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3, APRIL 2016
at 60 GHz [22]. The Federal Communication Commission in some common properties as low frequency systems (multi-path
the USA is among the first to back enthusiasm behind 5G with delay spread, angle spread, and Doppler shift), with different
spectrum for mobile cellular applications [19]. parameters though (few and clustered paths for example lead-
MmWave is already a significant footprint wireless backhaul. ing to more sparsity in the channel). In addtion, some new
Traditional physical layer designs for 60 GHz backhaul assume features are introduced as well to account for high sensitivity
expensive directional antennas, reducing cost advantages over to blockages (buildings, human body, or fingers) and strong
wired solutions [1]. Low cost mmWave technologies with adap- differences between line-of-sight and non-line-of-sight propa-
tive arrays, however, are actively being developed to backhaul gation conditions. There are many opportunities to exploit the
densely distributed small cells in urban environments. In this mathematical properties of sparsity in channel estimation and
scenario, distances are very short but the operating expenditures equalization and precoder/combiner design.
associated with using fiber optical cable may still be prohibitive. The arrays discussed for mmWave communication may be
It will be possible to establish high capacity connections using large. Example array sizes in the literature include 16 elements
state-of-art, low cost mmWave devices [23], [24]. Self-backhaul in [39] or 256 elements in [40], but the arrays may even be
may even be possible in millimeter wave cellular systems [25]. larger at the base station in a cellular system. IEEE 802.11ad
MmWave has other potential applications as well. For exam- products with 32 elements are already commercially available.
ple, with the recent excitement related to connected and To provide sufficient link margin, in most mmWave commu-
autonomous vehicles, mmWave may play a role in provid- nication systems, arrays will be used at both the transmitter
ing high data rate connections between cars. This is natural and receiver, creating many opportunities to apply MIMO com-
because mmWave is already the backbone of automotive radar, munication techniques. The MIMO techniques applied will be
which has been widely deployed and developed over the past different though due to the different channel characteristics and
ten years [26]. The combination of mmWave communication additional hardware constraints found at mmWave frequencies.
and radar [27] is also interesting for mmWave applications. The connection between MIMO and mmWave is the main rea-
MmWave could be used to enable high rate low latency connec- son that we emphasize signal processing for mmWave MIMO
tions to clouds that permit remote driving of vehicles through systems.
new mmWave vehicle-to-infrastructure applications. MmWave The combined implications of hardware constraints, channel
is also of interest for high speed wearable networks that con- models, and large arrays has a far-reaching impact on the design
nect cell phone, smart watch, augmented reality glasses, and of mmWave communication systems. For example, mmWave
virtual reality headsets [28]. Clearly the future is bright for new cellular systems might have new architectural features. For
applications of mmWave. example, devices might maintain active connections with mul-
Signal processing is of critical importance for millimeter tiple base stations to achieve diversity from building, human, or
wave cellular systems. The reasons why signal processing is self-body blockages. Relays and cooperative diversity, which
different in millimeter wave frequencies than at lower frequen- have not been a huge success in lower frequency cellular net-
cies [29], [30] are: (i) there are new constraints on the hardware works, may play a more important role in improving coverage
in part due to the high frequency and bandwidth communication in mmWave cellular systems. Many challenges remain in both
channels, (ii) the channel models are different, and (iii) large designing new systems to support mmWave communication
arrays will be used at both the transmitter and receivers. These and devising algorithms so that mmWave can achieve its best
differences underly the foundations of this survey article. performance in such systems.
New hardware constraints arise from practical considerations The purpose of this article is to provide an overview of
like power consumption and circuit technology. One signal pro- the state-of-the-art in signal processing for mmWave wireless
cessing implication is renewed interest in partitioning signal communication systems. Section II explains the different chan-
processing operations between analog and digital domains to nel characteristics at mmWave compared to lower frequency
reduce, for example, the number of analog-to-digital converters systems. Understanding these characteristics is essential for
or their resolution. This has led to the development of hybrid the design of suitable MIMO architectures and signal pro-
beamforming architectures [30]–[34], beamspace signal pro- cessing algorithms. Section III describes the main mmWave
cessing techniques [35], [36], lens-based analog beamforming MIMO architectures which have been proposed to account
antennas [30], and low-rate ADC methods [37], [38]. Another for mmWave hardware constraints and channel characteristics.
signal processing implication is that analog components like The different approaches described include analog beamform-
phase shifters are imperfect (quantized phase and insertion ing, hybrid precoding and combining, and one-bit architec-
loss). This leads to new mathematical models of impairments, tures. A detailed review of beamtraining protocols and channel
new analyses of the effects of these impairments, and new estimation algorithms is provided in Section V. Approaches
algorithms that yield good performance even in the presence include both codebook-based strategies and compressed chan-
of impairments. We identify several of the signal processing nel sensing approaches, and threshold based methods, illus-
challenges that arise from hardware constraints in this article. trating approaches that operate under different assumptions.
The channel models at mmWave are different because the Precoding and combining algorithms for the different mmWave
propagation environment has a different effect on smaller wave- MIMO architectures are introduced in Section IV. The objec-
length signals [1]. For example, diffraction tends to be lower tive is to provide some signal processing examples about how
due to the reduced Fresnel zone, scattering is higher due to MIMO precoders and combiners can be configured in mmWave
the increased effective roughness of materials, and penetra- systems. The paper concludes with some final remarks in
tion losses can be much larger. Mmwave channel models use Section VI.
438 IEEE JOURNAL OF SELECTED TOPICS IN SIGNAL PROCESSING, VOL. 10, NO. 3, APRIL 2016
Notation: We use the following notation throughout this average path loss (not including small-scale fading) via a linear
paper: bold lowercase a is used to denote column vectors, bold model of the form
uppercase A is used to denote matrices, non-bold letters a, A
are used to denote scalar values, and caligraphic letters A to P L(d) [dB] = α + 10β log10 (d) + ξ, ξ ∼ N (0, σ 2 ), (2)
denote sets. Using this notation, |a| is the magnitude of a scalar,
a is the 2 norm, a0 is the 0 norm, AF is the Frobenius where d is the distance, α and β are linear model parameters
norm, σk (A) denotes the k th singular value of A in decreasing and ξ is a lognormal term accounting for variances in shadow-
order, tr(A) denotes the trace, A∗ is the conjugate transpose, ing. When converting to dB scale, Friis’ formula (1) is a special
AT is the matrix transpose, A−1 denotes the inverse of a square case of the model (2) with β = 2. Parameters for the model (2)
matrix, [a]k is the k th entry of a, |A| is the cardinality of set can be found in [5], [6], [46]–[50] for short-range and indoor
A. A ⊗ B is the Kronecker product of A and B. We use the settings.
notation N (m, R) to denote a complex circularly symmetric More recent work has focused on path loss models for longer
Gaussian random vector with mean m and covariance R. We range outdoor links to assess the feasibility of mmWave pico-
use E to denote expectation. cellular networks, including measurements in New York City
[15], [51], [52]. A surprising consequence of these studies is
that, for distances of up to 200 m from a potential low-power
II. M ILLIMETER WAVE P ROPAGATION AND base station or access point (similar to cell radii in current
C HANNEL M ODELS micro- and pico-cellular deployments), the distance-based path
loss in mmWave links is no worse than conventional cellular
Propagation aspects are unique at mmWave due to the very
frequencies after compensating for the additional beamforming
small wavelength compared to the size of most of the objects in
gain. It was these findings that suggested the mmWave bands
the environment. Understanding these channel characteristics
may be viable for picocellular deployments and generated con-
is fundamental to developing signal processing algorithms for
siderable interest in mmWave cellular systems [14], [53]. At
mmWave transmitter and receivers.
the same time, the results also show that, should mmWave
frequencies be employed in cellular networks, directional trans-
A. Distance-Based Path Loss missions, adaptive beamforming, and other MIMO techniques
will be of central importance.
For free-space propagation, the transmit power, Pt , and far-
field receive power, Pr , are related by Friis’ Law [41],
2 B. Blocking and Outage
λ
Pr = Gr Gt Pt , (1) While the distance-based path loss of mmWave frequencies
4πd
can be theoretically compensated by directional transmissions,
where the powers are in linear scale, d is the TX-RX sepa- a more significant challenge is their severe vulnerability to
ration distance, λ is the wavelength and Gt and Gr are the blockage. Materials such as brick can attenuate mmWave sig-
transmit and receive antenna gains. Friis’ Law implies that the nals by as much as 40 to 80 dB [14], [47], [54]–[56] and the
isotropic path loss (i.e. the ratio Pt /Pr with unity antenna gains human body itself can result in a 20 to 35 dB loss [57]. Foliage
Gr = Gt = 1), increases inversely with the wavelength squared, loss can also be significant [58], [59]. Alternatively, humid-
λ−2 . This fact implies that, in absence of directional antenna ity and rain fades, common problems for long range mmWave
gains, mmWave propagation will experience a higher path loss backhaul links [60], are not an issue in either short-range indoor
relative to conventional lower frequencies. For a given physi- links or micro-cellular systems [15], [61] with sub-km link
cal antenna aperture, however, the maximum directional gains distances.
generally scale as Gr , Gt ∝ λ−2 , since more antenna elements The human body (depending on the material of the clothing)
can be fit into the same physical area. Therefore, the scaling of and most building materials are reflective. This allows them to
the antenna gains more than compensates for the increased free- be important scatterers to enable coverage via NLOS paths for
space path-loss at mmWave frequencies. Compensating for path cellular systems [50], [56]. For example, measurements in New
loss in this manner will require, however, directional transmis- York City [15] confirm that even in extremely dense urban envi-
sions with high-dimensional antenna arrays – explaining how ronments, coverage is possible up to 200 m from a potential cell
MIMO is a defining characteristic of mmWave communication. site. This is good because diffraction – a primary means of cov-
While free space propagation can be predicted by Friis’ Law, erage in sub 6 GHz systems – is not significant at mmWave
the path loss in general environments depend on the particular frequencies.
position of objects that can attenuate, diffract and reflect sig- To quantify the effect of blocking, cellular system evaluation
nals. Ray tracing has been reasonably successful in predicting can use a two-state model (LOS and NLOS) or a three state
site-specific mmWave propagation, particularly in indoor set- model (LOS, NLOS, and signal outage). The probability of a
tings, for at least a decade [42], [43]. There is also a large body link being in each state is a function of distance. Using the NYC
of work in developing mmWave statistical models that describe measurements in [15], [16] fits statistical models for this three
the distribution of path losses over an ensemble of environments state model, similar in form to some LOS-NLOS probabilities
[44], [45], with a particularly large number of studies in short- used in 3GPP LOS-NLOS for heterogeneous networks [62].
range links in wireless PAN or indoor LAN systems [5], [6], Blocking models can also be derived analytically from
[46]–[50]. The most common statistical model describes the random shape theory [63] or from geographic information
HEATH et al.: OVERVIEW OF SIGNAL PROCESSING TECHNIQUES 439
[64]. Using such models, it is possible to evaluate coverage If in addition, the bandwidth of the channel W is sufficiently
and capacity in mmWave cellular networks analytically using small so that τ W 1 ∀, = 1, . . . , Np then we get the
stochastic geometry [18]. narrowband spatial model for the channel matrix
A major outstanding issue is characterizing the joint proba-
bilities in outage between links from different cells, which is
Np
H= α aR (θR, , φR, )aT ∗ (θT, , φT, ). (7)
critical in assessing the benefits of macro-diversity [65], [66].
=1
peff
sparse/low-rank nature of the MIMO channel at mmWave i=1 σi2 (H) ≥ ησc2 , for some η close to 1 (e.g., 0.8 or 0.9).
is explicitly reflected in the sparse nature of the beamspace Optimal communication over the peff -dimensional communica-
channel matrix Hb (t, f ). tion subspace is achieved through the corresponding singular
For a narrowband MIMO system, the beamspace channel vectors in V and U.
representation can be explicitly expressed as [35], [36] In sparse beamspace MIMO channels, the low-dimensional
communication subspace is accessed through Fourier basis vec-
Nr
Nt
H = UR Hb U∗T = [Hb ]i,k aR (θR,i )aT ∗ (θT,k ) (10) tors that serve as approximate singular vectors for the spatial
i=1 k=1 signal space [30], [31], [76], [77]. The channel power is con-
centrated in a low-dimensional sub-matrix of Hb , denoted H̃b ,
where {θR,i } and {θT,k } are virtual AoAs and AoDs corre- consisting of dominant entries indexed by the channel beam
sponding to the uniformly spaced normalized angles {ϑR,i } and masks:
{ϑT,k }. The concept of beamspace channel representation is
2 2
intuitive and easy to understand for the narrowband case. It can M = (, m) : |[Hb ],m | ≥ γ max |[Hb ],m | ;
(,m)
be extended to time- and frequency-selective channels as well
via uniform sampling in delay and Doppler commensurate with Mr = { : (, m) ∈ M} Mt = {m : (, m) ∈ M)}, (13)
the signaling bandwidth W and duration T [35], [68]:
M
where γ ∈ (0, 1) is a threshold, M is the channel beam
Nr
Nt L−1 2 mask, and Mt and Mr denote the transmit and receive masks
H(t, f ) = Hb (i, k, , m)aR (θR,i )aT ∗ (θT,k ) of dominant beams. The sub-matrix H̃b is then defined as:
i=1 k=1 =0 m=− M
2 H̃b = [[Hb ]],m ]∈Mr ,m∈Mt . The low-complexity beamspace
m
× ej2π T t e−j2π W f , (11) MIMO transceivers access the low-dimensional communica-
tion subspace by selecting the |Mt | Nt transmit beams
Nr
Nt L−1
in Mt and |Mr | Nr receive beams in Mr . We note that
H(f ) = Hb (i, k, )aR (θR,i )aT ∗ (θT,k )e−j2π W f ,
min(|Mt |, |Mr |) ≈ peff and the performance of these low-
i=1 k=1 =0
(12) dimensional transceivers can be made arbitrarily close to the
optimal SVD-based receiver by choosing the threshhold γ in
where rather than the actual physical delay and Doppler shifts, (13) sufficiently small so that H̃b captures most of the channel
the channel is represented by uniformly spaced delays τ = power. This discussion applies to deterministic channels. For
/W and Doppler shifts νm = m/T with spacings Δτ = random multipath variations, M, Mt and Mr can be defined
1/W and Δν = 1/T . L = W τmax + 1 and M = T νmax . by replacing |[Hb ],m |2 with E|[Hb ],m |2 .
We note that due to critical sampling in angle, delay, and
Doppler, the channel representations in (10), (11), and (12) F. Extended Virtual Representation for the Narrowband
represent multi-dimensional Fourier series expansions with Channel Model
respect to orthogonal Fourier basis functions in angle, delay,
Doppler [68]. When any array geometry is considered we can formulate
The wideband channel model needs to be further extended if an alternative beamspace representation of the channel, that we
the number of antennas and/or the signal bandwidth becomes will call extended virtual representation. It is written in terms
sufficiently large [74]. For wideband operation, in general, the of more general dictionaries instead of the basis functions for
spatial angles θR, and θT, in the arguments of the steering vec- the DFT.
tors also include a frequency dependence called beam-squint, Consider the multipath narrowband channel model in (7).
that can result in significant degradation in performance [74], H can be written in a more compact way as
[75]. Beam squint is a significant problem for paths for which H = AR Hb A∗T , (14)
the dispersion factor N αθ ≥ 0.2 (as applied to the transmit or
receive side). A simple multi-beam solution to the beamsquint where AT ∈ CNt ×Np and AR ∈ CNr ×Np contain the array
problem is proposed in [74]. If this dispersion factor is suffi- response vectors for the transmitter and receiver respectively,
ciently small for all angles within the angular spread, then the and Hb = diag(α), with α = [α1 , α2 , . . . , αNp ]. If we assume
frequency dependence of θ(f ) can be ignored. that the AoAs/AoDs are taken from a uniform grid of size G,
2π(G−1)
i.e. θT, , θR, ∈ {0, 2π
G ,..., G }, with G Np , we can
define the array response matrices, whose columns are the array
E. Beamspace Channel Sparsity: Low-Dimensional response vectors corresponding to the angles in the grid, as ĀT ,
Communication Subspace ĀR . Using these matrices, H can be approximated in terms of
Consider a channel that is non-selective in time and fre- a Np -sparse matrix H̃b ∈ CG×G , with Np non zero elements in
2
quency, H(t, f ) ≈ H, to focus
on its spatial structure. Let σc =
the positions corresponding to the AoAs and AoDs
tr(H∗ H) = tr(H∗b Hb ) = ,m |[Hb ],m |2 denote the channel
H = ĀR H̃b Ā∗T . (15)
power. For a given channel realization, the low-dimensional
communication subspace is captured by the SVD of H = There is grid error in (15), since the DoAs/DoDs do not neces-
UΣV∗ We define the effective channel rank, peff , as the num- sarily fall to the uniform grid. If the grid size is large enough
ber of singular values that capture most of channel power: this error is usually neglected.
HEATH et al.: OVERVIEW OF SIGNAL PROCESSING TECHNIQUES 441
beamformer only supports single-user and single-stream trans- Fig. 4. Analog processing for hybrid beamforming based on phase shifters:
mission. This means it is not possible to realize multi-stream or (a) each RF chain is connected to all the antennas; (b) each RF chain is
connected to a subset of antennas.
multi-user benefits associated with MIMO. Steering the beams
is not trivial, especially when a communication link has not yet
been established. This leads to the need for beam training algo-
rithms (described in Section IV-A) and techniques for channel
estimation (described in Section V). In general, to achieve the
highest performance, the wireless protocol should be designed
to support beam steering [119].
B. Hybrid Analog-Digital Precoding and Combining Fig. 5. Analog processing for hybrid beamforming based on switches: (a) each
RF chain can be connected to all the antennas; (b) each RF chain can be
Hybrid architectures are one approach for providing
connected to a subset of antennas.
enhanced benefits of MIMO communication at mmWave fre-
quencies. This architecture, shown in Fig. 3, divides the MIMO
optimization process between analog and digital domains. A shifters would normally use digitally controlled phase shifters
small number of transceivers are assumed (2 to 8), so that with a small number of quantized phases. An advantage of the
Ns < Lt < Nt and Nr > Lr > Ns . Assuming that Ns > 1, then hybrid approach is that the digital precoder/combiner can cor-
the hybrid approach allows spatial multiplexing and multiuser rect for lack of precision in the analog, for example to cancel
MIMO to be implemented; analog beamforming is a special residual multi-stream interference. This allows hybrid precod-
case when Ns = Lt = Lr = 1. WirelessHD described the appli- ing to approach the performance of the unconstrained solutions
cation of a hybrid architecture [3], but to our knowledge it [32], [33]. Hybrid precoding is a topic of substantial current
has not yet been commercialized. Hybrid architectures were research [29], [127]–[131].
investigated at lower frequencies in [120]–[122]. The general An alternative mmWave hybrid architecture that makes use
concept of hybrid precoding introduced in this prior work can of switching networks [132], [133] with small losses [125]
also be applied to mmWave systems. The algorithms for the has been recently proposed [134], to further reduce complex-
design of the precoders/combiners described in these papers ity and power consumption of the hybrid architecture based on
use however channel models that do not fully capture the effect phase shifters. This architecture, illustrated in Fig. 5, exploits
of limited mmWave scattering and large arrays. While those the sparse nature of the mmwave channel by implementing a
algorithms can be used at mmWave frequencies, further sim- compressed spatial sampling of the received signal. The ana-
plifications occur when the sparsity of the mmWave channel log combiner design is performed by a subset antenna selection
is leveraged. A comparison of performance and complexity of algorithm instead of an optimization over all quantized phase
specific mmWave hybrid precoding schemes and general hybrid values. Every switch can be connected to all the antennas if the
precoding algorithms is a topic of current research. array size is small or to a subset of antennas for larger arrays.
The RF precoding/combining stage can be implemented Analog beamforming for Ns > 1 in the hybrid architecture
using different analog approaches like phase shifters [123], can also be realized using a lens antenna at the front-end,
[124], switches [125] or lenses. Two hybrid structures are pos- using the fundamental fact that lenses compute a spatial Fourier
sible [34]. In the first one, all the antennas can connect to each transform thereby enabling direct channel access in beamspace
RF chain (as illustrated in Fig. 4(a)). In the second one (see [30], [31]. This continuous aperture phased (CAP) MIMO
Fig. 4(b)), the array can be divided into subarrays, where each transceiver architecture is illustrated in Fig. 6 and suggests
subarray connects to its own individual transceiver. Having a practical pathway for realizing high dimensional MIMO
multiple subarrays reduces hardware complexity at the expense transceivers at mmWave frequencies with significantly low
of less overall array flexibility. A complete analysis of the hardware complexity compared to conventional approaches
energy efficiency and spectrum-efficieny of both architectures based on digital beamforming. The antennas and RF pre-
is provided in [34]. Massive hybrid architectures based on the coder/combiner in Fig. 3 are replaced by the continuous-
subarray structure are analyzed in [80]. Some prototypes for aperture lens antenna and mmWave beam selector in Fig. 6.
hybrid mmWave MIMO systems are also being developed [17], CAP-MIMO directly samples in beamspace via an array of feed
[39], [126]. antennas arranged on the focal surface of the lens antenna.
Two different realizations of the hybrid architecture are illus- CAP-MIMO enables direct access to the beamspace chan-
trated in Fig. 4. A hybrid precoder/combiner based on phase nel matrix Hb ; see (9); in particular, lens-based front-end
HEATH et al.: OVERVIEW OF SIGNAL PROCESSING TECHNIQUES 443
(see Fig 4), imposes the constraint of unit norm entries in WRF The design of combiners when the receiver hybrid architec-
and FRF and further possibly quantized. In [122], [149], hybrid ture is based on switches (see Fig. 5) instead of phase shifters
analog/digital precoding which does not exploit channel struc- has been addressed in [134]. The RF combining/precoding
ture was considered for both spatial diversity and multiplexing matrices become selection matrices routing Lr , Lt antennas
systems. Other algorithms have been specifically designed for to the corresponding RF chain. Each column of WRF , FRF
mmWave systems, leveraging the special characteristics of is a binary vector with a single one and zeros elsewhere.
mmWave channels to simplify the design. The combiner design that maximizes mutual information is a
A general approach for hybrid precoding would be to maxi- combinatorial problem. After some approximations a sparse
mize the mutual information given by reconstruction problem can also be formulated and solved using
a variant of simultaneous orthogonal matching pursuit (SOMP).
I(ρ, FRF , FBB , WRF , WBB ) Most work on hybrid precoding like [32], [155], [156]
= log
I + ρR−1 ∗
n W HFF H W
∗ ∗
(17) requires the availability of channel knowledge, at least at the
receiver. To relax this assumption, [152] develops a hybrid pre-
where Rn = W∗ W and using the definitions of F and W coding algorithm for mmWave systems based on partial channel
from Section IV-B. Optimizing (17) directly is challenging knowledge. With a two-stage algorithm, [152] showed that the
due to the constraint sets. An alternative proposed in [32] is hybrid precoding performance with perfect channel knowledge
to assume that the receiver performs ideal decoding, neglect- can be approached when each of the transmitter and receiver
ing the receiver hybrid constraint. Effectively this removes the knows only its AoDs (or AoAs). Relaxations for hybrid pre-
terms that depend on W from (17). With some approxima- coding with no channel knowledge and with quantized phase
tions, this leads to a new problem where the hybrid precoders shifters has been considered in [146]. Other extensions are
are found by approximating the unconstrained optimal pre- made for single-stream MIMO-OFDM where the analog/digital
coder Fopt , given by the channel singular value decomposition precoders are designed to maximize either the signal strength
(SVD) solution or the sum-rate over different sub-carriers [128]. Other varia-
opt opt tions of hybrid precoding with arrays of sub-arrays of phase
FRF , FBB = arg min Fopt − FBB FRF F , shifters were considered in [34], [151]. It was shown here that
FBB ,FRF
this system incurs a small loss compared to the fully-connected
s.t. FRF ∈ FRF , architecture, while the power consumption is lower. Many other
2
FRF FBB F = Ns , (18) extensions are also important, like hybrid precoding codebook
design, and wideband hybrid precoding (see [29] for more
where FRF is the set of feasible RF precoders which correspond suggested future work).
to a hybrid architecture based on phase shifters, i.e., the set of
Nt × NRF matrices with constant-magnitude entries. To solve
this problem, an orthogonal matching pursuit (OMP) based D. Single-User Hybrid Precoding and Combining With Lens-
algorithm was proposed in [32]. It uses a sparse channel model Based Front-End
like in (15) and proposes a related problem that involves config-
Precoding and combining for lens-based analog beamform-
uring the RF beamforming vectors from a dictionary of steering
ing makes use of the beamspace system representation in
vectors based on channel AoDs. This solution was found to be
(9) to exploit the resulting sparsity in the thresholded sub-
close to the unconstrained digital solution and offer substan-
matrix H̃b defined in Section II-E. If CSI is available at
tial gains over the case of single-stream analog beamforming.
the transmitter, an SVD of H̃b = Ũb Σ̃b Ṽb∗ may be used
The hybrid precoding design problem based on the dictonary
[31] for precoding. The matrix Ṽb is used for precoding
approach is extended to an architecture based on subarrays in
at the transmitter and Ũb is used for post-processing at the
[153]; the sparsity of the channel is also used to define an effi-
receiver to create peff = min(|Mr |, |Mt |) orthogonal chan-
cient way to find the near-optimal precoder. In [154] the code-
nels. A simpler approach exploits the fact that the Fourier
book base approach is also considered, and another method for
(beamspace) basis vectors serve as approximate eigenvectors
the efficient selection of the precoders/combiners is presented.
for sparse beamspace mmWave MIMO channels. In this case,
In [155], the semi-unitary structure of the optimum precoder (in
no precoding is done at the transmitter, except possibly some
the absence of hardware constraints) is exploited. The search
power allocation across the peff transmit data streams. Residual
space in the array manifold is significantly reduced and a much
interference between the different data streams is suppressed
lower complexity optimization algorithm is obtained. In [156]
via post-processing at the receiver, e.g., the MMSE receiver
the hybrid structure based on phase shifters is further analyzed.
[76]. By appropriate thresholding so that most of the channel
It is theoretically shown that if Lr , Lt ≥ 2Ns , the hybrid system
power is captured by H̃b , both approaches deliver near optimal
performs as the all-digital precoding/combining scheme. This
performance [76].
work also proposes an aternative design strategy for the pre-
coders/combiners when Lr = Lt = Ns , which performs close
to the fully-digital solution. Another solution presented in [131]
E. Precoding and Combining With 1-bit ADCs
performs a simplex 1-D iterative local search for every element
of the analog precoder; the large number of entries which are In [140], where CSIT is assumed, simple channel inversion
updated separately increases the computational complexity. precoding (versus the usual eigenbeamforming) is shown to be
446 IEEE JOURNAL OF SELECTED TOPICS IN SIGNAL PROCESSING, VOL. 10, NO. 3, APRIL 2016
Fig. 10. System model for the multiuser hybrid precoding design.
√
Φ = P (FTt Ā∗T ⊗ Wt∗ ĀR ). Since the grid is iteratively many different algorithms can be developed, the choice of the
defined, ĀT and ĀR , which work as the dictionary matrices, threshold in determining dominant channel entries is key.
are different at each step of the reconstruction algorithm. The
RF beamforming/combining training vectors FtRF and WRF t
are
chosen as the columns of the Mt × Mt and Mr × Mr DFT C. Channel Estimation With 1-bit Architectures
matrices. The baseband precoding/combining training vectors Channel estimation with one-bit ADCs for the MIMO chan-
FtBB and WBB t
are designed to minimize the coherence of the nel in general [171], [172] and in the context of mmWave
initial equivalent measurement matrix. [142] is surprisingly effective when understood from a math-
A hybrid architecture based on phase shifters constrains the ematical perspective. In [142], channel sparsity is exploited and
RF precoding/combining matrices to have unit norm entries. An the narrowband virtual channel model in (15) is considered,
architecture based on switches restricts each column of FtRF which allows for a sparse recovery problem to be formulated.
and WRF t
to have exactly a one at the index of the selected The received signal using this particular architecture can be
antenna and zeros elsewhere. In [134], it was shown that written as
analog-only binary pseudorandom combining matrices based
on switches provide equal or even lower coherence than mea- Y = sign(HFt X + Q), (24)
surement matrices associated to an architecture based on phase
shifters. Besides of having a similar channel estimation perfor- where X is the training sequence and Q is the i.i.d. Gaussian
mance, hybrid architectures based on switches lead to a lower noise. Using the virtual channel representation in (9), setting
power consumption with respect to phase shifters. Ft = UNt , using the training sequence X = Ft Z
The contributions summarized above show the success of
compressive channel estimation in simple mmWave systems. vec(Y) = sign((ZT ⊗ UNr )vec(Hb ) + vec(Q)). (25)
Many open problems remain. To further increase the perfor-
The problem of estimating hb = vec(Hb ) given Z, UNr and
mance of sparse recovery algorithms, it would be interesting
the received signal can be solved using the one-bit compressive
to design alternative training precoders/combiners at RF and
sensing framework introduced in [141] to recover sparse vec-
baseband that minimize the coherence of the equivalent mea-
tors. The reconstruction can be further improved if prior infor-
surement matrix. It is also interesting to analyze the trade-offs
mation about the distribution of hb is used [142]. In this case,
between the training length and the number of RF chains for the
the generalized approximate message passing (GAMP) algo-
different architectures. The design of limited feedback strate-
rithm can be used to solve the optimization problem in a small
gies for the mmWave MIMO channel is also interesting, as
number of steps.
the estimators and quantizers are intertwined. Estimating the
Channel estimation of the broadband channel is an active
array geometry at the same time as the channel is another
area of research. The closed-form ML estimator of the chan-
challenging direction, as is feedback and feedforward of array
nel can be derived for the one-tap SISO channel [171], but
geometry information. Finally, it would be interesting to formu-
it is intractable for frequency-selective channels. Prior work
late the channel estimation problem for a multi-cell system and
proposed to transmit periodic bursty training sequences and
a wideband channel model, to study the influence of the inter-
estimate each tap of the channel responses separately [172],
cell interference into the performance of compressive channel
[173]. A more efficient way is to include the correlation of the
estimators.
channel responses (for instance, the sparsity of the mmWave
channel [142]). The GAMP algorithm is also appealing in this
case [142], [174], [175].
B. Beam Training and Sparse Channel Estimation in Lens-
Based CAP-MIMO Transceivers
Consider and Nr × Nt mmWave MIMO system with a lens- D. Multiuser Channel Estimation
based transceiver architecture such as CAP-MIMO. Channel In [168], a compressed-sensing based multi-user mmWave
estimation consists of two steps: i) determining the channel system operation was proposed in which the basestation
beam masks, M, Mt and Mr , defined in Sec. II-E, that deter- and mobile users employ random beamforming/measurement
mine the low-dimensional beamspace channel matrix H̃b , and matrices to estimate the downlink channel parameters
ii) estimation of the entries of H̃b . The second step can be (AoAs/AoDs and path gains). Then, quantized AoA/AoD
accomplished by sequentially exciting the transmit beams in knowledge is fed back to the basestation, which uses this to
Mt and, for each excited transmit beam, measuring the cor- construct the data transmission beamforming vectors. Apart
responding receive beams in Mr . This yields a columnwise from adaptive compressed sensing, random compressed sens-
estimate H̃b [170]. The determination of M essentially boils ing may be more suitable for multi-user systems as all the
down to sequential transmission and thresholding: sequen- mobile users can simultaneously estimate their channels thanks
tially exciting different transmit beams, and determining the to the randomness nature of the transmitted beams. One impor-
receive beams with sufficiently high power for each transmitted tant question when random compressed sensing tools are used
beam. This approach generally requires somewhere between to estimate mmWave channels is how many measurements are
O(N ) and O(N 2 ) transmissions, depending on the number need? To give an initial answer to this question, [168] derived a
of simultaneous measurements possible at the receiver. While simple expression for the per-user achievable rate as a function
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HEATH et al.: OVERVIEW OF SIGNAL PROCESSING TECHNIQUES 453
Robert W. Heath Jr. (S’96–M’01–SM’06– Sundeep Rangan received the B.A.Sc. degree from
F’11) received the B.S. and M.S. degrees from the the University of Waterloo, Waterloo, ON, Canada,
University of Virginia, Charlottesville, VA, USA, in and the M.Sc. and Ph.D. degrees from the University
1996 and 1997, respectively, and the Ph.D. degree of California, Berkeley, Berkeley, CA, USA, all
from Stanford University, Stanford, CA, USA, in in electrical engineering. He has held postdoctoral
2002, all in electrical engineering. From 1998 to appointments with the University of Michigan, Ann
2001, he was a Senior Member of the Technical Staff Arbor, MI, USA, and Bell Labs. In 2000, he co-
then a Senior Consultant at Iospan Wireless Inc, San founded (with four others) Flarion Technologies, a
Jose, CA, USA, where he worked on the design and spin off of Bell Labs, that developed Flash OFDM,
implementation of the physical and link layers of the first cellular OFDM data system and pre-cursor
the first commercial MIMO-OFDM communication to 4G systems including LTE and WiMAX. In 2006,
system. Since January 2002, he has been with the Department of Electrical and Flarion was acquired by Qualcomm Technologies. He was the Director of
Computer Engineering, University of Texas at Austin, Austin, TX, USA, where Engineering at Qualcomm involved in OFDM infrastructure products. He
he is a Cullen Trust for Higher Education Endowed Professor, and is a Member joined the Department ECE, NYU, in 2010. His research interests include
of the Wireless Networking and Communications Group. He is also the wireless communications, signal processing, information theory, and control
President and CEO of MIMO Wireless Inc. and the Chief Innovation Officer theory.
at Kuma Signals LLC. He is a coauthor of the book Millimeter Wave Wireless
Communications (Prentice Hall, in 2014). His research interests include several
aspects of wireless communication and signal processing: limited feedback
techniques, multihop networking, multiuser and multicell MIMO, interference
alignment, adaptive video transmission, manifold signal processing, and
millimeter wave communication techniques. He has been an Editor for the
IEEE T RANSACTIONS ON C OMMUNICATION, an Associate Editor for the
IEEE T RANSACTIONS ON V EHICULAR T ECHNOLOGY, and the Lead Guest
Editor for the IEEE J OURNAL ON S ELECTED A REAS IN C OMMUNICATIONS Wonil Roh received the Doctorate degree in electrical
special issue on limited feedback communication, and Lead Guest Editor for engineering from Stanford University, Stanford, CA,
the IEEE J OURNAL ON S ELECTED T OCS in Signal Processing special issue USA. He is currently a Vice President and the Head
on Heterogenous Networks. He was on the steering committee for the IEEE of Advanced Communications Laboratory, Samsung
T RANSACTIONS ON W IRELESS C OMMUNICATIONS from 2011 to 2014. Electronics Corp. in Korea, responsible for research
He was a member of the Signal Processing for Communications Technical of next generation mobile communications technolo-
Committee in the IEEE Signal Processing Society and is a former Chair of gies. He started working at Samsung Electronics, in
the IEEE COMSOC Communications Technical Theory Committee. He was a 2003, in research and development of CDMA and
Technical Co-Chair for the 2007 Fall Vehicular Technology Conference, the Mobile WiMAX base-stations with the main focus on
General Chair of the 2008 Communication Theory Workshop, the General multiantenna algorithms and system analysis. Then
Co-Chair, Technical Co-Chair and a Co-Organizer of the 2009 IEEE Signal he led overall WiMAX standard activities and strat-
Processing for Wireless Communications Workshop, a Local Co-Organizer egy in Samsung including IEEE, the WiMAX Forum and ITU-R, and served
for the 2009 IEEE CAMSAP Conference, the Technical Co-Chair for the as the Chair of Technical Working Group (TWG) of the WiMAX Forum from
2010 IEEE International Symposium on Information Theory, the Technical 2006 to 2011. Since 2011, he has been leading research efforts for the next gen-
Chair for the 2011 Asilomar Conference on Signals, Systems, and Computers, eration cellular (Beyond 4G or 5G) technologies at Samsung with a focus on
the General Chair for the 2013 Asilomar Conference on Signals, Systems, development of disruptive technologies and feasibility studies.
and Computers, founding General Co-Chair for the 2013 IEEE GlobalSIP
conference, and was Technical Co-Chair for the 2014 IEEE GLOBECOM
conference. He was a 2003 Frontiers in Education New Faculty Fellow. He is
also a licensed Amateur Radio Operator, a registered Professional Engineer in
Texas. He was the corecipient of Best Student Paper Awards at the IEEE VTC
2006 Spring, the WPMC 2006, the IEEE GLOBECOM 2006, the IEEE VTC
2007 Spring, and the IEEE RWS 2009, as well as the corecipient of the Grand
Prize in the 2008 WinTech WinCool Demo Contest. He was also the corecipient Akbar M. Sayeed (F’12) received the B.S. degree
of the 2010 and 2013 EURASIP Journal on Wireless Communications and from the University of Wisconsin-Madison, Madison,
Networking Best Paper Awards, the 2012 Signal Processing Magazine Best WI, USA, in 1991, and the M.S. and Ph.D. degrees
Paper Award, the 2013 Signal Processing Society Best Paper Award, the 2014 from the University of Illinois at Urbana-Champaign,
EURASIP Journal on Advances in Signal Processing Best Paper Award, and Champaign, IL, USA, in 1993 and 1996, respec-
the 2014 Journal of Communications and Networks Best Paper Award. tively, all in electrical engineering. He is a Professor
of Electrical and Computer Engineering with the
Nuria González-Prelcic received the Ph.D. degree in University of Wisconsin-Madison, where he leads the
telecommunications engineering from the University Wireless Communication and Sensing Laboratory.
of Vigo, Vigo, Spain, in 1998 (distinguished with His research interests include wireless communica-
the best Ph.D. thesis award). She is currently an tions, statistical signal processing, communication
Associate Professor with the Department of Signal and information theory, wireless channel modeling, time-frequency analysis,
Theory and Communications, University of Vigo. and applications, the development of basic theory, system architectures, and
She has held visiting positions with Rice University, prototypes for new wireless technologies and applications at centimeter-wave
Houston, TX, USA (1997), the University of New and millimeter-wave (10–300 GHz) frequencies for meeting the growing data
Mexico, Albuquerque, NM, USA (2012), and The and connectivity needs. He was a Postdoctoral Fellow with Rice University,
University of Texas at Austin, Austin, TX, USA Houston, TX, USA, from 1996 to 1997. He was the recipient of the Robert T.
(2014 and 2015). Her research interests include sig- Chien Memorial Award (1996) for his doctoral work, the NSF CAREER Award
nal processing theory and signal processing for wireless communications: (1999), and the ONR Young Investigator Award (2001). He has served the IEEE
filter banks, compressive sampling and estimation, and MIMO processing in a number of capacities, including as a member of the Signal Processing for
for millimeter wave communications. She is currently the Head of the Communications and Networking Technical Committee of the IEEE Signal
Atlantic Research Center for Information and Communication Technologies Processing Society (2007–2012) and as an Associate Editor for the IEEE
(AtlantTIC), University of Vigo. T RANSACTIONS ON S IGNAL P ROCESSING (2013–2015).