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Carleton University
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1 Abstract— This letter addresses the sum-rate maximization for the PGS scheme which assumes independent real and imag- 40
2 a downlink non-orthogonal multiple access (NOMA) system in the inary signal components with equal power, the IGS scheme 41
3 presence of imperfect successive interference cancellation (SIC). loosens these constraints and introduce a circularity coefficient 42
4 We assume that the NOMA users adopt improper Gaussian
5 signaling (IGS), and hence derive new expressions of their rates that enables a more general Gaussian signaling scheme [7]. 43
6 under residual interference from imperfect SIC. We optimize To the best of the authors’ knowledge, there is no existing 44
7 the circularity coefficient of the IGS-based NOMA system to work in the literature that exploits IGS in an effort to maximize 45
of
8 maximize its sum-rate subject to quality-of-service requirements. the overall sum-rate of the NOMA system under the practical 46
9 Compared to the NOMA with proper Gaussian signaling, simula- assumption of imperfect SIC, which motivates us to develop 47
10 tion results show that the IGS-based NOMA system demonstrates
11 considerable sum-rate performance gain under imperfect SIC. this work. In particular, new closed-form expressions for 48
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N
I. I NTRODUCTION
ON-ORTHOGONAL multiple access (NOMA) proposes
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EP
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22 nel users, they can still be accessed by other strong channel of NOMA users. 60
23 users, which qualifies NOMA techniques to achieve a higher A complex random variable (RV) is called proper if 61
24 overall spectral efficiency (SE) [2], [3]. However, NOMA its pseudo-variance is equal to zero, otherwise it is called 62
25 techniques achieve this potential higher SE considering perfect improper [8]. For a complex RV xi , we use Cxi and Ĉxi 63
26 successive interference cancellation (SIC) (see, e.g., [1]–[4], to denote the covariance and pseudo-covariance, respectively. 64
27 and the references therein). In real scenarios, the assumption Then for the zero-mean input Gaussian signal xi , ∀i, we have 65
28 of perfect SIC at the receiver might not be practical, since there Cxi = E[xi x∗i ], Ĉxi = E[xi xi ], and the impropriety degree 66
29 still remain several serious implementation problems by using of xi is given as 67
30 SIC, e.g., error propagation and complexity scaling [1]. In [5],
31 a unified framework is presented assuming imperfect SIC, κxi = |Ĉxi |/Cxi , ∀i, (1) 68
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32 which shows that the performance converges to an error floor where 0 ≤ κxi ≤ 1. If κxi = 0, we say that xi is proper, and if 69
33 at the high signal-to-noise ratio (SNR) region and obtain a zero κxi = 1, we have maximally improper signal. Note that Cxi 70
34 diversity order. Hence it is of great interest to compensate the is nonnegative real number equal to the power value of the 71
35 impact of imperfect SIC for the NOMA systems. transmitted signal, while Ĉxi is complex number in general. 72
38 Gaussian signaling (PGS) to enhance the overall achievable We consider a downlink NOMA system with two users 74
39 rate of systems that suffer from interference [6]. Compared to (strong channel user and weak channel user) and a base 75
I. Abu Mahady and S. Ikki are with the Electrical Engineering Department, noise at the receivers ends are modelled as zero-mean additive 79
Lakehead University, Thunder Bay, ON P7B 5E1, Canada (e-mail: white Gaussian random variable with variances σn2 . Different 80
iabumah@lakeheadu.ca; sikki@lakeheadu.ca).
E. Bedeer is with the School of Engineering, Ulster University, from the conventional setup where PGS is assumed, in this 81
Newtownabbey BT37 0QB, U.K. (e-mail: e.bedeer.mohamed@ulster.ac.uk). work, user’s 1 signal x1 and user’s 2 signal x2 are zero-mean 82
H. Yanikomeroglu is with the Department of Systems and Computer complex Gaussian RVs which can be improper. Without loss 83
Engineering, Carleton University, Ottawa, ON K1S 5B6, Canada (e-mail:
halim@sce.carleton.ca). of generality, it is assumed that |h1 |2 > |h2 |2 , i.e. user 1 is 84
Digital Object Identifier 10.1109/LCOMM.2019.2893195 with strong channel gain and user 2 is with weak channel gain. 85
1558-2558 © 2019 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
2 IEEE COMMUNICATIONS LETTERS
86 According to the NOMA principle, the transmit power of the case of both users adopt IGS, reduces to 130
87 weak user’s signal must be greater than that of the strong user,
R1 (κs1 , κs2 )
i.e., P2 > P1 . Hence, user 2 decodes directly its signal because
131
88
the interference inflicted by the user 1 is small and can thus be P1 |h1 |2
89
= log2 1 + 2 132
treated as noise. In contrast, user 1 can decode its own signal β P2 |h1 |2 + σ 2
90
91 after cancelling the weak user’s decoded signal through a SIC proper
detector [1]. We assume that SIC process at user’s 1 receiver
92
1 |h21 P1 κs1 |2 + |β 2 P22 |h1 |2 κs2 |2
is imperfect and the residual interference component due to + log2 1 − 133
2 (P1 |h1 |2 + β 2 P2 |h1 |2 + σ 2 )2
93
Improper
of
Similarly, by substituting (8), (9), and (10) into (11), the
99 y1 = P1 h1 s1 + β P2 h1 s2 + n1 , (2) 135
103 In the following, we derive the rate expressions for the gen- Proper
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√ IGS for for both users, i.e., x1 and x2 are improper.
eral case of
Let xi = Pi si , ∀i = 1, 2 are the independent signals for user
1 and 2, respectively, and denote the covariance and pseudo-
covariance of the transmit signal by
Cxi = Pi Csi ,
Ĉxi = Pi Ĉsi , ∀i = 1, 2,
ro (4)
(5)
1
2
1
2
+ log2 1 −
− log2 1 −
|P2 h22 κs2 |2 + |P1 h22 κs1 |2
(P2 |h2 |2 + P1 |h2 |2 + σ 2 )2
Improper
Improper
.
(13)
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140
EP
It is worth noting that each Ri , i = 1, 2, in (12), (13) includes 141
110 where Csi = E[si s∗i ] and Ĉsi = E[si si ]. We assume that two parts; proper and improper. Substituting κsi = 0, ∀i = 1, 2 142
111 Csi = E[si s∗i ] = 1, ∀i = 1, 2, i.e., transmit a symbol with a and β = 0 reduces to the rates of PGS case in perfect SIC, 143
112 unit power. Next, we derive the rate expressions in terms of which proves the correctness of the derived expressions. 144
113 circularity coefficient. The covariance and pseudo-covariance
114 of yi , i = 1, 2, can be obtained from (2) and (3) as IV. O PTIMIZATION P ROBLEM 145
Cy2 = P2 |h2 |2 + P1 |h2 |2 + σ22 , (8) to minimum rate requirements of each user. Due to space
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117 149
118 Ĉy2 = P2 κs2 h22 + P1 κs1 h22 . (9) limitations, we focus on the case where we use IGS for 150
119 Define the noise and the interference-plus-noise terms in (2) for weak user (i.e., x2 is proper and κs2 = 0). Other cases 152
120 and (3), as zi , i =√1, 2, at each receiver, respectively, where will be investigated in future work. Also, we assume the 153
121 z1 = n1 and z2 = P1 h2 s1 + n2 , we get powers P1 and P2 are already allocated to user 1 and 2, 154
127 By substituting (6), (7), and (10) into (11), and assuming rate requirements of the strong user and the weak user, 164
128 without loss of generality σ12 = σ22 = σ 2 , the achievable rate respectively. The constraint C3 reflects that the circulatory 165
129 expression for the strong user 1 of a NOMA system, in the coefficient is between 0 and 1 as shown in Definition 2. 166
ABU MAHADY et al.: SUM-RATE MAXIMIZATION OF NOMA SYSTEMS UNDER IMPERFECT SIC 3
of
178
Fig. 1. Sum-rate vs SNR for IGS-based and PGS-based NOMA systems for
179 the KKT conditions can be written as follows [9] different β.
∂L(κ∗s1 , λ1 , λ2 ) The proposed algorithm to solve the problem in (14) can
180 = 0, (16) 210
182 λ2 (Rmin2 − R2 (κ∗s1 )) = 0, (18) 2) Set λ1 = λ2 = 0. Calculate κs1 from (22). Calculate R1 213
Rmin1 − R1 (κ∗s1 ) ≤ 0, (19) and R2 from (12) and (13), respectively. 214
ro
183
3) if R1 ≥ Rmin1 and R2 ≥ Rmin2 , then, the sub-optimal 215
184 Rmin2 − R2 (κs∗1 ) ≤ 0, (20) solution κ∗s1 is reached. 216
185 λ1 , λ2 ≥ 0. (21) 4) else if R1 < Rmin1 and R2 ≥ Rmin1 , then, find non- 217
194 λl+1
i = λli − αli (Ri − Rmini ) , ∀i = 1, 2, (23)
V. S IMULATION R ESULTS 228
196 step size chosen to equals 0.1/ l where l is the iteration a base station in a NOMA system employing IGS and compare 230
197 number [9]. However, one can notice from (17) that either its achieved sum rate (R1 + R2 ) to its counterpart of PGS- 231
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198 λ1 = 0 or R1 (κ∗s1 ) = Rmin1 . Similarly, (18) implies that based NOMA systems. Unless otherwise mentioned, Rmin1 = 232
199 either λ2 = 0 or R2 (κ∗s1 ) = Rmin2 . That said, four possible Rmin2 =1.2 bits/sec/Hz, P1 = 0.3 PT , and P2 = 0.7PT . 233
200 cases exist, as follows. In Fig. 1, the sum-rate is simulated versus SNR = PσT2 , 234
n
201 – Case 1: λ1 = 0 and λ2 = 0 means that both QoS where PT is the total transmit power, at different values of β. 235
202 constraints of user 1 and user 2 are inactive. As can be seen, the IGS-based NOMA system outperforms 236
203 – Case 2: λ1 = 0 and λ2 = 0 implies that the sub-optimal PGS-based NOMA for all levels of imperfect SIC. In particu- 237
204 circularity coefficient exists when R2 (κ∗s1 ) = Rmin2 . lar, as the SIC becomes worse, i.e., β = 0.4, the sum-rate gain 238
205 – Case 3: λ1 = 0 and λ2 = 0 implies that the sub-optimal of using IGS increases over PGS NOMA. IGS also offers a 239
206 circularity coefficient exists when R1 (κ∗s1 ) = Rmin1 . good gain in the low SNR region as the effect of the imperfect 240
207 – Case 4: λ1 = 0 and λ2 = 0 implies that if the problem SIC is significant on the users’ rate. At high SNR, the 241
208 is feasible, the sub-optimal circularity coefficient exists when PGS-based NOMA system approaches the sum-rate perfor- 242
209 both R1 (κ∗s1 ) = Rmin1 and R2 (κ∗s1 ) = Rmin2 . mance of the IGS-based NOMA system. In addition, we use 243
1 + λ2
κ2s1 = 0.5 (Φ + Ψ) + (Φ − Ψ)
1 + λ1
2 12
1 + λ2 1 + λ2
− 0.5 (Φ − Ψ)2 1+ + (Φ − Ψ) (2(Φ + Ψ) − 4Ω) . (22)
1 + λ1 1 + λ1
4 IEEE COMMUNICATIONS LETTERS
of
Fig. 2. Sum-rate vs SNR for IGS-based and PGS-based NOMA systems for Fig. 4. Sum-rate vs number of iterations for algorithm convergence with
different P1 , P2 values, with β = 0.3. β = 0.2, 0.3, 0.4.
VI. C ONCLUSION
ro
271
SIC gets higher. Results also revealed that the power allocation 279
2 does not affect the gain of IGS-based NOMA systems over its 280
Fig. 3. Sum-rate vs SNR for IGS-based NOMA system for different σh 1
to
2 ratios, with β = 0.3, P = 0.1P , and P = 0.9P .
σh
PGS-based counterpart. Moreover, sum-rate increases when 281
2
1 T 2 T
channel gain ratio between users increases, but this improve- 282
246 results show that there is a small performance gap between the [1] M. Zeng, A. Yadav, O. A. Dobre, G. I. Tsiropoulos, and H. V. Poor, 285
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250 is far less complex than the optimal solution of the exhaustive orthogonal multiple access in large-scale heterogeneous networks,” IEEE 290
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252 i.e., β = 0, both schemes perform similarly. tion association and power control for small-cell networks with non- 293
253 In Fig. 2, the sum-rate vs SNR for different values of P1 , P2 orthogonal multiple access,” IEEE Trans. Wireless Commun., vol. 16, 294
254 at β = 0.3 is simulated for both IGS and PGS NOMA system. no. 9, pp. 5567–5582, Sep. 2017. 295
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255 As the strong user gains more power, i.e., P1 becomes larger, subcarrier allocation for full-duplex multicarrier non-orthogonal multiple 297
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258 not affect the gain of IGS over PGS based NOMA systems. non-orthogonal multiple access,” IEEE Trans. Commun., vol. 66, no. 11, 301
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260 IGS-based NOMA performance is shown in Fig. 3. The sum- [6] Y. Zeng, C. M. Yetis, E. Gunawan, Y. L. Guan, and R. Zhang, “Transmit 303
optimization with improper Gaussian signaling for interference chan-
rate is simulated for the case of σh2 1 = {1, 2, 3, 5, 7, 9}σh2 2 at
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261
nels,” IEEE Trans. Signal Process., vol. 61, no. 11, pp. 2899–2913, 305
262 P1 = 0.1 PT , P2 = 0.9 PT , and β = 0.3. It is clear that as σh2 1 Jun. 2013. 306
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266 proposed approach through the IGS-NOMA concept. applications to information theory,” IEEE Trans. Inf. Theory, vol. 39, 311
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