Full Text:   <2517>

Summary:  <1598>

CLC number: TN929.5

On-line Access: 2018-05-07

Received: 2017-12-15

Revision Accepted: 2018-02-27

Crosschecked: 2018-03-20

Cited: 0

Clicked: 5784

Citations:  Bibtex RefMan EndNote GB/T7714


Wen-jia Liu


-   Go to

Article info.
Open peer comments

Frontiers of Information Technology & Electronic Engineering  2018 Vol.19 No.3 P.340-356


Enhanced uplink non-orthogonal multiple access for 5G and beyond systems

Author(s):  Wen-jia Liu, Xiao-lin Hou, Lan Chen

Affiliation(s):  DOCOMO Beijing Communications Laboratories Co., Ltd., Beijing 100190, China

Corresponding email(s):   liuwj@docomolabs-beijing.com.cn, hou@docomolabs-beijing.com.cn, chen@docomolabs-beijing.com.cn

Key Words:  Uplink non-orthogonal multiple access, Generalized Welch-bound equality, Multi-level received powers, Sequence grouping

Wen-jia Liu, Xiao-lin Hou, Lan Chen. Enhanced uplink non-orthogonal multiple access for 5G and beyond systems[J]. Frontiers of Information Technology & Electronic Engineering, 2018, 19(3): 340-356.

@article{title="Enhanced uplink non-orthogonal multiple access for 5G and beyond systems",
author="Wen-jia Liu, Xiao-lin Hou, Lan Chen",
journal="Frontiers of Information Technology & Electronic Engineering",
publisher="Zhejiang University Press & Springer",

%0 Journal Article
%T Enhanced uplink non-orthogonal multiple access for 5G and beyond systems
%A Wen-jia Liu
%A Xiao-lin Hou
%A Lan Chen
%J Frontiers of Information Technology & Electronic Engineering
%V 19
%N 3
%P 340-356
%@ 2095-9184
%D 2018
%I Zhejiang University Press & Springer
%DOI 10.1631/FITEE.1700842

T1 - Enhanced uplink non-orthogonal multiple access for 5G and beyond systems
A1 - Wen-jia Liu
A1 - Xiao-lin Hou
A1 - Lan Chen
J0 - Frontiers of Information Technology & Electronic Engineering
VL - 19
IS - 3
SP - 340
EP - 356
%@ 2095-9184
Y1 - 2018
PB - Zhejiang University Press & Springer
ER -
DOI - 10.1631/FITEE.1700842

uplink non-orthogonal multiple access (NOMA) is a promising technique to meet the requirements of the fifth generation (5G) and beyond systems. Various NOMA schemes have been proposed in both academia and industry. However, most existing schemes assume equal average received power, which limits the performance. We propose three enhancements of uplink NOMA to achieve the requirements of massive connectivity and high reliability in 5G, where unequal average received power is exploited as part of the multiple access signature. First, the optimal sequences targeting to generalized Welch-bound equality (GWBE) are obtained for unequal average received power. Then user grouping with multi-level received powers is proposed for better successive interference cancellation (SIC) at the receiver. Finally, sequence grouping based on the cross-correlation properties of sequences is proposed to reduce inter- and intra-group interference. Simulation results show that by incorporating multi-level received powers and sequence grouping into existing NOMA schemes, for an NOMA system with 400% overloading and fixed signature allocation, 3~dB and 10~dB signal-to-noise ratio (SNR) gains at 0.1 block error rate (BLER) target can be achieved compared with existing NOMA schemes and orthogonal multiple access (OMA), respectively. Besides, 0.01 BLER target can be achieved while an error floor exists in existing NOMA schemes. Under random sequence selection, collision probability is reduced by multi-level powers. In addition, GWBE sequences achieve lower BLER than existing sequences and the gain is large especially for low BLER requirements. This shows that the proposed scheme can support larger connectivity and higher reliability.


概要:上行非正交多址(NOMA)是一项满足第五代(5G)及未来系统需求的有前景的技术。学术界和工业界提出了各种各样的NOMA方案,然而大部分方案均假设相等平均接收功率,该假设会限制性能。为满足5G系统海量连接与高可靠性需求,本文将不等接收功率看作多址签名的一部分,为上行NOMA系统提出3项增强方案。首先,提出将不等平均接收功率时满足generalized Welch界等式(GWBE)的最优序列,用于上行NOMA。其次,为了在接收端获得更好的串行干扰删除(SIC)性能,提出基于多级平均接收功率的用户分组。最后,为减少组内和组间干扰,提出基于序列互相关性能的序列分组。仿真结果表明,在400%超载因子、固定签名分配的上行NOMA系统中,在0.1块差错率(BLER)时,与现有NOMA方案和正交多址(OMA)相比,结合多级平均接收功率和序列分组的现有NOMA方案可以分别获得3 dB和10 dB的信噪比(SNR)增益;在0.01块差错率时,现有NOMA方案存在错误平台,无法达到该需求,而增强方案可以达到。在随机选择多址签名条件下,多级功率会减小碰撞概率进而提升性能。此外,GWBE序列可以达到比现有序列更低的BLER,且SNR增益在低BLER需求时更加明显。以上结果表明提出的增强方案可以支持更大连接数,达到更高可靠性。

关键词:上行非正交多址;Generalized Welch界等式;多级接收功率;序列分组

Darkslateblue:Affiliate; Royal Blue:Author; Turquoise:Article


[1]3GPP, 2012. Physical channels and modulation (Release 11). Technical Report, TS-36.211.

[2]3GPP, 2015. Study on downlink multiuser superposition transmission (MUST) for LTE (Release 13). Technical Report, TR-36.859. Belgrade, Serbia.

[3]3GPP, 2016a. Sparse code multiple access (SCMA) for 5G radio transmission. Technical Report, TR1-162155. Busan, Korea.

[4]3GPP, 2016b. Candidate new radio multiple access schemes. Technical Report, TR1-162202. Busan, Korea.

[5]3GPP, 2016c. Discussion on multiple access for new radio interface. Technical Report, TR1-162226. Busan, Korea.

[6]3GPP, 2016d. Candidate solution for new multiple access. Technical Report, TR1-162306. Busan, Korea.

[7]3GPP, 2016e. Multiple access schemes for new radio interface. Technical Report, TR1-162385. Busan, Korea.

[8]3GPP, 2016f. Considerations on downlink/uplink multiple access for new radio. Technical Report, TR1-162517. Busan, Korea.

[9]3GPP, 2016g. Non-orthogonal multiple access candidate for new radio. Technical Report, TR1-163992. Nanjing, China.

[10]3GPP, 2016h. Initial link-level simulation results for uplink non-orthogonal multiple access. Technical Report, TR1-164329. Nanjing, China.

[11]3GPP, 2016i. Low code rate and signature based multiple access scheme for new radio. Technical Report, TR1-164869. Nanjing, China.

[12]3GPP, 2016j. Non-orthogonal multiple access for new radio. Technical Report, TR1-165019. Nanjing, China.

[13]3GPP, 2016k. Performance of interleave division multiple access (IDMA) in combination with OFDM family waveforms. Technical Report, TR1-165021. Nanjing, China.

[14]3GPP, 2016l. On uplink non-orthogonal multiple access schemes. Technical Report, TR1-166552. Gothenburg, Sweden.

[15]3GPP, 2016m. Non-orthogonal multiple access scheme based on non-orthogonal coded multiple access. Technical Report, TR1-166871. Gothenburg, Sweden.

[16]3GPP, 2016n. Discussion on multiple access for uplink machine type communications. Technical Report, TR1-167392. Gothenburg, Sweden.

[17]3GPP, 2016o. New uplink non-orthogonal multiple access schemes for new radio. Technical Report, TR1-167535. Gothenburg, Sweden.

[18]3GPP, 2017a. Link-level simulation and preliminary performance comparison of non-orthogonal multiple access schemes. Technical Report, TR1-1720222. Reno, USA.

[19]3GPP, 2017b. Study on new radio access technology physical layer aspects (Release 14). Technical Report, TR-38.802.

[20]3GPP, 2017c. Study on channel model for frequencies from 0.5 to 100 GHz (Release 14). Technical Report, TR-38.901.

[21]Andrews JG, Buzzi S, Choi W, et al., 2014. What will 5G be? IEEE J Sel Areas Commun, 32(6):1065-1082.

[22]Chen S, Ren B, Gao Q, et al., 2017. Pattern division multiple access—a novel nonorthogonal multiple access for the fifth-generation radio networks. IEEE Trans Veh Technol, 66(4):3185-3196.

[23]Chen X, Benjebbour A, Li A, et al., 2014. Multi-user proportional fair scheduling for uplink non-orthogonal multiple access (NOMA). 79th IEEE Conf on Vehicular Technology, p.1-5.

[24]Dahlman E, Mildh G, Parkvall S, et al., 2014. 5G wireless access:requirements and realization. IEEE Commun Mag, 52(12):42-47.

[25]Dai L, Wang B, Yuan Y, et al., 2015. Non-orthogonal multiple access for 5G:solutions, challenges, opportunities, and future research trends. IEEE Commun Mag, 53(9):74-81.

[26]Datta S, Howard S, Cochran D, 2012. Geometry of the Welch bounds. Linear Algebra rm& Its Appl, 437(10):2455-2470.

[27]Dhillon IS, Heath RW, Sustik MA, et al., 2005. Generalized finite algorithms for constructing Hermitian matrices with prescribed diagonal and spectrum. SIAM J Matr Anal Appl, 27(1):61-71.

[28]Ding Z, Adachi F, Poor HV, 2016a. The application of MIMO to non-orthogonal multiple access. IEEE Trans Wirel Commun, 15(1):537-552.

[29]Ding Z, Fan P, Poor HV, 2016b. Impact of user pairing on 5G nonorthogonal multiple-access downlink transmissions. IEEE Trans Veh Technol, 65(8):6010-6023.

[30]Endo Y, Kishiyama Y, Higuchi K, 2012. Uplink non-orthogonal access with MMSE-SIC in the presence of inter-cell interference. Int Symp on Wireless Communication Systems, p.261-265.

[31]Guess T, Varanasi M, 2000. Error exponents for maximum-likelihood and successive decoders for the Gaussian CDMA channel. IEEE Trans Inform Theory, 46(4):1683-1691.

[32]Islam SMR, Avazov N, Dobre OA, et al., 2017a. Power-domain non-orthogonal multiple access (NOMA) in 5G systems:potentials and challenges. IEEE Commun Surv Tutor, 19(2):721-742.

[33]Islam SMR, Zeng M, Dobre OA, 2017b. Non-orthogonal multiple access in 5G systems:exciting possibilities for enhancing spectral efficiency. https://arxiv.org/abs/1706.08215

[34]IMT vision&ndash;-framework and overall objectives of the future development of IMT for 2020 and beyond. Technical Report, M.2083-0.

[35]Li A, Chen X, Jiang H, 2017. Contention based uplink transmission with non-orthogonal multiple access for latency reduction. 85th IEEE Conf on Vehicular Technology, p.1-6.

[36]Li L, Goldsmith A, 2001. Capacity and optimal resource allocation for fading broadcast channels. I. Ergodic capacity. IEEE Trans Inform Theory, 47(3):1083-1102.

[37]Massey JL, Mittelholzer T, 1993. Welch's Bound and Sequence Sets for Code-Division Multiple-Access Systems. Springer, New York, USA.

[38]Medra A, Davidson TN, 2014. Flexible codebook design for limited feedback systems via sequential smooth optimization on the Grassmannian manifold. IEEE Trans Signal Process, 62(5):1305-1318.

[39]Nagata S, Wang L, Takeda K, 2017. Industry perspectives. IEEE Wirel Commun, 24(3):2-4.

[40]Nikopour H, Baligh H, 2013. Sparse code multiple access. 24th Int Symp on Personal Indoor and Mobile Radio Communications, p.332-336.

[41]Osseiran A, Boccardi F, Braun V, et al., 2014. Scenarios for 5G mobile and wireless communications:the vision of the METIS project. IEEE Commun Mag, 52(5):26-35.

[42]Ping L, Liu L, Wu K, et al., 2006. Interleave division multiple access. IEEE Trans Wirel Commun, 5(4):938-947.

[43]Saito Y, Kishiyama Y, Benjebbour A, et al., 2013. Non-orthogonal multiple access (NOMA) for cellular future radio access. 77th IEEE Conf on Vehicular Technology, p.1-5.

[44]She C, Yang C, Quek TQS, 2017. Radio resource management for ultra-reliable and low-latency communications. IEEE Commun Mag, 55(6):72-78.

[45]Sun Q, Han S, Chin-Lin I, et al., 2015. On the ergodic capacity of MIMO NOMA systems. IEEE Wirel Commun Lett, 4(4):405-408.

[47]Taherzadeh M, Nikopour H, Bayesteh A, et al., 2014. Sparse code multiple access codebook design. 80th IEEE Conf on Vehicular Technology, p.1-5.

[47]Teng CF, Liao CC, Cheng HY, et al., 2017. Reliable compressive sensing (CS)-based multi-user detection with power-based Zadoff-Chu sequence design. IEEE Int Workshop on Signal Processing Systems, p.1-5.

[48]Tse D, Viswanath P, 2015. Fundamentals of Wireless Communication. Cambridge University Press, Cambridge, UK.

[49]Viswanath P, Anantharam V, 1999. Optimal sequences and sum capacity of synchronous CDMA systems. IEEE Trans Inform Theory, 45(6):1984-1991.

[50]Viswanath P, Anantharam V, Tse D, 1999. Optimal sequences, power control, and user capacity of synchronous CDMA systems with linear MMSE multi-user receivers. IEEE Trans Inform Theory, 45(6):1968-1983.

[51]Wang C, Chen Y, Wu Y, et al., 2017. Performance evaluation of grant-free transmission for uplink URLLC services. 85th IEEE Conf on Vehicular Technology, p.1-6.

[52]Welch L, 1974. Lower bounds on the maximum cross correlation of signals (Corresp). IEEE Trans Inform Theory, 20(3):397-399.

[53]Wu Y, Zhang S, Chen Y, 2015. Iterative multiuser receiver in sparse code multiple access systems. IEEE Int Conf on Communications, p.2918-2923.

[54]Yuan Z, Yu G, Li W, et al., 2016. Multi-user shared access for Internet of Things. 83rd IEEE Conf on Vehicular Technology, p.1-5.

[55]Zeng M, Yadav A, Dobre OA, et al., 2017a. Capacity comparison between MIMO-NOMA and MIMO-OMA with multiple users in a cluster. IEEE J Sel Areas Commun, 35(10):2413-2424.

[56]Zeng M, Yadav A, Dobre OA, et al., 2017b. On the sum rate of MIMO-NOMA and MIMO-OMA systems. IEEE Wirel Commun Lett, 6(4):534-537.

Open peer comments: Debate/Discuss/Question/Opinion


Please provide your name, email address and a comment

Journal of Zhejiang University-SCIENCE, 38 Zheda Road, Hangzhou 310027, China
Tel: +86-571-87952783; E-mail: cjzhang@zju.edu.cn
Copyright © 2000 - 2024 Journal of Zhejiang University-SCIENCE