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Non-Orthogonal Multiple Access for NextGeneration Networks

A Proposal for IEEE/CIC ICCC 2018Lajos Hanzo, FIEEE, FIET, FREng

Chair of TelecommunicationsSchool of ECS, Univ. of Southampton, S017 1BJ, UK.Tel: +44-(0)23-80-593 125, Fax: +44-(0)23-80-594 508

Email:lh@ecs.soton.ac.uk;http://www-mobile.ecs.soton.ac.uk

Pse see 1700+ entries at IEEE Xplore

Arumugam Nallanathan,FIEEE

Head of Communication System GroupSchool of EECS, Queen Mary University of London, E1 4NS, UK.

Email:yuanwei.liu@qmul.ac.uk;http://www.eecs.qmul.ac.uk/∼nalla/

Yuanwei Liu,School of EECS, Queen Mary University of London, E1 4NS, UK.

Email:yuanwei.liu@qmul.ac.uk;http://www.eecs.qmul.ac.uk/∼yuanwei/

Zhijin QinSchool of Computing and Communications, Lancaster University, LA1 4YW, UK.

Email:zhijin.qin@lancaster.ac.uk;wp.lancs.ac.uk/zqin/

Maged Elkashlan,School of EECS, Queen Mary University of London, E1 4NS, UK.

Email:yuanwei.liu@qmul.ac.uk;http://www.eecs.qmul.ac.uk/∼maged/

Zhiguo DingSchool of Computing and Communications, Lancaster University, LA1 4YW, UK.

Email:z.ding@lancaster.ac.uk;http://www.lancaster.ac.uk/staff/dingz/

Abstract

Mobile data traffic, especially mobile video traffic and small-size IoT packets, has dramatically increased in recent yearswith the emergence of smart phones, tablets, and various new applications. It is hence crucial to increase network capacity toaccommodate these bandwidth consuming applications and services. Non-orthogonal multiple access (NOMA), which hasbeen recently proposed for the 3rd generation partnership projects long-term evolution advanced (3GPP-LTE-A), constitutesa promising technology of enhancing the spectral efficiency and achieving massive connectivity challenges in 5G networksby accommodating several users within the same orthogonal resource block, via multiplexing at different power levels. Bydoing so, significant spectral efficiency enhancement can be attained over conventional orthogonal multiple access (OMA)techniques. The main of this tutorial is to present the basic concepts/theories, address research advances on key technologies,and deliver the state-of-the-art of research and development for NOMA in next generation mobile communication systems.

Tutorial Overview

As more and more new mobile multimedia rich services are becoming available to larger audiences, there is anever increasing demand for higher data rate wireless communications as well as larger capacity networks. The wirelesscommunity faces the challenge of enabling a further traffic increase of around 1,000 times, latency reduction of around100 times, device increase of around 100 times around the year of 2020. This demand is to be met under the scope ofnext generation mobile communication systems characterized by high speed, large capacity and good quality-of-service(QoS) for millions of subscribers. To meet these requirements, a number of energy and spectrally efficient technologieshave been proposed for 5G, NOMA plays a crucial role for providing high system throughput, high reliability, improvedcoverage, low latency, and massive connectivity for 5G wireless networks given the scarce bandwidth resources.

At the time of the writing of this proposal, the technical community has turned towards the standardization of 5Gsystems, with a special emphasis on the NOMA techniques. NOMA has been proposed to overcome the spectralinefficiency of OMA. Specifically, NOMA allows controllable interference via non-orthogonal resource allocation atthe expense of a tolerable increase in receiver complexity. The signals transmitted to different users are superimposedinto the same time and/or frequency band, and they are recovered with advanced receiver algorithms. However, realizingthe full potential of NOMA in practical communication scenarios is challenging, and there are still many important openproblems that have not been solved.

The aim of the tutorial is to provide a comprehensive overview of the state-of-the-art n NOMA, with a focus on thetheoretical NOMA principles, multiple antenna leased NOMA design, on the interplay between NOMA and cooperativetransmission, on the resource control of NOMA, and on the co-existence of NOMA with other emerging potential 5Gtechniques. Necessary analytical tools are presented to study them (such as stochastic geometry, matching theory, andconvex optimization). This tutorial will take a comprehensive and coordinated approach in presenting the ways of realizingthe the potential advantages for NOMA in next general wireless systems and identify promising research opportunitiesfor the future. There are three main objectives of this tutorial:

• The first objective is to provide a general introduction to next generation mobile communication and networkingincluding the history of standardization, requirements, key working scenarios and major evolutionary techniquesfrom physical to MAC and network layer issues.

• The seconde objective is to demonstrate the basic concepts of NOMA and summarize key advantages of NOMA.The research challenges, opportunities and potential solutions will also be identified.

• The third objective is to illustrate how such shifting paradigm on multiple access will affect the need of key technolo-gies, such as MIMO, cooperative communications, cognitive radio, millimeter wave (mmWave) communications,heterogenous networks (HetNets), device-to-device (D2D) communications, etc. This will include classifications ofthe different schemes and the technical details in each scheme.

Detailed Outline

• Background and Basics for Wireless Communications - present the basics, challenges, recent progress, and openissues for next generation communication systems:

1) Brief History of Wireless Standardization: provide a comprehensive overview of the mobile communicationevolutions with the focus on the state-of-the-art of multiple access techniques;

2) Challenges: present new requests, open issues and research challenges for next generation mobile communi-cations;

3) Key solutions for multiple access: survey the most important technological solutions for non-orthogonal multipleaccess.

• NOMA Basics - discuss the Basic Principles of power-domain NOMA.1) Key Techniques of NOMA2) Identifying OMA and NOMA3) Main advantages of NOMA4) Investigating NOMA from an Information Theoretic Perspective5) Downlink and Uplink NOMA Transmission

• NOMA Combined with Multiple Antennas Techniques - present the application of multiple antenna techniques onNOMA

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1) Cluster-Based MIMO-NOMA2) Beamformer-Based MIMO-NOMA3) Massive-MIMO-NOMA

• Interplay between NOMA and Cooperative Communications - present promising cooperative NOMA technologiesand the application of NOMA in cooperative networks.

1) Cooperative NOMA2) NOMA in Cooperative Transmission Based Networks

• Resource Management in NOMA Networks - present resource controlling in terms of power controlling anduser/resource allocation.

1) Power Allocation for NOMA2) User Scheduling in Dynamic Cluster/Pair Based Hybrid MA Networks3) Software-Defined NOMA Network Architecture

• NOMA Invoking Other Technologies towards 5G - consider co-existence of NOMA with other 5G proposals1) NOMA in HetNets2) NOMA in Millimeter Wave Communications3) NOMA and Cognitive Radio Networks4) NOMA-Based Device-to-Device Communication

• Implementation Challenges and Standardization of NOMA - identify some implementation issues and correspondingpotential solving approaches

1) Error Propagation in SIC2) Channel Estimation Error and Complexity for NOMA3) Security Provisioning for NOMA4) Maintaining the Sustainability of NOMA with RF Wireless Power Transfer5) State-of-the-art for Standardization of NOMA

• Practical Forms of NOMA - classify the practical forms of NOMA also into single-carrier and multiple-carrierNOMA

1) Single-Carrier NOMA2) Multi-Carrier NOMA

Related Reading• Y. Liu, Z. Qin, M. Elkashlan, Z. Ding, A. Nallanathan and L. Hanzo, “Non-Orthogonal Multiple Access for 5G and

Beyond”, Proceedings of the IEEE, Dec, 2017.• L. Hanzo, O. Alamri, M. El-Hajjar, N. Wu: Near-Capacity Multi-Functional MIMO Systems: Sphere-Packing,

Iterative Detection and Cooperation, IEEE Press - John Wiley, 2009 712 pages• L. Hanzo, J. Akhtman, L. Wang, M. Jiang: MIMO-OFDM for LTE, WIFI and WIMAX: Coherent versus Non-

Coherent and Cooperative Turbo-Transceivers, IEEE Press - John Wiley, March 2010, 591 pages• L. Hanzo, M. El-Hajjar, O. Alamri: Near-Capacity Wireless Transceivers and Cooperative Communications in the

MIMO Era: Evolution of Standards, Waveform Design, and Future Perspectives Proceedings of the IEEE Volume99, Issue 8, 2011, pp 1343 - 1385

• Zhang, R.; Hanzo, L.: A Unified Treatment of Superposition Coding Aided Communications: Theory and Practice,Communications Surveys & Tutorials, IEEE, Xplore, 2011

• Butt, M.; Ng, S.; Hanzo, L.: Self-Concatenated Code Design and its Application in Power-Efficient CooperativeCommunications, IEEE Communications Surveys and Tutorials, 2013

• L. Wang, L. Hanzo: Dispensing with Channel Estimation: Differentially Modulated Cooperative Wireless Commu-nications, IEEE Communications Surveys and Tutorials, 2013

Intended Audience

Whilst this overview is ambitious in terms of providing a research-oriented outlook, potential attendees require onlya modest background in wireless networking and communications. The mathematical contents are kept to a minimumand a conceptual approach if adopted. Postgraduate students, researchers and signal processing practitioners as well asmanagers looking for cross-pollination of their experience with other topics may find the coverage of the presentationbeneficial. The participants will receive the set of slides as supporting material and they may find the detailed mathematicalanalysis in the above-mentioned books.

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Course Notes: a copy of the slides will be made available for the participants. Furthermore, related book chapterswill also be made available;

Prior History of the Tutorial Presentation

Lajos Hanzo: ICCS’94 in Singapore; ICUPC’95 in Tokyo; ICASSP’96 in Atlanta, USA; PIMRC’96 in Taipei,Taiwan; ICASSP’96 in Atlanta; ICCS’96 in Singapore; VTC’97 in Phoenix, USA; PIMRC’97 Helsinki, Finland; VTC’98,Ottawa, Canada; Globecom’98 Melbourne, Australia; VTC’99 Spring Houston, USA; EURASIP Conference’99, June,1999, Krakow, Poland; VTC’99 Fall Amsterdam, The Netherlands; VTC’2000 Spring Tokyo, Japan; VTC’2001 SpringRhodes, Greece; Globecom’2000 San Francisco, USA; Globecom’2001 San Antonio, USA; ATAMS’2001 Krakow,Poland; Eurocon’2001, Bratislava, Slovakia; VTC’2002 Spring Birmingham Alabama, USA; VTC’2002 Fall Vancouver,Canada; ICC’2002, New York, USA; Wireless’02, Calgary, Canada; WPMC’02 Honolulu, Hawaii; ATAMS’2002, Krakow,Poland; WCNC’03 New Orleans, USA; VTC’2003 Spring, Jeju Island, Korea; PIMRC’2003, Beijing, China; VTC’2003Fall Orlando, USA; European Wireless Conference’2004, Barcelona, Spain; ICC’2004, Paris, France; EUSIPCO’2004,Vienna, Austria; VTC’2005 Spring Stockholm, Sweden; VTC’2005 Fall, Dallas, USA; WPMC’2005 Aalborg, Denmark;VTC’2006 Spring Melbourne, Australia; ICC’2006 Istanbul, Turkey; WCNC’2006, Las Vegas, USA; ISSSTA’2006,Manaus, Brazil; VTC’2006 Fall, Montreal; VTC 2007 Spring, Dublin; ICC 2007, Glasgow; IST’ 2007, Budapest, Hungary;VTC 2007 Fall, Baltimore, USA; ColCom’2007, Bogota, Colombia; ICSPC’2007, Dubai; WCNC’2007, Hong-Kong,China; ICC’2008, Beijing, China; VTC’2008 Spring Singapore; WCNC’2008, Las Vegas; VTC’2008 Fall, Calgary,Canada; Globecom’2008, New Orleans, USA; VTC’2009 Spring, Barcelona, Spain; ICC’2009, Dresden, Germany;VTC’2009 Fall, Anchorage, USA; Globecom 2009, Hawaii, USA; NCC’2010 Chennai, India; VTC 2010 Spring, Taipei;ICC 2010 Cape Town; VTC 2010 Fall Ottawa, Canada; ICC 2011 Kyoto, Japan; WCNC 2011 Cancun, Mexico; VTC2011 Fall San Francisco, USA; GC’2011 Houston, USA; ICC’2012 Ottawa, Canada; VTC’2012 Quebec City, Canada;GC’2012 Anaheim, USA; VTC’13S Dresden, Germany; GC’13 Atlanta, USA; VTC13F Las Vegas, USA; WCNC’14Istanbul, Turkey; VTC14S, Seoul, Korea; ICC’14 Sydney, Australia; GC’14 Austin, USA; VTC’15 Spring, Glasgow;VTC’15F Boston, USA; VTC’16S Nanjing, China; VTC’16F Ontreal, Canada; Globecom’16, Washington, USA;

Bio of the Instructors

Lajos Hanzo (http://www-mobile.ecs.soton.ac.uk) Royal Society Wolfson Fellow, FREng, FIEEE, FIET,Fellow of EURASIP, DSc received his degree in electronics in 1976 and his doctorate in 1983. In 2009 he wasawarded the honorary doctorate “Doctor Honaris Causa” by the Technical University of Budapest. During his40-year career in telecommunications he has held various research and academic posts in Hungary, Germanyand the UK. Since 1986 he has been with the School of Electronics and Computer Science, University ofSouthampton, UK, where he holds the chair in telecommunications. He has successfully supervised 113 PhDstudents, co-authored 18 John Wiley/IEEE Press books on mobile radio communications totalling in excessof 10 000 pages, published 1700+ research contributions at IEEE Xplore, acted both as TPC and GeneralChair of IEEE conferences, presented keynote lectures and has been awarded a number of distinctions.Currently he is directing an academic research team, working on a range of research projects in the field of

wireless multimedia communications sponsored by industry, the Engineering and Physical Sciences ResearchCouncil (EPSRC) UK, the European IST Programme and the Mobile Virtual Centre of Excellence (VCE), UK. He is an enthusiasticsupporter of industrial and academic liaison and he offers a range of industrial courses. He is also a Governor of the IEEE VTS. During2008 - 2012 he was the Editor-in-Chief of the IEEE Press and since 2009 he has been a Chaired Professor also at Tsinghua University,Beijing. For further information on research in progress and associated publications please refer to http://www-mobile.ecs.soton.ac.ukLajos has 33 000+ citations.

Arumugam Nallanathan (S’97-M’00-SM’05-F’17) is Professor of Wireless Communications and Head ofthe Communication Systems Research (CSR) group in the School of Electronic Engineering and ComputerScience at Queen Mary University of London since September 2017. He was with the Department ofInformatics at King’s College London from December 2007 to August 2017, where he was Professorof Wireless Communications from April 2013 to August 2017 and a Visiting Professor from September2017. He was an Assistant Professor in the Department of Electrical and Computer Engineering, NationalUniversity of Singapore from August 2000 to December 2007. His research interests include 5G WirelessNetworks, Internet of Things (IoT) and Molecular Communications. He published more than 350 technicalpapers in scientific journals and international conferences. He is a co-recipient of the Best Paper Awardpresented at the IEEE International Conference on Communications 2016 (ICC2016) and IEEE InternationalConference on Ultra-Wideband 2007 (ICUWB 2007). He is an IEEE Distinguished Lecturer. He has been

selected as a Web of Science (ISI) Highly Cited Researcher in 2016.

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He is an Editor for IEEE Transactions on Communications. He was an Editor for IEEE Transactions on Wireless Communications(2006-2011), IEEE Transactions on Vehicular Technology (2006-2017), IEEE Wireless Communications Letters and IEEE SignalProcessing Letters. He served as the Chair for the Signal Processing and Communication Electronics Technical Committee of IEEECommunications Society and Technical Program Chair and member of Technical Program Committees in numerous IEEE conferences.He received the IEEE Communications Society SPCE outstanding service award 2012 and IEEE Communications Society RCCoutstanding service award 2014.

Yuanwei Liu (S’13, M’16) received the Ph.D. degree in Electrical Engineering from the Queen MaryUniversity of London, U.K., in 2016. Before that, He received the B.S. and M.S. degrees from the BeijingUniversity of Posts and Telecommunications in 2011 and 2014, respectively. He has been a Lecturer(Assistant Professor) with the School of Electronic Engineering and Computer Science, Queen MaryUniversity of London, since 2017. He was with the Department of Informatics, King’s College London,from 2016 to 2017, where he was a Post-Doctoral Research Fellow.His research interests include 5G wireless networks, Internet of Things, stochastic geometry, and matchingtheory. He received the Exemplary Reviewer Certificate of the IEEE WIRELESS COMMUNICATIONLETTERS in 2015 and the IEEE TRANSACTIONS ON COMMUNICATIONS in 2017. He has served as aTPC Member for many IEEE conferences, such as GLOBECOM and ICC. He currently serves as an Editorof the IEEE COMMUNICATIONS LETTERS and the IEEE ACCESS.

Zhijin Qin(S’13, M’16) received her B.S. degrees from Beijing University of Posts and Telecommunicationsin China in 2012, and her Ph.D. degree from Queen Mary University of London in U.K. in 2016. She waswith Imperial College London in UK as a postdoctoral Research Associate from May 2016 to July 2017.Since August 2017, she has been the School of Computing and Communications at Lancaster University inU.K. as a Lecturer (Assistant Professor). She won the best paper award at Wireless Technology Symposium2012.Her research interests include low-power wide-area network for Internet of Things, compressive sensingand machine learning in wireless communications, and non-orthogonal multiple access for 5G networks.She has served as the co-chair of IEEE WoWMoM CORAL Workshop 2017, and a TPC member for manyIEEE conferences such as GLOBECOM, ICC, and VTC.

Maged Elkashlan(M’06) received the Ph.D. degree in Electrical Engineering from the University of BritishColumbia, Canada, 2006. From 2006 to 2007, he was with the Laboratory for Advanced Networking atUniversity of British Columbia. From 2007 to 2011, he was with the Wireless and Networking TechnologiesLaboratory at Commonwealth Scientific and Industrial Research Organization (CSIRO), Australia. Duringthis time, he held an adjunct appointment at University of Technology Sydney, Australia. In 2011, he joinedthe School of Electronic Engineering and Computer Science at Queen Mary University of London, UK, asan Assistant Professor. He also holds visiting faculty appointments at the University of New South Wales,Australia, and Beijing University of Posts and Telecommunications, China. His research interests fall intothe broad areas of communication theory, wireless communications, and statistical signal processing fordistributed data processing and heterogeneous networks.Dr. Elkashlan currently serves as an Editor of IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS,IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, and IEEE COMMUNICATIONS LETTERS. He also

serves as Lead Guest Editor for the special issue on “Green Media: The Future of Wireless MultimediaNetworks” of the IEEE WIRELESS COMMUNICATIONS MAGAZINE, Lead Guest Editor for the special issue on “Millimeter WaveCommunications for 5G” of the IEEE COMMUNICATIONS MAGAZINE, Guest Editor for the special issue on “Energy HarvestingCommunications” of the IEEE COMMUNICATIONS MAGAZINE, and Guest Editor for the special issue on “Location Awareness forRadios and Networks” of the IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS. He received the Best Paper Award at theIEEE International Conference on Communications (ICC) in 2014, the International Conference on Communications and Networkingin China (CHINACOM) in 2014, and the IEEE Vehicular Technology Conference (VTC-Spring) in 2013. He received the ExemplaryReviewer Certificate of the IEEE Communications Letters in 2012.

Zhiguo Ding (S’03-M’05) received his B.Eng in Electrical Engineering from the Beijing University ofPosts and Telecommunications in 2000, and the Ph.D degree in Electrical Engineering from ImperialCollege London in 2005. From Jul. 2005 to Aug. 2014, he was working in Queen’s University Belfast,Imperial College and Newcastle University. Since Sept. 2014, he has been with Lancaster University asa Chair Professor. From Oct. 2012 to Sept. 2018, he has also been an academic visitor in PrincetonUniversity.Dr Ding’ research interests are 5G networks, game theory, cooperative and energy harvesting networks andstatistical signal processing. He is serving as an Editor for IEEE Transactions on Communications, IEEETransactions on Vehicular Technology, and Journal of Wireless Communications and Mobile Computing,and was an Editor for IEEE Wireless Communication Letters, IEEE Communication Letters from 2013to 2016. He received the best paper award in IET Comm. Conf. on Wireless, Mobile and Computing,2009, IEEE Communication Letter Exemplary Reviewer 2012, and the EU Marie Curie Fellowship 2012-

2014.

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