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mmWave Massive MIMO: A Paradigm for 5G

mmWave Massive MIMO: A Paradigm for 5G

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mmWave Massive MIMO: A Paradigm for 5G

4.5/5 (8 ratings)
711 pages
47 hours
Dec 2, 2016


mmWave Massive MIMO: A Paradigm for 5G is the first book of its kind to hinge together related discussions on mmWave and Massive MIMO under the umbrella of 5G networks. New networking scenarios are identified, along with fundamental design requirements for mmWave Massive MIMO networks from an architectural and practical perspective.

Working towards final deployment, this book updates the research community on the current mmWave Massive MIMO roadmap, taking into account the future emerging technologies emanating from 3GPP/IEEE. The book's editors draw on their vast experience in international research on the forefront of the mmWave Massive MIMO research arena and standardization.

This book aims to talk openly about the topic, and will serve as a useful reference not only for postgraduates students to learn more on this evolving field, but also as inspiration for mobile communication researchers who want to make further innovative strides in the field to mark their legacy in the 5G arena.

  • Contains tutorials on the basics of mmWave and Massive MIMO
  • Identifies new 5G networking scenarios, along with design requirements from an architectural and practical perspective
  • Details the latest updates on the evolution of the mmWave Massive MIMO roadmap, considering future emerging technologies emanating from 3GPP/IEEE
  • Includes contributions from leading experts in the field in modeling and prototype design for mmWave Massive MIMO design
  • Presents an ideal reference that not only helps postgraduate students learn more in this evolving field, but also inspires mobile communication researchers towards further innovation
Dec 2, 2016

About the author

Shahid Mumtaz has more than 7 years of wireless industry experience and is currently working as Senior Research Scientist and Technical Manager at Instituto de Telecomunicações Aveiro, Portugal under 4Tell group. Prior to his current position, he worked as Research Intern at Ericsson and Huawei Research Labs in 2005 at Karlskrona, Sweden. He received his MSc and PhD degrees in Electrical & Electronic Engineering from Blekinge Institute of Technology (BTH) Karlskrona, Sweden and University of Aveiro, Portugal in 2006 and 2011, respectively. Dr Shahid MSc and PhD were funded by Swedish government and FCT Portugal. He has been involved in several EC R&D Projects (5GPP-Speed-5G, CoDIV, FUTON, C2POWER, GREENET, GREEN-T, ORCALE, ROMEO, FP6, and FP7) in the field of green communication and next generation wireless systems. In EC projects, he holds the position of technical manager, where he oversees the project from a scientific and technical side, managing all details of each work packages which gives the maximum impact of the project’s results for further development of commercial solutions. He has been also involved in two Portuguese funded projects (SmartVision & Mobilia) in the area of networking coding and development of system level simulator for 5G wireless system. Dr Shahid has several years of experience in 3GPP radio systems research with experience in HSPA/LTE/LTE-A and strong track-record in relevant technology field, especially physical layer technologies, LTE cell planning and optimization, protocol stack and system architecture. Dr Shahids research interests lie in the field of architectural enhancements to 3GPP networks (i.e., LTE-A user plan & control plan protocol stack, NAS and EPC), 5G related technologies, green communications, cognitive radio, cooperative networking, radio resource management, cross-layer design, Backhaul/fronthaul, heterogeneous networks, M2M and D2D communication, and baseband digital signal processing. Dr. Shahid has more than 60 publications in international conferences, journal papers and book chapters. He is serving as a Vice-Chair of IEEE 5G Standardization. In 2012, Shahid was awarded an "Alain Bensoussan" fellowship by the European Research Consortium for Informatics and Mathematics (ERCIM) to pursue research in communication networks for one year at the VTT Technical Research Centre of Finland. He is also an editor of three books and served as guest editor for a special issue in the IEEE Wireless Communications Magazine and IEEE Communication Magazine. Recently, he is appointed as permanent associate technical editor for IEEE Communication Magazine, IEEE Journal of IoT and Elsevier Journal of Digital Communication and Network. He has been on the technical program committee of different IEEE conferences, including Globecom, ICC, and VTC, and chaired some of their symposia. He was the workshop chair in many conferences and recipient of the 2006 IITA Scholarship, South Korea. Dr. Shahid is a Senior IEEE member.

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mmWave Massive MIMO - Shahid Mumtaz


Chapter 1

Introduction to mmWave massive MIMO

S. Mumtaz*; J. Rodriguez*; L. Dai†    * Instituto de Telecomunicações, Aveiro, Portugal

† Tsinghua University, Beijing, China


Wireless communication systems have historically undergone a revolution about once every decade (e.g., an entirely new standard). We are now thinking about 5G, which is at the exploratory research phase, with industry consensus hinting toward commercialization around 2020 with widespread adoption by 2025. The market is demanding that 5G should support a much higher system capacity (100–1000 ×) than current 4G systems, which are already close to the Shannon limit in point-to-point communication systems. To address the 5G design target, the information theory suggests that there are predominantly three key approaches to achieving the several orders of magnitude increase in system capacity: ultra-dense networks (UDN), large quantities of new bandwidth, and high spectrum efficiency. Fortunately, millimeter-wave (mmWave) massive MIMO provide a judicious way to harness all of these approaches to provide a wireless networking platform constituting a wireless network of small cells and providing very high speed data rate. This chapter aims to briefly introduce mmWave massive MIMO from a high level. Specifically, the requirements of key capabilities for future 5G recently defined by the International Telecommunication Union (ITU) will be introduced first. Then, the potential 5G network architecture based on mmWave massive MIMO that meets the harsh 5G requirements will be described, followed by the corresponding challenges for realizing mmWave massive MIMO. Finally, the structure and key contributions of this book will be summarized.


Wireless communication, 5G; mmWave massive MIMO

Chapter Outline

1.1 Requirements of Key Capabilities for 5G

1.2 5G Network Architecture Based on mmWave Massive MIMO

1.3 Challenges for mmWave Massive MIMO

1.4 Structure and Contributions of This Book


Wireless communication systems historically have undergone a revolution about once every decade (e.g., an entirely new standard), driven by a combination of market demands and technology advances. We are now thinking 5G at the exploratory research phase, with industry consensus hinting toward commercialization around 2020 with widespread adoption by 2025 [1]. The market is demanding that 5G should support much higher system capacity (100–1000 ×) than current 4G systems, which already are close to the Shannon limit in point-to-point communication systems [2].

To address the 5G design targets, the information theory suggests that there are predominantly three key approaches to achieve several orders of magnitude increase in system capacity [2,3]: (i) ultra-dense networks (UDNs): the network densification already has been adopted in existing 4G wireless cellular networks, which is essentially known as small cell technology, and a denser network can further boost the network capacity [4–6]; (ii) large quantities of new bandwidth: migrating toward higher frequencies will release a large amount of bandwidth available to achieve higher capacity. In particular, the millimeter-wave (mmWave, for carrier frequencies of 30–300 GHz) communications can be the promising candidate [7,8]; and (iii) high spectrum efficiency: by using a large number of antennas (100 or more), massive multiple-input multiple-output (MIMO) can significantly improve the spectrum efficiency by extensively harnessing the available space resources [9,10].

Individually, each of these approaches is expected to offer an order of magnitude or more increase in wireless system capacity compared to current 4G systems. Fortunately, these three approaches share a symbiotic convergence in many respects [3,6]: the very short wavelength of mmWave frequencies is attractive for massive MIMO because the physical size of the antenna array can be reduced significantly, smaller cell sizes are appealing for short-range mmWave communications, while the large antenna gains provided by massive MIMO is helpful to overcome the severe path loss of mmWave signals. Indeed, if there is a judicious way to harness all of these three approaches, then one could expect to achieve the 1000-fold increase in capacity for 5G. Taking a step in this direction, we already have mmWave technology that takes the fundamental design blueprints of MIMO technology, and pushes up the operating frequency to the mmWave band. This not only takes a step toward significantly enhancing the MIMO gain of the system, but also is able to somewhat compensate for the severe path loss of mmWave frequencies to allow realistic small cell sizes to exist within coverage areas of 200 m [7,8]. Therefore, a natural step would be to combine mmWave communications and massive MIMO in synergy to harness the properties of wide area coverage on demand and localized small cell hotspots through mmWave technology, leading to the notion of mmWave massive MIMO [3], which is expected to provide a wireless networking platform constituting a wireless network of small cells, providing very high-speed data rate.

Although the potential of mmWave massive MIMO is exciting, many challenges spanning the breadth of communications theory and engineering must be addressed before mmWave massive MIMO becomes a reality, e.g., the large number of antennas inevitably introduce very high or even unaffordable hardware complexity and power consumption [11], the estimation and feedback of the large dimension channel involve high overhead that significantly reduces the expected gain in spectrum efficiency [12]. This book aims to systematically address the major challenges of mmWave massive MIMO starting from antenna design, physical layer design, medium access control (MAC) layer design, network layer design, to experimental testing.

As the introduction of this book, this chapter is organized as follows. In Section 1.1, we briefly introduce the requirements of key capabilities for future 5G recently defined by the International Telecommunication Union (ITU) [1]. Then, in Section 1.2 we describe the potential 5G network architecture based on mmWave massive MIMO to meet the 5G harsh requirements, and the corresponding challenges for realizing mmWave massive MIMO are discussed in Section 1.3. Finally, we summarize the structure and key contributions of this book in Section 1.4.

1.1 Requirements of Key Capabilities for 5G

The 5G wireless network has not yet been standardized. In Sep. 2015, however, ITU defined the requirements of key capabilities for 5G by eight key performance indicators as shown in Fig. 1.1, where the baselines of current 4G are also compared [1].

Fig. 1.1 Requirements of key capabilities for 5G [ 1].

The requirements of eight key capabilities for 5G are described below [1].

• Peak data rate: The peak data rate of 5G is expected to reach 10 Gbit/s, compared with 1 Gbit/s for current 4G. Under certain conditions and scenarios, 5G would support up to 20 Gbit/s peak data rate.

• User experienced data rate: 5G would support different user experienced data rates covering a variety of environments. For wide area coverage cases, e.g., in urban and suburban areas, a user experienced data rate of 100 Mbit/s is expected to be enabled, compared with 10 Mbit/s in current 4G systems. In hotspot cases, the user experienced data rate is expected to reach higher values (e.g., 1 Gbit/s in indoor scenarios).

• Spectrum efficiency: The spectrum efficiency of 5G is expected to be three times higher than that of 4G. The achievable increase in efficiency compared with 4G will vary between scenarios and could be higher in some scenarios (e.g., five times or higher in hot spots).

• Mobility: 5G is expected to enable high mobility up to 500 km/h with acceptable quality of service (QoS), while current 4G is mainly designed to support the mobility up to 350 km/h. This is envisioned in particular for high-speed trains.

• Latency: 5G would be able to shorten the over-the-air latency from 10 ms in current 4G systems to 1 ms, so 5G should be capable of supporting services with very low latency requirements.

• Connection density: 5G is expected to support a connection density about 10 times higher than that of 4G—up to 10⁶/km², for example, in massive machine-type communication scenarios.

• Network energy efficiency: The energy consumption for the radio access network of 5G should not be greater than 4G networks deployed today, while delivering the enhanced capabilities. Therefore, the network energy efficiency should be improved by a factor at least as great as the envisaged traffic capacity increase of 5G relative to 4G, e.g., about 100 times higher network energy efficiency.

• Area traffic capacity: 5G is expected to support 10 Mbit/s/m² area traffic capacity, for example, in hot spots, which is about 100 times higher than 0.1 Mbit/s/m² for 4G.

It should be pointed out that, while all key capabilities may to some extent be important for many use cases, the relevance of certain key capabilities might be significantly different, depending on the use cases/scenarios. For example, in the enhanced mobile broadband scenario, user experienced data rate, area traffic capacity, peak data rate, mobility, energy efficiency, and spectrum efficiency all have high importance, but mobility and the user experienced data rate would not have equal importance simultaneously in all use cases, e.g., a higher user experienced data rate in hotspots, but a lower mobility would be required than that in the wide area coverage case [1].

1.2 5G Network Architecture Based on mmWave Massive MIMO

The information theory suggests that there are predominantly three key approaches [2,3] to address the 5G design targets presented above: UDNs, large quantities of new bandwidth (e.g., the mmWave band with large bandwidth), and high spectrum efficiency mainly contributed by massive MIMO.

Network densification via massive deployment of different types of cells such as macrocells, microcells, picocells, and femtocells is a key technique to enhance the network capacity, coverage performance, and energy efficiency. This cell densification approach already has been adopted in existing wireless cellular networks in particular LTE-Advanced (4G) systems, which essentially results in the multitier cellular heterogeneous networks (HetNets) [5]. Wireless HetNets also might comprise remote radio heads and wireless relays, which can further boost the network performance. It is anticipated that relaying and multihop communication will be among essential elements of the 5G wireless architecture, in contrast to the existing LTE-Advanced systems in which multihop communication is considered as an additional feature [4].

In general, radio resource management for HetNets plays a crucial role in achieving the benefits of this advanced network architecture [5]. Specifically, development of a resource allocation algorithm that efficiently uses radio resources, including bandwidth, power and antenna, while mitigating intercell and interuser interferences and ensuring acceptable QoS for active users, is one of the most critical issues. In addition, design and deployment of reliable backhaul networks that enable efficient resource management and coordination also are very important. It is believed that massive MIMO and mmWave technologies provide vital means to resolve many technical challenges of the future 5G HetNets [6], and they can be integrated seamlessly with the current networks and access technologies.

The deployment of the massive number of antennas at the transmitter and/or receiver can significantly enhance the spectrum and energy efficiency of the wireless network [9]. In a rich scattering environment, these performance gains can be achieved with simple beamforming strategies such as maximum ratio transmission or zero forcing [10]. Moreover, most of today's wireless systems operate at microwave frequencies below 6 GHz. The sheer capacity requirement of the next-generation wireless network inevitably would demand us to exploit the frequency bands above 6 GHz where the mmWave frequency ranging 30–300 GHz can offer huge spectrum, which is still underutilized [12]. Recent measurements at 28 and 38 GHz unveiled the potential for cellular communication at the lower end of the mmWave frequency: non-line-of-sight (LOS) communication is possible through reflections but with different path loss characteristics; rain losses are small for distances under 1 km [13]. Most importantly, as mmWave frequencies have extremely short wavelengths, it becomes possible to pack a large number of antenna elements in a small area, which consequently helps realize massive MIMO at both the base stations (BSs) and users.

In particular, mmWave frequencies can be used for outdoor point-to-point backhaul links or for supporting indoor high-speed wireless applications (e.g., high-resolution multimedia streaming). In fact, mmWave technologies already have been standardized for short-range services in IEEE 802.11ad. However, these frequencies have not been well-explored for cellular applications. Some potential reasons are the high propagation loss, penetration loss, rain fading, and the fact that these frequencies are absorbed easily or scattered by gases [13]. The massive deployment of small cells, such as pico and femto, in the future 5G HetNets renders the short-range mmWave technologies very useful. Therefore, the mmWave frequencies can be considered one of the potential technologies to meet the requirements of the 5G network. There are many possibilities to enable the 5G wireless HetNets based on mmWave massive MIMO. One such 5G network architecture is shown in Fig. 1.2, where we demonstrate how mmWave massive MIMO can be used in different parts of the future 5G wireless networks.

Fig. 1.2 Potential 5G network architecture based on mmWave massive MIMO.

The architecture of Fig. 1.2 employs both mmWave and microwave frequencies. To determine the operating frequency bands of different communications in Fig. 1.2, several factors might need to be considered, such as the regulatory issues, application, channel, and path loss characteristics of various frequency bands. In general, path loss increases as the carrier frequency increases. This observation leads to the utilization of microwave frequencies for long-range outdoor communications. In mmWave frequency bands, different frequencies have distinct behaviors. For example, naturally occurring oxygen (O2) absorbs electromagnetic energy to a much higher degree at 60 GHz than at 30–60 GHz. This absorption weakens (attenuates) 60 GHz signals over distance significantly; thus, the signals cannot reach faraway users. This makes the 60 GHz suitable for high data rate and secure indoor communications. Hence, selection of operating frequency depends on several factors such as application, different absorptions and blockages. Given these factors, however, there is a general consensus that mmWave frequency bands (30–300 GHz) can be useful for backhaul links, indoor, short range, and LOS communications.

Generally, the deployment of multiple antennas at the transmitter and/or receiver improves the overall performance of a wireless system. This performance improvement is achieved when the channel coefficients corresponding to different transmit-receive antennas experience independent fading. For a given carrier frequency, such independent fading channel is exhibited when the distance between two antennas is at least 0.5λ, where λ is the wavelength. Thus, for fixed spatial dimension, the number of deployed antennas increases as the carrier frequency increases, which consequently allows large number of antennas to be packed at mmWave frequencies. Moreover, the deployment of massive MIMO can be realized for different transportation systems such as trains and buses, even at microwave frequency bands because sufficient space is available to do so (i.e., as in Fig. 1.2). In recent years, three-dimensional (3D) and full-dimensional (FD) MIMO techniques have been promoted to increase overall network efficiency as they allow cellular systems to support a large number of users using multiuser MIMO techniques. Thus, massive MIMO and mmWave systems of the considered architecture also can be designed to be either 3D or FD. On the other hand, this architecture can support coordinated multipoint transmission where BSs are coordinated using either fiber or wireless backhauls. In addition, Fig. 1.2 incorporates a cell virtualization concept where the virtual cell can be defined either by the network (network centric) or the users (user centric), and also can be integrated as part of the cloud radio access network [14].

Moreover, massive MIMO is more likely to be standardized by 3GPP. To realize the advantages of using more antennas, the 3GPP RAN working groups recently have completed the standardization tasks of a new feature called FD-MIMO for LTE Release 13. In contrast to massive MIMO, mmWave is standardized by multiple international organizations, including ECMA, IEEE 802.15.3 Task Group 3c (TG3c), IEEE 802.11ad standardization task group, the Wireless HD consortium, and the Wireless Gigabit Alliance (WiGig) [15].

1.3 Challenges for mmWave Massive MIMO

The large available bandwidth and high spectrum efficiency certainly makes mmWave massive MIMO a promising choice to significantly improve overall system throughput for future 5G cellular networks. Such technology also would have advantages in terms of compact dimensions, energy efficiency, flexibility, and adaptivity, which make it ideal for a variety of picocell and femtocell applications. The following hurdles, however, must be considered carefully for the transition from microwave to mmWave frequencies.

• Received power: Let x be the transmitter and y be the receiver. Then, by neglecting small-scale variation, the received power Pxy(dis the distance between the transmitter and the receiver, λ denotes the wavelength, Gxy is the antenna gain and can be written as GxGy for single input single output (SISO) case or point-to-point MIMO case, and shadowing is well modeled by an independent random variable (RV) χ, where Gxy can be at least two orders of magnitude smaller than in a microwave system, and the shadowing RV χ(xyB) is mainly caused by the blockage B, which is often very large and not independent of other RVs [13].

• Total interference power: Let I be the total interference power at the typical point (the origin o. Interference is dominated by a few nearby ones, and a large number of interferers also might cause a background interference floor. However, for mmWave, most interferers, including nearby ones, will be attenuated strongly by randomly aligned antenna gain patterns, or experienced blockage. Thus, the interference distribution is not very distance dependent; instead it assumes an ON/OFF type of

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