Sie sind auf Seite 1von 15

See discussions, stats, and author profiles for this publication at: https://www.researchgate.


User Pairing for Downlink Non-Orthogonal Multiple Access Networks Using Matching

Article  in  IEEE Transactions on Communications · August 2017

DOI: 10.1109/TCOMM.2017.2744640


6 82

4 authors, including:

Zhiguo Ding Yonghui Li

The University of Manchester University of Sydney


Some of the authors of this publication are also working on these related projects:

Light energy harvesting VLC systems View project

Massive Access Technologies for Massive IoT: Non-orthogonal Multiple Access for M2M Communications View project

All content following this page was uploaded by Yonghui Li on 11 January 2018.

The user has requested enhancement of the downloaded file.


User Pairing for Downlink Non-Orthogonal Multiple

Access Networks Using Matching Algorithm
Wei Liang, Zhiguo Ding, Member, IEEE, Yonghui Li, Senior Member, IEEE,
and Lingyang Song, Senior Member, IEEE

Abstract— In this paper, we study the user pairing in a NOMA have been applied in multiple research areas, such
downlink non-orthogonal multiple access (NOMA) network, as the multiple-input multiple-output (MIMO) systems [5],
where the base station allocates the power to the pairwise high-rate visible light communication (VLC) downlink net-
users within the cluster. In the considered NOMA network,
a user with poor channel condition is paired with a user with works [6], simultaneous wireless information and power trans-
good channel condition, when both their rate requirements are fer (SWIPT) [7] as well as the physical layer security [8]. The
satisfied. Specifically, the quality of service for weak users can be key idea of the NOMA technique is to explore the power
guaranteed, since the transmit power allocated to strong users is domain for multiple access (MA). More specifically, in a
constrained following the concept of cognitive radio. A distributed downlink NOMA scheme, a base station (BS) can serve multi-
matching algorithm is proposed in the downlink NOMA network,
aiming to optimize the user pairing and power allocation between ple users within the same time/frequency channel via different
weak users and strong users, subject to the users’ targeted rate power allocation coefficients, where the users with poorer
requirements. Our results show that the proposed algorithm channel conditions are given more transmission power [4], [9].
outperforms the conventional orthogonal multiple access scheme The users with more power allocated are capable of decoding
and approaches the performance of the centralized algorithm, their own messages by treating the other users’ information as
despite its low complexity. In order to improve the system’s
throughput, we design a practical adaptive turbo trellis coded noise. On the other hand, the users with less power allocated
modulation scheme for the considered network, which adaptively will employ the successive interference cancellation (SIC)
adjusts the code rate and the modulation mode based on the technique to decode their own messages by first removing
instantaneous channel conditions. The joint design work leads the other users’ information from their observations [5], [9].
to significant mutual benefits for all the users as well as the A cognitive radio inspired NOMA networks has been studied
improved system throughput.
from [5], [10], [11], which can be termed as CR-NOMA.
Index Terms— Non-orthogonal multiple access scheme, The concept of power allocation in CR-NOMA network was
matching theory, adaptive trellis turbo coded modulation. proposed in [5], has investigated a more effective approach to
I. I NTRODUCTION allocate power in user pairing-based NOMA systems. In the
CR-NOMA network [5], [11], a user viewed as a cognitive
T HE non-orthogonal multiple access (NOMA) technique
emerged as a promising multiple access (MA) tech-
nique to improve the access efficiency of the future mobile
user (CU) with strong channel condition accesses the spectrum
occupied by a user seen as a primary user (PU) with poor chan-
network [1]–[3]. Cooperative communication in conjunction nel condition under a predefined interference constraints. Most
with NOMA scheme was characterized in [4], in which a of the existing works of the CR-NOMA systems focused on
cooperative NOMA scheme was conceived for exploiting the performance analysis, such as the outage probability [5], [12].
fact that the user with better channel condition have the prior There are very limited studies on the user pair problem in
information about the message for other users. The concept of CR-NOMA. Nevertheless, motivating to maximize the sys-
tem’s throughput, the user pairing in CR-NOMA systems leads
Manuscript received June 16, 2017; accepted August 15, 2017. Date of to combinatorial problem, and is very challenging, thereby
publication August 25, 2017; date of current version December 15, 2017.
The work was supported in part by the UK EPSRC under grant number becoming NP-hard. In this paper, we employ the matching
EP/L025272/1, in part by H2020-MSCA-RISE-2015 under grant number theory to solve the user pair problem in CR-NOMA network,
690750, in part by National Science and Technology Major Project of China for the sake of finding promising solutions with relatively
under grant number 2016ZX03001017, and in part by ARC under grant
number DP150104019. The associate editor coordinating the review of this small complexity.
paper and approving it for publication was M. Abdallah. (Corresponding Matching theory [13], [14] has been known as an efficient
author: Wei Liang.) technique to solve the combinatorial problem of matching
W. Liang and Z Ding are with the School of Computing and Com-
munications, Lancaster University, Lancaster LA1 4WA, U.K. (e-mail: players in two distinct sets, by using the players’ individual; information and their preferences. The two-side stable match-
Y. Li is with the School of Electrical and Information Engineering, The Uni- ing problem has been widely investigated from both theoretical
versity of Sydney, NSW 2006, Australia (e-mail:
L. Song is with the School of Electrical Engineering and and practical perspectives in [13]–[18]. The most classical
Computer Science, Peking University, Beijing 100871, China (e-mail: matching problems are one-to-one matching [17], many-to- one matching [16] and many-to-many matching [18]. In the
Color versions of one or more of the figures in this paper are available
online at one-to-one matching problem, each player can be matched
Digital Object Identifier 10.1109/TCOMM.2017.2744640 to at most one member from the opposite set. In contrast
0090-6778 © 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See for more information.

to one-to-one matching, at least one player in the many-to- one-to-one matching theory, where the PUs negotiate with
one matching problem can be matched to multiple players in the CUs for obtaining the appropriate power allocations,
the opposing set. In the context of many-to-many matching, aiming to maximize the system’s throughput. For the sake of
at least one player in each of the two sets can be matched to comparison, we develop two extreme benchmarks. The first
more than one member from the other set. In [18], a many-to- one with the highest complexity demand, namely centralized
many two sided user-subchannel matching algorithm has been algorithm, is to find the optimal pairing of the PUs and CUs by
proposed for downlink NOMA networks, aim to optimize the exhaustive search, while assigning transmit power optimally.
sub-channel assignment and power allocation problem. In the Another called random algorithm, is to randomly pair the PUs
existing literature, there is no study devoted to implement and CUs and allocate power in a fixed manner.
the matching theory on the considered CR-NOMA systems. 3) To address practical issues, we investigate the impact of
In this paper, we investigate the user pairing in the CR imperfect CSI on the performance of the CR-NOMA network.
inspired NOMA networks, where two users within a user pair More specifically, we assume the channel estimation error
are allowed to simultaneously transmit information. Specifi- model, where the BS has an estimation of the channel and
cally, the paired two users share the same spectrum resources a priori knowledge of the variance of the estimation error.
with the aid of allocating different power levels. The moti- Additionally, we also design a more practical CR-NOMA net-
vation of our considered CR-NOMA is to resist the spectral work, which is facilitated by the bandwidth-efficient ATTCM
efficiency loss when users’ channel conditions are poor, and arrangement in order to improve the system’s throughput
these weak users1 can be served for the sake of improving performance. The transmission rate/throughput of the system
the user fairness. Specifically, the users with strong channel is adapted according to the instantaneous channel conditions.
condition would have more chances to access the weak users’ 4) We provide a comprehensive performance analysis for
spectrum bands which will not case too much performance our CR-NOMA system with/without the practical ATTCM
degradation of the weak users. Different to [18], we associate scheme, when employing three user pairing and power alloca-
our user pairing problem with equivalent to two-side one-to- tion algorithms. Our simulation results show that, in compari-
one matching problem, which aims to increase the individual son with the OMA assisted CR system, our CR-NOMA system
data rates of the paired users as well as the throughput of the can always achieve a significant throughput enhancement,
overall network, while both the minimum rate requirements regardless of user pairing and power allocation algorithms
of the PUs and CUs are satisfied. In [17] and [18], the time employed. Additionally, our proposed conventional distributed
slots, frequency bands and sub-channel assignments are the algorithm significantly outperforms the random algorithm,
exchange proposals. In contrast to the implementations of the and its throughput performance is close to the central-
matching theory in NOMA and CR systems, in our paper, ized algorithm’s. However, when considering imperfect CSI,
the CUs negotiate with the PUs regarding the amount of power the throughput performance of our proposed DMA gets much
coefficients available for them, then these CUs are allowed to closer to that of the CA, which reveals that our distributed
access their paired PUs’ spectrum bands. Additionally, we also algorithm is a promising solution to practical CR-NOMA sys-
develop a more realistic system, wherein considering the tems. Importantly, we also show that, the CR-NOMA system’s
imperfect channel state information (CSI). Finally, we design throughput can be further improved at a slight cost of using
the practical adaptive coding and modulation schemes based the ATTCM scheme.
on turbo trellis coded modulation (TTCM) for our CR-NOMA The rest of the paper is organized as follows. The system
system. model of the CR-NOMA network is outlined in Section II. The
The key contributions of the paper are summarize as general problem of the user pairing and power allocation is
follows: discussed in Section III. The proposed distributed approach for
1) We conceive a downlink CR-NOMA network, in which solving the user pairing problem is introduced in Section IV.
the CUs could transmit simultaneously with the PUs under A practical adaptive coded modulation scheme is described
the quality of service (QoS) constraint that the interferences in Section VI. The theoretical performance of the proposed
inflicted by the CUs on the PUs do not degrade the PUs’ CR-NOMA scheme is evaluated in Section V and the practical
communication quality. The PUs and CUs are assumed to be performance of the ATTCM aided CR-NOMA scheme is
paired with each other in the CR-NOMA network. Particularly, investigated in Section VI-B. Finally, our conclusions are
the PU and CU, with two very different channel conditions, presented in Section VII.
will be paired in each small cluster in order to perform the
NOMA technique in the power domain, while reducing the II. S YSTEM M ODEL
system load. Additionally, the achievable rate of the CUs can Refer to Fig. 1, each cluster in our CR-NOMA system
be increased by employing the SIC technique, which leads to consists of a single BS, as well as the user l and user k.
an improved overall system throughput as well. As shown in Fig. 2, the users are assumed to be uniformly
2) We propose a distributed algorithm for the user pairing deployed in a disc, namely Do with the radius ro . The BS
and power allocation in the CR-NOMA system based on the is located at the center of this disc. We further assume that
this disc is divided into two regions. A smaller disc Di with
1 In the CR inspired NOMA networks, the weak user can be viewed as radius ri is located inside the disc Do and they have the
the primary user (PU) and the strong user can be seen as the cognitive same origin. Specifically, the radius of Di is smaller than
user (CU) [5], [11]. that of the Do , which is ro > ri . Additionally, K users are

the combined signal of PUl and CUk emitted from the BS.
The channels h l and h ck are assumed to be Rayleigh dis-
tributed, following the complex-valued Gaussian distribution
of CN (0, σ 2 ). In Eq. (1) and Eq. (2), nl and n ck are the
Gaussian noise terms, which have a zero mean and a noise
variance of N0 /2 per dimension. Additionally, αl and αkc
represent the power coefficients for PUl and CUk , and we
have αkc + αl = 1. For simplify, we use the notation αl,k
to represent the power allocation coefficient, and we define
αl,k = αl . Then, the power allocated to the CU is (1 − αl,k ).
Fig. 1. The system model of user pairing among PUl and CUk in CR-NOMA The SIC technique2 is only employed at the CU within each
pair. Therefore, the CUk would detect the PUl ’s message when
h l < h ck , and then remove the message from its observation
in a successive manner. Meanwhile, the message of the CUk
will be treated as noise at PUl .
Then the achievable rate of PUl is given by [5], [9]:

γlPU |h l |2 αl,k
Rl = log2 1 +
p , (3)
1 + γlPU |h l |2 (1 − αl,k )
Fig. 2. The system design of distance setting.
Note that the transmit
signal to noise ratio (SNR)3 of the lth
α P αc P
PU is γlPU = lN0 S and that of the kth CU is γkCU = Nk 0 S .
assumed to be randomly distributed in Di . On the contrary, As a result, the achievable rate of CUk can be written as:
L users are uniformly distributed in a region, in which Di  
is subtracted from Do , i.e. |Do − Di |. Hence, user l and RkCU = log2 1 + (1 − αl,k )γkCU |h ck |2 , (4)
user k are randomly scheduled and matched with each other. Specifically, the PU is willing to perform NOMA with the CU
In the considered downlink CR inspired NOMA system, the L only if it can achieve a higher rate in comparison with the con-
users who located at the edge of the cell are treated as PUs. ventional orthogonal multiple access (OMA) transmission [5].
Specifically, those stronger users which located close to the BS We set the rate of the PUl using conventional OMA-CR as
can be viewed as the CUs. For the sake of improving the the minimum rate requirement, namely Rl,req PU
, and it can be
spectrum efficiency, those CUs have been squeezed into the expressed as:
spectrum occupied by the PUs. Therefore, the so-called PUs
1 p
and CUs have the significant channel condition difference in PU
Rl,req = log2 (1 + γlPU |h l |2 ), (5)
our considered system. Without loss of generality, the channels 2
p p
are sorted as 0 < |h l |2 < · · · < |h L |2 < |h ck |2 < · · · < |h cK |2 , where the factor 21 of Eq.(5) is due to the fact that conventional
where h l defines the channel from BS to the lth PU and h ck OMA results in a multiplexing loss of 12 . Specifically, PUs
is the channel form the BS to the kth CU. We assume that and CUs are served in a TDMA manner for conventional
the CUs and PUs can transmit simultaneously, and each PU OMA-CR which has a multiplexing loss of 12 for the PUs.
can be paired with one particular CU. The paired PU and Additionally, the minimum rate constraints of PUl is defined
CU can transmit information on the same spectrum, but users as RlPU ≥ Rl,req
PU , which can be re-written as:

from different pairs should transmit on orthogonal channels.  p

Additionally, the pathloss is defined as  = 1/dab a [19], γlPU |h l |2 αl,k 1 p
log2 1 + p 2 ≥ log2 (1 + γlPU |h l |2 ).
where dab is the geometrical distance between node a and 1 + γl |h l | (1 − αl,k )
PU 2
node b, and the path-loss exponent considered in our system (6)
is a = 4. Similar to [20] and [21], all channels in our system
are assumed to impose quasi-static Rayleigh fading, where the After that, the power allocation fraction of CUk can be
channel coefficients are constant for each transmission block, derived as:

but vary independently between different blocks and all the p
1 + γlPU |h l |2 − 1
CSI of the users are assumed to be known at BS. (1 − αl,k ) ≤ p . (7)
The signal received at PUl is given by γlPU |h l |2
  2 The SIC is applied at the user device in the considered CR inspired
p p p p
ylPU = h l ( αl PS xl + αkc PS x kc ) + nl , (1) NOMA system, in order to cancel the multi-user interference. Therefore,
in our proposed framework, only two users within each pair share the same
and the signal received at CUk is expressed as: spectrum. Additionally, the SIC is only employed by the user with strong
  channel condition. Hence, the complexity of implementing SIC is just one
p p
ykCU = h ck ( αl PS xl + αkc PS x kc ) + n ck . (2) and is affordable at user device.
3 The definition of the transmit SNR is unconventional, because it relates the

wherePS is the transmit power emitted from the BS. The transmit-power to the noise-power at the receiver, which are quantities mea-
p p  sured at different locations. Nonetheless, this convenient definition simplifies
term αl PS xl + αkc PS x kc of Eq. (1) and Eq. (2) represents our discussion, as proposed in [22].

Moreover, we have a minimum rate requirement of the CUk , Note that, the objective function of Eq. (8) is a function
namely Rk,req , in order to make sure CUk can benefit from of continuous variables αl,k and binary variables m l,k . The
accessing the PU’s spectrum band. Furthermore, the minimum objective function in Eq. (8) can be decoupled with respect to
rate requirement of each CU is dependent on its channel two entries, which are the optimal power allocation matrix P
conditions. and the optimal matching matrix M [23]. Hence we solve this
optimization problem in two steps in Section III-A.
Let us define a (L × K )-element matching matrix M. When A. Decoupling the Optimization Function
PUl is matched to CUk , their corresponding matching matrix For a given matched pair (PU, CU), mapping is valid
entry is given by m l,k = 1, otherwise m l,k = 0. We also only if the conditions (a) and (b) of Eq. (8) have been
define a (L × K )-element power allocation matrix P with satisfied. During the first step, the optimum value, αl,k
, and
elements αl,k . In particular, when given the users’ predefined its corresponding weight W (αl,k ) for each pair (PU, CU) can

QoS requirements, the objective function of maximizing the be found under the conditions (a), (b) and (c) of Eq. (8),
system throughput are formulated as: where the computations of the achievable rate of the PU and
the CU have been introduced in Section II. Note that all

W (αl,k ) depend on a single variable αl,k and then maximizing
{M cen
,P cen
} = max m l,k W (αl,k ), (8)
M,P the individual W (αl,k ) leads to the maximal value of the
l=1 k=1
overall objective. Suppose we have a particular matched pair
s.t. (a) RlPU (αl,k ) ≥ Rl,req
, ∀l ∀k (PUi , CU j ), where their corresponding matching matrix entry
(b) Rk (1 − αl,k ) ≥ Rk,req
, ∀l ∀k can be defined as m i, j . Then the optimization value of αl,k
(c) 0 ≤ αl,k ≤ 1, ∀l ∀k can be formulated as:
= max W (αl,k )m i, j , (12)
(d) m l,k ≤ 1, ∀k αl,k
l=1 where m i, j satisfies the matching constraints in (d), (e) and (f)

of Eq. (8).
(e) m l,k ≤ 1, ∀l According to condition (a) of Eq. (8), the lower bound of
k=1 αl,k is given by
( f ) m l,k ∈ {0, 1}, ∀l ∀k 
p p
L  K γlPU |h l |2 + 1 − γlPU |h l |2 + 1
(g) N f = m l,k . ∀l ∀k min
αl,k ≥ p . (13)
l=1 k=1 γlPU |h l |2
The conditions (a) and (b) ensure that the minimum rate Moreover, from condition (b) of Eq. (8) the upper bound of
requirements of the PUs and CUs can be achieved. The αl,k can be given by
condition (c) specifies the range of the power allocation factor CU
of the PU. Therefore, conditions (d) and (e) ensure that each 1 + γkCU |h ck |2 − 2 Rk,req
≤ . (14)
PU (or CU) will only be matched to one CU (or PU). The γkCU |h ck |2
condition (f) states that the corresponding matching matrix
By considering the three cases of the optimization problems
entry is either 1 or 0. Conditions (g) defines the total number of
as described in Eq. (9), Eq. (10) and Eq. (11), the setting of
available frequency bands N f is equal to the number of PUs.
cen in Eq. (12) are derived as:
Without loss of generality, we assume that each PU occupies
• Case 1:
a single spectrum band. Moreover, the choice of the weight
W (αl,k ) of Eq. (8) depends on the objective function to be 1 + γkCU |h ck |2 − 2
optimized. We consider three cases to set up the relative αl,k
= . (15)
γkCU |h ck |2
optimization functions, which are described below:
• Case 1: objective function is to maximize the sum-rate of • Case 2:

matched PUs: p p
γlPU |h l |2 + 1 − γlPU |h l |2 + 1
W PU (αl,k ) = RlPU (αl,k ). (9) αl,k
= p . (16)
γlPU |h l |2
• Case 2: objective function is to maximize the sum-rate of • Case 3:
matched CUs: ⎧ CU

⎪ 1+γkCU |h ck |2 − 2 Rk,req
WCU (αl,k ) = RkCU (1 − αl,k ). ⎪
⎪ ∗ < C∗ ;
(10) ⎨ γkCU |h ck |2 PU
• Case 3: objective function is to maximize the total sum- ⎪

p p
γlPU |h l |2 +1− γlPU |h l |2 +1

⎪ ∗ > C∗ ;
rate of matched PUs and CUs: ⎩ p CCU PU
γlPU |h l |2
Wt ot al (αl,k ) = RlPU (αl,k ) + RkCU (1 − αl,k ). (11) (17)

The derivation of Eq. (17) is detailed in Appendix A. After information of the channels to all the PUs and CUs. According
obtaining the optimization value of αl,k
of Eq. (12), the opti- to the objective functions presented in Eq.(9), Eq.(10) and
mization function of Eq. (8) can be re-written as : Eq.(11), we treat one sets of users as the proposers and the
opposite sets of users as selectors. The users who to be the

{Mcen } = max W (αl,k
)m l,k , (18) proposers or/and selectors depend on the consideration of
M the objective functions. In case 1 of Eq.(9), PUs are act as
l=1 k=1
the proposers and CUs are the selectors, then before any offer
s.t. (d) m l,k ≤ 1, ∀k is made to the CUs, each of the PUs construct a preference
l=1 list of CUs, which can satisfy the PU’s rate requirement. Thus,
K the preference list for PUl is given by:
(e) m l,k ≤ 1, ∀l, K 
PU L I STl = CUκ(k) k=1 , (19)
( f ) m l,k ∈ {0, 1} ∀l ∀k. where the function κ(k) satisfies the following condition:
The weight W (αl,k cen
) can be solved according to the terms PU
Rl,κ(k) PU
(αl,κ(k) ) > Rl,req , k ∈ (1, . . . , K ). (20)
Rl (αl,k ), Rl,req , RkCU (αl,k
PU cen PU cen
) and Rk,req
. These four terms
The indexes of the CUs are recorded in the PULIST, when
can be calculated based on the known channel conditions. This their corresponding rate have satisfied the PU’s rate require-
follows the fact that the weight W (αl,k cen ) only depends on
ment. K  in Eq. (19) is the number of CUs in PU L I STl ,
the variable αl,k . Specifically, αl,k is the maximum value of
cen cen
where K  ≤ K . Additionally, we have assumed that the
variable αl,k . In a given matching pair, αl,k cen
can be obtained first CUκ(k) at the top of the PU L I STl provides the highest
from Eq (15), Eq. (16) and Eq. (17) according to different PU
rate Rl,κ(k) (αl,κ(k) ). Similarly, each CU also has its preferred
optimization objectives. Note that, the optimal objective of PU list. When a CU transmits on the spectrum band occupied
Eq. (18) is W (αl,k cen
)m l,k , which is a specific example of the by the preferred PU, its achievable transmission rate should
formulation shown in Eq. (8), where W (αl,k ) of Eq. (8) is be higher than its minimum rate requirement Rk,req CU . Thus,
substituted by W (αl,k cen
) of Eq. (18). Therefore, the solution for the preference list for CUk is given by:
Eq. (18) is a feasible solution for Eq. (8), which is equivalent L 
to find the best matching pair. CU L I STk = PUι(l) l=1 , (21)
where the function ι(l) satisfies the following condition:
B. Centralized Algorithm
Rι(l),k (αι(l),k ) > Rk,req , l ∈ (1, . . . , L). (22)
In order to find the optimal solution, we use the centralized
algorithm (CA). We consider all possible matching pairs of Again, the elements in CULISTk are ranked in decreasing
the PUs and CUs, and then select that particular matched pair, order in terms of the achievable rate. L  in Eq. (21) is the num-
which has the maximum sum-rate according to our intended ber of PUs in CU L I STk , i.e. L  ≤ L. Additionally, the PUs
objective functions as shown in Eq. (9), Eq. (10) and Eq. (11). and CUs would exchange their roles in the Case 2 scenario.
By referring to Eq. (18), the centralized solution requires an Specifically, the CUs would make offers to the PUs in the
exhaustive search over all possible matching pairs and the Case 2 scenario. In the Case 3, the PUs and CUs would
power allocation combinations. Specifically, the CA relies on compare first, and then decide which one to be the proposers.
an exhaustive search method that imposes the highest number This is based on the optimization results of Eq. (11).
of operations for the sake of finding the optimum solution.
Therefore, the CA has the highest complexity. Additionally, B. Conventional Distributed Matching Algorithm (DMA)
The amount of complexity required for this CA increases
Different to the CA as described in Section III, we motivate
with the number of users, which may become quite high,
to use the matching theory to find a suboptimal solution of
rendering it impractical. Therefore, we will propose a distrib-
Eq. (8). In the context of the CA, the BS needs to know
uted approach in association with the matching algorithm as
all the CSIs of all the PUs and CUs. Additionally, in our
described in Section IV.
proposed DMA, there is no central controller and does not
require the BS to know the full CSI of users, which reduces
the system complexity. Instead, the BS only needs to have
A. Preference Lists the rank information of channels, and is able to broadcast
Our problem can be modeled as a two-side one-to-one this information to PUs and CUs for operating distributed
matching problem [13], [14], in which a set of PUs will be user paring and power allocation. Then, PUs and CUs can
matched with a set of CUs. We consider a canonical matching construct their preference list without any CSI. The key idea
problem [15], where the preferences of one player set depends of this distributed algorithm in Case 1 scenario is that each
on the other player set. Specifically, before the information PU make an offer to its most preferred CU from its preference
exchange (proposals), each player is required to merely collect list. Then each CU has right to accept or reject these offers.
the information from the opposite set users they are interested, When all PUs make their offer once, one round of proposals
and performs a ranking according to its preferences. In the is preformed. In order to construct the user pairs among the
considered CR-NOMA system, the BS broadcasts the ranking PUs and CUs in the considered CR inspired NOMA networks,

the PU having a poorer channel condition matches with the TABLE I

CU having a better channel condition. Then we distinguish the C ONVENTIONAL D ISTRIBUTED M ATCHING
matched PUs and CUs in the power domain, aiming to improve
the total sum-rate of the PUs and CUs. Additionally, each CU
and its paired PU transmit simultaneously in appropriate dif-
ferent power levels by exchanging their information. The BS
allocates the initialized power allocations to the PU and CU,
which the PU would get more power than the CU. After that,
the PUs and CUs negotiate with each other for a specific value
of power, i.e. αl,k , as introduced in Section III. Employing the
DMA for efficiently representing the interaction among the
PUs, where each PU chooses its allocation independently of
the others.
Additionally, we first initialize the power allocation factor of
PUl as αl,k = αinit and set the value of the power step counter
to τ . We construct PU L I STl and CU L I STk based on the
initialized value αinit . As an example, an offer of αl,k is given
by PUl to the CUk in the top of its preference list PULISTl .
Then this CUk grants a power allocation factor 1 − αl,k
for itself. When CUk receives an offer, it has two options:
(1) reject the offer if PUl is not in CUk ’s CULISTk ; (2) accept
it, when this PUl is in the CULISTk , creating a matching pair
between PUl and CUk . Additionally, if two or more PUs send
offers to CUk , a conflict will happen [16]. In order to avoid this
conflict, CUk will only pair with the PU who could provide a
higher revenue. Specifically, if this intended CUk has already
been matched to PUcur , and this PUcur failed to provide a
lower power allocation factor to the CUk , i.e.
αlcur ,k > αl,k , (23)
then CUk discards its current matching in favor of the new
matching. This is because a larger value of αl,k leads to a lower
achievable rate of the CU, which is refer to Eq. (4). Moreover,
the rejected PUcur will update the value of the power allocated V. P ERFORMANCE A NALYSIS OF T HEORETICAL
factor by setting it to CR-NOMA N ETWORK

αl∗cur ,k = αlcur ,k − τ. (24) A. The Stability of Our Conventional DMA

and then it will reconstruct its preference list based on αl∗cur ,k Before introducing the definition of stable matching,
and repeat the matching process. This algorithm aims to find we would like to highlight our related notations and def-
the specific power allocation factors, which can be accepted initions. We denote the set of PUs’ indexes by L =
by both the PUl as well as the CUk , and the algorithm is {1, . . . , l, . . . , L} and the set of CUs’ indexes by K =
terminated when each PU has found its appropriate matched {1, . . . , k, . . . , K }.
partner, provided that both their rate requirements can be Definition 1: We define a matching μ as a one-to-one
satisfied. Similar to the DMA of Case 1 as shown in Table I, matching of the set L ∪ K . We refer to μ(l) and μ(k) as
when we consider the Case 2 scenario, the CUs become the partner of l and k, respectively. Then we have μ(l) ∈ K
the proposer and the PUs are the selectors. The details are and μ(k) ∈ L [14, p. 19].
described in Table II. Additionally, when we consider the Definition 2: A matching μ is deemed to be blocked by an
Case 3 scenario, the PUs and CUs would take turn to be individual PUl (or CUk ), where we have l ∈ L (or k ∈ K ).
the proposers depending on their current avenue as shown The PUl (or CUk ) would rather prefer not to be matched,
in Table III. Note that, we have some particular situations that instead of being matched to its current partner candidate under
two players may compete with each other for appealing the μ [14, p. 20], when a low resultant rate for PUl (or CUk )
same choice. During the competition, each player reduces its under the current matching μ fails to satisfy their minimum
own power allocation factor, and this competition completes rate requirements at a given power allocation factor αl,k . This
when one of the user’s achievable rate is inferior to its mathematically implies that:
minimum rate requirement. Then we allow the losing user
to select its surplus best choice from its current preference
Rl,μ(l) (αl,μ(l) ) < Rl,req
list. Rμ(k),k (αμ(k),k ) < Rk,req . (25)


Fig. 3. The performance of average throughput of matched PUs versus the

number of iterations by employing the conventional DMA in the CR-NOMA

Definition 4: A matching μ is stable if it is not blocked by

any individual or any pair [14, p. 21].
Based on Definition 1, 2, 3 and 4, we now proceed to prove
that our DMA as shown in Section IV-B constitutes a stable
Let us assume that the final matching result provided by our
DMA is μ. There are no blocking individuals under μ because
all users in each preference list (Eq.(20) and Eq.(22)) satisfy
the corresponding minimum rate requirements. Furthermore,
we assume that PUl and CUq (q ∈ K ) are not matched with
each other under μ, but PUl prefers to be matched with CUq
instead of its current partner CUμ(l) under μ. This illustrates
that CUq is acceptable to PUl , hence PUl must have made
an offer to CUq before asking its current partner CUμ(l) (or
before being rejected by all its acceptable partners). Since PUl
was not matched to CUq , when the algorithm was terminated,
this implies that PUl must have been rejected by CUq , where
CUq is in favor of PUt (t = l, t ∈ L), which offers a better
rate compared to that offered by PUl , as detailed in Step-2B
of Table I. Therefore, CUq is matched to its current partner
PUt , where t = μ(q), which is better than PUl . As a result,
neither PUl nor CUq blocks the matching μ, hence the DMA
is stable.
Fig. 3 shows the average throughput of matched PUs versus
the number of iterations N for the DMA in CR-NOMA
system. It implies that the DMA converges to a certain value
after a finite number of iterations. From Fig. 3, it can be noted
that the DMA converges to the identical throughput of Rmat ch
at L = 2, L = 4 and L = 6. Furthermore, we can observe that
the number of iterations required for converge sightly increases
as L gets bigger. That is because, the DMA would use more
iterations to process the matching procedure between the PUs
Definition 3: The pair (PUl , CUk ) is referred to as a and CUs, while we have more number of user pairs. Therefore,
blocking pair for the matching μ, if both PUl and CUk would we can imply that, our DMA requires low implementation
prefer to be matched with each other, but they are not matched complexity, which will be further analyzed in Section V-B.
under the current matching μ [14, p. 21]. Both PUl and CUk
achieve a higher rate if they are matched in comparison with
their current matching partners under μ at a given power- B. Complexity Analysis
allocation factor αl,k . This mathematically implies that: The complexity required by the CA and the conventional
DMA will be discussed in this section in terms of the number
Rl,k (αl,k ) > Rl,μ(l)
(αl,μ(l) ) and of operations [24]. The optimal CA requires the exhaustive
Rl,k (1 − αl,k ) > Rμ(k),k
(1 − αμ(k),k ). (26) search. All possible matching pairs over PUs and CUs are

searched, and then the most profitable matched pair is selected

according to the objective function as discussed in Eq. (8) of
Section III. The complexity of the CA can be expressed as:
O L! 2 L+K , (27)
where the L! of Eq. (27) is the total number of match-
ing combinations between the PUs and CUs for the case
of L = K . Additionally, the complexity of solving the linear
programming problem for all possible matching combinations
is given by: 2 L+K [25].
For the conventional DMA, the PUs and CUs negotiate with
each other for transmitting power as discussed in Section IV-B.
Fig. 4. The performance of the average throughput of matched PUs versus
In the DMA, the PUs make the offers to the CUs, which the number of PUs in the CR-NOMA system over Rayleigh fading channel.
then decide either to accept or reject the offers. The matched The objective function of case 1 is considered, which is described in Eq. (9) of
CU rejects its current matching in favor of a new matching, Section III. The “CA”, “DMA” and “RA” techniques are detailed in Section IV-
B. The transmit SNRs of the CUs are γ CU = 5 dB and the transmit SNRs
whenever the new matching pair is capable of providing a
of the PUs are γ PU = 3 dB.
higher rate for this CU. In that case, the rejected PU updates its

power allocation factor according to αlcur ,k = αlcur ,k − τ . The
worst case happens for a PU is that, it updates its preference bandwidth normalized throughput of the systems. In Fig. 4 we
list ( αinit −α
) times until it finds a final matched partner. The compare the performances achieved by the three algorithms,
αlimit is the tolerable minimum power allocation factor that which include the DMA of Section IV-B, the CA described
can be accepted by this PU. Note that, the PU’s achievable rate in Section III-B and another benchmark, namely random
is less than its minimum rate requirement when αl,k < αlimit . algorithm (RA). In the context of the RA, each PU makes
Let us consider the most worst case which requires the highest an offer αl,k to a CU, which is randomly selected from its
complexity. A PU has K CUs in its preference list. This PU preference list. The CU chooses the specific matching pair
offers ( αinit −ατ
) times for each of the (K − 1) CUs in that provides an increased rate to itself and discards the one
its preference list. Then, the PU finds a final matched CU having a lower rate. More specifically, the αl,k is chosen in
when the PU makes the last offer to the CU in the bottom order to maximize the optimization weight. In Fig. 4, we have
of its list. For this extreme case, the number of operations considered the scenario for case 1 of Eq. (9) as introduced
required should be (αinit −αlimit2τ)×K (K −1) , which corresponds to in Section III. In our simulations, we used the optimal power
the complexity of O = {K 2 }. Therefore, the complexity of the allocation factor for the RA according to different objective
DMA is given by functions as shown in Eq. (9), Eq. (10) and Eq. (11).
O LK2 . (28) In Fig. 4, we observe that the CA achieves the highest
average sum-rate among these three algorithms, while the
It can be seen from Eq. (27) and Eq. (28) that, the CA has a RA achieves the lowest sum-rate. Furthermore, as seen from
significantly higher complexity compared with the DMA, since Fig. 4 that our CR-NOMA system always achieve a higher
the complexity of CA increases exponentially by the number sum-rate than that of the OMA system, regardless of the
of PUs or CUs. user pair and power allocation approaches used. Specifically,
when L = 6, for the DMA under the CR-NOMA system,
C. Rate Analysis the average throughput of matched PUs is 12.5 − 7.5 =
In our current design work, we have considered multiple 5 bit-per-second-per-Hz (bit/s/Hz), which is higher than that
pairs of users, which the maximum number of pairs is M = 10. of the OMA scheme. Moreover, we find that our CR-NOMA
Note that, both our proposed algorithms are scalable and can system achieves a higher performance gain over the OMA
be used in large CR-NOMA systems. In our simulations, system as the value of L increases. Even when the RA is
we assume that the transmit SNRs of all CUs are equal, and set employed under the CR-NOMA, it still outperforms the OMA
case, such as 9.2 − 7.5 = 1.7 bit/s/Hz can be obtained
γ1CU = · · · = γkCU = 5 dB. We also assume that the SNRs of
at L = 6.
all PUs are γ1PU = · · · = γlPU = 3 dB. The rate requirement Additionally, Fig. 5 shows the average throughput of
of the CUs are assumed to Rk,reqCU = 2. Fig. 4 shows the matched PUs and CUs as well as the sum-rate of matched
average sum-rate of the matched PUs versus the number of CUs versus the number of PUs in the CR-NOMA system.
PUs in the CR-NOMA system, when L = K = {2, 3, . . . , 10}. In Fig. 5, we consider the performances for the two optimiza-
The average sum-rate of the matched PUs is defined as: tion objective functions, which are the case 2 of Eq. (9) and

K case 3 of Eq. (11) as described in Section III. The average
Rmat ch = m l,kmatched × RlPU (αl,kmatched ), (29) sum-rate of matched CUs is formulated as:
l k

where αl,kmatched represents the final value of power allocated CU
Rmat ch = m l,kmatched × RkCU (1 − αl,kmatched ). (30)
to the matched PU. In our simulations, we evaluate the l k

Fig. 5. Performance of the average throughput versus the number of PUs in Fig. 7. Pmatch versus L performance of the CR-NOMA system over
the CR-NOMA system over Rayleigh fading channel. The objective functions
Rayleigh fading channel. The “CA”, “DMA” and “RA” techniques are detailed
of case 2 and case 3 are considered, which are described in Eq. (10) and
in Section IV-B. The transmit SNRs of the CUs are γ CU = 5 dB and the
Eq. (11) of Section III.
transmit SNRs of the PUs are γ PU = 3 dB.

Fig. 6. The performance of the average power allocation factor αl,k versus
the step size of the power allocation factor τ in the CR-NOMA system. Fig. 8. Performance of the average throughput versus the number of PUs
of CR-NOMA system by implementing the imperfect channel estimations,
associate with the error estimation factor w = 2dB and w = 15dB.

Then the average sum-rate of matched PUs and CUs is

given by: Pmat ch is evaluated as:

K   L K 
t ot al 1 
Rmat ch = m l,kmatched × RkPU (αl,kmatched ) Pmat ch = E m l,k , (32)
l k L
 l k
+ RkCU (1 − αl,kmatched ) . (31) where E[.] denotes the expected value of [.]. As shown in
As shown in Fig. 5, for both two optimization objective func- Fig. 7, Pmat ch of the CA is the highest, followed by that of
tions, maximizing the average throughput of matched PUs and the DMA, and that of the RA is the worst. Hence, the rate-
CUs, and maximize the throughput of matched CUs, the CA improvement observed in Fig. 4 is linked to a higher Pmat ch ,
achieves the best performance. We observe from Fig. 5 that, resulting from a better matching. Therefore, Pmat ch of the
the performance of our DMA is close to that of the CA, which DMA is identical to that of the CA when L = K = 5.
implies the DMA provides a promising suboptimal solution to Additionally, Pmat ch of the RA achieves a average value,
the problem in Eq. (8). However, the RA achieves the worst which is Pmat ch = 0.8 for all different numbers of the PUs and
performance among the three algorithms in the CR-NOMA CUs. Moreover, the percentage of matched users found by the
system. Once again, Fig. 5 illustrates our CR-NOMA system DMA is seen to be significantly higher than that of the RA.
can outperform the OMA system under all cases considered. For example, in Fig. 7, the DMA achieves Pmat ch = 99.99%
In Fig. 6, we investigate how the step size τ affects the at K = 10, while the RA only achieves Pmat ch = 80%. Thus
power allocation, i.e. αl,k . As expected, the power allocated there is an approximately Pmat ch = 99.99% − 80% = 19.99%
factor αl,k was decreasing with increasing τ . However, a small difference between these two algorithms.
τ would lead to a longer matching period. Hence, we have
chosen τ = 0.05 as a compromise in our simulations. E. Imperfect Channel Estimation
However perfect CSI estimation is not realistic in practice,
D. Relative Frequency of Successfully Matched PUs especially in a mobile communication system having time-
Fig. 7 illustrates the relative frequency of successfully varying wireless channels. In this section, we will investi-
matched PUs, i.e. Pmat ch , versus the number of PUs, and gate the performance of the considered NOMA-CR network,

when the CSI estimation is impaired by estimation errors.

We employ the widely used assumptions [26], [27] in which
the feedback to the transmitter is instantaneous and error
free. More specifically, the CSI is also achievable at the
transmitter whatever CSI the receiver has. In the case of
imperfect channel knowledge, the estimate of the channel gain
matrix H̃ is constructed by the channel gain matrix H modeled
by independent zero-mean complex-valued Gaussian random
variables and the channel error matrix Ñ that has a variance of
var ( Ñ ). The estimation of the channel gain matrix is written
as [28]:
H̃ = H + Ñ . (33) Fig. 9. The BER versus SNRr performance of TTCM using a frame length
of 120,000 symbols, when communicating over Rayleigh fading channels.
The channel H is defined in Eq. (1) and Eq. (2). The Four TTCM iterations were invoked.
channel estimation error Ñ is assumed to be independent
identical Gaussian distributed obeying the standard Gaussian
distribution of zero mean. The degree of CSI estimation errors identical parallel-concatenated TCM encoders [30] linked by a
is governed by the Channel Estimation Factor (CEF), namely symbol interleaver. The first TCM encoder directly processes
w (dB) defined by: the original input bit sequence, while the second TCM encoder
1 manipulates the interleaved version of the input bit sequence.
w = 10 log10 [dB]. (34) Then the bit-to-symbol mapper maps the input bits to complex-
var ( Ñ )
valued ATTCM symbols using the Set Partition based labelling
Then the received signal of our considered NOMA-CR system method [29]. The structure of the TTCM decoder is similar
impaired by imperfect channel estimation is rewritten as: to that of binary turbo codes, but each decoder alternately
Y = H̃ X + n processes its corresponding encoder’s channel-impaired output
symbol, and then the other encoder’s channel-impaired output
= (H + Ñ )X + n. (35) symbol [29, p. 764]. More details on the ATTCM principles
However, we emphasize that, regardless of the estimation can be found in [29].
techniques employed, the estimation error is actually non- We have employed a ATTCM scheme for the CR-NOMA
Gaussian, hence using a Gaussian model constitutes an approx- system, where the information Bit-per-Symbol (iBPS) is
imation. The simulation results of our proposed scheme selected from the set iBPS = {0, 1, 2, 3, 5} Bit-per-
subjected to CSI estimation channel errors are discussed Symbol (BPS) corresponding to the case of no transmission,
in the following. Fig. 8 shows a comparison between the QPSK, 8PSK, 16QAM and 64QAM modulations, respec-
perfect channel estimation for the average throughput and the tively. Moreover, the ATTCM mode switching thresholds
imperfect channel estimation results associated with the CSI ϒ = [γ0 , γ1 , γ2 , γ3 ] were determined based on the BER
estimation errors of w = 2dB and w = 15dB. It is evident that performance curves of each of the four TTCM schemes
the average throughput under the perfect CSI is higher than in a Rayleigh fading channel, which is shown in Fig. 9.
that of imperfect CSI scenarios, when the other parameters Specifically, the ATTCM mode switching operation and the
stay the same. Furthermore, the average throughput of PU throughput of the modes are specified by the following
achieved by the CA gets worse under the imperfect CSI, when algorithm:
the value of the error estimation factor decreases, i.e. when ⎧

⎪ γ3 ≤ γ R , TTCM−64QAM, iBPS = 5 BPS;
error estimation becomes more severe. It is worth noting that, ⎪

when considering imperfect CSI, the throughput performance ⎨γ2 ≤ γ R < γ3 , TTCM−16QAM, iBPS = 3 BPS;
of our proposed DMA gets much closer to that of the CA, MODE = γ1 ≤ γ R < γ2 , TTCM−8PSK, iBPS = 2 BPS;

which reveals that our distributed algorithm, i.e. the DMA is a ⎪
⎪ γ0 ≤ γ R < γ1 , TTCM − 4PSK, iBPS = 1 BPS;

promising solution to practical implementation of user pairing ⎩γ < γ , No transmission, iBPS = 0 BPS.
R 0
and power allocation in practical CR-NOMA systems.
We use the notation γ RPU to refer to the instantaneous received
VI. P RACTICAL ATTCM A IDED CR-NOMA N ETWORK SNR of the link between the BS and the PUl and γ RCU
represents the instantaneous received SNR of the link between
A. ATTCM Scheme
the BS and the CUk . The received SNR at PUl is given by
In this section we investigate the practical design of
the CR-NOMA system advocated using ATTCM. Employ- αl,k PS  p |h B, pl |2
γ RPU = . (36)
ing TTCM has the advantage that the system’s effective (1 − αl,k )PS + N0
throughput can be increased upon increasing the code rate, The received SNR at CUk can be expressed as:
when the channel-quality improves. Additionally, the Bit error
ratio (BER) performance of the system may be improved (1 − αl,k )PS c |h B,cl |2
γ RCU = , (37)
when TTCM is used [29]. The TTCM encoder comprises two N0

Fig. 10. The performance of Rmatched versus the number of PUs for the Fig. 11. Pmatch versus L performance of the ATTCM, CCMC and DCMC
ATTCM, CCMC and DCMC aided CR-NOMA systems over block fading aided CR-NOMA systems over block fading Rayleigh channel. A BER below
Rayleigh channel. A BER below 10−5 is maintained. The “CA”, “DMA” and 10−5 is maintained. The “CA”, “DMA” and “RA” techniques are detailed in
“RA” techniques are detailed in Section IV-B. The transmit SNRs of the PUs Section IV-B.The transmit SNRs of the PUs are γ PU = 10 and the transmit
are γ PU = 10 and the transmit SNRs of the CUs are γ CU = 15 dB. SNRs of the CUs are γ CU = 15 dB.

where the term αl,k is the power allocation coefficient of PUl , employing the DMA, aiming to find the appropriate power
PS is the transmit power emit from the BS and the pathloss allocations of the PU and CU in the same cluster. In Fig. 10,
 is detailed in Section II. The quasi-static Rayleigh fading we show that the rate performance of the CCMC, DCMC and
channels between the BS and PUl is denoted as h B, pl , while ATTCM aided CR-NOMA systems in terms of the average
this between the BS and CUk is represented by h B,ck . The sum-rate of matched PUs. As seen from Fig. 10, when
channel gains are independent of each other. L increases, the sum-rate of matched PU pairs also increases.
Each of the communication links in our CR-NOMA sys- That is because the number of matching pairs gets bigger as
tem will be assisted by the ATTCM scheme. We chose the the total number of PUs increases. Thus, the probability of
switching thresholds to ensure that the target BER is lower successful matching of the PUs and CUs becomes higher,
than 10−5 , which is given by ϒ AT T C M = [4.8, 12, 16, 24] dB which results in a higher sum-rate. As expected, the DMA
as seen in Fig. 9. In contrast to the practical power- and algorithm using CCMC achieves a higher average throughput
bandwidth-efficient ATTCM scheme, we also make use of than that for employing the DCMC, as shown in Fig. 10. When
both continuous-input continuous-output memoryless chan- we consider the ATTCM scheme, there is a minor difference
nel (CCMC) and the discrete-input continuous-output mem- of (7.3 BPS − 5.3 BPS) = 2 BPS between the DMA and
oryless channel (DCMC) [31] schemes. More specifically, the CA. Additionally, the performance by employing the DMA
the CCMC based adaptive scheme assumes that idealistic cod- in CR-NOMA is much better than the RA. The percentage
ing and modulation schemes are employed for communicating Pmat ch versus the number of PUs, L, is investigated in Fig. 11.
exactly at Shannon’s capacity. By contrast, the DCMC based The DMA based on CR-NOMA achieve higher percentage
adaptive scheme assumes that an idealistic capacity-achieving compare with the RA when they have the same number of PUs.
code is employed for allowing the PSK/QAM modulation Moreover, the CR-NOMA employing the DMA imposes a
schemes considered to operate right at the modulation- lower complexity compared with the system using the CA,
dependent DCMC capacity. We note that Shannon’s CCMC and its performance can approach to that of the CA.
capacity is only restricted by the SNR and the bandwidth.
The CCMC-based switching thresholds are represented as VII. C ONCLUSIONS
ϒCC MC = [1.75, 6, 11, 14] dB, while the switching thresholds In this paper, we have applied matching theory to solve the
of the corresponding modulation dependent DCMC based user pairing and power allocation problem in the CR-NOMA
scheme are given by ϒ DC MC = [2, 8, 12.5, 20] dB, which systems. In our proposed distributed matching algorithm,
are also explicitly shown in Fig. 9. The reason why we have the PUs trade the available power with the CUs by negotiating
chosen the target BER to be lower than 10−5 is because the the power allocation coefficients, which guarantees that the
error floor emerging at BER < 10−5 can be removed by using rate requirements of both the PUs and CUs are satisfied.
a long outer code, such as a Reed Solomon (RS) code, albeit We have shown that the proposed DMA results in a stable
no RS code was used here. For quasi-static fading channels, matching and implement a low complexity. Our numerical
the achievable rates over different links become random and analysis has revealed that the DMA achieved a better per-
vary as the channel changes. The relatively performances of formance than the RA benchmark scheme, and it is close
our ATTCM aided CR-NOMA network will be discussed to the optimum CA. Importantly, we have also shown that
in Section VI-B. the CR-NOMA system can achieve a significant performance
advantage over the OMA system. Moreover, we have investi-
B. Performance of Our ATTCM Aided CR-NOMA Network gated a practical ATTCM for the CR-NOMA system, and the
In this section, we investigate the performance of the system’s throughput can be further improved according to our
CCMC, DCMC and ATTCM aided CR-NOMA systems by simulation results.

A PPENDIX A Then the Lagrange multipliers corresponding to the constraint

As discussed in Section III, based on Eq. (8) and Eq. (11), of Eq (39) is given by
the objective function that maximizes the total sum-rate of p
cen , λ, μ)
∂H (αl,k γlPU |h l |2 + 1
matched PU and CU can be rewritten as: = log2 ( )
p p
  ∂λl,k γlPU |h l |2 − αl,k γlPU |h l |2 + 1
max W (αl,k ) = max RlPU (αl,k ) + RkCU (1 − αl,k ) . (38) − Rl,req
, (45)
αl,k αl,k

The term RlPU (αl,k ) is defined in Eq. (3) and PU

where Rl,req is defined in Eq. (5). Then the optimization
RkCU (1 − αl,k ) is expressed in Eq. (4). The problem of value of αl,k based on Eq. (45) can be obtained as: αl,k =
p p
Eq. (38) is a concave function problem and its relative proof γlPU |h l |2 +1− γlPU |h l |2 +1
is discussed in Appendix B. Additionally, its three linear p . Additionally, the Lagrange multi-
γlPU |h l |2
constraints which are the condition (a), (b) and (c) of Eq. (8) plies μl,k corresponds to the constraint of Eq (40) can be
are shown as follows: expressed as:

s.t. (a) RlPU (αl,k ) ≥ Rl,req

, ∀l ∀k (39) ∂H (αl,k
, λ, μ)
= log2 (1 + γkCU |h ck |2 − αl,k γkCU |h ck |2 )
(b) Rk (αl,k ) ≥ Rk,req , ∀l ∀k (40) ∂μl,k
(c) 0 ≤ αl,k ≤ 1, ∀l ∀k. (41) − Rk,req

Hence, the Lagrangian function for Eq. (38) using the corre- 1 + γkCU |h ck |2 − 2 Rk,req
→ αl,k = . (46)
sponding constrains of Eq. (39), Eq. (40) and Eq. (41) can be γkCU |h ck |2
expressed as:
  Hence, we could obtain two bounds on the optimization
, λ, μ) = W (αl,k ) + λl,k RlPU (αl,k ) − Rl,req
PU value for αl,k
. Based on Eq (44), λ and μ can be expressed as:
+ μl,k RkCU (1 − αl,k ) − Rk,req
, (42) p p
γlPU |h l |2 − αl,k γlPU |h l |2 + 1
λl,k = (1 + μl,k ) − 1, (47)
1 + γkCU |h ck |2 − αl,k γkCU |h ck |2
where the weight W (αl,k ) in Eq. (38) aims to maximize the
sum-rate of the PU and CU. λ = (λl,k : l ∈ L, k ∈ K ) γkCU |h ck |2 − αl,k γkCU |h ck |2 + 1
μl,k = (1 + λl,k ) p p − 1. (48)
is a matrix of Lagrange multipliers corresponding to the 1 + γlPU |h l |2 − αl,k γlPU |h l |2
PUs’ rate requirement constraint of Eq. (39) with λl,k ≥ 0.
Then the vector μ = (μl,k : l ∈ L, k ∈ K ) of Lagrange Since λl,k > 0 and μl,k > 0, Eq. (47) and Eq. (48) may be
multipliers corresponds to the CUs’ rate constraint of Eq. (40) further derived as:
with μl,k ≥ 0. The maximization problem of Eq. (42) can be

simplified as:   
, λ, μ) γCU |h ck |2 − αl,k γCU |h ck |2 + 1
μl,k > − 1, (49)
 p C ∗PU
γl PU
|h l |2 +1   
= log2 ( p p ) p p
1 + γ PU |h l |2 − αl,k γ PU |h l |2
γlPU |h l |2 − αl,k γlPU |h l |2 + 1
 C ∗PU
+ log2 (1 + γkCU |h ck |2 − αl,k γkCU |h ck |2 )   
 p p
1 + γ PU |h l |2 − αl,k γ PU |h l |2
γlPU |h l |2 + 1 λl,k > − 1. (50)
+ λl,k log2 ( PU p p ) − Rl,req
PU ∗
γl |h l |2 − αl,k γlPU |h l |2 + 1   
  γCU |h ck |2 − αl,k γCU |h ck |2 + 1
+ μl,k log2 (1 + γkCU |h ck |2 − αl,k γkCU |h ck |2 ) − Rk,req
(43) Moreover, when the conditions in Eq. (49) and Eq. (50) are
satisfied, we could obtain the bounds related to Eq. (45)
The optimization allocation of αl,k
for fixed values of λl,k and Eq. (46). Finally, the optimization value of αl,k
cen that

and μl,k can be calculated for each PU and CU by applying maximizes the total sum-rate of PU and CU is given by
the Karush-Luhn-Tucker (KKT) conditions [32], such that we
⎧ R CU
have: ⎪
⎪ 1 + γkCU |h ck |2 − 2 k,req

⎪ ∗ < C∗ ;
∂H (αl,k
, λ, μ) 1 + λl,k ⎨ γkCU |h ck |2  PU
= p p
αl,k =
∂αl,k γlPU |h l |2 − αl,k γlPU |h l |2 + 1 ⎪

p p
γlPU |h l |2 + 1 − γlPU |h l |2 + 1

⎪ ∗ > C∗ ;
1 − μl,k ⎩ p CCU PU
− . (44) γlPU |h l |2
1 + γkCU |h ck |2 − αl,k γkCU |h ck |2 (51)

A PPENDIX B [12] L. Lv, J. Chen, and Q. Ni, “Cooperative non-orthogonal multiple access
in cognitive radio,” IEEE Commun. Lett., vol. 20, no. 10, pp. 2059–2062,
According to Eq. (3) and Eq. (4), the optimization problem Oct. 2016.
of Eq. (38) can be rewritten as: [13] D. Gusfield and R. W. Irving, The Stable Marriage Problem: Structure
 and Algorithms. Cambridge, MA, USA: MIT Press, 1989.
αl,k γlPU |h l |2 [14] A. Roth and M. Sotomanyor, Two Sided Matching: A Study in
max log2 1 + p Game-Theoretic Modeling and Analysis, 1st ed. Cambridge, U.K.:
αl,k (1 − αl,k )γlPU |h l |2 + 1) Cambridge Univ. Press, 1989.
   [15] Y. Gu, W. Saad, M. Bennis, M. Debbah, and Z. Han, “Matching theory
f (X P ) for future wireless networks: Fundamentals and applications,” IEEE
  Commun. Mag., vol. 53, no. 5, pp. 52–59, May 2015.
+ log2 1 + γkCU |h ck |2 − αl,k γkCU |h ck |2 . (52) [16] Y. Xiao, K. C. Chen, C. Yuen, Z. Han, and L. Da Silva, “A Bayesian
   overlapping coalition formation game for device-to-device spectrum
f (X C ) sharing in cellular networks,” IEEE Trans. Wireless Commun., vol. 14,
no. 7, pp. 4034–4051, Jul. 2015.
The second-derivation of Eq. (52) is derived as: [17] S. Bayat, R. H. Y. Louie, Z. Han, B. Vucetic, and Y. Li, “Physical-layer
security in distributed wireless networks using matching theory,” IEEE
[ f (X P ) + f (X C )] Trans. Inf. Forensics Security, vol. 8, no. 5, pp. 717–732, May 2013.
f (X A ) [18] B. Di, S. Bayat, L. Song, and Y. Li, “Radio resource allocation
   for downlink non-orthogonal multiple access (NOMA) networks using
(γ PU |h l |2 )2  PU p 2 −2
p matching theory,” in Proc. IEEE Global Commun. Conf. (GLOBECOM),
= γl |h l | + 1 − αl,k γlPU |h l |2 Dec. 2015, pp. 1–6.
ln2 [19] K. Liu, A. K. Sadek, W. Su, and A. Kwasinski, Cooperative Communi-
f (X B ) cations and Networking. New York, NY, USA: Cambridge Univ. Press,
(γkCU |h cl |2 )2  CU −2 [20] S. Timotheou and I. Krikidis, “Fairness for non-orthogonal multiple
×− γk |h cl |2 + 1 − αl,k γkCU |h cl |2 . access in 5G systems,” IEEE Signal Process. Lett., vol. 22, no. 10,
ln2 pp. 1647–1651, Oct. 2015.
(53) [21] Y. Liu, Z. Qin, M. Elkashlan, Y. Gao, and L. Hanzo, “Enhancing
the physical layer security of non-orthogonal multiple access in large-
As shown in Eq. (53), the term f (X A ) > 0 and the term scale networks,” IEEE Trans. Wireless Commun., vol. 16, no. 3,
f (X B ) < 0. In our system, we assume that the term f (X B ) pp. 1656–1672, Mar. 2017.
[22] B. Zhao and M. C. Valenti, “Distributed turbo coded diversity for relay
is always greater than f (X A ), thus f (X A ) + f (X B ) < 0. channel,” Electron. Lett., vol. 39, no. 10, pp. 786–787, May 2003.
Therefore, the function [ f (X P ) + f (X C )] < 0, which shows [23] M. Shamaian, S. H. Lee, S. Vishwanath, and H. Vikalo, “Distributed
that the problem of Eq. (52) is a concave problem [33]. algorithms for spectrum access in cognitive radio relay networks,” IEEE
J. Sel. Areas Commun., vol. 30, no. 11, pp. 1947–1957, Nov. 2012.
[24] J. Jalden and B. Ottersten, “On the complexity of sphere decoding in
R EFERENCES digital communications,” IEEE Trans. Signal Process., vol. 53, no. 4,
pp. 1474–1484, Apr. 2005.
[1] Y. Saito, Y. Kishiyama, A. Benjebbour, T. Nakamura, A. Li, and [25] A. Kan and J. Telgen, “The complexity of linear programming,” J. Sta-
K. Higuchi, “Non-orthogonal multiple access (NOMA) for cellular tist. Neerlandica, vol. 2, pp. 91–107, Apr. 1981.
future radio access,” in Proc. 77th IEEE VTC-Spring, Dresden, Germany, [26] Z. Yang, Z. Ding, P. Fan, and G. K. Karagiannidis, “On the performance
Jun. 2013, pp. 1–5. of non-orthogonal multiple access systems with partial channel informa-
[2] S.-L. Shieh and Y.-C. Huang, “A simple scheme for realizing the tion,” IEEE Trans. Commun., vol. 64, no. 2, pp. 654–667, Feb. 2016.
promised gains of downlink nonorthogonal multiple access,” IEEE [27] T. Yoo and A. Goldsmith, “Capacity and power allocation for fading
Trans. Commun., vol. 64, no. 4, pp. 1624–1635, Apr. 2016. MIMO channels with channel estimation error,” IEEE Trans. Inf. Theory,
[3] J. Choi, “Minimum power multicast beamforming with superposition vol. 52, no. 5, pp. 2203–2214, May 2006.
coding for multiresolution broadcast and application to NOMA systems,” [28] T. Weber, A. Sklavos, and M. Meurer, “Imperfect channel-state infor-
IEEE Trans. Commun., vol. 63, no. 3, pp. 791–800, Mar. 2015. mation in MIMO transmission,” IEEE Trans. Commun., vol. 54, no. 3,
[4] Z. Ding, M. Peng, and H. V. Poor, “Cooperative non-orthogonal mul- pp. 543–552, Mar. 2006.
tiple access in 5G systems,” IEEE Commun. Lett., vol. 19, no. 8, [29] L. Hanzo, S. X. Ng, T. Keller, and W. Webb, Quadrature Amplitude
pp. 1462–1465, Aug. 2015. Modulation: From Basics to Adaptive Trellis-Coded, Turbo-Equalised
[5] Z. Ding, F. Adachi, and H. Poor, “The application of MIMO to non- and Space-Time Coded OFDM, CDMA and MC-CDMA Systems.
orthogonal multiple access,” IEEE Trans. Wireless Commun., vol. 15, Hoboken, NJ, USA: Wiley, 2004.
no. 1, pp. 537–552, Jan. 2015. [30] G. Ungerböck, “Channel coding with multilevel/phase signals,” IEEE
[6] H. Marshoud, V. M. Kapinas, G. K. Karagiannidis, and S. Muhaidat, Trans. Inf. Theory, vol. 28, no. 1, pp. 55–67, Jan. 1982.
“Non-orthogonal multiple access for visible light communications,” [31] S. X. Ng and L. Hanzo, “On the MIMO channel capacity of multi-
IEEE Photon. Technol. Lett., vol. 28, no. 1, pp. 51–54, Jan. 1, 2016. dimensional signal sets,” IEEE Trans. Veh. Technol., vol. 55, no. 2,
[7] Y. Liu, Z. Ding, M. Elkashlan, and H. V. Poor, “Cooperative non- pp. 528–536, Mar. 2006.
orthogonal multiple access with simultaneous wireless information [32] H. Hindi, “A tutorial on convex optimization II: Duality and interior
and power transfer,” IEEE J. Sel. Areas Commun., vol. 34, no. 4, point methods,” in Proc. Amer. Control Conf., Jun. 2006, pp. 1–11.
pp. 938–953, Apr. 2016. [33] S. Boyd and L. Vandenberghe, Convec Optimization. Cambridge, U.K.:
[8] Y. Zhang, H. M. Wang, Q. Yang, and Z. Ding, “Secrecy sum rate Cambridge Univ. Press, 2004.
maximization in non-orthogonal multiple access,” IEEE Commun. Lett.,
vol. 20, no. 5, pp. 930–933, May 2016.
[9] Z. Ding, Z. Yang, P. Fan, and H. V. Poor, “On the performance of Wei Liang received the M.Sc. and Ph.D. degrees
non-orthogonal multiple access in 5G systems with randomly deployed in wireless communication from the University
users,” IEEE Signal Process. Lett., vol. 21, no. 12, pp. 1501–1505, of Southampton, Southampton, U.K., in 2010 and
Dec. 2014. 2015, respectively. She is currently a Research Fel-
[10] A. Goldsmith, S. A. Jafar, I. Maric, and S. Srinivasa, “Breaking spectrum low with Lancaster University. Her research inter-
gridlock with cognitive radios: An information theoretic perspective,” ests include adaptive coded modulation, network
Proc. IEEE, vol. 97, no. 5, pp. 894–914, Apr. 2009. coding, matching theory, game theory, cooperative
[11] Z. Ding, R. Schober, and H. V. Poor, “A general MIMO framework communication, cognitive radio network, and non-
for NOMA Downlink and uplink transmission based on signal align- orthogonal multiple access scheme.
ment,” IEEE Trans. Wireless Commun., vol. 15, no. 6, pp. 4438–4454,
Jun. 2016.

Zhiguo Ding (S’03–M’05) received the B.Eng. Lingyang Song (S’03–M’06–SM’12) received the
degree in electrical engineering from the Beijing Ph.D. degree from the University of York, U.K.,
University of Posts and Telecommunications in in 2007. He was a Research Fellow with the Uni-
2000, and the Ph.D. degree in electrical engineering versity of Oslo, Norway, until rejoining Philips
from Imperial College London in 2005. From 2005 Research, U.K., in 2008. In 2009, he joined the
to 2014, he was with Queen’s University Belfast, School of Electronics Engineering and Computer
Imperial College, and Newcastle University. Since Science, Peking University, China, as a Full Pro-
2014, he has been with Lancaster University as a fessor. He has authored or co-authored two text
Chair Professor. From 2012 to 2016, he was an books Wireless Device-to-Device Communications
Academic Visitor with Princeton University. and Networks and Full-Duplex Communications and
His research interests are 5G networks, game the- Networks (U.K.: Cambridge University Press). His
ory, cooperative and energy harvesting networks, and statistical signal process- main research interests include MIMO, cognitive and cooperative communi-
ing. He received the Best Paper Award in the IET Communication Conference cations, security, and big data. He received the K. M. Stott Prize for excellent
on Wireless, Mobile and Computing, in 2009, the IEEE Communication research from the University of York. He was a recipient of the IEEE Leonard
Letter Exemplary Reviewer in 2012, and the EU Marie Curie Fellowship G. Abraham Prize in 2016 and the IEEE Asia Pacific Young Researcher Award
in 2012–2014. He is serving as an Editor of the IEEE T RANSACTIONS ON in 2012. He has been an IEEE Distinguished Lecturer since 2015. He is
OGY , and the Journal of Wireless Communications and Mobile Computing. C OMMUNICATIONS.
the IEEE C OMMUNICATION L ETTERS from 2013 to 2016.

Yonghui Li (M’04–SM’09) received the Ph.D.

degree from the Beijing University of Aeronautics
and Astronautics in 2002. From 1999 to 2003, he
was affiliated with Linkair Communication Inc.,
where he was a Project Manager with responsibility
for the design of physical layer solutions for the
LAS-CDMA system. Since 2003, he has been with
the Center of Excellence in Telecommunications,
The University of Sydney, Australia. He is cur-
rently a Professor with the School of Electrical and
Information Engineering, The University of Sydney.
He was a recipient of the Australian Queen Elizabeth II Fellowship in 2008
and the Australian Future Fellowship in 2012.
He holds a number of patents granted and pending in these fields. His current
research interests are in the area of wireless communications, with a particular
focus on MIMO, millimeter wave communications, machine-to-machine com-
munications, coding techniques, and cooperative communications. He received
the best paper awards from the 2014 IEEE International Conference on
Communications and the 2014 IEEE Wireless Days Conferences. He is
currently an Editor of the IEEE T RANSACTIONS ON C OMMUNICATIONS and

View publication stats