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4, APRIL 2017 1859

Common Codebook Millimeter Wave Beam Design:

Designing Beams for Both Sounding and
Communication With Uniform
Planar Arrays
Jiho Song, Student Member, IEEE, Junil Choi, Member, IEEE, and David J. Love, Fellow, IEEE

Abstract Fifth generation wireless networks are expected to characteristics of mmWave links are suitable for reducing
utilize wide bandwidths available at millimeter wave (mmWave) interuser interference in multiuser channels. However, the
frequencies for enhancing system throughput. However, the higher expected path loss caused by the high carrier frequency,
unfavorable channel conditions of mmWave links, such as, higher
path loss and attenuation due to atmospheric gases or water atmospheric gases, and water vapor absorption result in severe
vapor, hinder reliable communications. To compensate for these link quality degradation. The unfavorable channel conditions
severe losses, it is essential to have a multitude of antennas to at mmWave frequencies necessitate utilizing highly directional
generate sharp and strong beams for directional transmission. transmission with a large beamforming gain.
In this paper, we consider mmWave systems using uniform planar The small wavelengths of mmWave frequencies allow a
array (UPA) antennas, which effectively place more antennas
on a 2-D grid. A hybrid beamforming setup is also considered large number of antennas to be implemented in a small
to generate beams by combining a multitude of antennas using form factor on access points and devices. Phased array trans-
only a few radio frequency chains. We focus on designing a mit/receive architectures, such as a uniform linear array (ULA)
set of transmit beamformers generating beams adapted to the or uniform planar array (UPA), using high-resolution beam-
directional characteristics of mmWave links assuming a UPA forming are usually considered for mmWave systems [6].
and hybrid beamforming. We first define ideal beam patterns for
UPA structures. Each beamformer is constructed to minimize the Due to their simplicity, systems using ULAs have been widely
mean squared error from the corresponding ideal beam pattern. studied for use at mmWave frequencies [7][15]. UPAs are
Simulation results verify that the proposed codebooks enhance now being considered due to their higher space efficiency,
beamforming reliability and data rate in mmWave systems. obtained by packing antennas on a two-dimensional (2D)
Index Terms Millimeter wave communications, hybrid grid [13]. UPAs can also facilitate three-dimensional (3D)
beamforming, codebook design algorithm, uniform planar array. beamforming that takes advantage of both elevation and
azimuth domain beamforming to efficiently mitigate interuser
I. I NTRODUCTION interference and eventually increases system capacity [16].
In this paper, we thus consider UPAs to take the advantage
W IRELESS broadband systems operating in the millime-
ter wave (mmWave) spectrum are thought to be a prime
candidate to provide the system throughput enhancements
of the 2D antenna structures.
Millimeter wave systems having a large number of antennas
may not be able to use baseband beamforming techniques
needed for fifth generation (5G) wireless networks [2][5]. The
requiring one radio frequency (RF) chain per antenna due
wide bandwidths available at mmWave frequencies can be an
to the high cost and power consumption [4], [5]. Therefore,
attractive alternative to the sub-6GHz frequencies employed
mmWave systems based on analog beamforming relying upon
in most of todays cellular networks. Also, the directional
a single RF chain have been reported in [7][12]. Although
Manuscript received June 16, 2016; revised October 25, 2016 and an analog beamforming architecture can be implemented
January 15, 2017; accepted January 28, 2017. Date of publication February 7, with inexpensive transmit amplifiers, the envelope constraints
2017; date of current version April 14, 2017. This work was supported in part
by the National Science Foundation (NSF) under grant CNS1642982 and the placed on the transmitted signals may result in a loss of
ICT R&D program of MSIP/IITP. [2017(B0717-17-0002), Development of beamforming gain [8], [17]. To develop mmWave systems
Integer-Forcing MIMO Transceivers for 5G & Beyond Mobile Communica- operating under modest hardware requirements, we consider
tion Systems]. This paper was presented at the ICC, London, U.K., in 2015 [1].
The associate editor coordinating the review of this paper and approving it hybrid beamforming techniques using a few RF chains wired
for publication was D. I. Kim. to sets of phase shifters [12][15].
J. Song and D. J. Love are with the School of Electrical and Computer Current cellular systems construct the transmit beamformer
Engineering, Purdue University, West Lafayette, IN 47907 USA (e-mail:; based on the channel state information (CSI) at the transmit-
J. Choi is with the Department of Electrical Engineering, POSTECH, ter, which often is only available through receiver feedback.
Pohang 37673, South Korea (e-mail: In feedback-assisted frequency division duplexing architec-
Color versions of one or more of the figures in this paper are available
online at tures, it is essential for the receiver to estimate the CSI
Digital Object Identifier 10.1109/TCOMM.2017.2665497 using downlink pilot signals [18][20]. In large-scale mmWave
0090-6778 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See for more information.

systems, it may be difficult to explicitly estimate the CSI simulation results and discussions in Section V verify that the
due to the large number of resources required for training proposed codebooks generate the most practical beam patterns,
each antenna [19], [20]. Channel estimation algorithms relying which are suitable to the codebook-based beam alignment
on compressed sensing techniques [14], [21][23] could be approaches.
suitable for mmWave downlink training. However, compressed The remainder of this paper is organized as follows.
sensing techniques need stringent sparsity requirements to be In Section II, we describe a mmWave system with hybrid
satisfied. beamforming and define the beam region of interest (beam
The high dimensionality of a mmWave channel necessi- region). In Section III, we define the ideal beam pattern by
tates utilizing a more intuitive channel estimation algorithm. considering a UPA structure and the directional characteristics
For this reason, mmWave systems may use beam alignment of mmWave links. In Section IV, a practical codebook design
approaches that choose the transmit beamformer without esti- algorithm is proposed for mmWave systems based on prede-
mating the channel matrix explicitly [7][11]. In codebook- fined ideal beam patterns. In Section V, simulation results are
based beam alignment approaches, it is desirable to share presented to verify the performance of the proposed codebook.
a single common codebook for both channel sounding and Section VI details our conclusions.
data transmission. However, sounding and data transmission Throughout this paper, C denotes the field of complex
enforce conflicting design requirements on the beams in the numbers, R denotes the field of real numbers, CN (m, 2 )
codebook. For example, data transmission beams should ide- denotes the complex normal distribution with mean m and
ally be narrow to allow for maximum beamforming gain when variance 2 , [a, b] is the closed interval between a and b,
properly aligned, but channel sounding beams should ideally U(a, b) denotes the uniform distribution in the closed interval
be wide to sound a wide geographic area with small overhead. [a, b], (a) is the -th entry of the column vector a, 1a,b is the
In addition, the codebook size must be small to ensure minimal a b all ones matrix, I N is the N N identity matrix,   is
system overhead. the ceiling function, E[] is the expectation operator, is the
The design of a common codebook satisfying the conflicting indicator function,   p is the p-norm,  is the Hadamard
design requirements as well as validating practical mmWave product, and is the Kronecker product. Also, A H , A , Aa,b ,
systems has been studied in [1], [8], [14]. Previous code- Aa,: , A:,b , vmax {A} denote the conjugate transpose, element-
book design algorithms are typically optimized for particular wise complex conjugate, (a, b)t h entry, a t h row, b t h column,
vector subspaces characterized by ULA structures. However, and principal eigenvector of the matrix A, respectively.
codebooks for mmWave systems employing UPAs should
be designed to sound a wide geographic area as well as
to facilitate a large beamforming gain. In addition, adaptive II. S YSTEM M ODEL
beam alignment approaches mostly utilize a multitude of A. System Model
hierarchical codebooks [8], [10], [13], [14]. This necessitates
design guidelines for multi-resolution codebooks that capture We consider a multiple-input single-output (MISO) system1
the channel characteristics of UPAs. operating in the mmWave spectrum. The transmitter employs
In this paper, we propose a practical codebook design M = Mh Mv transmit antennas, which are controlled by N
algorithm that utilizes the strong directivity of mmWave RF chains (N M), and the receiver has a single receive
links. The codebook design algorithm is developed assuming antenna [14], [15]. This hybrid beamforming configuration
hybrid beamforming at the transmitter. Based on Parsevals is shown in Fig. 1. The transmit array is laid out in a grid
theorem, we first derive conditions that impose constraint pattern with Mh columns and Mv rows, as shown in Fig. 2.
on a beamformers beam pattern assuming a UPA structure. The horizonal and vertical elements are spaced uniformly with
To develop a codebook design criterion, we next study ideal separations dh and dv , respectively [6].
beam patterns by utilizing the analytical studies. The codebook Assuming a block fading channel, the input-output expres-
is designed such that each beamformer minimizes the mean sion for data transmission is
squared error (MSE) between the codebooks beam pattern .
and the corresponding ideal beam pattern. To access a fea- y = h H cs + n, (1)
sible solution satisfying the proposed design guideline, we
where y is the received signal, is the transmit signal-to-noise
formulate an optimization problem that can produce a set
ratio (SNR), c C M is the unit norm transmit beamformer
of candidate beamformers. The orthogonal matching pursuit
h C M is the block fading mmWave channel, s C is the
(OMP) algorithm [24], [25] is then used to compute each
transmit symbol subject to the constraint E[|s|2 ] 1, and
candidate beamformer, satisfying a power constrained hybrid
n CN (0, 1) is the additive white Gaussian noise (AWGN).
beamforming setup. The final beamformer accomplishing the
In most beam alignment approaches, the transmit beam-
MSE minimization objective will be chosen among the set
former for data transmission is chosen from a sounding
of beamformer candidates for each ideal beam pattern. It is .
codebook C = c1,1 c Q h ,Q v consisting of Q = Q h Q v
validated analytically that all other beamformers in the code-
book can be generated from one optimized beamformer, which
1 For multiple-input multiple-output (MIMO) systems, we also need to per-
can expedite offline codebook construction. Although the ULA
form beam alignment at the receiver as in [7], [8]. Although we discuss only
codebooks in [8], [14] can be extended to UPAs similar beamformer design at the transmitter for simplicity, the proposed codebook
to the 2D Kronecker product (KP) codebook in [26], the design algorithm can be used to construct combiners at the receiver as well.

phases [8]. Each element phase m in (3) is then chosen from

the set of 2 B quantized phases
Z2 B = 0, 2/2 B , , 2(2 B 1)/2 B . (4)

The weight vector v combining the columns of F performs

beamforming at baseband without equal gain constraints, while
the combination of F and v is subject to the constraint
Fv22 = 1.

B. Vector Subspace for mmWave Channels

For the UPA scenario, the mmWave channel is modeled
by the combination of a line-of-sight (LOS) path and a few
non-line-of-sight (NLOS) paths as [27][29]

Fig. 1. An overview of a mmWave system with hybrid beamforming. h= 0 d M (h0 , v0 )
1+ K
+ r d M (hr , vr ), (5)
R(1 + K )

where K is the Ricean K -factor, r CN (0, 1) is the

complex channel gain, R is the number of NLOS paths, and
d M (hr , vr ) = d Mh (hr ) d Mv (vr ) C M (6)

is the r -th normalized beam defined by the KP of array

Fig. 2. The structure of the uniform planar array considered in this paper. response vectors3
. 1  T
d Ma (ar ) = 1, e j ar e j (Ma 1)ar C Ma (7)
beamformers.2 To sound the mmWave channel, the codewords Ma
{c1,1 c Q h ,Q v } are transmitted one-by-one such as with hr = 2d 2dv
sin hr cos vr and vr = sin vr , where

sounding ar is the angle of departure (AoD) [6]. Note that a {h, v}

yq, p = h H cq, p + n q, p ,
denotes both horizontal and vertical domains.
where q {1, . . . Q h }, p {1, . . . , Q v } Note that yq, p
is Millimeter wave channels are expected to have a large
the ((q 1)Q v + p)-th channel observation in the given fading Ricean K -factor that is matched with a strong channel direc-
block and n q, p CN (0, 1) is AWGN. The beamformer for tivity [4], [31], [32]. Therefore, we consider a vector subspace
data transmission is then given by c = cq, p with defined by a single dominant beam,4 i.e., an array manifold
 sounding2 A = a : a = Md M (h , v ), (h , v ) B , (8)
(q, p) = arg max(q, p)Q  yq, p  , (2)
. where B denotes the set of beam directions5 in both horizontal
where Q = {1, , Q h } {1, , Q v }. and vertical domains. Then, we need to define proper B to
When implemented, the unit norm transmit beamformer
. design good codebooks.
c = Fv C M is formed using a combination of an analog Since the array response vector is periodic such as
beamsteering matrix F = f1 , , f N C MN consisting of
N unit norm beamsteering vectors and a baseband beamformer d Ma (a + 2) = d Ma (a ),
v C N . An analog beamsteering vector fn is realized by a set .
of RF phase shifters, which is modeled by requiring that the the entire beam region is bounded as Be = [, )[, ).
vector lie in the equal gain subset We next define the set of possible beam directions that
  actually characterizes the array manifold in (8). We consider
E2 B = f C M : f m = e j m / M, m Z2 B , (3) an AoD distributed as (h , v ) [ 2 , 2 )[ 4 , 4 ) assuming

where m {1, , M}, m is the phase of the each entry of 3 For simplicity, we do not consider the electromagnetic interaction between
the equal gain vector f = [ f 1 , , f M ]T . To impose practical deployed antennas [30]. If we define the effective array response vector taking
limitations on the analog beamforming hardware, we assume the electromagnetic mutual couplings into account, the proposed approach can
be directly applied to generate practical beam patterns that consider the mutual
that a digitally-controlled RF phase shifter generates quantized coupling between deployed antennas.
4 Although we mainly focus on designing a codebook for a single dominant
2 Because it is possible to easily deploy a large number of transmit antennas, beam, we also consider channels consisting of multiple NLOS paths for
we assume that Q < M in order to ensure minimal system overhead for beam numerical simulations.
alignment. 5 We call the 2D geometric model of the vector subspace as a beam region.

Fig. 3. Two-dimensional beam region under UPA scenario. Fig. 4. Target region of interest for each beamformer.


sectorized cellular systems. The beam region is then defined
as To use a common codebook for both channel sounding and

 data transmission, beamformers should be designed to generate

Bs = 2dh /, 2dh / 2dv /, 2dv / . beam patterns satisfying the following criteria:
1) Each beamformer should cover a wide geographic area to
As defined in (7), the beam direction in h domain is a reduce sounding overhead.
function of not only h but also v . Considering the paired 2) Each beamformer should have high and uniform gain over a
ranges in the horizontal and vertical domains together, the desired beam region to maximize SNR and quality of service.
possible range of beam directions are bounded for a given To provide design guidelines for practical beamformers that
AoD v as satisfy the above criteria, it is necessary to design beam
patterns having uniform beamforming gains inside the beam
|h|v | 2dh cos v /, v|v = 2dv sin v /.
region (to meet the quality of service requirement) as well
Under the assumption of dh = dv = d, the bounds in both as having no beamforming gain outside the beam region
domains give (to maximize SNR, minimize beam misalignment, and reduce
interference). We will refer to these beam patterns as ideal
+ v|
(2d/)2 . (9) beam patterns throughout the paper.7
Assuming a uniform distribution of users, we equally divide
The beam region is thus defined by considering a feasible set the beam region Bs in (10) into Q = Q h Q v subspaces. To
of beam directions,6 which satisfy the condition in (9), over offer the same quality of service over the coverage region, each
all possible AoDs v beamformer is designed to generate a beam pattern that covers
.   its target beam region. As depicted in Fig. 4, the beam region
Bc = (h , v ) Bs : h2 + v2 (2d/)2 . defined for the corresponding beamformer cq, p is formed by
We now take a closer look at the beam region Bc . In Fig. 3, the combination of the q-th and p-th ranges in the horizontal
the patterned areas Bs \Bc excluded from Bc (which describes and vertical domains as
the pairing effect between the horizontal and vertical domains) Bq, p = h,q v, p (11)
are negligible compared to the main area. For simplicity,
we develop a codebook design algorithm without taking into where the b-th range in the domain a {h, v} is defined as
account the pairing between horizontal and vertical domains. .
a,b = aB + ba + [0, a ). (12)
For the assumption of d = /2, the beam directions are .
simplified as a = sin a , and the beam region is bounded Note that ba = (b 1) a is the shifted beam direction, and
as a = 2a /Q a is the beam-width of a beamformer.

Each beamformer satisfying the second criterion has to


Bs = hB , hB vB , vB (10) generate higher reference gains for its target beam region as
well as generate smaller reference gains for the rest of the
with hB = , and vB = / 2. Finally, we define the array beam region. Note that the reference gain is defined as
manifold by setting B = Bs in (8). . 
H 2
G(h , v , c) =  d Mh (h ) d Mv (v ) c .
6 In case of d = d , the beam region is defined by an ellipse such as
h v
7 The term ideal does not mean the considered beam patters are globally
. h2 v2
Bc = (h , v ) Bs : + 1 . optimal beam patterns.
(2 dh /)2 (2 dv /)2

Before developing the ideal, but unachievable in practice, In the following lemma, we define the non-zero reference gains
beam patterns, we first discuss a constraint condition that is that achieve an upper bound of the expected data rate.
subject to any beam patterns in the following lemma. Lemma 2: An ideal beam pattern having identical non-zero
Lemma 1: The integral with respect to the beam pattern reference gain
over Be = [, ) [, ) is
q, p (h , v ) = M Bq, p (h , v ),
  G ideal
(2)2 . .
G(h , v , c)dh dv = where = h v and a = /aB for a {h, v}, satisfies
the upper bound of the expected data rate
for any unit norm vector c C M .  
h22 Q
Proof: The integration of the reference gain is Rup = log2 1 + .
Proof: Assuming uniform distribution of dominant beam
G(h , v , c)dh dv
directions, the data rate is averaged with respect to the
   2 uniformly distributed beam directions (h , v ) Bq, p . For
 Mh j (1) H  dh dv
=  e h d Mv (v )c  a conditioned on h22 , the expected data rate is bounded as

M h 
   Mh 2 R = E log2 1 + h22 t (h , v )  h22
 j (1) Mv
 dh dv 

=  j (1m)v
(c )m 
Bq, p log2 1 + h2 t (h , v ) dh dv
e h e 2
 M M
=1 h v = 

M h   2 Bq, p dh dv
(b) 2  Mv  
=  j (1m)v
(c )m  dv  h22 
B t (h , v )dh dv
 e (a)
M log2 1 +  q, p
=1 m=1
Mv Bq, p dh dv
(c) (2)  
= |(c )m |2 (b) h22 (2)2
M = log2 1 +
=1 m=1 M h v
(2)2 .
= , where a = 2aB /Q a is defined in (12). Note that (a) is
derived based on Jensens inequality and (b) is derived based
where (a) is derived because c = [c1T , , cTMh ]T , c C Mv on the constraint in (13). The equality in (a) holds if the
and (b), (c) are derived based on the Parsevals theorem [8] t (h , v ) is uniform over Bq, p according to
  2 (2)2
 M j (m1)  t (h , v ) = = Q
M .
 e (a)m  d = a22 M h v
2 .  
m=1 The reference gain is finalized as8 t (h , v ) = min 1, Q
M .
for any vector a C M . In this paper, we have t (h , v ) 1 because of the assump-
We now define ideal beam patterns by taking Lemma 1 into tion M Q . Finally, the ideal beam pattern becomes
account. We assume the (q, p)-th ideal beamformer generates
M Bq, p (h , v )
q, p (h , v ) =
G ideal
an ideal beam pattern that is biased toward its desired beam
region. For example, the (q, p)-th beamformer generates an with (h , v ) Bs and the corresponding upper bound of the
ideal beam pattern having a non-zero reference gain for the expected data rate is given by
beam region Bq, p and zero gain for the rest of the beam region  
h22 Q
Bs \ Bq, p . The ideal beam pattern is then given by Rup = log2 1 + . (14)
q, p (h , v ) = t (h , v )Bq, p (h , v )
G ideal
subject to the constraint condition derived in Lemma 1 making Example ideal beam patterns are depicted in Fig. 5. Note
  that the ideal beam patterns will guide the development of the
(2)2 proposed codebook design algorithm.
t (h , v )dh dv = . (13)
Bq, p M
We discuss a distribution of the non-zeroreference gain
t (h , v ). Assuming a single dominant beam Md M (h , v ) A. Problem Formulation for Beam Pattern Design
is in Bq, p , the (q, p)-th ideal beamformer is an optimal trans- In this section, we propose a codebook design algorithm
mit beamformer. Under the assumption of a LOS dominant utilizing the predefined ideal beam patterns. The ideal beam
channel model, we define the expected data rate conditioned patterns are usually unachievable in practice, and we design
on h22 as hybrid beamformers that generate beam patterns close to

  the ideal beam patterns. Beamformers satisfying the hybrid
R = E log2 1 + |h H cq, p |2  h22 

  8 Any reference gain is upper bounded as G( , , c) d
h v Mh (h )
= E log2 1 + h22 |d M H
(h , v )cq, p |2  h22 . 2  2
d Mv (v )2 c2 = 1.

where  {1, , L a }, b {1, , Q a }, and a {h, v}. Both

actual and ideal beam patterns are then represented in vector
forms. The quantized beam pattern is

.  Q T
= G(h1 [1], v1 [1], Fv) G(h h [L h ], vQ v [L v ], Fv) ,
and the quantized ideal beam pattern is then
. Q h h
ideal =

Q v v

G1,1 Mh eh 1 L h ,1 Mv ev 1 L v ,1 (18)
where ea is the first column vector of I Q a . The optimization
problem is then given by
 ideal 2
Fig. 5. Ideal beam pattern for each beamformer. (F1,1 , v1,1 ) = arg minF,v G1,1 G(Fv)2 . (19)
To get insights on the structure of the beam patterns in the
beamforming setup are formed by combination of an analog optimization (19), we decompose each entry into an arbitrary
beamsteering matrix and a baseband beamformer such as complex number and its complex conjugate. The ideal beam
cq, p = Fq, p vq, p . pattern vector is decomposed as
We thus focus on constructing a set of an analog beamsteering Q h h
Q v v

G1,1 = eh (gh  gh ) ev (gv  gv )
matrix and a baseband beamformer that minimizes the MSE M Mv
between the ideal beam pattern and the actual beam patten as  h

= Q /M(eh gh ) (ev gv )
opt opt 

(Fq, p , vq, p )  Q /M(eh gh ) (ev gv ) . (20)

 ideal 2
= arg min G (h , v )G(h , v , Fv) dh dv ,
q, p Note that (a) is derived because the all ones vector in (18) can
F,v Bs
be decomposed into any equal gain vector and its element-wise
complex conjugate as 1 L a ,1 = ga  ga , where ga has unit gain
where the combination of F = [f1 , , f N ] and v are subject entries. Similarly, the actual beam pattern is decomposed as
to Fv22 = 1.

Although we have Q beamformers to optimize, the fol- G(Fv) = DhH DvH Fv  DhH DvH Fv (21)
lowing lemma shows that it is possible to generate other with the set of array vectors for quantized directions in (17)
beamformers from one optimized beamformer. The lemma  
exploits the phase shifting function defined as Da = Da,1 , , Da,Q a C Ma L a Q a ,


T F, , = F  d M (, )11,N Da,b = [d Ma (ab [1]), , d Ma (ab [L a ])] C Ma L a .

= f1  d M (, ) , , f N  d M (, ) (16) Unfortunately, there exists no closed-form solution for the
where the normalized array response vector is given by minimization problem in (19) because the entries in G(Fv) and
ideal are found in the form of absolute square of a complex
. d M (, )
d M (, ) = . number. To access a feasible, but usually suboptimal, solution,
d M (, )  d M (, )2
we reformulate our problem that compares the decomposed
Lemma 3: The beamsteering matrix for the MSE problem
vectors in (20) and (21) for a given (gh , gv )
in (15) is obtained by shifting phase directions of equal gain

vectors in the (1, 1)-th beamsteering matrix such as F|gh ,gv , v|gh ,gv
opt q
Fq, p = T F1,1 , h , vp .  H

= arg min  Dh Dv FvH
(eh gh )(ev gv )
The baseband beamformers are all F,v 2
opt opt
vq, p = v1,1. where C is a normalization constant. We compute
the normalization constant by differentiating the objective
Please see Appendix A for the proof.
function over as
For the rest of this section, we focus on optimizing the
(1, 1)-th beamformer based on Lemma 3. It is not practical to 

 D H D H Fv Q (eh gh ) (ev gv )
consider continuous beam directions for the problem. There-  h v
fore, the b-th range a,b in (12) is quantized with L a beam  H 
= (Dh DvH )Fv2
directions9 according to 
.  0.5 Q

ab [] = aB + ba + a , (17) (Fv) H Dh (eh gh ) Dv (ev gv )

La M
9 In the beam region B , we consider L = based on Wirtinger derivatives, which simplify differentiation
s L h L v beam directions satisfying
L Q M. in complex variables [33]. The complex gain that minimizes

the objective function is then given by Algorithm 1 Beamformer Design Based on the OMP

Q Initialization For a given (gh , gv ) G LI h G LI v

M (Fv) Dh (eh gh ) Dv (ev gv )
= . Dh,1 gh Dv,1 gv
 1: Optimal beamformer c|gh ,gv = Dh,1
 D D H Fv2 gh Dv,1 gv 2
h v 2: Define an initial residual vector r0 = c|gh ,gv


M (Fv) Dh,1 gh Dv,1 gv
H 3: Define an initial empty matrix F0
=  H
 , Iterative update
 D D H Fv2 4: for 1 n N
h v 2
where (a) is derived because Da (ea ga ) = Da,1 ga . By 5: Choose equal gain vector fn = 1 exp ( j rn1 )
plugging into the object function, the problem formulation 6: Quantize each phase element (fn )m Z2 B
is simplified to 7: Update beamsteering matrix Fn = [Fn1 , fn ] C Mn

 8: Update baseband beamformer

 Dh,1 gh Dv,1 gv H Fv2 vmax {(FnH Fn )1 FnH (h v )Fn } 
F|gh ,gv , v|gh ,gv = arg max  H
 vn = Fn vmax {(FnH Fn )1 FnH (h v )Fn } C ,
 D D H Fv2
h v 2 . H C Ma Ma

H 2 where a = Da,1 ga gaH Da,1
= arg max Dh,1 gh Dv,1 gv Fv , (22)
 9: Update residual vector rn = c|gh ,gv Fn vn
10: end for
where (a) is derived because Da DaH = LM a Qa
I Ma and the Final update
11: Update analog beamsteering matrix F|gh ,gv = F N
  2 LQ
denominator is fixed to Dh Dv Fv 2 = M for any Fv

satisfying the power constraint Fv22 = 1. 12: Update baseband beamformer v|gh ,gv = v N
Final output
We denote the solution for the problem in (22)
13: Compute codeword candidate c|gh ,gv = F|gh ,gv v|gh ,gv
c|gh ,gv = F|gh ,gv v|gh ,gv
as a beamformer candidate for a given (gh , gv ). We assume
that equal gain vectors in the domain a {h, v} are subject to The optimal phase vector n does not have a single unique
the constrained set10 solution because
   H 2  H 2
G LI a = g C L a : (g) = e j z , z Z I (23) n1 exp ( j n ) = rn1 exp ( j n ) exp( j )

with (g)1 = 1. In the proposed algorithm, we generate for any phase angle [0, 2). Although the optimal phase
beamformer candidates over (gh , gv ) G LI h G LI v . Each vector is given by n = rn1 + in [17], we define n =
rn1 with = 0 for simplicity. Note that rn1 [0, 2) M
beamformer candidate is a feasible solution accomplishing the
minimization objective in (15). Note that I L h +L v 2 beam- is the function that returns each element phase of rn1 C M
former candidates are computed because each pair of equal in a vector form. Assuming the digitally-controlled RF phase
gain vectors, which is the combination of I L h 1 and I L v 1 shifter [8], each element phase in fn is quantized with the set
vectors in both domains, produces a beamformer. of quantized phases Z2 B in (4). The beamsteering matrix at
the n-th update is then given by Fn = [Fn1 , fn ] C Mn .
B. OMP Algorithm Constructing Beamformer Candidates Similar to the beamformer designs in [14], [15], the prob-
lem in (22) can be solved by utilizing the OMP algorithm
We now solve the maximization problem in (22) to generate
in [24], [25]. Based on the OMP algorithm, we choose
each beamformer candidate for a given (gh , gv ). An optimal
each equal gain vector one-by-one and update the baseband
solution to the problem in (22) is computed as
beamformer iteratively in such a way that a combination of
. Dh,1 gh Dv,1 gv F|gh ,gv and v|gh ,gv minimizes the norm of residual vector
c|gh ,gv =  .
Dh,1 gh Dv,1 gv  .
2 r = c|gh ,gv F|gh ,gv v|gh ,gv .
However, F and v may not be able to construct the optimal
beamformer because column vectors in F are subject to the A baseband beamformer vn is then computed by solving
equal gain subset B M in (3). the maximization problem (22) over v Cn . To compute
We first compute a beamsteering vector fn at the n-th update. the beamformer that satisfies the power constraint of hybrid
To remove the (n 1)-th residual vector11 beamforming system Fv22 = 1, the maximization problem
is rewritten by changing dummy variables as v = Fnuu2 for
rn1 = c|gh ,gv Fn1 vn1 u Cn . For a given (gh , gv ) and Fn , the baseband beamformer
that is not suppressed in the previous update, the beamsteering at the n-th update is computed based on the generalized
vector is computed as [17], fn = 1 exp ( j n ), where Rayleigh quotient solution in [34], such as vn = Fnuunn 2 ,
M where
 H j 2

n arg max[0,2) M rn1 e  . u H FnH h v Fn u

un = arg max
10 Any set of equal gain vectors (g , g ) G I G I construct Gideal . The uCn u H (FnH Fn )u
h v Lh Lv 1,1  H

entries in ga have the fixed absolute value, while the phase can be arbitrary = vmax (Fn Fn )1 FnH h v Fn (24)
in Z I , defined in (4).
. . M
11 The initial residual vector is defined as r =
0 c|gh ,gv . with a = Da,1 ga ga Da,1 C a a .

Fig. 6. Normalized beamforming gains GBF (h , v , c2,2 ) with (Mh , Mv ) = (16, 8), (Q h , Q v ) = (8, 4), N = 4.

The beamformer at the n-th update becomes cn = Fn vn between consecutive beams, we thus widen the beam region
and the residual vector rn = c|gh ,gv Fn vn is updated for the of each beamformer by allowing a guard band Bq, p = qh vp ,
following update steps. The iterative process is summarized where
in Algorithm 1. Each beamformer candidate is formed by . 

ba = aB + ba + a , 1 + ,
combination of the updated solution, i.e., F|gh ,gv and v|gh ,gv ,
a is the non-overlapped beam-width of each beamformer
c|gh ,gv = F|gh ,gv v|gh ,gv
in (12), and a is the overlapped beam-width of the guard
for a given (gh , gv ) G LI h G LI v . band, which is defined by the design parameter . Because
each beamformer covers the widened beam region including
C. Final Beamformer Selection With MSE Minimization the guard band, an ideal beam pattern may have a low non-
zero reference gain. Thus, the ideal beam pattern is redefined
The beamformer that generates the beam pattern close to as
the (1, 1)-ideal beam pattern is chosen as
G ideal
q, p (h , v ) =
(h , v ).
M(1+2 )2 Bq, p
c1,1 = F|gh ,gv v|gh ,gv
Beamformers alleviating the sharp dips are also computed
where a set of the beamsteering matrix and the baseband based on the proposed codebook design algorithm by plugging
beamformer that accomplishes the minimization objective in the redefined beam pattern into the optimization problem.
(15) is given by12
 ideal 2
(gh , gv ) = arg mingh ,gv G1,1 G(F|gh ,gv v|gh ,gv )2 (25) V. S IMULATION R ESULTS
In this section, numerical results are presented to verify
over (gh , gv ) G LI h G LI v . Increasing I and L a ensures a large the data rate performances of proposed codebook design
number of beamformer candidate for the optimization problem algorithm. In this paper, four RF chains and a six bit phase
in (15), while it imposes a heavy computational complexity. control register, i.e., N = 4, B = 6, are considered for hybrid
To construct G LI a in (23), we thus consider limited numbers beamforming architectures. The beamforming codebook C =
of I and L a . {c1,1 c Q h ,Q v } consisting of Q = Q h Q v beamformers is
 all other beamformers in the proposed codebook designed as in (26). For the minimization problem in (25),
C = c1,1 c Q h ,Q v can be derived based on Lemma 3 such the equal gain sets G LI h and G LI v are defined with parameters
as L h = 8, L v = 8, and I = 3. In addition, we consider

cq, p = T F|gh ,gv , h , vp v|gh ,gv . (26) 20 directions in each beam-width a,b to compute the MSE
between the beamformer candidates beam pattern and the
ideal beam pattern.
D. Overlapped Beam Regions
In most beam alignment approaches, the beamformer gen-
A. Beam Patterns of Codebook Examples
erating the largest beamforming gain for data transmission is
chosen among the consecutive beamformers in the overlapped In Figs. 6 and 7, we compare the beam patterns of the
beam region. Practical beamformers, which are designed based proposed codebook and the codebooks in [8], [14], and the 2D
on non-overlapping beam regions in (11), generate beam KP codebook in [26]. The ULA codebook in [8] is extended
patterns having minimal overlap between neighboring beams. to a 2D UPA codebook by maximizing a minimum reference
This might not be desirable when tying to cover a geographic gain in each target beam region Bq, p . The codebook in [14]
region with adequate quality of service. To alleviate sharp dips is extended to UPA structures with a single set of equal gain
12 Because the codebook is constructed offline, the brute force search in (25)
is performed only once and has no impact on system operation. (gh , gv ) = 1256/Q h ,1 , 1256/Q v ,1 . (27)

Fig. 7. Codebook examples with (Mh , Mv ) = (12, 6), (Q h , Q v ) = (8, 8), N = 4.

Finally, the 2D KP codebook is given by Dh Dv where shown that the proposed codebook in Section IV-D alleviates
the discrete Fourier transform (DFT) codebook in the domain sharp dips between consecutive beams. Although the beam
a {h, v} is defined as pattern may have lower reference gains compared to the
.   proposed codebook assuming no guard band, the reference
Da = d Ma (2/Q a ), , d Ma (2 Q a /Q a ) .
gains are much higher than that of the previously reported
In Fig. 6, we compare the beam patterns of codebooks in [8], [14].
a single beamformer by using the reference gain At this point, we pause to discuss the difference between
defined as each of the beam patterns. First, we consider the codebook
2 in [8]. A beamformer in the codebook of [8] is designed
GBF (h , v , cq, p ) = cq, p d M sin h cos v , sin v

to maximize a minimum reference gain in each target beam
over beam directions (h , v ) [ 2 , 2 ) [ 4 , 4 ). region, defined primarily for the corresponding beamformer.
In Fig. 7, we plot beam patterns in each target beam The codebook in [8] can generate beam patterns with uniform
region based on the reference gain GBF (h , v , c(q, p)| ,v ) such reference gains, while the value of reference gains are much
that lower than that of the proposed codebook. Beam patterns
having uniform beamforming gains are essential for providing
(q, p)|h ,v same quality of service to uniformly distributed users, but the
= arg max cq, p d M sin h cos v , sin v
 low reference gains may restrict the data rate performance.
(q, p)Q Next, we consider the codebook in [14]. Each beamformer
where Q = {1, , Q h } {1, , Q v }. As shown in Fig. 6, in the proposed codebook is optimized over beamformer
the proposed codebook can generate higher reference gains candidates generated using I L h +L v 2 sets of equal gain vectors
that will allow the transmitter to efficiently sound mmWave (gh , gv ) G LI h G LI v , while the codebook in [14] is designed
channels as well as to facilitate highly directional data trans- by using a single set of all ones vectors (gh , gv ) in (27).
mission. In Fig. 7, the mean of the reference gains of the The codebook in [14] is one of several codebook candidates
proposed codebook, the proposed codebook considering the of the proposed algorithm. Therefore, the proposed codebook
guard band, and the codebooks from [8] and [14] are 0.553, suppresses the MSE between the ideal beam patterns and the
0.467, 0.397, and 0.440, respectively. Furthermore, it is also actual beam patterns better than the beams in [14].

Fig. 8. Data rate based on the channel vectors formed by LOS and NLOS paths.

B. Data Rate Performance We consider a beam alignment approach for the first channel
We now evaluate the performance of the codebooks based scenario. The transmit beamformer is chosen as c = cq, p ,
on the expected data rate defined as where (q, p) is the index of the selected beamformer in (2). In

  the beam alignment approach, we compare the ratio between
R = E log2 1 + |h H c|2  h22 = M , (28) the first and second largest test samples
where c is the selected beamformer for data transmissions. .
= | h H cq, p + n q, p |2 /| h H cq, p + n q, p |2
The preferred beamformer c in (28) is chosen based on hard-
decision beam alignment algorithms [7][10]. The data rate with (q, p) in (2) and
performances of the codebooks are evaluated from Monte
Carlo simulations with 10, 000 independent channel realiza- (q, p) = arg max | h H cq, p + n q, p |2 . (29)
(q, p)Q\(q, p)
tions. For demonstrations, we consider two channel scenarios
based on the street geometry conditions under ray-like prop- To avoid beam misalignment, the receiver asks the trans-
agation assumptions [29]. In the first scenario, we consider mitter to perform an additional cycle of channel sounding
channels consisting of a LOS path and three NLOS paths. The if the ratio is smaller than a design parameter t . For sim-
mmWave channel model in [8], [9] is used for simulation. ulation, the design parameter is set to t = 2. In this
Based on the channel measurements in [31], the Ricean K- case, each test sample on two cycles of channel sounding
factor is set to 13.5 dB. In the second scenario, the channel is combined together. The selected transmit beamformer is
vector is characterized by three NLOS paths without any LOS then communicated to the transmitter via a feedback link
path [28], [29]. We assume that h22 = M for fair comparison employing overheads of log2 Q h Q v bits. In Fig. 8, the data
between two channel scenarios. rates of different codebooks are compared in UPA structures

Fig. 9. Data rate based on the channel vectors formed by NLOS paths without any LOS path.

(Mh , Mv ) = (12, 6), (16, 8), (20, 10), (24, 12). It is shown VI. C ONCLUSIONS
that the proposed codebook scans the mmWave channels better
In this paper, we proposed a beam pattern design algorithm
and provides higher data rates than the codebooks in [8], [14],
suited to the directional characteristics of the mmWave chan-
and 2D KP codebook in [26].
nels corresponding to UPAs. We proposed an iterative algo-
We also evaluate data rate performance considering
rithm to construct small-sized beam alignment codebooks for
a second channel scenario consisting of three NLOS
mmWave systems. A hybrid beamforming architectures using
paths.13 In Fig. 9, the data rate based on different code-
a mixture of analog and digital beamforming was considered
books are compared in UPA structures, i.e., (Mh , Mv ) =
to design effective beams suitable to large-scale mmWave
(12, 6), (16, 8), (20, 10), (24, 12). In the case of the NLOS
systems with limited RF chains. In the proposed algorithm,
channel scenario, it is shown that the proposed codebooks
each beamformer is constructed to minimize the MSE between
select a dominant NLOS path better than the previously
its actual beam pattern and the corresponding ideal beam
reported codebooks [8], [14], and 2D KP codebook in [26].
pattern. We developed a simplified approach to solve the
13 Although we choose a single beamformer, we could select and combine approximated MSE minimization problem. In addition, we
multiple beamformers as in [35], [36] to fully support channels consisting of used the OMP algorithm to design beamformers satisfying
multiple NLOS paths. the hybrid beamforming setup. The data rate performance of


opt opt
(Fq, p , vq, p ) = arg min G q  dv dh
1,1 h h , v v G h , v , Fv

(b)  ideal

= arg min G h , v p G h , v p , T(F, , p )v  dv dh .
q q q
1,1 h v h v h v
h  ideal

opt opt
(Fq, p , vq, p ) = arg min G h , v G h , v , Fv  dv dh
q p 1,1
F,v h v
h  ideal

= arg min G h , v G h , v , Fv  dv
q p 1,1
F,v h v
v  ideal

+ G 
1,1 h , v G h , v , Fv dv dh

h  ideal

= arg min G h , v G h , v , Fv  dv
q p 1,1
F,v h v
v  ideal

+ G 
1,1 h , v G h , v , Fv dv dh

= arg min G  dv dh = (Fopt , vopt )
1,1 h , v G h , v , Fv 1,1 1,1 (31)

 q q
G h , v , Fv =  d M (h + h , v + vp )  d M ( h , vp ) F  1 M,N v


(b)  q q q q
=  d M (h + h , v + vp )  d M ( h , vp ) F  d M ( h , vp )11,N  d M ( h , vp )11,N v


(c)  q q q q
=  d M (h + h , v + vp )  d M ( h , vp ) T F, h , vp  d M ( h , vp )11,N v

 q q
=  d M (h + h , v + vp )  d M ( h , p )

q q q q 
T F, h , vp :,1  d M ( h , vp ), , T F, h , vp :,N  d M ( h , vp ) v


(d)  H q q q q
= d M (h + h , v + vp )T F, h , vp v = G h + h , v + vp , T F, h , vp v (32)

Also, the directions of the actual beam pattern is also shifted

based on the following lemma, as depicted in Fig. 10.
Lemma 4: The reference gain is
rewritten by using the
q p
phase shifting function T F, h , v in (16) such as

q p q p

G h , v , Fv = G h + h , v + v , T F, h , v v .

Please see Appendix B for the proof.

The problem for the (q, p)-th beamformer is rewrit-
ten in (30), as shown at the top of the page. Note
that (a) is derived based on Proposition 1 and (b)
is derived based on Lemma 4. Then, we modify the rewritten
minimization problem in (30) to discuss the link with the
opt opt

Fig. 10. Shifted beam pattern from an optimized beamformer.

solution for (1, 1)-th beamformer F1,1 , v1,1 . First, variables
proposed codebooks is verified through Monte Carlo simula- for the integration in (30) are changed by defining new
tions. Numerical results show that our codebooks outperform variables as a = a ba in each domain of the double
previously reported codebooks in mmWave channels using integral. We next change a dummy variable by defining the
UPA structures. phase shifted matrix as
. q

F = T F, h , vp .
P ROOF OF L EMMA 3 By plugging redefined variables h , v , and F into (30), the
Proposition 1: Any ideal beam pattern is defined by shift- minimization problem is rewritten as in (31), as shown at the
ing the (1, 1)-th ideal beam pattern according to top of the page. Note that (a) is derived because the ideal
q beam pattern and the reference gain are periodic functions
q, p (h , v ) = G 1,1 (h h , v v ).
G ideal ideal p
with a period of 2 over h and v .

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[31] Z. Muhi-Eldeen, L. P. Ivrissimtzis, and M. Al-Nuaimi, Modelling and was a Post-Doctoral Fellow with The University of Texas at Austin. His
measurements of millimetre wavelength propagation in urban environ- research interests are in the design and analysis of massive MIMO, mmwave
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Springer-Verlag, 1991. of the Michael and Katherine Birck Fellowship from Purdue University in
[34] M. Borga, Learning multidimensional signal processing, 2011, the Korean Government Scholarship Program for Study Overseas in
Dept. Electri. Eng., Ph.D. dissertation, Linkping Univ., Linkping, 20112013, the Purdue University ECE Graduate Student Association Out-
Sweden, 1998. standing Graduate Student Award in 2013, and the Purdue College of
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quantizer designs for FD-MIMO systems using uniform planar arrays,
in Proc. IEEE Global Commun. Conf., Dec. 2016, pp. 16. David J. Love (S98M05SM09F15) received
the B.S. (with highest honors), M.S.E., and Ph.D.
degrees in electrical engineering from The Uni-
versity of Texas at Austin in 2000, 2002, and
2004, respectively. Since 2004, he has been with
the School of Electrical and Computer Engineer-
ing, Purdue University, West Lafayette, IN, USA,
where he is currently a Professor and recognized
as a University Faculty Scholar. He holds 27 issued
U.S. patents. He has served as an Editor of the
Jiho Song (S15) received the B.S. and M.S. a Guest Editor for special issues of the IEEE J OURNAL ON S ELECTED A REAS
degrees in electrical engineering from Seoul IN C OMMUNICATIONS and the EURASIP Journal on Wireless Communica-
National University, Seoul, South Korea, in 2009 tions and Networking.
and 2011, respectively. He is currently pursuing Dr. Love has been recognized as a Thomson Reuters Highly Cited
the Ph.D. degree with Purdue University, West Researcher. Along with his co-authors, he received best paper awards from the
Lafayette, IN, USA. His current research inter- IEEE Communications Society (2016 IEEE Communications Society Stephen
ests are in the design and analysis of millime- O. Rice Prize), the IEEE Signal Processing Society (2015 IEEE Signal
ter wave communication, multiuser MIMO com- Processing Society Best Paper Award), and the IEEE Vehicular Technology
munication, and limited feedback strategies for Society (2009 IEEE T RANSACTIONS ON V EHICULAR T ECHNOLOGY Jack
massive MIMO systems. He was a recipient of Neubauer Memorial Award). He received multiple IEEE Global Communica-
the Bronze Prize in Samsung Electronics 23rd tions Conference (Globecom) best paper awards. In 2003, he was a recipient
Humantech Paper Contest in 2017. of the IEEE Vehicular Technology Society Daniel Noble Fellowship.