{"id":"https://openalex.org/W2999690840","doi":"https://doi.org/10.1109/twc.2021.3133433","title":"Rate-Splitting Multiple Access for Multi-Antenna Downlink Communication Systems: Spectral and Energy Efficiency Tradeoff","display_name":"Rate-Splitting Multiple Access for Multi-Antenna Downlink Communication Systems: Spectral and Energy Efficiency Tradeoff","publication_year":2021,"publication_date":"2021-12-14","ids":{"openalex":"https://openalex.org/W2999690840","doi":"https://doi.org/10.1109/twc.2021.3133433","mag":"2999690840"},"language":"en","primary_location":{"id":"doi:10.1109/twc.2021.3133433","is_oa":false,"landing_page_url":"https://doi.org/10.1109/twc.2021.3133433","pdf_url":null,"source":{"id":"https://openalex.org/S63459445","display_name":"IEEE Transactions on Wireless Communications","issn_l":"1536-1276","issn":["1536-1276","1558-2248"],"is_oa":false,"is_in_doaj":false,"is_core":true,"host_organization":"https://openalex.org/P4310319808","host_organization_name":"Institute of Electrical and Electronics Engineers","host_organization_lineage":["https://openalex.org/P4310319808"],"host_organization_lineage_names":["Institute of Electrical and Electronics Engineers"],"type":"journal"},"license":null,"license_id":null,"version":"publishedVersion","is_accepted":true,"is_published":true,"raw_source_name":"IEEE Transactions on Wireless Communications","raw_type":"journal-article"},"type":"article","indexed_in":["crossref"],"open_access":{"is_oa":false,"oa_status":"closed","oa_url":null,"any_repository_has_fulltext":false},"authorships":[{"author_position":"first","author":{"id":"https://openalex.org/A5067580297","display_name":"Gui Zhou","orcid":"https://orcid.org/0000-0003-1812-8830"},"institutions":[{"id":"https://openalex.org/I166337079","display_name":"Queen Mary University of London","ror":"https://ror.org/026zzn846","country_code":"GB","type":"education","lineage":["https://openalex.org/I124357947","https://openalex.org/I166337079"]}],"countries":["GB"],"is_corresponding":false,"raw_author_name":"Gui Zhou","raw_affiliation_strings":["School of Electronic Engineering and Computer Science, Queen Mary University of London, London, U.K"],"raw_orcid":"https://orcid.org/0000-0003-1812-8830","affiliations":[{"raw_affiliation_string":"School of Electronic Engineering and Computer Science, Queen Mary University of London, London, U.K","institution_ids":["https://openalex.org/I166337079"]}]},{"author_position":"middle","author":{"id":"https://openalex.org/A5016799540","display_name":"Yijie Mao","orcid":"https://orcid.org/0000-0001-5077-2998"},"institutions":[{"id":"https://openalex.org/I30809798","display_name":"ShanghaiTech University","ror":"https://ror.org/030bhh786","country_code":"CN","type":"education","lineage":["https://openalex.org/I30809798"]}],"countries":["CN"],"is_corresponding":false,"raw_author_name":"Yijie Mao","raw_affiliation_strings":["School of Information Science and Technology, ShanghaiTech University, Shanghai, China"],"raw_orcid":"https://orcid.org/0000-0001-5077-2998","affiliations":[{"raw_affiliation_string":"School of Information Science and Technology, ShanghaiTech University, Shanghai, China","institution_ids":["https://openalex.org/I30809798"]}]},{"author_position":"last","author":{"id":"https://openalex.org/A5070530952","display_name":"Bruno Clerckx","orcid":"https://orcid.org/0000-0001-5949-6459"},"institutions":[{"id":"https://openalex.org/I47508984","display_name":"Imperial College London","ror":"https://ror.org/041kmwe10","country_code":"GB","type":"education","lineage":["https://openalex.org/I47508984"]}],"countries":["GB"],"is_corresponding":false,"raw_author_name":"Bruno Clerckx","raw_affiliation_strings":["Department of Electrical and Electronic Engineering, Imperial College London, London, U.K"],"raw_orcid":"https://orcid.org/0000-0001-5949-6459","affiliations":[{"raw_affiliation_string":"Department of Electrical and Electronic Engineering, Imperial College London, London, U.K","institution_ids":["https://openalex.org/I47508984"]}]}],"institutions":[],"countries_distinct_count":2,"institutions_distinct_count":3,"corresponding_author_ids":[],"corresponding_institution_ids":[],"apc_list":{"value":2045,"currency":"USD","value_usd":2045},"apc_paid":null,"fwci":5.7717,"has_fulltext":false,"cited_by_count":117,"citation_normalized_percentile":{"value":0.97083178,"is_in_top_1_percent":false,"is_in_top_10_percent":true},"cited_by_percentile_year":{"min":93,"max":100},"biblio":{"volume":"21","issue":"7","first_page":"4816","last_page":"4828"},"is_retracted":false,"is_paratext":false,"is_xpac":false,"primary_topic":{"id":"https://openalex.org/T10148","display_name":"Advanced MIMO Systems Optimization","score":1.0,"subfield":{"id":"https://openalex.org/subfields/2208","display_name":"Electrical and Electronic Engineering"},"field":{"id":"https://openalex.org/fields/22","display_name":"Engineering"},"domain":{"id":"https://openalex.org/domains/3","display_name":"Physical Sciences"}},"topics":[{"id":"https://openalex.org/T10148","display_name":"Advanced MIMO Systems Optimization","score":1.0,"subfield":{"id":"https://openalex.org/subfields/2208","display_name":"Electrical and Electronic Engineering"},"field":{"id":"https://openalex.org/fields/22","display_name":"Engineering"},"domain":{"id":"https://openalex.org/domains/3","display_name":"Physical Sciences"}},{"id":"https://openalex.org/T11458","display_name":"Advanced Wireless Communication Technologies","score":1.0,"subfield":{"id":"https://openalex.org/subfields/2208","display_name":"Electrical and Electronic Engineering"},"field":{"id":"https://openalex.org/fields/22","display_name":"Engineering"},"domain":{"id":"https://openalex.org/domains/3","display_name":"Physical Sciences"}},{"id":"https://openalex.org/T11392","display_name":"Energy Harvesting in Wireless Networks","score":0.9998999834060669,"subfield":{"id":"https://openalex.org/subfields/2208","display_name":"Electrical and Electronic Engineering"},"field":{"id":"https://openalex.org/fields/22","display_name":"Engineering"},"domain":{"id":"https://openalex.org/domains/3","display_name":"Physical Sciences"}}],"keywords":[{"id":"https://openalex.org/keywords/spectral-efficiency","display_name":"Spectral efficiency","score":0.6783926486968994},{"id":"https://openalex.org/keywords/telecommunications-link","display_name":"Telecommunications link","score":0.638916015625},{"id":"https://openalex.org/keywords/computer-science","display_name":"Computer science","score":0.6219728589057922},{"id":"https://openalex.org/keywords/maximization","display_name":"Maximization","score":0.5982564687728882},{"id":"https://openalex.org/keywords/space-division-multiple-access","display_name":"Space-division multiple access","score":0.5977486968040466},{"id":"https://openalex.org/keywords/orthogonal-frequency-division-multiple-access","display_name":"Orthogonal frequency-division multiple access","score":0.44895023107528687},{"id":"https://openalex.org/keywords/mathematical-optimization","display_name":"Mathematical optimization","score":0.4418216347694397},{"id":"https://openalex.org/keywords/transmitter","display_name":"Transmitter","score":0.42987412214279175},{"id":"https://openalex.org/keywords/interference","display_name":"Interference (communication)","score":0.42364221811294556},{"id":"https://openalex.org/keywords/beamforming","display_name":"Beamforming","score":0.42179882526397705},{"id":"https://openalex.org/keywords/efficient-energy-use","display_name":"Efficient energy use","score":0.4187106192111969},{"id":"https://openalex.org/keywords/signal-to-noise-ratio","display_name":"Signal-to-noise ratio (imaging)","score":0.4173937141895294},{"id":"https://openalex.org/keywords/algorithm","display_name":"Algorithm","score":0.3461034893989563},{"id":"https://openalex.org/keywords/mathematics","display_name":"Mathematics","score":0.3325008749961853},{"id":"https://openalex.org/keywords/orthogonal-frequency-division-multiplexing","display_name":"Orthogonal frequency-division multiplexing","score":0.25725287199020386},{"id":"https://openalex.org/keywords/computer-network","display_name":"Computer network","score":0.1901441514492035},{"id":"https://openalex.org/keywords/telecommunications","display_name":"Telecommunications","score":0.1583462357521057},{"id":"https://openalex.org/keywords/channel","display_name":"Channel (broadcasting)","score":0.12345868349075317},{"id":"https://openalex.org/keywords/electrical-engineering","display_name":"Electrical engineering","score":0.0959511399269104}],"concepts":[{"id":"https://openalex.org/C137246740","wikidata":"https://www.wikidata.org/wiki/Q583970","display_name":"Spectral efficiency","level":3,"score":0.6783926486968994},{"id":"https://openalex.org/C138660444","wikidata":"https://www.wikidata.org/wiki/Q5607897","display_name":"Telecommunications link","level":2,"score":0.638916015625},{"id":"https://openalex.org/C41008148","wikidata":"https://www.wikidata.org/wiki/Q21198","display_name":"Computer science","level":0,"score":0.6219728589057922},{"id":"https://openalex.org/C2776330181","wikidata":"https://www.wikidata.org/wiki/Q18358244","display_name":"Maximization","level":2,"score":0.5982564687728882},{"id":"https://openalex.org/C2778140939","wikidata":"https://www.wikidata.org/wiki/Q3494197","display_name":"Space-division multiple access","level":3,"score":0.5977486968040466},{"id":"https://openalex.org/C2775907427","wikidata":"https://www.wikidata.org/wiki/Q2697649","display_name":"Orthogonal frequency-division multiple access","level":4,"score":0.44895023107528687},{"id":"https://openalex.org/C126255220","wikidata":"https://www.wikidata.org/wiki/Q141495","display_name":"Mathematical optimization","level":1,"score":0.4418216347694397},{"id":"https://openalex.org/C47798520","wikidata":"https://www.wikidata.org/wiki/Q190157","display_name":"Transmitter","level":3,"score":0.42987412214279175},{"id":"https://openalex.org/C32022120","wikidata":"https://www.wikidata.org/wiki/Q797225","display_name":"Interference (communication)","level":3,"score":0.42364221811294556},{"id":"https://openalex.org/C54197355","wikidata":"https://www.wikidata.org/wiki/Q5782992","display_name":"Beamforming","level":2,"score":0.42179882526397705},{"id":"https://openalex.org/C2742236","wikidata":"https://www.wikidata.org/wiki/Q924713","display_name":"Efficient energy use","level":2,"score":0.4187106192111969},{"id":"https://openalex.org/C13944312","wikidata":"https://www.wikidata.org/wiki/Q7512748","display_name":"Signal-to-noise ratio (imaging)","level":2,"score":0.4173937141895294},{"id":"https://openalex.org/C11413529","wikidata":"https://www.wikidata.org/wiki/Q8366","display_name":"Algorithm","level":1,"score":0.3461034893989563},{"id":"https://openalex.org/C33923547","wikidata":"https://www.wikidata.org/wiki/Q395","display_name":"Mathematics","level":0,"score":0.3325008749961853},{"id":"https://openalex.org/C40409654","wikidata":"https://www.wikidata.org/wiki/Q375889","display_name":"Orthogonal frequency-division multiplexing","level":3,"score":0.25725287199020386},{"id":"https://openalex.org/C31258907","wikidata":"https://www.wikidata.org/wiki/Q1301371","display_name":"Computer network","level":1,"score":0.1901441514492035},{"id":"https://openalex.org/C76155785","wikidata":"https://www.wikidata.org/wiki/Q418","display_name":"Telecommunications","level":1,"score":0.1583462357521057},{"id":"https://openalex.org/C127162648","wikidata":"https://www.wikidata.org/wiki/Q16858953","display_name":"Channel (broadcasting)","level":2,"score":0.12345868349075317},{"id":"https://openalex.org/C119599485","wikidata":"https://www.wikidata.org/wiki/Q43035","display_name":"Electrical engineering","level":1,"score":0.0959511399269104},{"id":"https://openalex.org/C127413603","wikidata":"https://www.wikidata.org/wiki/Q11023","display_name":"Engineering","level":0,"score":0.0}],"mesh":[],"locations_count":1,"locations":[{"id":"doi:10.1109/twc.2021.3133433","is_oa":false,"landing_page_url":"https://doi.org/10.1109/twc.2021.3133433","pdf_url":null,"source":{"id":"https://openalex.org/S63459445","display_name":"IEEE Transactions on Wireless Communications","issn_l":"1536-1276","issn":["1536-1276","1558-2248"],"is_oa":false,"is_in_doaj":false,"is_core":true,"host_organization":"https://openalex.org/P4310319808","host_organization_name":"Institute of Electrical and Electronics Engineers","host_organization_lineage":["https://openalex.org/P4310319808"],"host_organization_lineage_names":["Institute of Electrical and Electronics Engineers"],"type":"journal"},"license":null,"license_id":null,"version":"publishedVersion","is_accepted":true,"is_published":true,"raw_source_name":"IEEE Transactions on Wireless Communications","raw_type":"journal-article"}],"best_oa_location":null,"sustainable_development_goals":[{"id":"https://metadata.un.org/sdg/7","score":0.9200000166893005,"display_name":"Affordable and clean energy"}],"awards":[],"funders":[],"has_content":{"grobid_xml":false,"pdf":false},"content_urls":null,"referenced_works_count":50,"referenced_works":["https://openalex.org/W79131877","https://openalex.org/W1494875490","https://openalex.org/W1568307856","https://openalex.org/W1577575122","https://openalex.org/W1967956032","https://openalex.org/W1969648546","https://openalex.org/W2002705636","https://openalex.org/W2068118751","https://openalex.org/W2081579463","https://openalex.org/W2119952207","https://openalex.org/W2147056723","https://openalex.org/W2147437672","https://openalex.org/W2151795416","https://openalex.org/W2163762663","https://openalex.org/W2164631123","https://openalex.org/W2207534461","https://openalex.org/W2271871887","https://openalex.org/W2275709774","https://openalex.org/W2276996242","https://openalex.org/W2288501207","https://openalex.org/W2296029084","https://openalex.org/W2296319761","https://openalex.org/W2339860134","https://openalex.org/W2589615107","https://openalex.org/W2594614566","https://openalex.org/W2785349417","https://openalex.org/W2787255587","https://openalex.org/W2797227322","https://openalex.org/W2798894979","https://openalex.org/W2886344504","https://openalex.org/W2921793106","https://openalex.org/W2949177141","https://openalex.org/W2960360359","https://openalex.org/W2962882009","https://openalex.org/W2963328334","https://openalex.org/W2963470109","https://openalex.org/W2963596873","https://openalex.org/W2970822393","https://openalex.org/W2975013556","https://openalex.org/W2976573329","https://openalex.org/W2980426996","https://openalex.org/W2989668825","https://openalex.org/W3037288015","https://openalex.org/W3047417371","https://openalex.org/W3098596229","https://openalex.org/W3098923418","https://openalex.org/W3099820194","https://openalex.org/W4250589301","https://openalex.org/W4302557773","https://openalex.org/W6603171186"],"related_works":["https://openalex.org/W2103423687","https://openalex.org/W2059624282","https://openalex.org/W2201703892","https://openalex.org/W3146628895","https://openalex.org/W2035418310","https://openalex.org/W1993601041","https://openalex.org/W2137628250","https://openalex.org/W2142574711","https://openalex.org/W1484122664","https://openalex.org/W2296212174"],"abstract_inverted_index":{"Rate-splitting":[0],"(RS)":[1],"has":[2,48],"recently":[3],"been":[4,49],"recognized":[5],"as":[6,31],"a":[7,38,74,204],"promising":[8],"physical-layer":[9],"technique":[10],"for":[11,37],"multi-antenna":[12],"broadcast":[13],"channels":[14],"(BC).":[15],"Due":[16],"to":[17,20,51,168,191,213,241,244],"its":[18],"ability":[19],"partially":[21,26],"decode":[22],"the":[23,28,94,102,105,108,120,125,147,151,170,197,201,215,235],"interference":[24,30],"and":[25,57,68,80,86,96,128,158,180,246,253],"treat":[27],"remaining":[29],"noise,":[32],"RS":[33],"is":[34,111,189,210,239],"an":[35],"enabler":[36],"powerful":[39],"multiple":[40,44,65,70,135,155],"access,":[41],"namely":[42],"rate-splitting":[43],"access":[45,66,71],"(RSMA),":[46],"that":[47,224],"shown":[50],"achieve":[52],"higher":[53],"spectral":[54],"efficiency":[55,59],"(SE)":[56],"energy":[58],"(EE)":[60],"than":[61,230],"both":[62],"space":[63],"division":[64],"(SDMA)":[67],"non-orthogonal":[69],"(NOMA)":[72],"in":[73,93,134,196,248],"wide":[75],"range":[76],"of":[77,104,112,132,217,237,250],"user":[78],"deployments":[79],"network":[81],"loads.":[82],"As":[83],"SE":[84,127],"maximization":[85,88,130],"EE":[87,129,252],"are":[89],"two":[90,109,166,174],"conflicting":[91],"objectives":[92],"moderate":[95],"high":[97],"signal-to-noise":[98],"ratio":[99],"(SNR)":[100],"regimes,":[101],"study":[103],"tradeoff":[106,122],"between":[107],"criteria":[110],"particular":[113],"interest.":[114],"In":[115,233],"this":[116],"work,":[117],"we":[118,163],"address":[119],"SE-EE":[121],"by":[123],"studying":[124],"joint":[126],"problem":[131,172,195],"RSMA":[133,238],"input":[136],"single":[137],"output":[138],"(MISO)":[139],"BC":[140],"with":[141,186],"rate-dependent":[142,159],"circuit":[143,160],"power":[144,161],"consumption":[145],"at":[146],"transmitter.":[148],"To":[149],"tackle":[150],"challenges":[152],"coming":[153],"from":[154],"objective":[156],"functions":[157],"consumption,":[162],"first":[164],"propose":[165],"models":[167],"transform":[169],"original":[171],"into":[173],"single-objective":[175,194],"problems,":[176],"namely,":[177],"weighted-sum":[178],"method":[179],"weighted-power":[181],"method.":[182],"A":[183],"low-complexity":[184],"algorithm":[185,209,226],"closed-form":[187],"solution":[188],"proposed":[190,212],"solve":[192],"each":[193,218],"two-user":[198],"system.":[199],"For":[200],"generalized$K$-user":[202],"system,":[203],"successive":[205],"convex":[206],"approximation":[207],"(SCA)-based":[208],"then":[211],"optimize":[214],"precoders":[216],"transformed":[219],"problem.":[220],"Numerical":[221],"results":[222],"show":[223],"our":[225],"converges":[227],"much":[228],"faster":[229],"existing":[231],"algorithms.":[232],"addition,":[234],"performance":[236],"superior":[240],"or":[242],"equal":[243],"SDMA":[245],"NOMA":[247],"terms":[249],"SE,":[251],"their":[254],"tradeoff.":[255]},"counts_by_year":[{"year":2026,"cited_by_count":16},{"year":2025,"cited_by_count":22},{"year":2024,"cited_by_count":28},{"year":2023,"cited_by_count":27},{"year":2022,"cited_by_count":14},{"year":2021,"cited_by_count":2},{"year":2020,"cited_by_count":8}],"updated_date":"2026-08-28T12:50:07.497085","created_date":"2025-10-10T00:00:00"}