本篇論文在正交分頻多工子載波及排列索引調變的基礎下提出一種碼域的非正交多重
接取架構，稱為「子載波及排列索引調變多重接取」。索引調變多重接取為索引調變技術
的應用，是一種用編碼簿來調變的非正交多重接取技術。它利用使用的子載波來當作索
引，這些索引可以在調變位元以外傳送額外的位元。
子載波及排列索引調變多重接取使用索引調變多重接取概念並藉著傳送額外的位元來
增進其性能。可區分的模式排列被用來當作索引調變的目的，讓可能傳遞方式有階層式的
增加。傳送額外資訊的索引位元不僅從使用的子載波和未使用的子載波來當作索引，更從
不同的模式排列而獲得，因此它能改善能量和頻譜效率。不僅如此，子載波及排列索引調
變多重接取技術可以透過調整使用的子載波和未使用的子載波來達到不同的頻譜和能量效
率。
為了降低競爭式多重接取技術的位元誤碼率，我們使用了旋轉編碼技術。藉著旋轉編
碼的技術進而增加分集增益，模擬結果也證實此技術應用於子載波及排列索引調變多重接
取技術其位元誤碼率有較佳的性能。在論文中使用最大似然法來分析平均位元誤碼率和位
元誤碼率的上界。簡而言之，此論文提出了一個碼域非正交多重接取技術，且和索引調變
多重接取、稀疏碼分多址以及正交頻分多址相比有更好的頻譜和能量效率。

In this thesis, a code-domain non-orthogonal multiple access (NOMA) scheme called ”
Subcarrier and Permutation Index Modulation Multiple Access” (SPIMMA) scheme under
the basis of Orthogonal Frequency Division Multiplexing-Subcarrier and Permutation Index
Modulation (OFDM-SPIM) is proposed. Index Modulation Multiple Access (IMMA) which
is an application of index modulation (IM) technique is a codebook-based NOMA scheme.
It uses the active subcarriers to make index indices which can carry additional bits besides
the modulation bits.
The proposed scheme - Subcarrier and Permutation Index Modulation Multiple Access (SPIMMA) uses the concept of IMMA and improves it by transmitting additional bits
through different modes. The permutations of distinguishable modes are used for index
modulation purposes, they cause a factorial increase of the number of possible transmission
patterns. Index bits which deliver additional information are not only produced from the
active and inactive subcarriers but also from the different modes permutation. Therefore,
it will improve the performance of energy efficiency (EE) and spectral efficiency (SE). Also,
SPIMMA has the flexibility to achieve different SE and EE by using different combinations.
The rotation code is proposed to solve the problem of inter-user interference (IUI)
in contention based multiple access. Due to the diversity gain from the rotation code,
the simulation results show that the bit error rate (BER) of SPIMMA is improved with
rotation code. Moreover, OFDM-SPIM average bit error rate (ABER) performance with joint maximum likelihood (JML) detection and the ABER error bound are proposed. In
brief, we design a code-domain NOMA scheme that can facilitate grant free random multiple
access, and has better SE, EE than IMMA, OFDMA and SCMA.

摘要 i
Abstract ii
Contents iv
1 INTRODUCTION 1
1.1 Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Related Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.3 Research Motivation and Objective . . . . . . . . . . . . . . . . . . . . . . . 3
1.4 Proposed Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.5 Contribution and Achievement . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.6 Thesis Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2 BACKGROUND 6
2.1 Contention Based and Non-Contention Based Transmission Schemes . . . . . 6
2.2 Grant Based and Grant Free Transmission Schemes . . . . . . . . . . . . . . 8
2.3 Scheduling and Random Transmission Schemes . . . . . . . . . . . . . . . . 9
2.4 Orthogonal Frequency Division Multiplexing (OFDM) . . . . . . . . . . . . 10
2.5 Orthogonal Frequency Division Multiple Access (OFDMA) . . . . . . . . . . 11
2.6 Sparse Code Multiple Access (SCMA) . . . . . . . . . . . . . . . . . . . . . 11
2.7 Spatial Modulation (SM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.8 Orthogonal Frequency Division Multiplexing-Index Modulation (OFDM-IM) 17
2.9 Multiple-Mode Orthogonal Frequency Division Multiplexing with Index Modulation (MM-OFDM-IM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.10 Rotation Code (RC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
3 SUBCARRIER and PERMUTATION INDEX MODULATION MULTIPLE ACCESS SCHEME 22
3.1 Orthogonal Frequency Division Multiplexing-Subcarrier and Permutation Index Modulation (OFDM-SPIM) . . . . . . . . . . . . . . . . . . . . . . . . . 22
3.2 OFDM-SPIM Performance Analysis . . . . . . . . . . . . . . . . . . . . . . . 26
3.3 Index Modulation Multiple Access (IMMA) . . . . . . . . . . . . . . . . . . 28
3.4 Subcarrier and Permutation Index Modulation Multiple Access (SPIMMA) . 30
3.5 SPIMMA Joint Maximum Likelihood Receiver . . . . . . . . . . . . . . . . . 33
4 SIMULATION RESULTS 35
4.1 BER Performance of Index Modulation Aided OFDM Schemes . . . . . . . . 36
4.2 BER Performance of Index Modulation Multiple Access Schemes . . . . . . . 39
4.3 BER Performance between R-SPIMMA and SCMA . . . . . . . . . . . . . . 41
4.4 Spectral Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.5 Energy Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
5 CONCLUSION 49
Bibliography 51

List of Figures
1.1 Different types of transmission scheme under contention based multiple access. 3
2.1 The architecture diagram of different types of transmission schemes for multiple access. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.2 The illustration of contention-based NOMA. . . . . . . . . . . . . . . . . . . 8
2.3 The illustration of four-step physical random access channel (PRACH) procedure [1]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.4 The illustration of the grant free transmission [2]. . . . . . . . . . . . . . . . 10
2.5 The illustration of the scheduling transmission scheme. . . . . . . . . . . . . 11
2.6 The illustration of the random transmission scheme. . . . . . . . . . . . . . . 12
2.7 The illustration of OFDM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.8 The illustration of OFDMA. . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.9 SCMA encoding procedure [3]. . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.10 A uplink SCMA system with N = 4, J = 2, K = 6 [4]. . . . . . . . . . . . . 15
2.11 An example of SCMA codebook [5]. . . . . . . . . . . . . . . . . . . . . . . . 16
2.12 SCMA encoding and multiplexing [6]. . . . . . . . . . . . . . . . . . . . . . . 17
2.13 Block diagram of OFDM-IM transmitter [7]. . . . . . . . . . . . . . . . . . . 18
2.14 Block diagram of MM-OFDM-IM transmitter [8]. . . . . . . . . . . . . . . . 19
2.15 The illustration of rotation code [9]. . . . . . . . . . . . . . . . . . . . . . . . 20
3.1 Block diagram of the OFDM-SPIM transmitter. . . . . . . . . . . . . . . . . 23
3.2 Constellation diagram of OFDM-SPIM with M = 2, N = 4, J = 3. . . . . . 24
3.3 Comparison of diversity order between errors in index bits and symbol bits. [10] 27
3.4 The schematic diagram of the IMMA codebook with N = 4, J = 3 and K = 2. 29
3.5 The illustration of the SPIMMA codebook with N = 4, J = 3 and K = 2. . 31
3.6 The schematic diagram of the SPIMMA codebook with N = 4, J = 3 and
K = 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
3.7 Example of R-SPIMMA system model. . . . . . . . . . . . . . . . . . . . . . 32
4.1 BER performance comparison among classical OFDM BPSK and different
index modulation aided OFDM schemes with spectral efficiency = 1∼1.25
bits/s/Hz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
4.2 BER performance comparison among classical OFDM BPSK and different
index modulation aided OFDM schemes with spectral efficiency = 2∼2.5 bits/
s/Hz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
4.3 BER performance comparison among different index modulation aided OFDM
multiple access schemes with spectral efficiency = 2∼2.5 bits/s/Hz. . . . . . 40
4.4 BER performance comparison among different index modulation aided OFDM
multiple access schemes with spectral efficiency = 4∼5 bits/s/Hz. . . . . . . 41
4.5 BER performance comparsion for R-SPIMMA with SCMA with spectral efficiency = 6∽6.25 bits/s/HZ . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.6 BER performance comparsion for R-SPIMMA with SCMA at 25dB with different spectral efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
4.7 Spectral Efficiency of SPIMMA for different number of active subcarriers J
with N = 4, M = 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
4.8 Spectral Efficiency improvement ratio comparing SPIMMA with IMMA with
N = 4, M = 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
4.9 Energy Efficiency improvement ratio comparing SPIMMA with SCMA with
N = 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

List of Tables
2.1 An example of spatial modulation with NT = 4 and M = 2. . . . . . . . . . 15
2.2 An example of generalized spatial modulation with BPSK modulation, NT =
4 and nT = 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.1 The illustration of the IMMA codebook with N = 4, J = 3. . . . . . . . . . 29
4.1 The simulation parameters between different systems with same energy efficiency for Figure 4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.2 The simulation parameters between different systems with same energy efficiency for Figure 4.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
4.3 The simulation parameters between different systems with same energy efficiency for Figure 4.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4.4 The simulation parameters between different systems with same energy efficiency for Figure 4.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
4.5 The simulation parameters between different systems with same energy efficiency for Figure 4.5 Figure 4.6. . . . . . . . . . . . . . . . . . . . . . . . . . 42

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