ck ). Consider the precoding for instance, we can use nel estimation in the digital baseband should consider the

5

Fig. 4. CS-based channel estimation for mmWave massive MIMO based UDN backhaul: (a) Coarse channel estimation; (b) AoA and path gains estimation

at small-cell BS; (c) AoD and path gains estimation at macro-cell BS.

characteristics of phase-shifter networks at both macro-cell • Phase 1: coarse channel estimation, as illustrated in

BS and small-cell BSs, which can make it more complex. Fig. 4 (a), aims to acquire partial CSIT to generate

Finally, due to the strong signal directivity of mmWave, the appropriate beamforming patterns for the following

reliable channel estimation requires the sufficient received fine channel estimation with the improved received sig-

signal power, which means at least partial CSIT is necessary nal power. Specifically, the macro-cell BS sequentially

to ensure beamforming at the transmitter to match mmWave broadcasts LMa predefined beamforming patterns in LMa

MIMO channels. successive time slots, while in every time slot, each small-

2) Overview of Existing Channel Estimation Schemes: cell BS sequentially receives signal with LSm combining

Wireless local area networks (WLANs) (IEEE 802. 11ad) patterns in LSm successive sub-time slots. Then each

relies on the beamforming training to compensate the large small-cell BS feedbacks the indices of several optimal

path loss in 60 GHz [7]. The specific training consists of three beamforming/combining patterns to the macro-cell BS.

phases: 1) sector level sweep is to select the best transmit • Phase 2: channel estimation at small-cell BS, as shown

and optionally receive antenna sector; 2) beam refinement is in Fig. 4 (b), aims to estimate AoA and path gains at

used for fine adjustment of beamforming; 3) beam tracking each small-cell BS. The macro-cell BS performs beam-

can adjust beamforming during data transmission. In wireless forming according to the feedback, while the kth small-

personal area networks (WPANs) (IEEE 802.15.3c), codebook cell BS estimates AoA and path gains by exploiting the

is designed in scenarios of indoor communications with the finite rate of innovation (FRI) theory (analog CS) [11].

small number of antennas [7], where the beamforming protocol With the aid of the predefined training signals S ∈

Sm Ma

is similar to that in IEEE 802. 11ad. However, both of CTgain ×NBB , the received signals at the small-cell BS is

them only consider the analog beamforming (precoding). [6] SPd Pa AT DB∗R Ca Cd according to (1), where the index

proposed an hierarchical multi-resolution codebook based Sm

k is omitted, Tgain is the time overhead. Since DPSN

channel estimation for hybrid precoding/combining scheme. can disable some phase-shifters to set some elements

However, the proposed scheme may suffer from the destructive of Ca to be zeros, the AoA and path gains estimation

interference between the path gains when multiple paths are can be solved by the specific algorithms of FRI theory,

summed up in the earlier stages of the proposed algorithm [6]. e.g., estimating signal parameters viarotational invariance

3) Proposed CS-Based Channel Estimation for MmWave techniques (ESPRI) algorithm [11].

Massive MIMO: Some unique features of mmWave massive • Phase 3: channel estimation at macro-cell BS, as shown

MIMO channels can be leveraged to alleviate the challenging in Fig. 4 (c), aims to estimate AoD and path gains at the

problem of channel estimation. macro-cell BS. The specific procedure is similar to Phase

• Due to the fixed BSs location, mmWave massive MIMO 2, where the kth small-cell BS transmits training signal

channels used for backhaul keep almost unchanged for a while the macro-cell BS estimates channels.

long time. Such long coherence time of channels indicates The FRI theory [11] can be used to accurately acquire the

that channels are not necessary to be estimated very super-resolution estimation of AoA/AoD to effectively dis-

frequently compared with that used for RAN. tinguish multiple paths with small angular difference, which

• The low-rank property of mmWave massive MIMO can also relax the required resolution of the beamforming

channel matrix indicates that although the dimension of patterns in coarse channel estimation. According to the esti-

mmWave massive MIMO channel matrix can be huge, its mated parameters and Eq. (1), both macro-cell BS and small-

effective degrees of freedom (DoF) can be small. This in- cell BSs can acquire the complete CSI for the following

spires us to reconstruct channel matrix with significantly precoding/combining.

reduced measurements (sub-Nyquist sampling) under the 4) Other Issues of Channel Estimation: There still remains

framework of CS [11]. some problems to be investigated further, such as the optimal

By leveraging these features, we propose a CS-based chan- beamforming/combining patterns in coarse channel estimation

nel estimation scheme as illustrated in Fig. 4, which consists [6], [7], training signals for AoA/AoD and path gains esti-

of the following three phases: mation [8], low-complexity high-accuracy CS-based channel

6

!" !"

# $ % !" # $ % !"

( (

# $ % % && '$ ( & &

) # $ % % && '$ ( & )

&

( (

# $ % % && '$ ( & &

* # $ % % && '$ ( & *

&

+ &

+ &

', -

', -

Fig. 5. Capacity comparison between the proposed hybrid precoding/combining scheme and the optimal full digital one: (a) Kfactor = 0 dB; (b)

Kfactor = 10 dB.

estimation algorithms, effective channel feedback scheme, To realize mmWave massive MIMO based backhaul, the cost

dynamic channel tracking to combat sudden blockage or slow of conventional high-speed ADC with high resolution can be

channel changes. For instance, the microwave control link with unaffordable, while low-resolution ADC with low hardware

only limited resource can be used to feedback the estimated cost is appealing. By far, 1-bit ADC based signal detector

parametric AoA/AoD, since the number of AoA/AoD is typ- and precoding/combining have been investigated for mmWave

ically 3∼5 [6]. Regarding the CS-based channel estimation massive MIMO [7], [12]. However, further efforts are still

algorithm, in addition to FRI theory, other CS approaches needed to generalize the associated results of 1-bit to more

such as low-rank matrix reconstruction are expected to be tai- general cases, and constellation mapping, channel estimation,

lored for mmWave massive MIMO with low complexity [11]. training signals, etc., may need to be reconsidered if low-

Besides, the proposed channel estimation scheme (including resolution ADC is adopted.

the coarse channel estimation and the following estimation of

AoA/AoD and path gains) is used to initially build the UDN V. P ERFORMANCE C OMPARISON

backhaul link, where the latency can be negligible. Once the Fig. 5 compares the capacity (bit per channel use, bpcu) of

backhaul link is built, only the estimation of AoA/AoD and the proposed DPSN based hybrid and the optimal full digital

path gains is required to track the channels and then adjust precoding/combining schemes in the downlink, where both

the corresponding precoding/combining, where the training the waterfilling power allocation and equal-power allocation

sequences and data can be multiplexing in the time domain, are investigated. In simulations, ULA is considered at both

so the latency can be also negligible. macro and small-cell BSs, the working frequency is 60 GHz,

C. Low-Complexity Hybrid Precoding/Combining for K = 4, NaMa = 512, and NaSm = 32. For the optimal full

Sm

MmWave massive 3D MIMO digital scheme, NBB = NaSm and NBB Ma

= NaMa , where the

For UDN in urban area, the precoding/combining scheme ideal CSIT and CISR are assumed as the upper bound of

Sm Ma

for mmWave massive 3D MIMO can exploit both azimuth and capacity. In the proposed scheme, NBB = 4 and NBB = 16,

elevation to achieve the improved performance for backhaul where cases of ideal CSI known by transceiver and unideal CSI

link. Hence, ULA based hybrid precoding/combining scheme acquired by the proposed CS-based channel estimation scheme

and the associated channel estimation proposed in this article are considered. For mmWave massive MIMO channels, L in

should be extended to mmWave massive 3D MIMO in the simulations follows the discrete uniform distribution Ud [2, 6],

future. Additionally, SVD and waterfilling may impose higher and AoA/AoD follow the continuous uniform distribution

computational complexity on the hybrid precoding/combining Uc [0, 2π). For path gains, we consider Rican fading consisting

in the 3D MIMO. Therefore, low-complexity hybrid precod- of one LOS path and L − 1 equal-power NLOS paths, where

ing/combining schemes are desired for practical system design. path gains follow the mutually independent complex Gaussian

For instance, the spatial/angular sparsity of mmWave massive distribution with zero means, and Kfactor denotes the ratio

MIMO channels and the geometric structure of mmWave between the power of LOS path and the power of NLOS path.

massive 3D MIMO may be exploited to reduce the complexity Fig. 5 shows that the proposed hybrid scheme with ideal

of SVD, while other sub-optimal power allocations can be CSIT and CSIR suffers from a negligible capacity loss com-

considered to approach the performance of waterfilling with pared with the optimal full digital scheme, although the

much low complexity. proposed scheme only uses a much smaller number of BB

chains. This is because the proposed scheme exploits the low-

D. Sampling with Low-Resolution ADC rank property of mmWave massive MIMO channel matrix,

Small cells in future UDN can provide the Gbps user where capacity exhibits ceiling effect when the number of

experience, which requires the large transmission bandwidth. BB chains are sufficiently large. Moreover, with the increased

7

Sm

Tgain , capacity of the proposed scheme with CS-based chan- interference. Moreover, since the asymmetric traffic is domi-

nel estimation approaches that with the ideal CSI. This is nant in backhaul network, TDD can flexibly adjust the ratio of

because the increased number of measurements can improve time slots in the uplink and downlink according to the traffic

the channel estimation performance. Besides, schemes with requirement [5]. For the practical TDD mmWave massive

waterfilling power allocation outperform these with equal- MIMO based backhaul, the adaptive interference management

power allocation, which indicates that waterfilling or other is desired to avoid mutual interference of different operators’

power allocations should be considered in practical system UDN, and automated configuration solutions are expected for

design for the improved backhaul capacity. the plug-and-play backhaul network, especially for unlicensed

V-band. While for licensed E-band, spectrum regulation needs

VI. B ENEFITS AND O PPORTUNITIES OF M M WAVE

to be further improved.

M ASSIVE MIMO BASED BACKHAUL N ETWORK

A. Point-to-Multiple-Points Backhaul VII. C ONCLUSIONS

In conventional wireless backhaul network, point-to-point This article discusses a promising wireless backhaul based

(P2P) and P2MP are two typical network topologies. A general on mmWave massive MIMO for future 5G UDN. We have

consensus is P2MP has the lower total cost of ownership explored the fundamental issues of the implementation of the

than that in P2P [2]. By far, P2P has been widely used mmWave massive MIMO for wireless backhaul. Especially,

in both microwave and mmWave backhaul systems, while by leveraging the low-rank property of mmWave massive

P2MP has been implemented in sub 6 GHz licensed band. MIMO channel matrix, we propose the DPSN based hybrid

However, there are no satisfactory P2MP based backhaul precoding/combining scheme and the associated CS-based

solutions in mmWave, which is urgently desired by industry. channel estimation scheme. The proposed scheme can guar-

In this article, the proposed mmWave massive MIMO based antee the macro-cell BS to simultaneously support multiple

wireless backhaul enables a macro-cell BS to simultaneously small-cell BSs with multiple streams for each small-cell BS.

support multiple small-cell BSs, which can provide the viable This is essentially different from conventional hybrid pre-

approach to realize the P2MP backhaul in mmWave. coding/combining used for RAN. The proposed scheme can

provide the viable approach to realize the desired P2MP back-

B. Beam Division Multiplex (BDM) Based Scheduling haul topology and novel BDM based scheduling, and it may

Time division multiplex (TDM) based scheduling has been also facilitate the in-band backhual in mmWave. Additionally,

proposed for mmWave based backhaul [2]. However, this some potential research directions to enable mmWave massive

scheme may suffer from the latency, since backhaul links MIMO based wireless backhaul are highlighted, which may

between different small-cell BSs and macro-cell BS are mul- become active research topics in near future.

tiplexing in different time slots. In this article, the proposed R EFERENCES

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