HANNA BOGUCKA, PhD, is a professor at Poznan University of Technology (PUT) in Poznañ, Poland, where she has taught for more than 25 years. She is the co-editor of Opportunistic Spectrum Sharing and White Space Access: The Practical Reality (Wiley, 2015). ADRIAN KLIKS, PhD, is an assistant professor at PUT. He has taught laboratory courses on Radio Communications and Programming of Mobile Devices. PAWEŁ KRYSZKIEWICZ, PhD, is an assistant professor at PUT where he has taught laboratory courses on Radio Communications and Programming.

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• Preface ixList of Abbreviations xiii1 Introduction 11.1 5G Radio Communications 21.2 Challenges for Future Radio Communications 61.3 Initiatives for the Future Radio Interface Definition 82 Multicarrier Technologies in Radio Communication Systems 112.1 The Principles of OFDM 152.2 Nonlinear Distortions in Multicarrier Systems 182.2.1 Power Amplifier Models 222.3 PAPR Reduction Methods 252.4 Link Adaptation in Multicarrier Systems 312.5 Reception Techniques and CFO Sensitivity 352.5.1 Synchronization 352.5.2 Channel Estimation and Equalization 403 Noncontiguous OFDM for Future Radio Communications 453.1 Enhanced NC-OFDM with Cancellation Carriers 543.1.1 Reception Quality Improvement for Cancellation Carrier Method 573.1.2 Reduced-Complexity Reduced-Power Combination of CCs and Windowing 633.1.3 Rate and Power Issues with the CC Method 643.2 Reduction of Subcarrier Spectrum Sidelobes by Flexible Quasi-Systematic Precoding 693.2.1 Precoder Design 703.2.2 Reception Quality Improvement for NC-OFDM with Quasi-Systematic Precoding 723.3 Optimized Cancellation Carriers Selection 773.3.1 Computational Complexity 803.3.2 Heuristic Approach to OCCS 803.4 Reduction of Nonlinear Effects in NC-OFDM 853.4.1 Sequential PAPR and OOB Power Reduction 883.4.2 Joint Non-linear Effects Reduction with Extra Carriers 913.5 NC-OFDM Receiver Design 1013.5.1 NC-OFDM Receiver Synchronization 1033.5.2 In-Band-Interference Robust Synchronization Algorithm for an NC-OFDMSystem 1063.5.3 Performance Evaluation 1193.5.4 Computational Complexity 1263.6 Summary: Potentials and Challenges of NC-OFDM 1274 Generalized Multicarrier Techniques for 5G Radio 1314.1 The Principles of GMC 1324.1.1 Frame Theory and Gabor Transform 1354.1.2 Short-Time Fourier Transform and Gabor Transform 1404.1.3 Calculation of the Dual Pulse 1414.1.4 GMC Transceiver Design Using Polyphase Filters 1434.2 Peak-to-Average Power Ratio Reduction in GMC Transmitters 1454.2.1 Optimization of the Synthesis Pulse Shape for Minimization of Nonlinear Distortions 1454.2.2 Active Constellation Extension for GMC Signals 1504.3 Link Adaptation in GMC Systems 1594.3.1 Two-DimensionalWater-Filling 1594.3.2 AdaptiveModulation in GMC Transmitters 1654.3.3 Application of the Modified Hughes–Hartogs Algorithm in GMC Systems 1674.3.4 Remarks on Link Adaptation in the GMC Transmission 1704.4 GMC Receiver Issues 1734.4.1 Received Signal Analysis 1744.4.2 Successive Interference Cancellation (SIC) 1774.4.3 Parallel Interference Cancellation (PIC) 1794.4.4 Hybrid Interference Cancellation (HIC) 1814.5 Summary 1905 Filter-Bank-Based Multicarrier Technologies 1935.1 The Principles of FBMC Transmission 1945.2 FBMC Transceiver Design 1965.3 Pulse Design 1995.3.1 Nyquist Filters and Ambiguity Function 1995.3.2 IOTA Function 2005.3.3 PHYDYAS Pulse 2035.3.4 Other Pulse-Shape Proposals for FBMC 2055.4 Practical FBMC System Design Issues 2075.4.1 Self-Interference Problem in the FBMC Systems 2075.4.2 Computational Complexity 2095.4.3 Limitations of FBMC in Burst Transmission Schemes 2115.4.4 MIMO technique for FBMC Transmission 2115.5 Filter-bank-Based Multicarrier Systems Revisited 2135.6 Summary 2186 Multicarrier Technologies for Flexible Spectrum Usage 2196.1 Cognitive Radio 2196.2 Spectrum Sharing and Licensing Schemes 2236.2.1 Exclusive Use of Spectrum 2256.2.2 License Exempt Rules 2256.2.3 Licensed Shared Access and Authorized Shared Access 2266.2.4 Citizen Broadband Radio Service and Spectrum Access System 2266.2.5 Pluralistic Licensing 2276.2.6 Licensed Assisted Access 2276.2.7 Co-Primary Shared Access 2286.3 Dynamic Spectrum Access Based on MulticarrierTechnologies 2286.3.1 DSA Based on Spectrum Pricing 2296.3.2 DSA Based on Coopetition 2316.4 Dynamic Spectrum Aggregation 2316.4.1 Complexity and Aggregation Dynamics 2366.4.2 Transmitter Issues 2376.4.3 Receiver Issues 2396.4.4 Throughput Maximization 2416.5 Summary 2457 Conclusions and Future Outlook 247References 251Index 283

HANNA BOGUCKA, PhD, is a professor at Poznan University of Technology (PUT) in Poznañ, Poland, where she has taught for more than 25 years. She is the co-editor of Opportunistic Spectrum Sharing and White Space Access: The Practical Reality (Wiley, 2015). ADRIAN KLIKS, PhD, is an assistant professor at PUT. He has taught laboratory courses on Radio Communications and Programming of Mobile Devices. PAWEŁ KRYSZKIEWICZ, PhD, is an assistant professor at PUT where he has taught laboratory courses on Radio Communications and Programming.

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• Preface ixList of Abbreviations xiii1 Introduction 11.1 5G Radio Communications 21.2 Challenges for Future Radio Communications 61.3 Initiatives for the Future Radio Interface Definition 82 Multicarrier Technologies in Radio Communication Systems 112.1 The Principles of OFDM 152.2 Nonlinear Distortions in Multicarrier Systems 182.2.1 Power Amplifier Models 222.3 PAPR Reduction Methods 252.4 Link Adaptation in Multicarrier Systems 312.5 Reception Techniques and CFO Sensitivity 352.5.1 Synchronization 352.5.2 Channel Estimation and Equalization 403 Noncontiguous OFDM for Future Radio Communications 453.1 Enhanced NC-OFDM with Cancellation Carriers 543.1.1 Reception Quality Improvement for Cancellation Carrier Method 573.1.2 Reduced-Complexity Reduced-Power Combination of CCs and Windowing 633.1.3 Rate and Power Issues with the CC Method 643.2 Reduction of Subcarrier Spectrum Sidelobes by Flexible Quasi-Systematic Precoding 693.2.1 Precoder Design 703.2.2 Reception Quality Improvement for NC-OFDM with Quasi-Systematic Precoding 723.3 Optimized Cancellation Carriers Selection 773.3.1 Computational Complexity 803.3.2 Heuristic Approach to OCCS 803.4 Reduction of Nonlinear Effects in NC-OFDM 853.4.1 Sequential PAPR and OOB Power Reduction 883.4.2 Joint Non-linear Effects Reduction with Extra Carriers 913.5 NC-OFDM Receiver Design 1013.5.1 NC-OFDM Receiver Synchronization 1033.5.2 In-Band-Interference Robust Synchronization Algorithm for an NC-OFDMSystem 1063.5.3 Performance Evaluation 1193.5.4 Computational Complexity 1263.6 Summary: Potentials and Challenges of NC-OFDM 1274 Generalized Multicarrier Techniques for 5G Radio 1314.1 The Principles of GMC 1324.1.1 Frame Theory and Gabor Transform 1354.1.2 Short-Time Fourier Transform and Gabor Transform 1404.1.3 Calculation of the Dual Pulse 1414.1.4 GMC Transceiver Design Using Polyphase Filters 1434.2 Peak-to-Average Power Ratio Reduction in GMC Transmitters 1454.2.1 Optimization of the Synthesis Pulse Shape for Minimization of Nonlinear Distortions 1454.2.2 Active Constellation Extension for GMC Signals 1504.3 Link Adaptation in GMC Systems 1594.3.1 Two-DimensionalWater-Filling 1594.3.2 AdaptiveModulation in GMC Transmitters 1654.3.3 Application of the Modified Hughes–Hartogs Algorithm in GMC Systems 1674.3.4 Remarks on Link Adaptation in the GMC Transmission 1704.4 GMC Receiver Issues 1734.4.1 Received Signal Analysis 1744.4.2 Successive Interference Cancellation (SIC) 1774.4.3 Parallel Interference Cancellation (PIC) 1794.4.4 Hybrid Interference Cancellation (HIC) 1814.5 Summary 1905 Filter-Bank-Based Multicarrier Technologies 1935.1 The Principles of FBMC Transmission 1945.2 FBMC Transceiver Design 1965.3 Pulse Design 1995.3.1 Nyquist Filters and Ambiguity Function 1995.3.2 IOTA Function 2005.3.3 PHYDYAS Pulse 2035.3.4 Other Pulse-Shape Proposals for FBMC 2055.4 Practical FBMC System Design Issues 2075.4.1 Self-Interference Problem in the FBMC Systems 2075.4.2 Computational Complexity 2095.4.3 Limitations of FBMC in Burst Transmission Schemes 2115.4.4 MIMO technique for FBMC Transmission 2115.5 Filter-bank-Based Multicarrier Systems Revisited 2135.6 Summary 2186 Multicarrier Technologies for Flexible Spectrum Usage 2196.1 Cognitive Radio 2196.2 Spectrum Sharing and Licensing Schemes 2236.2.1 Exclusive Use of Spectrum 2256.2.2 License Exempt Rules 2256.2.3 Licensed Shared Access and Authorized Shared Access 2266.2.4 Citizen Broadband Radio Service and Spectrum Access System 2266.2.5 Pluralistic Licensing 2276.2.6 Licensed Assisted Access 2276.2.7 Co-Primary Shared Access 2286.3 Dynamic Spectrum Access Based on MulticarrierTechnologies 2286.3.1 DSA Based on Spectrum Pricing 2296.3.2 DSA Based on Coopetition 2316.4 Dynamic Spectrum Aggregation 2316.4.1 Complexity and Aggregation Dynamics 2366.4.2 Transmitter Issues 2376.4.3 Receiver Issues 2396.4.4 Throughput Maximization 2416.5 Summary 2457 Conclusions and Future Outlook 247References 251Index 283

HANNA BOGUCKA, PhD, is a professor at Poznan University of Technology (PUT) in Poznañ, Poland, where she has taught for more than 25 years. She is the co-editor of Opportunistic Spectrum Sharing and White Space Access: The Practical Reality (Wiley, 2015). ADRIAN KLIKS, PhD, is an assistant professor at PUT. He has taught laboratory courses on Radio Communications and Programming of Mobile Devices. PAWEŁ KRYSZKIEWICZ, PhD, is an assistant professor at PUT where he has taught laboratory courses on Radio Communications and Programming.

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• Preface ixList of Abbreviations xiii1 Introduction 11.1 5G Radio Communications 21.2 Challenges for Future Radio Communications 61.3 Initiatives for the Future Radio Interface Definition 82 Multicarrier Technologies in Radio Communication Systems 112.1 The Principles of OFDM 152.2 Nonlinear Distortions in Multicarrier Systems 182.2.1 Power Amplifier Models 222.3 PAPR Reduction Methods 252.4 Link Adaptation in Multicarrier Systems 312.5 Reception Techniques and CFO Sensitivity 352.5.1 Synchronization 352.5.2 Channel Estimation and Equalization 403 Noncontiguous OFDM for Future Radio Communications 453.1 Enhanced NC-OFDM with Cancellation Carriers 543.1.1 Reception Quality Improvement for Cancellation Carrier Method 573.1.2 Reduced-Complexity Reduced-Power Combination of CCs and Windowing 633.1.3 Rate and Power Issues with the CC Method 643.2 Reduction of Subcarrier Spectrum Sidelobes by Flexible Quasi-Systematic Precoding 693.2.1 Precoder Design 703.2.2 Reception Quality Improvement for NC-OFDM with Quasi-Systematic Precoding 723.3 Optimized Cancellation Carriers Selection 773.3.1 Computational Complexity 803.3.2 Heuristic Approach to OCCS 803.4 Reduction of Nonlinear Effects in NC-OFDM 853.4.1 Sequential PAPR and OOB Power Reduction 883.4.2 Joint Non-linear Effects Reduction with Extra Carriers 913.5 NC-OFDM Receiver Design 1013.5.1 NC-OFDM Receiver Synchronization 1033.5.2 In-Band-Interference Robust Synchronization Algorithm for an NC-OFDMSystem 1063.5.3 Performance Evaluation 1193.5.4 Computational Complexity 1263.6 Summary: Potentials and Challenges of NC-OFDM 1274 Generalized Multicarrier Techniques for 5G Radio 1314.1 The Principles of GMC 1324.1.1 Frame Theory and Gabor Transform 1354.1.2 Short-Time Fourier Transform and Gabor Transform 1404.1.3 Calculation of the Dual Pulse 1414.1.4 GMC Transceiver Design Using Polyphase Filters 1434.2 Peak-to-Average Power Ratio Reduction in GMC Transmitters 1454.2.1 Optimization of the Synthesis Pulse Shape for Minimization of Nonlinear Distortions 1454.2.2 Active Constellation Extension for GMC Signals 1504.3 Link Adaptation in GMC Systems 1594.3.1 Two-DimensionalWater-Filling 1594.3.2 AdaptiveModulation in GMC Transmitters 1654.3.3 Application of the Modified Hughes–Hartogs Algorithm in GMC Systems 1674.3.4 Remarks on Link Adaptation in the GMC Transmission 1704.4 GMC Receiver Issues 1734.4.1 Received Signal Analysis 1744.4.2 Successive Interference Cancellation (SIC) 1774.4.3 Parallel Interference Cancellation (PIC) 1794.4.4 Hybrid Interference Cancellation (HIC) 1814.5 Summary 1905 Filter-Bank-Based Multicarrier Technologies 1935.1 The Principles of FBMC Transmission 1945.2 FBMC Transceiver Design 1965.3 Pulse Design 1995.3.1 Nyquist Filters and Ambiguity Function 1995.3.2 IOTA Function 2005.3.3 PHYDYAS Pulse 2035.3.4 Other Pulse-Shape Proposals for FBMC 2055.4 Practical FBMC System Design Issues 2075.4.1 Self-Interference Problem in the FBMC Systems 2075.4.2 Computational Complexity 2095.4.3 Limitations of FBMC in Burst Transmission Schemes 2115.4.4 MIMO technique for FBMC Transmission 2115.5 Filter-bank-Based Multicarrier Systems Revisited 2135.6 Summary 2186 Multicarrier Technologies for Flexible Spectrum Usage 2196.1 Cognitive Radio 2196.2 Spectrum Sharing and Licensing Schemes 2236.2.1 Exclusive Use of Spectrum 2256.2.2 License Exempt Rules 2256.2.3 Licensed Shared Access and Authorized Shared Access 2266.2.4 Citizen Broadband Radio Service and Spectrum Access System 2266.2.5 Pluralistic Licensing 2276.2.6 Licensed Assisted Access 2276.2.7 Co-Primary Shared Access 2286.3 Dynamic Spectrum Access Based on MulticarrierTechnologies 2286.3.1 DSA Based on Spectrum Pricing 2296.3.2 DSA Based on Coopetition 2316.4 Dynamic Spectrum Aggregation 2316.4.1 Complexity and Aggregation Dynamics 2366.4.2 Transmitter Issues 2376.4.3 Receiver Issues 2396.4.4 Throughput Maximization 2416.5 Summary 2457 Conclusions and Future Outlook 247References 251Index 283