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Air interface technology

Non-orthogonal Multiple Access (NOMA) for Future


Downlink Radio Access of 5G
Li Anxin, Lan Yang, Chen Xiaohang, Jiang Huiling
DOCOMO Beijing Communications Laboratories Co., Ltd. Beijing, 100190, China

Abstract: Multiple access (MA) technology division multiple-access (FDMA) and


is of most importance for 5G. Non-orthogonal orthogonal-frequency-division multiple-access
multiple access (NOMA) utilizing power domain (OFDMA). Non-orthogonal schemes allow
and advanced receiver has been considered as a overlapping among the signals from different
promising candidate MA technology recently. In users by exploiting power domain, code
this paper, the NOMA concept is presented toward domain or interleaver pattern, etc., and thus can
future enhancements of spectrum efficiency provide better performance than the orthogonal
in lower frequency bands for downlink of 5G counterparts [1]-[4].
system. Key component technologies of NOMA First and second generation cellular
are presented and discussed including multi- systems are mainly developed on the top of
user transmission power allocation, scheduling orthogonal MA approaches, which avoid intra-
algorithm, receiver design and combination of cell interference and simplify air interface
NOMA with multi-antenna technology. The design. However, orthogonal MA approaches
performance gains of NOMA are evaluated by themselves have no ability to combat the inter-
system-level simulations with very practical cell interference and thus careful cell planning
assumptions. Under multiple configurations or sophisticated interference management
and setups, the achievable system-level gains of techniques are needed to deal with the inter-
NOMA are shown promising even when practical cell interference. Non-orthogonal code-division
considerations were taken into account. multiple-access (CDMA) techniques have been
adopted in second and third generation cellular
Keywords: multiple access; NOMA; power systems (e.g., IS-95, CDMA2000 and uplink
allocation; receiver design; MIMO WCDMA). Compared with the orthogonal MA,
CDMA is robust against inter-cell interference,
I. INTRODUCTION but suffers from intra-cell interference. Although
having many advantages, such as soft capacity
Multiple access (MA) techniques can be and soft handover, CDMA is not very suitable for
classified into orthogonal and non-orthogonal data services e.g., wireless local area networks
approaches. In orthogonal approaches, signals (WLANs) and 3GPP high speed uplink/downlink
from different users are not overlapped with packet access (HSUPA/HSDPA) standard) that
each other, which can be achieved by time- require high single-user rates.
division multiple-access (TDMA), frequency- In order to continue ensuring the sustainability

China Communications • Supplement No.1 2015 28


of mobile communication services over the such as 2-by-2 antenna configuration with
coming decade, new technology solutions outdoor and indoor users, quantized channel state
that can respond to future challenges must be information (CSI) feedback with feedback delay,
identified and developed. For future radio access handover margin, etc.
in the 2020s-era, significant gains in capacity and
quality of user experience (QoE) are required in II. PRINCIPLE OF NOMA
view of the anticipated exponential increase in
the volume of mobile traffic, e.g., beyond a 500 2.1 Concept of NOMA
fold increase in the next decade. In order to fulfill
the requirements, variety of new technologies NOMA is a very promising approach for
are needed, such as new multiple access (MA) future radio access and can be applied for both
technologies, novel network architectures and downlink and uplink. In theory, non-orthogonal
new spectrum utilization methods. Among access with successive interference cancellation
the elementary technologies, enhancement of (SIC)/dirty paper coding (DPC) can achieve
multiple access from the orthogonal to the non- the multiuser capacity region both in uplink
orthogonal is expected to be one promising and downlink [19]. In NOMA, signals from
approach for 5G system [5]-[14]. multiple users are superimposed in power-
In this paper, firstly we present the NOMA domain and downlink channel gain difference
concept toward future enhancements of spectrum between the multiplexed users and advanced
efficiency in lower frequency bands for downlink receiver, for example SIC receiver, are exploited
of 5G system. After then, the key component for user separation. For the user with low signal
technologies are presented and discussed to interference plus noise ratio (SINR), the
including multi-user transmission power desired signal is detected regarding signals of
allocation, scheduling algorithm, receiver design other users as interference while for user with
and combination with multi-antenna technology. high SINR, the signal of users with lower SINRs
In order to provide insight of suitability of using are detected and removed by SIC, and then
NOMA for MA of 5G, system-level simulations the desired signal is detected with improved
have been conducted about OFDMA and NOMA SINR. Figure 1 shows signal transmission and
techniques employed for downlink MA. The receiving of downlink NOMA with two users.
simulations follow simulation configurations of We assume user1 is cell-center user and user2
the 3rd generation partnership project (3GPP) is cell-edge user. For signal transmission, base
long term evolution (LTE) and LTE-Advanced station (BS) broadcasts a superposed signal
standards [15]-[18]. The gains of NOMA are with different transmission power for user 1
evaluated under very practical considerations, and user 2. Because user 2 has a lower SINR,
its capacity belongs to power limited region
in general. Therefore, in transmission power
allocation, more power is assigned to user2. On
the contrary, user1 has a higher SINR and usually
its capacity is bandwidth-limited. Therefore, less
transmission power is assigned to user1. The sum
of transmission power to user1 and user2 equals
to the total power of BS. For signal detection,
user 1 and user 2 have different processing. At
user 2, there is no SIC processing. The user 2
directly conducts signal detection to detect its
desired signal regarding the signal of user 1 as
Fig.1 Concept of NOMA with SIC receiver for downlink multiple interference. At user1, SIC is necessary because
access the interference (signal of user 2) has a large

29 China Communications • Supplement No.1 2015


power than its desired signal. Therefore, firstly
user1 conducts signal detection to detect signal
of user2. Secondly, SIC is conducted in order
to remove the interference. After then, user 1
conducts signal detection to detect its desired
signal.

2.2 System model of NOMA for


downlink multiple access
Fig.2 Concept of NOMA with SIC receiver for downlink multiple
The system model using NOMA for multiple
access
access is shown in Fig.2, where there are M
users in the cell and the downlink bandwidth is white Gaussian noise observed at user n is
divided into multiple subbands. In each subband, denoted by In and nn. For power assignment ratio
BS conducts downlink transmission to multiple βk, it can take any values in theory. In practice,
users simultaneously with different transmission base station can use predefined granularity to
power for different users. In contrast to OFDMA quantize β k in order to reduce the signaling
where only one user can be scheduled in a overhead for informing users about βk.
subband, in NOMA more than one user can SIC is performed at usern in order to remove
be scheduled in a subband. The number of the intra-cell interference and improve SINR of
simultaneously multiplexed users, denoted as its desired signal. In general, cell-edge users have
N, can be different in different subbands. We large power assignment ratios and small number
define Nmax to denote the maximum number of of interference cancellation stages while cell-
simultaneously multiplexed users in a subband. center users have small power assignment ratios
In scheduling, N should be less than or equal to and large number of interference cancellation
Nmax, for example, Nmax=3 and N equals to 2, 3 stages. In order to achieve the best performance,
and 1 in different subbands in Fig.2. If only one SIC should be performed according to SINR
user is served in a subband, whole transmission ascending order and (1) can be rewritten as
power of the subband is assigned to the user N
yn = hn × sn Pn + hn × ∑ sk Pk
same as the OFDMA system. 
Desired signal k 
= n +1
We consider a subband and assume there To be removed by SIC (2)
are N users simultaneously multiplexed in the n −1
+ hn × ∑ sk Pk + I + nn
subband. Without loss of generality, we assume n
  
k =1
 Interference (inter-cell)
the users are in SINR descending order, i.e. user1 Remained interference (intra − cell)

has the highest SINR while userN has the lowest The post-processing SINR of the usern after SIC
SINR. The received signal at the usern can be can be calculated by
described by Post βn
N SINRn =
yn = hn × ∑ sk ⋅ Pk + I n + nn
n −1
1
k =1
(1) ∑β
k =1
k +
SINRn
(3)

where n, k∈[1, N] denote user index, hn denotes where SINR n=∣h n∣ 2P BS /(N SBP I+N) denotes the
channel response from BS to usern and sk denotes SINR of user when full transmission power is
data symbol transmitted for userk, respectively. assigned to the user and PI+N denotes total power
The transmission power assigned to user k is of inter-cell interference and noise observed at
represented as P k, i.e. P k=β k×P BS /N SB, where usern.
β k∈(0, 1) denotes power assignment ratio of
user k, P BS denotes transmission power of BS 2.3 Benefits of NOMA
and NSB denotes the number of subbands in the
system. The inter-cell interference and additive NOMA is a fundamental technology to improve

China Communications • Supplement No.1 2015 30


spectrum efficiency and system capacity by geometric mean user throughput as the criterion
exploiting the power-domain, a new dimension for power assignment for NOMA system, which
not yet exploited in LTE/LTE-A, and can bring is motivated by the fact that the criterion of
many benefits which include but not limited to maximizing geometric mean user throughput is
the following. based on proportional fairness and can achieve
• Improved spectrum efficiency and system optimal tradeoff between total user throughput
throughput: the channel gain difference among and user fairness with a single metric [20].
users is translated into multiplexing gain by Different from existing methods, the criterion is
utilizing the non-orthogonal mulplexing. theoretically optimal in the view of best tradeoff
• Robust performance gain in high mobility between total user throughput and user fairness.
scenarios: orthogonal MA (e.g. OFDMA) The power allocation on the basis of maximizing
obtains almost no frequency-domain geometrical mean user throughput can be
scheduling gain in high mobility scenarios as described by
CSI becomes outdated. NOMA mainly relies
on CSI at receiver side and thus can provide (4)
gains even in high mobility scenarios. Where βn ϵ(0, 1) and sum of {β1, β1,.., βN} equals
• No need to increase number of transmit to 1. The SEn denotes the achievable spectrum
antennas: It is quite important from the efficiency (SE) of user n and is calculated
perspective of cost and space limitations of according to
small cells and macro cell deployments in
nowadays practical network. (5)
• Good backward compatibility with OFDMA where
and SC-FDMA: NOMA can be easily applied= MCS * arg max  SEnMCS × (1 − BLERnMCS ) 

MCS }   (6)
Post
{ SINR
on the top of OFDMA for downlink and SC- n

FDMA for uplink. where SE nMCS and BLER nMCS denote spectrum
• Good affinity with multi-antenna technology: efficiency and block error rate of a selected MCS
NOMA can be easily combined with when SINR equals to SINR nPost. Specifically,
beamforming and SU/MU MIMO techniques when we obtain the SINRnPost according to (3),
to boost system performance. we check candidate MCSs in MCS set one-by-
one for usern. For each candidate MCS, we first
III. KEY COMPONENT TECHNOLOGIES OF find the BLERnMCS corresponding to SINRnPost by
NOMA checking the BLER vs. SINR curves of the MCS
obtained from link-level simulations. After then,
3.1 Multi-user transmission power we calculate the achievable spectrum efficiency
allocation of the candidate MCS by SEnMCS(1-BLERnMCS).
After the achievable spectrum efficiencies of
From (3), it can be seen that power assignment all candidate MCSs are calculated, we select
ratios determine the post-processing SINR the one with the highest achievable spectrum
and thus the modulation and coding scheme efficiency and denote it as MCS*.
(MCS) used for data transmission of each user. Although the power allocation method
By adjusting power assignment ratios, BS can according to (4) can achieve the best tradeoff
flexibly control throughput of each user. Clearly, between total user throughput and user fairness,
overall cell throughput, cell-edge throughput its computational complexity increases
and user fairness are tightly related to power exponentially with the number of simultaneously
assignment ratios and therefore sophisticated multiplexed users. Therefore, low computational
power allocation methods are needed in order to complexity algorithms have been proposed, for
fully exploit power dimension in NOMA. example, power allocation in proportional to
In this paper, we introduce maximizing pathloss [6], power allocation with limited power

31 China Communications • Supplement No.1 2015


assignment ratio sets [9] and tree-search based to [21], the scheduling metric is proved to be
low complexity algorithm [13]. the optimal one for multi-user transmission.
After the scheduling of all subbands, the average
3.2 Scheduling algorithm throughput of usern is updated according to
 1 1 N SB
Rn ( t + 1) = 1 −  Rn ( t ) + ∑ rk ,n ( t ) N SB
The power allocation method is used to determine  tc  tc k =1 (10)
power allocation among users for a given user The (10) denotes a sliding window based
set. Therefore a combination with scheduling average throughput update with a window size of
algorithm is needed in order to determine the tc. In calculation of (10), if usern is not scheduled
best user set among all possible user sets. In the in the kth subband, rk,n(t)=0.
following, we use the proportional fairness (PF)
scheduler for multi-user transmission in [21] as 3.3 Receiver design
an example. The scheduling metric and algorithm
[21] maximizes proportional fairness (PF) of Two kinds of receivers can be used for NOMA
multi-user transmission in order to achieve high detection, i.e. symbol-level SIC receiver and
total user throughput while considering user codeword-level SIC receiver as shown in Fig.3.
fairness similar to the widely used PF scheduling The main difference between symbol-level SIC
algorithm for single-user transmission. Extension and codeword-level SIC is that channel decoding
to other schedulers is similar and straightforward. and re-encoding are involved in codeword-level
The scheduling is performed at BS for each SIC while not in symbol-level SIC.
subband independently. The number of possible
user sets for each subband is 3.3.1 Symbol-level SIC receiver
M  M   M  In symbol-level SIC, the signal of cell-edge user
  +   + +  N  (7) is demodulated and then a hard or soft replica is
1
   2  max 
For each user set, the proposed power generated, i.e. channel decoding is not involved.
allocation method is used to determine the After the hard or soft signal replica of cell-edge
power assignment ratios for users in the user user is generated, SIC is conducted in order to
set. After then, the post-processing SINRs and cancel the interference from cell-edge user and
the achievable spectrum efficiencies of the improve the SINR for signal detection of cell
users can be calculated according to (3) and (5) center user.
respectively. For the k th subband, in order to
select the best user set in the subband, a metric 3.3.2 Codeword-level SIC receiver
of user set is defined as In codeword-level SIC, the signal of cell-edge
æ rk ,n (t ) ö
Õ ççççè1 + (t -1) R (t )÷÷÷÷ø

LY j 
nÎY j (8)
c n

where Ψj denotes the j candidate user set, rk,n(t)


th

denotes instantaneous achievable user throughput


of usern in the kth subband at time t, Rn(t) denotes
average user throughput of the usern at time t,
and tc denotes the window size for calculating
the average user throughput.
The best user set for the subband, i.e. ΨOptimal,
is selected according to
Ψ Optimal = arg max Λ Ψ j ( )
Ψj
(9)
It can be seen that the candidate user set with
the optimal (i.e. highest) proportional fairness of
multi-user transmission is selected. According Fig. 3 Symbol-level and codeword-level SIC receiver

China Communications • Supplement No.1 2015 32


user is demodulated and decoded (rather than 3.4 Combination with multiple
only demodulated as in symbol-level SIC). After antennas
then, the information bits of cell-edge user are
re-encoded, re-modulated and cancelled from Multi-input and multi-output (MIMO) is one
the received signal. Since channel decoding is of the key technologies to improve spectrum
conducted in the signal detection, the probability efficiency in LTE/LTE-Advanced. In general,
of successful recovery of signal of cell edge user MIMO techniques can be categorized into single
increases significantly compared with symbol- user (SU)-MIMO, where only one UE is served
level SIC. Therefore, impact of error propagation in data transmission, and multiple user (MU)-
can be reduced drastically in codeword-level MIMO, where more than one UE is served in
SIC. On the other hand, channel decoding and data transmission. Because MIMO technology
re-encoding brings additional computational exploits spatial domain and NOMA exploits
complex as well as increases the detection power domain, the two technologies can be
latency compared with symbol-level SIC. combined to further boost the system spectrum
efficiency. There are two major approaches to
combine NOMA and MIMO technologies. One
approach is to use MU-MIMO technique to
create multiple spatial beams and apply NOMA
technique inside each beam [10]. The other
approach is to use NOMA technique to create
multiple power levels and apply SU-MIMO
and/or MU-MIMO technique inside each power
Fig. 4 Combination of NOMA with SU-MIMO level [14]. For example For NOMA with SU-
MIMO (2x2), with up to two user multiplexing
in the power-domain, non-orthogonal beam
multiplexing enables up to 4 beam multiplexing
using only 2 transmit antennas. In addition,
the combination of NOMA with SU-MIMO
can involve both open-loop MIMO (e.g., space
frequency block coding (SFBC), large delay
cyclic delay diversity (CDD) and closed-loop
Fig. 5 Combination of NOMA with MU-MIMO MIMO (based on CSI feedback by users).
Open-loop MIMO schemes when combined
with NOMA are expected to provide robust
performance in high mobility scenarios.

VI. PERFORMANCE EVALUATIONS

4.1 Simulation parameters and


assumptions

The simulation parameters are shown in Table


I which is compliant with the LTE/LTE-
Advanced specifications [15]-[18]. We assume
the maximum number of simultaneously
multiplexed users is two and NOMA scheduling
SINR is simply approximated from LTE
Fig. 6 Performance comparison of different SIC receivers OFDMA implicit feedback without considering

33 China Communications • Supplement No.1 2015


precoding of paired users, and full buffer traffic Table I Simulation parameters
model is assumed. NOMA combined with Hexagonal grid, 3 sectors per site, 19 macro sites
Layout
OFDMA (in short NOMA in the following), the (ISD = 500 m)
cell throughput and cell-edge user throughput System bandwidth 10 MHz
Carrier frequency 2.0 GHz
are evaluated. The cell throughput is defined
Total BS TX power 46 dBm
as the average aggregated throughput for users Distance-dependent
scheduled per a single cell, while the cell-edge ITU UMa
path loss
user throughput is defined as the 5% value of the For outdoor UEs:0dB For indoor UEs: 20dB+0.5din
cumulative distribution function (CDF) of the Penetration loss (din : independent uniform random value between [
user throughput. 0, min(25,d) ] for eac
Shadowing ITU UMa
4.2 Link-level evaluation results Antenna pattern 3D (referring to TR36.819)
Antenna Height: 25 m
Link level simulations have been conducted UE antenna Height 1.5 m
Antenna gain +
to evaluate the impact of error propagation on 17 dBi
connector loss
NOMA performance. Two kinds of SIC receivers
Antenna gain of UE 0 dBi
are considered: symbol-level SIC receiver and
Fast fading channel
codeword-level SIC receiver. The simulation ITU UMa
between BS and UE
results are shown in Fig.6 and performance of BS: 2Tx (0.5 lambda), cross-polarized
ideal SIC is also shown as a reference. It can be Antenna configuration
UE: 2Rx (0.5 lambda), cross-polarized
seen that the performance of codeword-level SIC Number of UEs per cell 10 or 20
receiver is very close to the ideal SIC receiver 20% UEs are outdoor and 80% UEs are
UE dropping
when power ratio of cell-edge UE is larger than indoor.
0.65 owing to error recovery of the channel Minimum distance
35 m
coding. However, for symbol-level SIC, there from macro-cell to UEs
is a big gap to the ideal SIC receiver due to the Traffic model Full buffer
residual error. UE receiver IRC for rank 1 and MMSE for rank 2
UE noise figure 9 dB
UE speed 3 km/h
4.3 System-level evaluation results
Cell selection criteria RSRP
Handover margin 3 dB
In system-level simulations, codeword-level
Scheduling algorithm Proportional fairness maximization
SIC receiver is assumed. The evaluations are Control delay
conducted for two cases: a) subband user pairing 6 msec
(scheduling, AMC)
and scheduling where data transmission of a user HARQ Chase combining
only occupies a part of the whole bandwidth; Round trip delay
8 msec
b) wideband user pairing and scheduling where (HARQ)
data transmission of a user occupies the whole CQI quantization Yes
bandwidth. Codebook According to [15]
Figure 7 and 8 presents the overall cell
throughput of OFDMA and NOMA respectively. OFDMA are about 16.06% for cell throughput
In the following, the performance gain is defined and about 22.25% for cell-edge throughput when
as the percentage of performance improvement UE number is 10. In OFDMA, only one user is
of NOMA system over OFDMA system. The scheduled in each subband. Therefore when the
maximum multiplexing order, Nmax, for NOMA subband is allocated to a weak user, the subband
is set to 2 in the evaluations. From the evaluation is underutilized in view of the “bps/Hz”. While
results, it can be seen that: 1) NOMA system can in NOMA, all the subbands are fully utilized
achieve much better performance than OFDMA through the non-orthogonal multiplexing.
system. The performance gains of NOMA over Therefore, large performance gains are achieved.

China Communications • Supplement No.1 2015 34


2) The NOMA gain increases with UE number assigned subbands of the user. Therefore, there
in the cell. The NOMA gain increases to 21.03% is a mismatch between the power allocation and
for cell throughput and 26.79% for cell-edge MCS for transmission. It needs to emphasize
throughput when UE number is 20, which is that such a large performance gain of NOMA is
because the BS can find more suitable UEs for achieved with very practical assumptions and
NOMA multiplexing when the UE number in can be further increased by applying larger Nmax.
the cell increases. 3) The NOMA gain is larger The large gain of NOMA mainly comes from the
in wideband user pairing and scheduling than non-orthogonal multiplexing, which substantially
in subband user pairing and scheduling. The improves the resource utilization efficiency
performance gain is 25.58% for cell throughput compared with OFDMA where only one UE
and 29.12% for cell-edge throughput when occupies the radio resource.
UE number is 10. When UE number is 20, the
NOMA gain is about 28.20% for cell throughput V. CONCLUSIONS
and 30.11% for cell-edge throughput. The
reason is because for wideband user pairing and Multiple access technology is of vital importance
scheduling, the wideband power assignment to future 5G wideband wireless communication
ratio can well match the wideband MCS while system. In this paper, we investigated suitability
for subband user pairing and scheduling, the of using NOMA for future downlink multiple
power assignment ratio is calculated on subband access. Firstly the principle of NOMA is
basis but the MCS is selected on a wideband introduced including concept of NOMA with
basis, i.e. the same MCS is used for all the SIC processing and system model of using

(a)10UEs/cell (b)20UEs/cell

Fig.7 Performance comparison of NOMA and OFDMA: subband user pairing and scheduling

(a)10UEs/cell (b)20UEs/cell

Fig.8 Performance comparison of NOMA and OFDMA: wideband user pairing and scheduling

35 China Communications • Supplement No.1 2015


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25.814, V7.1.0, Oct. 2006. has been with DOCOMO Beijing Labs. He is currently
[18] 3GPP, Further advancements for E-UTRA physical a senior researcher in DOCOMO Beijing Innovative
layer aspects, TR 36.814, V9.0.0, Mar. 2010. Radio Transmission Lab. His research activities include
[19] T. M. Cover and J. A. Thomas, Elements of Infor- N o n - O r t h o g o n a l M u l t i p l e x A c c e s s te c h n o l o g y
mation Theory, John Wiley & Sons, New York, (NOMA), waveform design, License Assisted Access
U.S.A., 1991. (LAA) technology, and LTE-evolution/5G radio access
[20] J. Pekka, K. Visa, and R. Cassio, “Interference- technologies.
aware radio resource management for local area
wireless networks,” EURASIP Journal on Wireless Chen Xiaohang received M.S. degree from Beijing
Communications and Networking, Article ID University of Posts and Telecommunications, Beijing,
921623, 2011. China in 2013. Since then, he has been with DOCOMO
[21] M. Kountouris and D. Gesbert, “Memory-based Beijing Labs. He is currently a researcher in DOCOMO
o p p o r t u n i s t i c m u l t i - u s e r b e a m f o r m i n g ,” Beijing Innovative Radio Transmission Lab. His research
International Symposium on Information Theory, interests include new radio access techniques, physical
ISIT 2005, pp.1426–1430, Sept. 2005. layer techniques, non-orthogonal multiplex access
techniques and Device-to-Device communication

Biographies techniques.

Li Anxin received Ph.D. degree from Tsinghua Jiang Huiling received her B.E., M.E. and Dr.Eng.
University, Beijing, China in 2005. Since then, he has degrees in electrical and computer engineering from
been with DOCOMO Beijing Labs. He is currently a vice Yokohama National University, Yokohama, Japan, in
principle researcher and research manager in DOCOMO 1997, 1999 and 2002 respectively. In 2002, she joined
Beijing Innovative Radio Transmission Lab. His NTT DOCOMO, INC., Tokyo, Japan. She was engaged
research interests include new radio access techniques, in studies on base station antennas for mobile
waveform design, space time processing technique communications and antennas numerical analysis.
and cooperative relay technique. (*The corresponding Since 2013, she is the director of the Advanced Wireless
author, email: liax@docomolabs-beijing.com.cn) System Lab of DOCOMO Beijing Communications
Laboratories Co., Ltd. She received the Best Paper
Lan Yang received Ph.D. degree from Southeast Award from IEICE in 2009. She is a member of the IEEE
University, Nanjing, China in 2005. Since 2008, he and IEICE.

37 China Communications • Supplement No.1 2015

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