Table Of Content5G New Radio
Non-Orthogonal
Multiple Access
This book provides detailed descriptions of downlink non-o rthogonal
multiple transmissions and uplink non-orthogonal multiple access
(NOMA) from the aspects of majorly used 5G new radio scenarios and
system performance.
For the downlink, the discussion focuses on the candidate schemes in 3GPP
standards which are not only applicable to unicast services but also to broad-
cast/multicast scenarios. For the uplink, the main target scenario is massive
machine-type communications where grant-free transmission can reduce sig-
naling overhead, power consumption of devices and access delays. The design
principles of several uplink NOMA schemes are discussed in-depth, together
with the analysis of their performances and receiver complexities.
Devoted to the basic technologies of NOMA and its theoretical princi-
ples, data analysis, basic algorithms, evaluation methodology and simula-
tion results, this book will be an essential read for researchers and students
of digital communications, wireless communications engineers and those
who are interested in mobile communications in general.
Yifei Yuan is Chief Expert of China Mobile Research Institute. Dr. Yuan
graduated from Tsinghua University and Carnegie Mellon University. He
specializes in the research and standardization of key air-interface tech-
nologies for 3G, 4G, 5G and 6G mobile networks. He has more than 20
years of experience at Bell Labs, ZTE and China Mobile.
Zhifeng Yuan is Senior Expert in the Algorithm Department of ZTE
Corporation. With more than 15 years of experience at ZTE Corporation,
he focuses on transmitter designs and advanced receiver algorithms of
non-orthogonal multiple access (NOMA), channel coding, modulations
and waveform for mobile communications.
5G New Radio
Non-Orthogonal
Multiple Access
Yifei Yuan and Zhifeng Yuan
First edition published 2023
by CRC Press
6000 Broken Sound Parkway NW, Suite 300, Boca Raton, FL 33487-2742
and by CRC Press
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CRC Press is an imprint of Taylor & Francis Group, LLC
© 2023 Yifei Yuan and Zhifeng Yuan
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Published through arrangement with the original publisher, Posts and Telecom Press Co., Ltd.
Library of Congress Cataloging‑in‑Publication Data
Names: Yuan, Yifei, editor. | Yuan, Zhifeng, editor.
Title: 5G new radio non-orthogonal multiple access / [edited by] Yifei Yuan
and Zhifeng Yuan.
Description: First edition. | Boca Raton, FL : CRC Press, 2023. | Includes
bibliographical references. |
Identifiers: LCCN 2022025363 (print) | LCCN 2022025364 (ebook) |
ISBN 9781032372754 (hbk) | ISBN 9781032372761 (pbk) |
ISBN 9781003336167 (ebk)
Subjects: LCSH: 5G mobile communication systems. | Multiple access
protocols (Computer network protocols)
Classification: LCC TK5103.25 .A147 2023 (print) | LCC TK5103.25 (ebook)
| DDC 621.3845/6--dc23/eng/20220812
LC record available at https://lccn.loc.gov/2022025363
LC ebook record available at https://lccn.loc.gov/2022025364
ISBN: 978-1-032-37275-4 (hbk)
ISBN: 978-1-032-37276-1 (pbk)
ISBN: 978-1-003-33616-7 (ebk)
DOI: 10.1201/9781003336167
Typeset in Minion
by codeMantra
Contents
Foreword, xiii
Preface, xv
Authors, xvii
Abbreviations, xix
Chapter 1 ◾ Introduction 1
Yifei Yuan
1.1 EVOLUTION OF MOBILE COMMUNICATIONS 1
1.2 SYSTEM REQUIREMENTS FOR 5G MOBILE
COMMUNICATIONS 4
1.2.1 Major Use Scenarios and Deployment Scenarios 4
1.2.2 Key Performance Indicators 6
1.2.3 General Methodology for Performance Evaluation 8
1.3 MAJOR TYPES OF SCHEMES FOR DOWNLINK NOMA 9
1.4 MAJOR TYPES OF SCHEMES FOR UPLINK NOMA 9
REFERENCES 10
Chapter 2 ◾ Basics of Downlink Multiple Access 11
Yifei Yuan, Zhifeng Yuan, Jianqiang Dai anD hong tang
2.1 PRINCIPLE OF DOWNLINK MULTIPLE ACCESS 11
2.2 SIMULATION EVALUATION METHODOLOGY 19
2.2.1 Parameters and Metrics for Link-Level Simulations 19
2.2.2 Link to System Mapping 21
v
vi ◾ Contents
2.2.2.1 A lgorithm and Link to System Mapping for
ML Receivers 21
2.2.2.2 L ink to System Mapping for CWIC,
SLIC and MMSE-IRC Receivers 24
2.2.3 P arameters for System-Level Simulations 26
2.2.3.1 D eployment Scenarios and Cell Topology 26
2.2.3.2 T raffic Models and Metrics 28
2.2.4 S cheduling Algorithms 28
2.2.4.1 C riterion for User Pairing 28
2.2.4.2 T ransmit Power Allocation 31
2.2.4.3 C alculation of SINR for NOMA 31
2.2.4.4 C alculation of the PF Metric 31
2.2.4.5 P rocedure of Scheduling 32
2.3 D IRECT SUPERPOSITION OF SYMBOLS 32
2.3.1 T ransmitter-Side Processing 33
2.3.2 R eceiver Algorithm 34
2.4 GRAY MAPPING WITH FLEXIBLE POWER RATIOS 36
2.4.1 T ransmitter-Side Processing 36
2.4.1.1 S uperposition with Mirror Transformation 37
2.4.1.2 I nclusive OR of Bits 38
2.4.2 R eceiver Algorithms 41
2.5 B IT PARTITION 41
2.5.1 T ransmitter-Side Processing 43
2.5.2 R eceiver Algorithms 43
2.6 P ERFORMANCE EVALUATION 43
2.6.1 L ink-Level Performance 43
2.6.2 S ystem Performance 46
2.6.2.1 F ull-Buffer Traffic and Wideband Scheduling 46
2.6.2.2 F TP Traffic, Two Transmit Antennas,
Wideband Scheduling 47
2.6.2.3 F TP Traffic, Two Transmit Antennas,
and Sub-Band Scheduling 50
Contents ◾ vii
2.7 OTHER TECHNIQUES 52
2.7.1 Tomlinson-Harashima Precoding 52
REFERENCES 55
Chapter 3 ◾ Non-Orthogonal Transmission for Downlink
Broadcast/Multicast 57
Yifei Yuan, hong tang anD Weimin Li
3.1 APPLICATION SCENARIOS 57
3.2 BRIEF INTRODUCTION OF PHYSICAL MULTICAST
CHANNEL (PMCH) IN LTE 59
3.3 NON-ORTHOGONAL TRANSMISSION
FOR BROADCAST/MULTICAST SERVICES 62
3.4 PERFORMANCE EVALUATION VIA SIMULATION 63
REFERENCES 68
Chapter 4 ◾ Standardization of Downlink Superposition
Transmission 69
Jianqiang Dai anD Yifei Yuan
4.1 MERGED SOLUTION OF DOWNLINK NOMA 70
4.1.1 Unification of MUST Category 2 70
4.1.2 For Case 1 and Case 2, the Modulation Order of
Far User Is Limited to QPSK 71
4.1.3 Power Allocation for Case 1/Case 2, and Finalizing
the Solution 72
4.2 BRIEF INTRODUCTION OF DOWNLINK PHYSICAL
CONTROL SIGNALING FOR MUST 76
4.2.1 Identified Potential Assistance Information during
the Study Item Phase 77
4.2.2 Criteria for Downlink Control Signaling Design 78
4.2.3 Trimming of Potential Assistance Information 82
4.3 SIGNALING FOR MUST CASE 1/2 84
4.4 SIGNALING FOR MUST CASE 3 86
REFERENCES 91
viii ◾ Contents
Chapter 5 ◾ G eneral Discussion of Uplink Non-
Orthogonal Multiple Access 93
Yifei Yuan, Zhifeng Yuan, nan Zhang, Weimin Li, ZiYang Li,
qiuJin guo anD Jian Li
5.1 G RANT-FREE ACCESS 93
5.1.1 S cenario Analysis 93
5.1.2 Basic Procedure 102
5.1.2.1 T ransmission in RRC Inactive 103
5.1.2.2 T wo-Step Random Access (2-step RACH) 104
5.2 B RIEF DISCUSSION ON EVALUATION
METHODOLOGY 110
5.2.1 O verall Configuration of Link-Level Simulations
and Evaluation Metrics 110
5.2.2 General Simulation Setting for System-Level
Simulations and Evaluation Metrics 111
5.2.2.1 m MTC Scenario 111
5.2.2.2 e MBB Small-Data Scenario 113
5.2.2.3 uRLLC Scenario 114
5.3 B RIEF INTRODUCTION OF THE NOMA
TRANSMITTER AND RECEIVER 115
REFERENCES 119
Chapter 6 ◾ U plink Transmitter-Side Solutions and Receiver
Algorithms 121
Yifei Yuan, Zhifeng Yuan, Li tian, Chen huang, YuZhou hu,
ChunLin Yan anD ZiYang Li
6.1 S HORT SEQUENCE-BASED LINEAR SPREADING AND
TYPICAL RECEIVER ALGORITHMS 121
6.1.1 Design Principles 122
6.1.1.1 T SC-Bound Equality (TBE) Codebooks 123
6.1.1.2 W elch Bound Codebooks and Equiangular
Tight Frame (ETF) Codebooks 126
6.1.1.3 S pecific Design Criteria Considering
Deployment Scenarios 127
6.1.1.4 Other Design Criteria 130
Contents ◾ ix
6.1.2 Description of Specific Codebooks 131
6.1.2.1 C odebooks with Highly Quantized
Elements (MUSA and NOCA) 132
6.1.2.2 S equences Satisfying Total-Squared-
Correlation Bound (TBE) 135
6.1.2.3 C yclic Difference Set ETF and
Grassmannian Sequence (NCMA) 137
6.1.2.4 G eneral Total Squared Correlation Bound
Equality (GTBE) Sequences,
e.g., UGMA 140
6.1.2.5 S parse Spreading Sequences, e.g., PDMA 143
6.1.2.6 S ummary 144
6.1.3 Symbol-Level Scrambling 149
6.1.4 MMSE Hard IC Receiver Algorithms and
Complexity Analysis 152
6.1.4.1 M MSE Hard Interference
Cancelation Receiver 152
6.1.4.2 A nalysis of Computation Complexity 154
6.2 B IT-LEVEL-BASED SCHEMES AND TYPICAL RECEIVERS 166
6.2.1 Transmitter-Side Schemes 166
6.2.1.1 I nterleaver-Based Bit-Level Processing 166
6.2.1.2 B it Scrambler-Based Processing 179
6.2.2 ESE + SISO Receiver and Complexity Analysis 180
6.2.2.1 E SE + SISO Receiver Algorithms 180
6.2.2.2 C omplexity Analysis of the
ESE + SISO Receiver 187
6.3 MULTI-DIMENSIONAL MODULATION-BASED
SPREADING AND TYPICAL RECEIVERS 191
6.3.1 Introduction of SCMA 191
6.3.1.1 M ulti-Symbol Joint Modulation 196
6.3.1.2 S parse resource mapping 197
6.3.1.3 C odebook Resource Pool 198
6.3.2 EPA + SISO Receiver Algorithm and
Complexity Analysis 198
