Millimeter-Wave Mobile Communications

Yi Wang and Zhenyu Shi

Abstract Mobile communications in millimeter wave (mmWave) bands have

recently attained a wide range of research due to the available ultra-broad spectrum
bands. In this chapter, we introduce the key technologies of mmWave communi-
cations based on pioneering researches. Channel measurement and modeling as
a fundamental issue is presented in Sect. 2. Beam-tracking technique based on
large-scale antenna array is studied in Sect. 3. Network architecture, particularly
considering unified access and backhaul, is presented in Sect. 4. Current prototypes
are introduced in Sect. 5. Finally we summarize the chapter in Sect. 6.

1 Background

The development of wireless cellular networks has been growing rapidly during the
past decades. There are still exploding demands for high quality data communica-
tions in applications such as smart phones, tablets and video streaming. The capacity
of cellular networks in 2020 is envisioned to be as much as 1000 times compared
to current fourth-generation (4G) technology. Meanwhile, the cellular network is
expected to be capable of connecting 50 billion devices for wireless services.
Recently, mmWave communication has been investigated because of its ultra
broad spectrum band [1, 2]. Typical mmWave frequencies range from 6 GHz
to 100 GHz including 6 GHz, 15 GHz, 28 GHz [3, 4], 38 GHz [3], 60 GHz [5],
and E-band (71–76 GHz, 81–86 GHz) [1, 4]. From channel measurements, the
propagation loss for mmWave transmission is quite large. Its transmission range
is thus limited. Therefore, mmWave transmission is more suitable for small cells for
data rate and dense user scenarios. Owing to these features, mmWave transmission
is tailored for a hotspot scenario and has become a promising candidate for the fifth
generation (5G) [7–9, 16, 18, 22].

Y. Wang (!) • Z. Shi

Huawei Technologies Co., Ltd., Jinsu Road 200, Shanghai, P. R. China
e-mail: yi.wang@huawei.com; zhenyu.shi@huawei.com

© Springer International Publishing Switzerland 2017 117

W. Xiang et al. (eds.), 5G Mobile Communications,
DOI 10.1007/978-3-319-34208-5_5
118 Y. Wang and Z. Shi

2 mmWave Channel Measurements and Modeling

Channel propagation property is a fundamental topic of mmWave communications

[17]. The channel model will affect the spectrum allocation in the International
Telecomm Union (ITU) and the World Radio Conference (WRC) as well as system
design and performance evaluation in 3rd Generation Partnership Project (3GPP)
standards.

2.1 Ultra-Wide Band Channel Sounder

An ultra wide band channel measurement sounder for transmitter and receiver
has been developed by Huawei Chengdu branch, see Fig. 1. The front-end can
be changed in order to match different carrier frequencies. The transmitter has a
signal generator for signal generation, and the receiver uses a signal analyzer for
measurement data acquisition. A transmitter (TX) and receiver (RX) synchronized
spectrum sweeping solution is adopted. In this way, 2 GHz or even larger bandwidth
can be measured. The signal generator at TX sites and the signal analyzer at RX
sites are controlled remotely by a personal computer through network.

Fig. 1 Channel sounder at E-band, transmitter (left) and receiver (right)

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Millimeter-Wave Mobile Communications 119

Frequency bands from 71 to 73 GHz were measured. Vertically polarized horn

antennas with 25 dBi gain and 10ı half power beam width (HPBW) are used for
both outdoor and indoor measurements. At the receiver, the channel information
from four different neighboring angles of arrival can be caught by a four-channel
RF-front together with four horn antennas.

2.2 Channel Measurement

In this section we present current measurements in E-band. The typical scenarios

of mmWave communications are indoor hotspots and outdoor hotspots, these two
scenarios have been measured in Huawei Chengdu branch.
The outdoor scenario is selected in dense office buildings, see Fig. 2. Both
transmitter and receiver are set at the height of 2–4 m. In non line-of-sight (NLOS)
channel, there are building and trees for blocking but there are reflected signals from
the opposite building where glass window and concrete wall provide reflections.
Occasionally there are a few people going across the road which causes body
penetration loss. A dining room is selected as the indoor hotspot scenario, see Fig. 3.
The dining room is 70 m long and 25 m wide. Food lines are located at both ends.
Most walls are made of glass and the rest are made of concrete.
For the line-of-sight (LOS) TX-RX location, the TX and RX antennas were
aligned by means of optical. Then the TX antenna fixed pointing at the aligned
angle. The RX antenna adjusts elevation angle of the aligned line to !10ı , 0ı and
10ı , respectively, with the antenna scanning around the entire 360ı azimuth plane
in 10ı (i.e. antenna half power beam width) step.
For the NLOS scenario, there are two steps to complete the measurement
procedure. First, searching the strongest path in each TX-RX location. In this step,
both the TX and the RX antennas were automatically rotated to find the strongest

Fig. 2 UMi outdoor scenario, LOS (left) and NLOS (right)

120 Y. Wang and Z. Shi

Fig. 3 Indoor hotspot scenario, LOS (left) and NLOS (right)

received power. Second, Setting the pointing angle of the TX and RX antenna for
maximum received power as the 0ı azimuth and elevation angles for the TX and
the RX antenna, respectively. The RX antenna adjusts elevation angle of the aligned
line to !10ı , 0ı and 10ı , three statuses with the antenna scanning around the entire
360ı azimuth plane in 10ı step.
The measurement results are shown in Fig. 4. We take close-in reference model
with reference distance 1 m for path loss since all the parameters have physical
meanings [1]. It is reasonable because the measurements cannot cover all distances
and sites. Table 1 lists the parameters of close-in reference model based on the
measurements. The NLOS path loss exponents (PLEs) of 72 GHz is 4:08 for indoor
and 3:67 for outdoor which are comparable to that of 2 GHz in 3GPP model.
However, a more accurate path loss channel model and more measurement data
are required before making any conclusion.

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Millimeter-Wave Mobile Communications 121

Fig. 4 E-band path loss in UMi outdoor and indoor

Table 1 The path loss Scenario LOS/NLOS PLE(ˇ) ˛ !

parameters in 72 GHz,
Indoor LOS 2:58 69:47 2:38
close-in reference model with
reference distance 1 m is NLOS 4:08 69:47 10:63
applied Outdoor LOS 2:86 69:47 9:76
NLOS 3:67 69:47 8:34

2.3 Channel Modeling

There are a number of organizations and researchers working on channel modeling

in mmWave bands (ref. the survey in [1, 6]). Mobile and Wireless Communications
Enablers for the Twenty-twenty Information Society (METIS) project in Europe
proposed a map-based channel model which is essentially a simplified ray-tracing
method to model channels and fully depends on the defined map. Institute for
Electrical and Electronic Engineers (IEEE) 802:11ay standard is making efforts
to extend the Saleh-Valenzuela (S-V) model in 60 GHz to larger distance up
to 100 m for both outdoor and indoor scenarios. In June 2015, 3GPP Radio
Access Network (RAN) agreed to initiate a study item to study channel model for
above-6 GHz frequency bands. Meanwhile, International Telecommunication Union
Radiocommunication Section (ITU-R) Working Party 5D (WP5D) announced to
standardize channel model in above-6 GHz, which is expected to reach a “standard”
channel model in mid-2017. A fact is that the channel models in ITU and 3GPP
are spatial channel models (SCM) for sub-6 GHz bands, which mainly come from
WINNER project researches. 3GPP further extended SCM to three-dimension (3D)
cases. Both 3G/4G cellular systems are based on the common SCM model to do
system-level evaluation. It is promising that the channel model for 5G systems will
be an extension of the SCM model.
122 Y. Wang and Z. Shi

A new feature for mmWave communications is that high-gain beams are required
in base-station (BS) and potentially in user terminal (UE) in order to compensate
the large propagation loss of mmWave signals. Large-scale antenna array is widely
used to form high-gain beams. For example, a size of 66 mm by 66 mm may
accommodate 1024 antenna elements at E-band, and can form HPBW as narrow as
3ı . Thus mmWave transmission link will be sensitive to angle changes in departure
and arrival. It is different from the system in sub-6 GHz bands where wide beams
are used and the angle variation can be ignored in a drop. Therefore, it is necessary
to introduce variant angles for mmWave channel models.
In the framework of 3GPP SCM, WINNER project studied the variant angles and
variant delay spreads in a drop. An accurate formula for variant angles is derived
in LOS channel, and random angles are approximated for NLOS channel in the
local coordination systems (LCS). Here, an independent study on variant angles
are investigated and the contributions include: (1) derivation of variant angles in
the global coordinate system (GCS); (2) approximation of variant angles with linear
method; (3) extension of variant angles to 3D SCM model. Please find more detailed
derivations and ray-tracing based simulations in [10, 11].
The idea of SCM model with variant angles (VA-SCM) is to update the angles at
each time when the receiver is moving within the duration of one drop. A drop
duration denoted by Tmax is around 1000 transmission time intervals (TTIs) in
3GPP SCM where one TTI corresponds to 1 s. Following 3GPP SCM framework,
large-scale parameters (e.g. path loss, delay spread, number of clusters, angular
spread etc.) are fixed in a drop. The channel impulse response consists of multiple
clusters, and each cluster has different time delays and average receive power
which are randomly generated in terms of a given probability distribution function.
Each cluster is the superposition of a number of rays. For NLOS cluster, the
corresponding scatters are randomly generated for each drop, and the scatters for
every ray in a cluster are distributed in a small range depending on angular spread
in configuration.
Variant angles are introduced for each ray including azimuth angle of departure
and arrival (AoD, AoA) and zenith angle of departure and arrival (ZoD, ZoA).
Receiver location at each time can be accurately calculated based on the moving
speed of UE and the moving direction. Accordingly the angles can be updated
with transmitter and receiver information in the global coordination system (GCS).
However, an accurate method to calculate variant angles has high computational
complexity, particularly in link-level simulation where channel impulse responses
are calculated for each sample or each data symbol. Linear approximation is an
efficient way to reduce complexity with acceptable errors. A linear model for variant
angles of the pth ray of the qth cluster is given by
"p;q;ZoA .t/ D "p;q;ZoA .t0 / C Sp;q;ZoA " .t ! t0 / ; t 2 Œt0 ; t0 C Tmax #
"p;q;ZoD .t/ D "p;q;ZoD .t0 / C Sp;q;ZoD " .t ! t0 / ; t 2 Œt0 ; t0 C Tmax #
$p;q;AoA .t/ D $p;q;AoA .t0 / C Sp;q;AoA " .t ! t0 / ; t 2 Œt0 ; t0 C Tmax #
$p;q;AoD .t/ D $p;q;AoD .t0 / C Sp;q;AoD " .t ! t0 / ; t 2 Œt0 ; t0 C Tmax # (1)

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where Sp;q;ZoA and Sp;q;ZoD are the slopes of variant angles in vertical direction and
Sp;q;AoA and Sp;q;AoD are the slopes of variant angles in horizontal direction. Notice
the four slopes are fixed in a drop period Tmax although they can be extended to
time-varying version but at the cost of higher computational complexity.
For easy of description, p and q is omitted in the rest of the section. Assuming
receiver is moving at velocity v with angle $v . hBS and hUE are the height of BS and
UE. For LOS cluster, the expression of AoD and ZoD slopes are given by

v cos.$v ! $AoD .t0 //

SZoD D !SZoA D ;
.hBS ! hUE /=cos."ZoD .t0 //
v sin.$v ! $AoD .t0 //
SAoD D SAoA D ! : (2)
.hBS ! hUE / tan."ZoD .t0 //

For NLOS cluster with one reflection ray, the model can be simplified by
introducing a virtual UE which is the mirror image of UE based on the reflection
surface, as is shown in Fig. 5. The simplified slopes in NLOS channel are given by

v cos.$v C $AoD .t0 / ! $RS/

SZoD D !SZoA D ! ;
.hBS ! hUE /=cos."ZoD .t0 //
v sin.$v C $AoD .t0 / ! $RS/
SAoD D SAoA D ! ; (3)
.hBS ! hUE / tan."ZoD .t0 //

where $RS is the angle of the reflection surface and it can be deduced from the initial
$AoD and $AoA .

Fig. 5 Global coordination system of an NLOS ray

124 Y. Wang and Z. Shi

For NLOS clusters with multiple reflections, it is hard to obtain the accurate
location of reflectors. A solution is to take multiple reflections as one-order
reflection and randomly set the reflection surface. The channel coefficients of each
cluster can be generated following the steps of SCM by considering time variant
angles.

3 Beamforming and Beam Tracking in mmWave

The air interface of mmWave communications is featured with antenna-array based

beamforming and tracking. Both mmWave base station (mB) and user equipment
(UE) use antenna array to compensate the large path loss of mmWave propagation.
Such scheme with high-gain narrow beams brings challenges for air interface
design. In this section, the concept of uniform air interface and multi-mode
beamforming are presented.

3.1 Uniform Air Interface

In all spectrum access system of 5G, the mmWave communication is not an

independent air interface but subscribes to several constraints from lower frequency
air interface and unified access and backhaul (UAB) architecture. Hence the concept
of uniform air interface is expected to be realized with parameter configuration and
to flexibly meet different requirements.
Firstly, there might be multiple mmWave bands allocated to 5G, and air interface
should be uniform among different carrier frequencies, such as frame and physical
numerologies. It is recommended that mmWave could reuse the 10 ms frame
structure and 1 ms subframe. Slot can be redesigned to be 125 %s for all mmWave
bands. The continuous spectrum bands may have similar channel propagation
properties, for example, 6–20 GHz, 20–50 GHz, and 50–90 GHz. Different physical
numerologies can be used for different frequency band groups.
Secondly, UAB architecture requests a uniform air interface design between radio
access and backhaul. It is better that backhaul works like a special UE of mB where
backhaul and UEs share the same radio resource. The difference is that backhaul
will use special link configuration, e.g. beams, coding and modulation, to meet its
quality of service (QoS) requirements. This will be further discussed in multi-mode
beamforming.
Thirdly, mmWave communication allows efficient waveform design to meet
different QoS requirements in different scenarios, such as power efficiency, latency
etc. Both orthogonal frequency division multiplexing (OFDM) and single carrier
OFDM (SC-OFDM) waveforms used in long term evolution (LTE) can be used for
mmWave communications. Other candidate waveforms might be filtered OFDM
(F-OFDM) and sparse code multiple access (SCMA) currently proposed for 5G

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low frequency systems. A good combination of them is to use software defined

adaptive air interface to select different waveforms for different scenario usages.
However, a common constraint is that the waveform is robust to phase noise which
may dominate other distortions in front-end. Peak to average power (PAPR) is also
an important issue to waveform selection. It is expected to deploy efficient PAPR
reduction algorithms to improve power amplifier efficiency particularly when using
multiple carrier waveforms.

3.2 Multi-Mode Beamforming

Multi-mode beamforming (MM-BF) scheme is proposed in this section. It allocates

antenna elements, intermedium and radio frequency (IRF) channels and baseband
units to the beams of backhaul links and radio access adaptively. Antenna arrays
are divided into sub-arrays, and the beamforming processing is carried out in not
only digital baseband but also IRF part. User data streams and backhaul streams
are first put into adaptive multiple-input multiple-output (MIMO )mode selection
(AMMS), and AMMS will do MIMO processing of each stream based on the
current channel environment, where MIMO mode can be spatial multiplexing
(SM), space time coding (STC), space time beamforming, etc. After AMMS, the
data streams are precoded in digital domain based on beam requirements and
downlink channel estimation results, then the signal streams passes through digital-
to-analogue converter, infrared (IR) and radio frequency (RF) processing. Before
the signals are fed to the antenna elements, the phase of signals should be shifted
for each antenna element based beams’ requirements and channel estimation results.
Such structure can flexibly realize multiple antennas techniques including MIMO,
beamforming, diversity and their hybrid forms.
In a mobile scenario with multiple users accessing, the challenge is to design
algorithms to align the narrow beams between mB and UEs. Overhead cost,
complexity and tracking ability are the key merits of figure to evaluate performance.
Two beam phases are proposed to finish the beam alignment: beam training and
beam tracking. Beam training performs a rough beam alignment where both quasi-
omni-directional beams and wide beams can be used for training. Since exhaustive
beam search might bring a high cost in design pilots, there are potential methods to
shorten beam training period and overhead. Hierarchical beam training method [12]
is an efficient way which firstly uses sector-level beam to do training and then
uses narrow beams for searching. Frame design for beam training, for example,
centralized training can also shorten training time.
Beam tracking performs channel information update during the time when there
is no beam training. The updated channel information is typically AoA and AoD
for transmitter and receiver to do beamforming. There are two methods to solve the
problem. One is to use reference signal and old channel information to predict the
AoD and AoA for next data transmission. The authors in [13] propose a new channel
tracking technique based on sequentially updating the beamforming at transmitter
126 Y. Wang and Z. Shi

and receiver. Numerical results demonstrate the superior channel tracking ability
of the proposed technique over various baselines in the literature. The second
method is to estimate the AoA and AoD based on reference signal. The challenge
is that the reference signal cost is increasing with the antenna size in BS and UE
which is prohibitive in case of antenna size larger than 16. An efficient method to
overcome the problem is to use compression sensing (CS) technique which well
exploit the sparse property of mmWave channel, and can significantly reduce the
overhead. The authors in [14] propose a joint channel estimation and beamforming
method where CS is used to estimate AoA and AoD jointly. Results show that
the overhead can be saved up to 75 % compared to traditional non-CS estimation
method, e.g., least square algorithm, under practical scenarios. Furthermore, the
proposed method in [14] has only 2–3 dB loss compared to the method with perfect
channel information.

4 Unified Access and Backhaul in mmWave

In the design of 5G cellular networks, the mmWave band is expected to be served

as a complementary to the low frequency band. The basic structure is a hybrid
network where the low frequency and high frequency communication coexist. The
conventional LTE is responsible for seamless coverage due to its longer range.
In the meanwhile, the mmWave communications are served as multiple hotspots
scattered inside the range of the network. Based on these rules, a prototype of unified
access and backhaul network has been introduced. The UAB network utilizes a
C/U split configuration. The control-plane (C-plane) is managed by macro base
stations (MBs) through low frequency bands while the user plane (U-plane) is
processed via mmWave base stations (mBs) through high frequency bands. A large
number of UEs associated with mBs will bring significant challenges to the backhaul
link from the mBs to the MBs. The cost of fiber link to the small cells will be
prohibitively expensive. Hence, the wireless backhaul can be applied to reduce the
cost. The conventional LTE adopt out-of-band backhaul since the frequency band
in radio access is already quite limited. In mmWave networks, an in-band backhaul
is suitable thanks to the abundant available spectrum of high frequency bands. In
this section, three methods are proposed to determine the resource allocation in the
in-band backhaul scheme.

4.1 Network Topology

The UAB topology is illustrated in Fig. 6. As the figure shows, there are mainly
three kinds of entities in this network: MBs, mBs and UEs. MBs are responsible
for transmitting control information operating in 2 GHz low frequency bands. In
Fig. 6, each MB will cover three macro cells. Thus, the whole network is covered

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Millimeter-Wave Mobile Communications 127

Fig. 6 UAB network topology with seven MBs and twenty-one macro cells

by the macro cells. Inside each macro cell, mBs are deployed. The mBs will cover
a relatively smaller range, functioning as small cells. Each mB can support six pico
cells with 60ı each. Inside each pico cell, there will be a large number of UEs
connecting to the mBs. These UEs communicate with their associated mBs via
high frequency bands. For those UEs that are unable to connect with mBs, they
can choose to communicate with the MBs via low frequency bands.
In mmWave UAB networks, both the radio access and the backhaul share a
continuous bandwidth in mmWave frequency band. In order to mitigate interference
between radio access and backhaul, it is necessary to separate them either in time
or in frequency resource blocks. All mBs share a same resource partition ratio so
as not to interfere with each other. The ratios can also be dynamically adapted over
time.

4.2 Dynamic Resource Allocation

The resource can be divided either in time or in frequency. Frequency division

is taken as an example here. The extension to time division is straightforward.
Assuming that the overall bandwidth is B, where backhaul (BH) is allocated
bandwidth BBH and radio access (RA) is allocated bandwidth BRA . Since the overall
bandwidth is a fixed value, B D BBH C BRA is always fulfilled.
Consider the nth mB, the backhaul throughput can be written as a function of
BBH by

TnBH D RBH
n B
BH
(4)

and for radio access the function is

TnRA D RRA
n B
RA
D RRA BH
n .B ! B / ; (5)
128 Y. Wang and Z. Shi

where RBH RA BH
n and Rn are the corresponding data rates in bit/s/Hz. Rn is determined
by the link quality between the mB and MB. It can be treated as the backhaul
bandwidth efficiency. RRA
n is determined by UEs inside the mB’s range. Hence, this
value is computed by summing up all the active UEs’ bandwidth efficiency at a
certain time. Both RBH RA
n and Rn can be pre-calculated by measuring the throughputs
during a certain time period and then dividing the current bandwidth.
For any mB, its throughput Tn should be limited by the minimum value of the
two throughput values:

Tn D min.TnBH ; TnRA / : (6)

By taking (4) and (5) into (6), and after some derivations, Tn can be written as a
function of BBH , provided by
8̂
< RBH
n B
BH
ifBBH < BBH
n;max
RBH
n Rn
RA
Tn .BBH / D RBH C R RA B ifBBH D BBH
n;max : (7)
:̂ RA n n
Rn .B ! BBH / ifB BH
> BBH
n;max

This function is a triangular function. Tn .BBH / is first linearly increasing with a

slope of RBH
n . In this range, the backhaul throughput is lower than the radio access
throughput. The overall throughput is “BH-limited”. The value reaches its maximum
when

RRA
n
BBH
n;max D B: (8)
RBH
n C RRA
n

and the peak value is

RBH RA
n Rn
Tn;max D B: (9)
RBH
n C Rn
RA

Afterwards, it is reducing linearly with a slope of RRA

n . At this range, the radio access
throughput is lower than the backhaul throughput, so the overall throughput is “RA-
limited”.
For multiple mB, each mB will have different peak values and corresponding
backhaul bandwidth. Under the assumption that the backhaul bandwidth is the same
for every mB. In order to satisfy different requirements, three dynamic resource
allocation methods are introduced and listed as follows:
• Max-Min: Maximization of the minimum throughput
• Max-Sum: Maximization of the sum throughput
• Quasi-PF: Maximization of the satisfactory factor

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Millimeter-Wave Mobile Communications 129

4.2.1 Max-Min

According to the definition, the minimum throughput of all mBs can be expressed by

Tmin .BBH / D min.T1 ; T2 ; " " " ; TN / : (10)

The goal is to find a suitable backhaul bandwidth, where Tmin .BBH / is maximum:

BBH BH
m D arg maxfTmin .B /g : (11)

In fact, the minimum throughput is determined by the minimum RRA

min and the
minimum RBH min of all mBs, with

RBH BH BH BH
min D min.R1 ; R2 ; : : : ; RN / ;

and

RRA RA RA RA
min D min.R1 ; R2 ; : : : ; RN / :

Thus, the minimum throughput is again a triangular function which is of the form
8̂
< RBH
min B
BH
ifBBH < BBH
m
RBH RA
min Rmin
Tmin .BBH / D BH RA B ifBBH D BBH
m : (12)
:̂ RA Rmin C Rmin
Rmin .B ! BBH / ifB BH
> BBH
m

To achieve the maximum value for Tmin .BBH /, the chosen backhaul bandwidth for
all mBs should be

RRA
min
BBH
m D B: (13)
RBH
min C RRA
min

and the radio access bandwidth is

BRA BH
m D B ! Bm : (14)

4.2.2 Max-Sum

The
P purpose of this algorithm is to maximize the summation of all mBs’ throughputs
Tn . For different mBs, the triangular functions are different in the ascending
slope, the descending slope and the peak point. When the backhaul bandwidth starts
from zero, all mBs are BH limited. With all the throughputs increasing, the sum
throughput is increasing at the maximum speed. When the backhaul bandwidth
reaches the first peak of a certain mB, this mB’s throughput begins to decrease
130 Y. Wang and Z. Shi

Algorithm 1 Max-Sum Algorithm

1: Computing the chosen BH bandwidth where Tn is maximum for each mB, reordering them
from minimum to maximum, with the resulting sequence ŒB0BH 0BH 0BH 0BH
1 ; B 2 ; ! ! ! ; B i ; ! ! ! B N #;
2: Based on the above mentioned sequence, listing the corresponding BH and RA rates sequence
as ŒR0BH 0BH 0BH
R0BH
1 ; R 2 ; ! ! ! ; R i ; ! ! !P ŒR0RA
N # and P
0RA 0RA
! ! ! R0RA
1 ; R 2 ; ! ! ! ; R i ;P N #;
N 0BH BH l 0RA BH BH
3: Writing a general form of Tn D iD lC 1 R i B C iD 1 R i .B " B / ; B 2
0BH 0BH
ŒB l ; B lC 1 #;
P
@. T /
4: Finding ŒB0BH 0BH
l ; B lC 1 # where @BBH is minimum positive;
n

0BH
5: return BBH
m D B lC 1 as the uniform backhaul bandwidth for all mBs;

while the other mBs’ throughputs continue increasing, but the ascending rate of the
sum throughput is lower than before. The ascending rate continues decreasing after
each mB’s peak reaches until the sum throughput begins to decrease. At that point,
the sum throughput is maximum. Afterwards,
P the descending rate speeds up until
all mBs are RA limited. The function of Tn is a piecewise function with multiple
sections.
Basically, the main goal of this method is to find the peak point of the sum
throughput given the BH and RA rates of all mBs:
X
BBH
m D arg maxf Tn .BBH /g : (15)

The detailed derivations of this procedure can be found in [15], where the major
steps are summarized in Algorithm 1.

4.2.3 Quasi-PF

The previous two algorithms only focus on the instantaneous bandwidth allocation
where the history of the allocation is not considered. Both Max-Min and Max-
Sum allocate resources based on the current radio access and backhaul rates.
However, it may cause unfairness among mBs. For instance, if one mB has better
channel conditions, the Max-Sum resource allocation will always provide it with
the maximum data rates while other mBs’ will always transmit at lower rates. In
the long run, the mBs with high throughput will become extremely higher, and mBs
with low throughputs will become extremely lower and UEs of those low throughput
mBs will not be satisfied. To satisfy as many UEs as possible, the current resource
allocation should also take the accumulated historical throughputs into account.
Hence, the idea of the well-known proportional fairness (PF) algorithm [19] can
be borrowed herein.
To evaluate among mBs, a satisfactory factor is introduced for each mB and each
time index. The mB’s satisfactory factor at the tth TTI &n .t/ is defined as
Tn;max .t/
&n .t/ D ; (16)
T n;pre .t/

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 Millimeter-Wave Mobile Communications 131

where Tn;max .t/ is the maximum achievable throughput of the nth mB at current
time index. This value is determined by the current RRA BH
n and Rn using (9). T n;pre .t/
is the average throughput consumed by this mB during the previous t ! 1 TTIs.
The larger the nominator, the higher maximum throughput can achieve currently.
The smaller the denominator, the less average throughput has been transmitted
previously. Therefore, to compromise a balance between the achievable maximum
throughput and the satisfactory of UEs, the mB with the largest satisfactory factor
should be chosen:

n D arg max.&n .t// : (17)

In case the mB with the largest &n .t/ has been found, the chosen overall system’s
BH bandwidth is the peak point of this mB’s triangular function.
To evaluate the proposed algorithms, simulations are carried out in the UAB
networks. The network topology follows Fig. 6, operating in E-band. Radio access
and backhaul share a total bandwidth of 5 GHz. To compare the algorithms in
various kinds of scenarios, three different UE densities are considered, which are
• Case 1: 20 % mBs have high UE loads, 80 % mBs have low UE loads;
• Case 2: 50 % mBs have high UE loads, 50 % mBs have low UE loads;
• Case 3: all mBs have the same UE loads.
Figure 7 compares the system’s performance of three cases. The mean throughput
is computed by summing up the throughputs of all mB and then dividing the mB

30.00
20% heavy load 50% heavy load Uniform

25.00 23.7
23.0
22.0 22.1
Mean Troughput (Gbps)

20.00 18.2 18.5

17.0

14.4
15.00
11.2 11.3
10.2
10.00
7.5

5.00

0.00
Fixed Max-Min Max-Sum Quasi-PF

Fig. 7 Mean throughputs for different cases

132 Y. Wang and Z. Shi

number and the TTI number. It can be found that the Max-Min algorithm provides
the lowest mean throughput for all three cases. This is reasonable as this way
of allocation only satisfies the worst case. The Max-Sum algorithm in all three
cases delivers the best performance. The throughput of Quasi-PF algorithm is in
between the fixed case and the Max-Sum algorithm in case 2 and case 3. There
is 35:3 and 30:2 % performance improvement compared to the fixed one in case
2 and case 3, respectively. Hence, it can be concluded that in terms of the whole
system throughput, the Max-Sum algorithm provides the best solution. The Quasi-
PF algorithm aims at providing a better trade off between overall capacity and mB
fairness.

5 Prototype Verification

Several companies have announced their prototype verification for mmWave com-
munications. Samsung realized a peak data rate of 7:5 Gbit/s at 28 GHz frequency;
DoCoMo realized a peak data rate of 10 Gbit/s at 11 GHz frequency [20]. Ericsson
realized a peak data rate of 5 Gbit/s at 15 GHz. Huawei and Nokia demonstrated a
peak data rate of 115 Gbit/s [4] and 10 Gbit/s [21] in 72 GHz bands, respectively. For
the waveform of prototypes, Nokia applies single carrier waveform (called NCP-SC)
which is essentially discrete fourier transform (DFT)-precoded OFDM waveform
but cyclic prefix is null. Samsung, DoCoMo, Ericsson and Huawei are using OFDM
waveforms in prototype.
In this section, a 115 Gbit/s prototype working in E-band (72 GHz) is presented
and a mmWave platform supporting multiple bands. The 115 Gbit/s prototype, see
Fig. 8, was designed to demonstrate the peak data rate by using a total available
bandwidth of 10 GHz in E-band. Point-to-point transmission is demonstrated in
indoor LOS scenario. MIMO is configured with 2 polarized antennas in mB and
2 polarized antennas in UE. With LOS MIMO, two data streams are transmitted
together. An OFDM waveform and low-density parity-check (LDPC) channel cod-
ing scheme is used for link transmission. Considering 20 % overhead, two streams,
each with 64 Quadrature Amplitude Modulation (QAM), have been successfully
transmitted which deliver a data rate of 115 Gbit/s.
To reduce the severe phase noise at E-band, a low complexity two stage
estimation and compensation scheme was demonstrated for OFDM-MIMO systems.
This is a joint channel estimation and phase noise compensation method. Results
show that the proposed algorithm is robust to phase noise even when the detailed
noise model is uncertain.

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Millimeter-Wave Mobile Communications 133

Fig. 8 115 Gbps prototype E-band, transmitter and receiver (left), real-time receiver performance
(right)

6 Chapter Summary

The key technologies of mmWave mobile communications are investigated in this

chapter. Channel measurements show that mmWave signals suffer from much larger
propagation loss and are suitable for small cell coverage. A hybrid network is
presented where mmWave is used for capacity enhancement in hotspots and low
frequency network is applied for seamless coverage. Uniform air interface is a
consequence to simplify the design between mmWave bands and low frequency
bands. Unified access and backhaul technique not only reduces the cost of backhaul,
but also can meet the requirement of 1000 times capacity enhancement than LTE
system.

References

1. T. Rappaport, R.W. Heath, R.C. Daniels, J.N. Murdock, Millimeter Wave Wireless Communi-
cations (Prentice Hall, Englewood Cliffs, NJ, 2014)
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higher-frequency bands to support high data rates. IEEE Veh. Technol. Mag. 9, 39–46 (2014)
3. A.I. Sulyman, A.T. Nassar, M. Samimi, G.R. MacCartney, T.S. Rappaport, A. Alsanie, Radio
propagation path loss models for 5G cellular networks in the 28 GHz and 38 GHz millimeter-
wave bands. IEEE Commun. Mag. 52, 78–86 (2014)
134 Y. Wang and Z. Shi

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