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Workshop on Novel Waveform and MAC Design for 5G (NWM5G 2016

)

MIMO Uplink NOMA with Successive Bandwidth
Division
Soma Qureshi and Syed Ali Hassan

School of Electrical Engineering & Computer Science (SEECS)
National University of Sciences & Technology (NUST), Islamabad, Pakistan 44000
Email: {14mseesqureshi.ali.hassan}@seecs.edu.pk

Abstract-Non-orthogonal multiple access (NOMA) is a key The transmitter of OFDMA systems can dynamically allocate
enabling technology for fifth generation (5G) wireless networks power and rate on each tone to satisfy various quality of
because of its ability to provide greater spectral efficiency. How­
service (QoS) requirements of each user. The transmitter has
ever, a conventional NOMA scheme offers significant interference
and higher outage probability especially when the number of
the knowledge of perfect channel state information (CSI),
users in the network is large. Therefore, in this paper, we propose which is required in multi-user communication systems. Thus,
a suboptimal algorithm which uses the concept of successive OMA techniques such as OFDMA and single carrier frequency
bandwidth division (SBD) in NOMA system, which not only division multiple access (SC-FDMA) have been adopted in
reduces the complexity of the receiver side to a great extent,
various systems such as long term evolution (LTE) and LTE­
but also enhances the overall signal-to-interference plus noise
ratio (SINR) of the uplink NOMA by supporting 2N users with
advanced but all these techniques are user oriented and offer
just N base station (BS) antennas. The BS is assumed to have lack of user fairness while NOMA serves as a key enabling
perfect channel state information (CSI) and uses a zero-forcing technology for 5G networks because of its greater spectral
(ZF) postcoding matrix to recover the signals of different users. efficiency and user fairness [5], [6]. In NOMA, the signals
Numerical results show that the performance of the proposed
from multiple users are superimposed in the power domain
scheme outperforms the conventional NOMA techniques in terms
of receiver complexity and outage probability.
in such a way that they offer greater spectral efficiency. In
Index Terms-NOMA, user-pairing, 5G, successive interfer­ NOMA, the users with poor channel conditions are allocated
ence cancellation (SIC), outage probability, zero-forcing receiver. more transmission power while the one with better channel
conditions are allocated less power. In this way, the users with
poor channel condition can decode their own message easily
I. INTRODUCT ION
while successive interference cancellation (SIC) is carried out
For the past few years, the excessive usage of handheld for the users with better channel conditions [7].
devices for data transmission such as smart phones and tablets The major advantages of NOMA over conventional OMA
is becoming popular, which has motivated the researchers, techniques is its high spectral efficiency and user fairness,
both in academia and industry, to design the next genera­ however, it offers significant interference due to which multi­
tion wireless networks. The so-called fifth generation (5G) user detection (MUD) is required to retrieve the signal at
system will be designed to offer greater spectral efficiency the receiver side. NOMA outperforms the conventional OMA
as compared to the conventional 4G systems. While 5G schemes with randomly deployed users as characterized in [6].
systems provide a multitude of techniques to be used in future On the other hand, the conventional opportunistic schemes
cellular systems including massive multiple-input multiple­ prefer to give all power to the users with better channel con­
output (MIMO), heterogeneous and small cell networks, and dition, which improves the overall capacity of the system but
millimeter wave (mmWave) communications, the multiple deteriorates fairness [7]. Thus, NOMA techniques are getting
access schemes also required to be designed critically [1], [2]. attention and are a promising enabler to improve the spectral
Generally, the multiple access schemes have been classified efficiency for 5G wireless networks. The optimal scheme for
into two types, i.e., orthogonal multiple access (OMA) and NOMA is to allow all the users to share the subcarrier and
non-orthogonal multiple access (NOMA). This classification resources but it will increase the receiver complexity to a great
is made on the basis of the exclusivity offered in resource extent. There are some other techniques that allow NOMA
allocation to the users [3]. The previous commonly OMA such as code division multiple access (CDMA), low density
schemes include conventional time division multiple access spreading (LDS) but they add redundancy to facilitate the
(TDMA) and frequency division multiple access (FDMA) users separation at the receiver. Some other existing work
systems. In 4G wireless networks, the OMA is mainly based on the design of uplink NOMA for 5G wireless network has
on orthogonal frequency division multiple access (OFDMA) been proposed in [8], [9]. The combination of NOMA with
[4]. OFDMA assigns each tone to at most one user such cooperative communications and the impact of user pairing in
that each user gets disjoint set of subcarriers. Thus, each NOMA has been characterized in [10], [11]. Other work on
user experiences a different channel gain on each subcarrier. downlink NOMA has been proposed in [12]. However, these

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In order to further reduce the inter­ Fig. = . Concluding remarks are drawn in Section V. The total number of users in a cell is K where K � 2N. fUE4 • SNR=20dB Therefore. where the base station (BS) is equipped with N particular example. outage probability and to users. II. we discuss the impact of different parameters on the performance and also described the algorithm for strong and weak sets formation and subchannel allocation. 2. P ::. A possible alternative to reduce into K identical sub-bands to allow access from K different the interference. we propose an SNR=15dB algorithm successive bandwidth division (SBD) in which the users are divided into orthogonal groups with limited number of users in each group. SYSTEM MODEL VS. Thus.techniques are not capacity approaching. They degrade the overall spectral UE2 efficiency of the system. is to use the proposed SBD NOMA and the other users cannot use the frequency band other described in the following section. The users with are decoded without interference. the bandwidth assigned to each In SBD NOMA. Because of the orthogonality among the users. namely strong set and weak set. However. K=24 for this system. let the total number of users K 24. For a conventional uplink system with multiple antennas at the are allocated to the same frequency band. and then the user signals in the weak set of the channel gains that the users experience. no joint processing is required at the receiver side to retrieve the users signals. to achieve the throughput gain of UEI NOMA with capacity approaching techniques. As the proposed system is formed by combining OMA and NOMA techniques. In Section III. only N users can be supported simultaneously without are admitted at the same frequency. These techniques are more channel oriented. K}. Proposed SBD Scheme decoded independently at the receiver side and ideally no interference arises. The sets are classified on the basis of the channel conditions. In the proposed uplink scheme. Let � denotes the We will show later that the users in set B are a constant set of all K users. for both extremes. In this particular case. the set source of inter-set interference to the users in set A.. which is not practically required. 2. we present � UE24 the system model of the proposed SBD NOMA scheme with multiple antennas. B. in this paper. receiver complexity. so it inherits the advantages of both techniques. first the bandwidth resources are split user is reduced to 1/ K in this case. the decoding relatively high channel gains are considered as strong and are complexity at the receiver side is very high even aided by members of set A while the ones with relatively weak channel SIC or joint decoding. As multiple users BS. seen that the capacity and reliability are affected for OMA and For the case of conventional OMA. Consider the uplink of a multi-user MIMO communication Fig. which reduces the orthogonally into several identical sub-bands. users in both the sets A and B For example. � is divided into two sets A and B. The sub­ overall spectral efficiency of the OMA system. In Section II. The users paired within the same sub-band are members of two distinct sets. such that Au B � = the signals of the users in the strong set are decoded first and A n B cP. Simulation results and discussion is provided in � .. support K users by superposition coding. � OMA Section IV. The paper is organized as follows. OFDMA NOMA and proposed SBD scheme. However. Hence the signals can be A. The members UEl UE23 UE2 UE24 of weak set should be chosen in a way that it offers very NOMA little or no interference to the other user within the same sub­ band. in Fig. In conventional bands to be formed depends on a number P where NOMA systems. the channel is divided NOMA schemes. As a result. antennas while the users are equipped with a single antenna each. In a conventional NOMA scheme. set interference. respectively. Uplink NOMA with multiple users and N receive antennas. We could not adopt the existing SNR=IOdB capacity approaching techniques because they are limited to very small number of users. the interference offered any interference. the users are squeezed in the same frequency {P E N I 1 ::. the BS can to them by other users within the sub-band is quite high. 1. The sets A and B are defined on the basis = with interference. the users within the same sub-band are paired. where N is a set of natural numbers. All the users are allocated separate frequency bands enhance the sum capacity. than the one allocated to them. it can be gains are considered to constitute the weak set. band.

However.n is the N x 1 uplink channel vector of the nth user i. Hence. SBD NOMA has 4 users = side for decoding. superimposed signal given by To illustrate the main concept of the proposed SBD NOMA. the dimensions of matrices HI. The number of interferer is 1 superimposed signals. = the number of superimposed users is K. For B. UK -I} and B= �-A. gate of a matrix.n and h2. The hi . hence all even elements from ¢ are chosen within the K/ P sub-bands in this scenario is given by except P = 1. (5) = j=1 B. Then the users (1) are grouped into K/ P sub-bands via OMA techniques. Similarly.e. where (. Bi from the sets A and B has first. this proposed (6) scheme offers greater spectral efficiency and reduces the where (.. The number of interferers in each sub­ band is P/2 while the number of users in each sub-band is P.. The other users are decoded weak sets. in which ZT.jX2. the number = of the nth user from both sets to the BS having N antennas of users in each sub-band is 2. a zero-forcing (ZF) postcoded or within each sub-band.j represents the symbol transmitted by a separate frequency band. we define NOMAp to be the access scheme number of users in each sub-band is P. with K/ P users use one received signals at the BS is K/ P. Each Ai. P/2 consider the example shown in Fig. 8. (J2P/ K where BW is the total bandwidth (4) of the system and (J2 is the noise variance. Similarly.g. (2) the total number of users remains the same. When P 2. the construction the channel matrices HI and H2 are given by and decoding complexity of the proposed scheme is much lower than that of direct-superimposition scheme. HI and chosen from the sets A and B whose channel coefficients H2 are N x P/2 channel matrices of strong and weak sets. for P 4. respectively.nVal.p/2] . K 24.1). The number P divides the strong and weak sets A and B into K/ P smaller where i E {I. As only P users can transmit their signals simultaneously At the receiver side. The P =1 is a special case where SBD NOMA specifies to orthogonal multiple access. 4. The signals of the strong set are decoded in each sub-band.p/2r (Hi)*((Hi)(Hi)*)-l. 3. The remaining users are orthogonal and offer no inter-set interference. = P users in each sub-band so interference comes only from the with only one sub-band and N interferers. The BS generates the detection matrix by using the independently without any interference.n are the N 1 uplink channel x vectors even. Since the BS receives A and B has cardinality of 2. = The number of interferers in each sub-band is P/2 while the In order words. As there are only P K specialize to the case of conventional uplink NOMA. as the CSI of all the users. The number = of users in the two sets A and B are assumed to be equal and where hl. The total number of where K/ P sub-bands are formed. with interference from weak set while the users in the cardinality of 4. 12. 2}. SBD NOMA has K/4 sub­ P/2 x 1 signal vector of strong and weak sets. The SI and S2 represent the = K/2 sub-bands. hence the received signal is the superpo­ detection matrix is used to decode the signals of strong and sition of the signals from P users. Received Signal Model K 24. 2. weak set are decoded without interference... P/2} and Xi . The channel of sub-bands.n + L h2.. for P 8. In this case the SBD NOMA has K sub-bands. are pairwise orthogonal so that they offer minimum or no respectively. Bi from the sets and n is the N x 1 AWGN vector. SBD NOMA has the user i to the BS antenna j. dimensions of the received signal and the number of users in each sub-bands.nxl. Since we assume even = = The signal received at the BS from the entire group of users number of users. 'Vi is P/2. hi . users with relatively weak channel gain. j = specializing the case to OMA.) T denotes the transpose. (3) The system bandwidth and the corresponding noise variance becomes BW / P.j + = n. ai . 2. 6.{:!i Ai UBi � where the cardinality of Ai rv = from each user can be given as and Bi. . e. The P users are where y is an N x 1 uplink received signal vector. OFDMA with P users in each sub-band.r denotes the inverse and complex conju­ number of multi-user detection at the receiver side.We now define a set ¢ which is the set of factors of K. The number of interferer is 2 in this case. such that A {Ul' U3. Furthermore.j represents the NOMA Let P 1. SBD NOMA has K/8 sub-bands. sub-band and a conventional NOMA scheme works in each The received signal of the nth user in the strong set is the sub-band. The set � is divided into two sets A and Yn hl. gets {I. In the above equation ZI is the P/2 x N . For P 2 the access scheme is NOMA2. 2. ¢ {l. The corresponding postcoded matrix of number of superimposed users is only P. = bands. hi .. Each user from both sets.jVa2.. = power allocation coefficient of strong and weak users.n eN (0. The n is an N x 1 additive white Gaussian noise interference to each other. 24}. H2 of strong and weak sets are given by channel and detection matrices. The transmitted symbols sets such that L. When P 4. the number of interferers. ) -1 and (. Suppose that the number of users is. The number P changes the number (AWGN) vector with zero mean and unit variance. a SIC scheme is required at the receiver in this case. Each Ai.. . The total number of received signals at the BS is K/ P.

nhl. Let us investigate the signal-to-interference plus noise ratio (SINR) of the users within the strong and weak sets. computer simulations are used to evaluate In ( 12 ) .l is the In this case. Since we assume N antennas and 2N users. each channel vector and the ZF postcoding vector 1 x N uplink channel vector of the nth user. For decoding of weak each sub-band. the strong users The overall system bandwidth is 4. calculated by using the following model. The user pairing strategy affects the overall user signal.jI12 a1. the user pairing is critical. After successful decoding of the message the different channel gains to get full benefit of the NOMA within strong user decodes its own message. Hence.n 8 h1.j j=l j=lJ#n (16) represents the inter-set interference from the weak user.n ) (15) I + CJ� where I represents the interference and is given by (8) P/2 P/2 2 1= L Ilzl. 2} . respectively. complex Gaussian having a noise density of -174dBm/Hz.11 and 8 denotes the modulus and point to point simultaneously. Before decoding its own message. after applying ZF matrix. . ) P/2} .n number of interferers is N for conventional uplink NOMA SINR2.n 8 h2. each user channel gains between the users. IMPACT OF USER PAIRING ON SBD SINRl. j E {I.nI12 al. The transmission power allocated to all users is 24dBm.j .n 8 h1. The Ilz2.n (9) The user pairing has the potential of reducing the com­ ".d) Rayleigh flat Ri = BW/P L log2 ( 1 + SINRi.n 8 h2.n.j 8 h1. respectively.n 8 h1. The received signal and corresponding SINR of nth weak It will affect the overall sum capacity of the proposed SBD user is given by scheme. SIC is carried out so there will be no interference throughput of the proposed scheme.n 8 h2. This is because the performance of SBD is much dependent on the way the users are paired.postcoded matrix of users in the strong set and Zn.. Careful user pairing not only improves the sum rate. The grouping is done on the basis of the multiplication.j 2 a2. The received instantaneous SINR is given as III.n = Ilzl.jll2 a2. (13) faded. The channel coefficients are assumed to N be independent and identically distributed (i. n=l The noise is assumed to be zero mean circular-symmetric where BW is the system bandwidth. The of all the users in a strong and weak set is given by cell radius is assumed to be 1000m in which all the users are randomly distributed.n = 0..nI12 a2. The number of interferers reduces as P ".n).nXl. RESULTS AND DISCUSSION In this section. Vj i. 2.P/2 L-j=lllzl. This is done by choosing orthogonal investigate the performance of the SBD schemes and compare signal as part of a strong and weak sets.jI1 a2.#n ll n P = 1. i E {I. both conventional OMA and NOMA are implemented where 11.nI12 al.j + CJ 2 . The users which are pairwise in the strong set needs to decode the message of the user in orthogonal are grouped together in the same sub-band with the weak set. satisfies the following condition. (7) The received SINR of the nth user in the strong and weak sets where r(l) is an (N/(K/P)) x 1 received signal vector.n = Ilzl.n 8 h2. However. the signals of The detailed algorithm for choosing members of strong and weak set become weak set is presented in Algorithm 1. In step 5 of the above algorithm.Jal.Ja2. if the number of antennas and users is such that the the resulting received signal becomes resultant matrix is rectangular then the strong and weak users get interference from other strong and weak users. The path loss is are only affected by inter-set interference from the weak users.n represents the desired signal of strong user while the signal I:f�i Zl.n .32MHz. From becomes ( 7 ) ) the signal of the nth user in the strong set is as follow SINRl.j + CJn2 ' plexity at the receiver side.i. (14) applying the postcoded matrix Zl to the users of strong set.n = system with P = K. the signal Zl. After Zl.jX2. The algorithm aims to minimize the interference offered by the weak user to the (10) strong user.j) In (8). (17) decreases in the proposed SBD scheme with no interferer for L-j=l. IV. the inter cluster and inter-set interference has been the performance of the proposed SBD NOMA schemes. but also has the potential to improve the individual user rates. Therefore.j + L Ilzl.nh2. The sum capacities it with the conventional OMA and NOMA techniques. We completely minimized. .P/2 Ilz2. in the proposed SBD scheme. in this case.

4) Do head to tail pairing of users from both sets to get minimum interference. . B.Jdenotes the floor function. NOMA techniques in terms of receiver complexity. the complexity offered by Go to 1). which is kept at 4 in this study. 2 Mord {lhI12 . 4.N ] T .8 log10 (d). matrices and the corresponding user indexes of strong and weak sets satisfy the condition L. N. The smaller channel Fig. k}.. hd· 2) The transmitter then calculates the frobenius norm of all users and arrange it in descending order. 3 and 4 that although the conven­ section is comparing the sum capacity of all multiple access tional uplink NOMA achieves maximum sum capacity but it schemes with the number of users and examining the effect of increases the receiver complexity and outage probability to a number of users. which is practically not desired especially if the in the number of users but that improvement in not substantial number of users is very large. The = users from the two sets are paired in different sub-bands to for NOMA4 and NOMAs schemes after the number of users reduce interference. . Ih212 . Comparison of sum capacity of OMA. In HI. the N users having the higher channel gains are selected as the members of strong set A. . where K = {I . . IhlK/2J+21.. M = {hI. The decreasing trend of outage probability the path loss exponent. Outage analysis of OMA. .N ] T . We can derive an interesting proposed SBD schemes. M=O(KX N ).l hl.flr Ai U Bi �.Algorithm 1 Strong and Weak Sets Formation and Subchannel Allocation Algorithm Initialization 1) A set � of K users. Fig. The in SBD scheme is because of the fact that we are dividing working SNR is assumed to be 10dB. Iteration 1) All K users feedback their CSI to the BS.. . Hence in the situations where the . NOMA and proposed SBD schemes. 2 . 3. End When all the N users from the two sets are paired in The NOMAN scheme outperforms the OMA and conventional sub-bands. Ih21.NOMA and proposed SBD experience i.e. . 5) For SBD NOMA. 4 shows the outage performance of OMA. where P denotes the access scheme. the bandwidth and noise variance accordingly which increases Fig. k}. H2={lhlK/2J+II. The users with channel gains HI are members of set A and users with channel gains H2 are members of setB. However. H1={lhll. The sum capacity improves with the increase great extent.NOMA and proposed SBD scheme. while the remaining users are selected as the members of the weak set.. l. ···l hlK/2JI}. h2. Ihkl } where IhKI2 > IhK+112 = and K E { l . It can be easily observed that the PLdB = 30 + 10.. .. 3 compares the sum capacity of OMA. H2 = [h2.. HI U H2= Mord and HI n H2=¢' scheme. The primary observation of this result by combining Fig. The BS creates a set M of channel matrix.8 is NOMAN schemes. (18) proposed SBD schemes can achieve better outage performance as compared to conventional NOMA especially NOMA2 and where d is the distance between the BS and the MS and .2 h2. them is much less than the conventional uplink NOMA system. The respective channel gains of strong and weak users are HI and H2.2 hl. 3) The transmitter then separates two sets HI and H2 from Mord on the basis of the channel gains that the user Fig... NOMA and the individual SINR of users. decoding and offer better throughput and fairness.1 h2. exceeds a certain limit. HI = [hl. each Rayleigh fading channel matrix divides itself into smaller matrices with dimension N x P/2. ···l hKI}. 2) HI and H2 3) Number of antennas.

NOMA and SBD NOMA is demonstrated. 21. [10] Z.76 34.C.16 MHz 39.1 70 % 59. Ding.9% 27. Chih-Lin.no." in IEEE Globecom Workshops.7 % nonorthogonal approaches to future wireless cellular systems. "5G wireless communication systems: Prospects and Path loss Exponent NOMA-(K/N) NOMA-(KJ4) NOMA-(KJ8) challenges. the effect of changing system bandwidth and path Mobile Computing Conference (IWCMC). Z.9 % 39. 3. cost and enhanced QoS.76 27. 2013. increases. Alamouti. Y. Parida and S.20 % 66.90 % 70.no.F. W. Saito.Z. evaluated for K 40. and H.2010." IEEE Veh.P. Wireless Commun. "On the performance of In Fig." arXiv preprint arXiv:I410. OMA and proposed SBD scheme.-L. decreasing the path loss exponent increases the sum capacity as shown in Table II. Hong. Fan. A. Decreasing the system bandwidth to = [II] Z. "Non-orthogonal multiple access (NOMA) for cellular uplink NOMA.16MHz and 1. B.25 % proper path loss exponent.14 % 41. Orthogonal Multiple Access. Han.M. in 5G systems. J. pp. Mag. Fettweis. vol. vol. Impact of cell radius on SBD scheme (N=2. T. Das." arXiv preprint arXiv:1412.2799.80 % system that demands reduced outage and complexity can use System Bandwidth NOMA-(K1N) NOMA-(KJ4) NOMA-(KJ8) SBD NOMA. 12. Y. Irmer. 52. CONCLUSIONS 5G wireless networks require high spectral efficiency to meet the ever increasing demand of traffic in mobile com­ munication for which NOMA is a very promising solution. which provide better rate and a fairly reliable future radio access. Kim. Poor. Mag." in 8Ist IEEE Vehicular Technology Conference (VTC Spring). and H. Wu. Chen. Ghosh. each scheme. 3. vol.1 57. Suh. "Impact of user pairing on 5G non­ 2. 1. Nakamura.16 MHz 43. Peng. 2014. Mondal. N."A suboptimal scheme for uplink NOMA the receiver side. it offers enhanced system complexity especially in massive access scenarios. 17. Fan. [5] Y.and Z.and H. 5.0 % 58. Ding. H. Ge. A.7 % and S. H.1. no. However. Thomas. Rowell.9% 29.and H. Yang.2014. Tee/mol. 1501-1505. set also enhances. Peng.5846.7 % 39. Pan.2 % [2] J. Mangalvedhe.-C. [12] P.7 % 1. NOMA outperforms at other values. it can be observed that NOMA2 dominates NOMAN at path loss exponent of 3. Xiao.1 % 41. Ding. Xu. However.no. vol. Choi. [7] Z. 3. J. scheme is shown in Table I. Poor.2014.pp.72 % significantly outperform non-orthogonal multiple access in terms of system spectral efficiency and user fairness. The proposed SBD scheme reduces TABLE I PERCENTAGE DECREASE IN SUM CAPACITY BY CHANGING SYSTEM the number of interferers at the receiver side." IEEE Commun. Therefore.10% 42. 52. R." arXiv preprint arXiv:J503. 10-22."The application of MIMO to Non­ NOMA if the cell radius is assumed to be very small. Y. the 2.1 % 45. and T. Reducing the system bandwidth 2014.and H. "LTE-advanced: Next-generation wireless broadband technology."Cooperative non-orthogonal multiple loss exponent on the performance of SBD NOMA has been access in 5G systems. 62-64. 2.2006. It can be users. Y.K=40). Poor." IEEE user priority is reduced complexity.32MHz.."Toward green Path loss Exponent OMA NOMA NOMA-(KJ2) and soft: A 5G perspective. 2015. but as the cell radius [8] B. Kishiyama. 2015. "Power allocation in OFDM based NOMA to 4.G. Ratasuk.08MHz reduces the sum capacity as compared orthogonal multiple access. and D.08 MHz 63. Thompson. Ding. 3. However. to one half almost decreases the sum capacity to 40% for .S. 2014. The percentage increase in sum capacity is not substantial for NOMAs scheme. The percentage decrease for each SBD NOMA systems: A DC programming approach.no.S. Similarly.. V. (VTC Spring).39% 46. S. Wang. which not only BANDWIDTH reduces the multi-user detection algorithms required to retrieve the signal but also offers better outage and user fairness System Bandwidth OMA NOMA NOMA-(KJ2) as compared to conventional NOMA scheme. [6] Z. 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