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On the Design of MIMO-NOMA Downlink and Uplink Transmission

Zhiguo Ding, Member, IEEE, Robert Schober, Fellow, IEEE, and H. Vincent Poor, Fellow, IEEE

Abstract—In this paper, a novel MIMO-NOMA framework for code resources, in the presence of randomly deployed inter-
downlink and uplink transmission is proposed by applying the ferers. The contributions of this paper are listed as follows.
concept of signal alignment. By using stochastic geometry, closed- Firstly, a general MIMO-NOMA framework which is appli-
form analytical results are developed to facilitate the performance
evaluation of the proposed framework for randomly deployed cable to both downlink and uplink transmission is proposed, by
users and interferers. The impact of different power allocation applying the concept of signal alignment, originally developed
strategies, such as fixed power allocation and cognitive radio for multi-way relaying channels in [11] and [12]. By exploiting
inspired power allocation, on the performance of MIMO-NOMA this framework, the considered multi-user MIMO-NOMA sce-
is also investigated. Computer simulation results are provided to nario can be decomposed into multiple separate single-antenna
demonstrate the performance of the proposed framework and
the accuracy of the developed analytical results. NOMA channels, to which conventional NOMA protocols can
be applied straightforwardly.
Secondly, since the choice of the power allocation coeffi-
cients is key to achieve a favorable throughput-fairness tradeoff
Non-orthogonal multiple access (NOMA) has been recog- in NOMA systems, two types of power allocation strategies are
nized as a spectrally efficient multiple access (MA) technique studied in this paper. The fixed power allocation strategy can
for the next generation of mobile networks [1] and [2]. For realize different QoS requirements in the long term, whereas
example, the use of NOMA has been recently proposed for the cognitive radio inspired power allocation strategy can
downlink scenarios in long-term evolution (LTE) systems as ensure that users’ QoS requirements are met instantaneously.
well as in fifth generation (5G) mobile networks [3]–[5]. Finally, exact expressions and asymptotic performance re-
The key idea of NOMA is to exploit the power domain for sults are developed in order to obtain an insightful understand-
multiple access, which means multiple users can be served ing of the proposed MIMO-NOMA framework. In particular,
concurrently at the same time, frequency, and spreading code. the outage probability is used as the performance criterion
The performance of NOMA in a network with randomly since it not only bounds the error probability of detection
deployed single-antenna nodes was investigated in [2]. User tightly, but can be also used to calculate the outage capac-
fairness in the context of NOMA was addressed in [6], where ity/rate. The impact of the random locations of the users and
power allocation was optimized under different assumptions the interferers is captured by applying stochastic geometry, and
regarding the channel state information (CSI). The applica- the diversity order is computed to illustrate how efficiently the
tion of multiple-input multiple-output (MIMO) techniques to degrees of freedom of the channels are used by the proposed
NOMA is important since the use of MIMO provides addi- framework.
tional degrees of freedom for further performance improve-
ment. In [7], the multiple-input single-output (MISO) scenario,
where the base station had multiple antennas and users were Consider a MIMO-NOMA downlink (uplink) communica-
equipped with a single antenna, was considered. Ref. [8] tion scenario in which a base station is communicating with
focused on a special case of MIMO-NOMA with two users, multiple users. The base station is equipped with M antennas
where a throughput maximization problem was formulated and each user is equipped with N antennas. In this paper,
and two algorithms were proposed to solve the optimization we consider the scenario N > M 2 in order to implement the
problem. In many practical scenarios, it is preferable to serve concept of signal alignment, an assumption more general than
as many users as possible in order to reduce user latency and the one used in [9]. This assumption is applicable to various
improve user fairness. Following this rationale, in [9], users communication scenarios, such as small cells in heterogenous
were first grouped into small-size clusters, where NOMA was networks and 5G cloud radio access networks.
implemented for the users within each cluster and MIMO The users are assumed to be uniformly deployed in a disc,
detection was used to cancel inter-cluster interference. Similar denoted by D, i.e., the cell controlled by the base station.
to [10], this method does not need CSI at the base station; The radius of the disc is r, and the base station is located at
however, unlike [10], it avoids the use of random beamforming the center of D. In order to reduce the system load, several
which can cause uncertainties for the quality of service (QoS) existing studies on NOMA have proposed to pair two users
experienced by the users. for the implementation of NOMA, and have demonstrated that
This paper considers a general MIMO-NOMA communi- it is ideal to pair two users whose channel conditions are
cation network where a base station is communicating with very different [13], [14]. Based on this insight, we assume
multiple users using the same time, frequency, and spreading that the disc is divided into two regions. The first region is a
smaller disc, denoted by D1 , with radius r1 (r1 < r) and the
Z. Ding and H. V. Poor are with the Department of Electrical Engineering, base station located at its origin. The second region is a ring,
Princeton University, Princeton, NJ 08544, USA. Z. Ding is also with the denoted by D2 , constructed from D by removing D1 . Assume
School of Computing and Communications, Lancaster University, LA1 4WA,
UK. R. Schober is with the Institute for Digital Communications, University that M pairs of users are selected, where user m, randomly
of Erlangen-Nurnberg, Germany. located in D1 , is paired with user m′ , randomly located in D2 .

Hence, the users are randomly scheduled and paired together. where 1m denotes an m × 1 all-one vector, and dIj ,m denotes
The use of more sophisticated schedulers can further improve the distance from user m to the j-th interference source. Note
the performance of the proposed MIMO-NOMA framework that small scale fading has been omitted in the interference
of course, but this is beyond the scope of this paper. model, since the effect of path loss is more dominant for
In addition to the messages sent by the base station, the interferers located far away. In addition, this simplification will
downlink NOMA users also observe signals sent by inter- facilitate the development of tractable analytical results.
ference sources which are distributed in R2 according to a User m applies a detection vector vm to its observation, and
homogeneous Poisson point process (PPP) ΨI of density λI therefore the user’s observation can be re-written as follows:
[15]. The same assumption is made for the uplink case. In Gm
vm ym = vm H
√ pm (αm sm + αm′ sm′ ) (3)
practice, these interferers can be cognitive radio transmitters, L(dm )
WiFi access points in LTE in the unlicensed spectrum (LTE- ∑ H Gm
+ vm √ H
pi (αi si + αi′ si′ ) + vm (wIm + nm ),
U), or transmitters from different tiers in heterogenous net- i̸=m
L(d m )
works. In order to obtain tractable analytical results, it is | {z }
interference (including inter−pair interference) + noise
assumed that the interference sources are equipped with a
single antenna and use identical transmission powers, denoted where pm denotes the m-th column of P.
by ρI . In order to remove inter-pair interference, the following
Consider the use of a composite channel model with both constraint has to be met:
quasi-static Rayleigh fading and large scale path loss. In [ H ]
vm Gm
particular, the channel matrix from the base station to user H pi = 02×1 , ∀i ̸= m, (4)
vm ′ G m′
m is Hm = √Gm , where Gm denotes an N × M matrix
L(dm )
whose elements represent Rayleigh fading channel gains, dm where 0m×n denotes the m×n all zero matrix. Without loss of
generality, we focus on p1 which needs to satisfy the following
denotes the distance from the base station to the user, and the constraint:
path loss is modelled as follows: [ ]H
{ α GH
2 v2 GH
2′ v2′ ··· GH
M ′ vM ′ p1 = 0. (5)
dm , if dm > r0
L(dm ) = ,
r0α , otherwise It is easy to verify that for general vm a non-zero vector
pi satisfying (5) does not exist. To overcome this problem, in
where α denotes the path loss exponent and parameter r0
this paper, the concept of interference alignment is applied,
avoids a singularity when the distance is small. It is assumed
which means the detection vectors are designed to satisfy the
that r1 ≥ r0 in order to simplify the analytical results.
following constraint [17], [18]
For notational simplicity, in case of uplink transmission, the
channel matrix from user m to the base station is denoted by H
vm Gm = v mH
′ G m′ , (6)
HHm , where (·)
denotes the Hermitian operator. We denote [ ]
the transpose operator by (·)T . Global CSI is assumed to [ ] vm
or equivalently GH m −Gm′
= 0M ×1 . Define Um
be available at the users and the base station. The proposed vm′
MIMO-NOMA framework for downlink and uplink transmis- as the 2N × (2N − M [ ) matrix containing
] the (2N − M ) right
sion is described in the following two subsections, respectively. singular vectors of GH m −G H
m ′ corresponding to its zero
singular values. Therefore, the detection vectors at the users
are designed as follows:
A. Downlink MIMO-NOMA Transmission [ ]
The base station sends the following vm
= Um xm , (7)
M × 1 information-bearing vector s = v m′
[ ]T
α1 s1 + α1′ s1′ · · · αM sM + αM ′ sM ′ , where sm where xm is a (2N − M ) × 1 vector to be defined later.
is the signal intended for the m-th user, αm is the power We normalize xm to 2, i.e., |xm |2 = 2, due to the following
2 2
allocation coefficient, and αm + αm ′ = 1. The choice of the two reasons. First, the uplink transmission power has to be
power allocation coefficients will be discussed later. constrained as shown in the following subsection. Second,
Without loss of generality, we focus on user m, whose this facilitates the performance analysis carried out in the
observation is given by next section. It is straightforward to[ show that the] choice of
the detection vectors in (7) satisfies GH m −Gm′ Um xm =
ym = √ Ps + wIm + nm , (1) 0M ×1 .
L(dm )
The effect of the signal alignment based design in (6) is the
where P is the M × M precoding matrix to be defined at the projection of the channels of the two users in the same pair
end of this subsection, wIm denotes the overall co-channel into the same subspace. Define gm , GH m vm as the effective
interference received by user m, and nm denotes the noise channel vector shared by the two users. As a result, the number
vector. Following the classical shot noise model in [16], the of rows in the matrix in (5) can be reduced significantly. In
co-channel interference, wIm , can be expressed as follows: particular, the constraint for pi in (5) can be rewritten as
∑ √ follows:
wIm , √ 1N , (2) [ ]H
L(dIj ,m ) g1 · · · gi−1 gi+1 · · · gM pi = 0(M −1)×1 . (8)

[ ]H
Note that g1 · · · gi−1 gi+1 · · · gM is an (M − assume that the total transmission power from one user pair
1) × M matrix, which means that a pi satisfying (8) exists. is normalized as follows:
[ ]H
Define G , g1 · · · gM . A zero forcing based pre-
coding matrix at the base station can be designed as follows:
αm |vm |2 + αm
′ |vm′ | ≤ 2ρ.

P = G−H D, (9) The base station observes the following signal:

( )
where D is a diagonal matrix to ensure power ∑M
m αm vm sm m′ αm′ vm′ sm′
normalization at the base station, i.e., D2 = yBS = √ + √ (15)
m=1 L(dm ) L(dm′ )
diag{ (G−1 G1−H )1,1 , · · · , (G−1 G−H
}, where (A)m,m
denotes the m-th element on the main diagonal of A. As + wI + nBS ,
a result, the transmission
{ power
} at the base station can be where wI is the interference term defined as follows
constrained, i.e., tr PPH ρ = M ρ, where ρ denotes the √
transmit signal-to-noise ratio (SNR). ∑ ρI
wI , √ ( ) 1M . (16)
With the design in (6) and (9), the signal model for user m
can now be written as follows: j∈ΨI L dIj ,BS
(αm sm + αm′ sm′ )
vm ym = √ H
+ vm (wIm + nm ). (10) Here, dIj ,BS denotes the distance between the base station and
(L(dm ))(G−1 G−H )m,m the j-th interferer, and the noise term is defined similarly as in
the previous sub-section. The base station applies a detection
For notational simplicity, we define hm = matrix P to its observations and the symbols from the m-th
√ 1
and hm′ = √ 1
. user pair can be detected based on
L(dm )(G−1 G−H )m,m L(dm′ )(G−1 G−H )m,m
The use of the signal alignment based precoding and detection ( )
matrices decomposes the multi-user MIMO-NOMA channels G αm vm sm G ′ αm ′ vm′ sm′
m yBS =pm

+ m√ (17)
into M pairs of single-antenna NOMA channels. Therefore, L(dm ) L(dm′ )
it is important to point out that hm and hm′ share the same ( )
∑ GH αi vi si GH i′ αi′ vi′ si′
small scale fading gain with different distances. + pmH
+ √
Recall that two users belonging to the same pair are selected i̸=m
L(di ) L(di′ )
from D1 and D2 , respectively, which means that dm < dm′ . + pH
m (wI + nBS ).
Therefore, the two users from the same pair are ordered
without any ambiguity, which simplifies the design of the In order to avoid inter-pair interference, the following con-
power allocation coefficients, i.e., αm ≤ αm′ , following the straint needs to be met
NOMA principle. User m′ decodes its message with the ( )
∑ GH αi vi si GH
following signal-to-interference-plus-noise ratio (SINR) i′ αi′ vi′ si′
+ √ = 0, ∀m ̸= i. (18)
L(di ) L(di′ )
ρ|hm′ |2 αm

SIN Rm′ = , (11)
ρ|hm | αm + |vm | + |vm
′ 2 2 ′ 2 H 1 |2 I ′
′ N m Again applying the concept of signal alignment, the con-
where the interference term is given by straint that GH H
m vm = Gm′ vm′ is imposed on the precoding
∑ vectors vm . Therefore, the same design of vm as shown in (7)
Im ′ = ( I ). (12) can be used. The total transmission power within one pair is
L dIj ,m′ |vm |2 + ραm ′ |vm′ | ≤ 2ρ, which means
2 2 2
j∈Ψ I constrained, i.e., ραm
User m carries out successive interference cancellation (SIC) that the use of the precoding vector in (7) ensures that the total
by first removing the message to user m′ with SINR, transmission power of one user pair is constrained.
ρ|h |2 α2m′ Following steps similar to those used in the previous sub-
SIN Rm,m′ = ρ|hm |2 α2 +|vmm |2 +|v , and then decod-
m 1N | Im′
H 2
m section, one can observe that the use of the proposed pre-
ing its own message with SINR
coding/detection matrices can decompose the original MIMO-
ρ|hm |2 αm
2 NOMA channels into separated SISO-NOMA channels. Due
SIN Rm = , (13)
|vm |2 + |vmH 1 |2 I
N m
to the space limitation, we will only focus on the downlink
case in the rest of this paper. More details about the uplink
which becomes the SNR if ρI = 0. case can be found in the journal version of this paper [19].

B. Uplink MIMO-NOMA Transmission

For the NOMA uplink case, user m will send out an MIMO-NOMA T RANSMISSION
information bearing message sm , and the signal transmitted by
this user is denoted by αm vm sm . Because of the reciprocity Two types of power allocation policies are considered in this
between uplink and downlink channels, vm , which was used section. One is fixed power allocation and the other is inspired
as a downlink detection vector, can be used as a precoding by the cognitive radio concept, as illustrated in the following
vector for the uplink scenario. Similarly, P will be used as two subsections, respectively. Recall that the precoding vectors
the detection matrix for the uplink case. In this paper, we vm and vm′ are determined by xm as shown in (7). In this
paper, a random choice of xm is considered.

A. Fixed Power Allocation On the other hand, user m first decodes the message for
In this case, the power allocation coefficients αm and user m′ before decoding its own message via SIC. Again, we
αm′ are constant and not related to the instantaneous re- focus on a modified expression for the outage probability as
alizations of the fading channels. We will first focus on follows:
( ( ) )
the outage performance of user m′ . The outage probability ρ|hm |2 αm2

P̃m = P log 1 + < R ′ (23)
of user m′ to decode its information is given by Pom′ = ρ|hm |2 αm2 + 2 + 2δI
( ( )
P (log (1 + SIN Rm′ ) < Rm′ ), where P(x < a) denotes the ρ|hm |2 αm2
probability of the event x < a. The correlation between vm′ + P log 1 + < Rm ,
2 + 2δIm
and hm′ makes the evaluation of the above outage probability ( ) )
ρ|hm |2 αm2

very challenging. Hence, we focus on the following modified log 1 + > R m′ ,
expression for the outage probability ρ|hm |2 αm
2 + 2 + 2δI
( ( ) ) which is an upper bound for δ ≥ N as explained in the proof
ρ|hm′ |2 αm

P̃m = P log 1 +
′ < Rm ,′ for Lemma 2. The following lemma provides an exact expres-
ρ|hm′ |2 αm
2 + 2 + 2δI ′
m sion for this probability as well as its high SNR approximation.
where δ ≥ 0. Since |vm′ |2 + |vm |2 = 2, we have
∑N |vm | 2≤ 2

′ ≤ αm ϵm′ , the probability P̃m = 1.
2 2
Lemma 2. If αm
and |vm | ≤ 2. In addition, because ( N n=1 xn ) ≤
2 1
∑N Otherwise, the probability P̃m′ can be expressed as follows:
n=1 xn , |vm′ 1N | ≤ N |vm | . Therefore, we have
2 H 2 ′
2 ∫ r0
e−2ϕ̃m r0 φI (r0 )xdx
P̃m = 1 − 2 (24)
Pom′ ≤ P̃m′ , (19) r1 0
∫ r1
e−2ϕ̃m x φI (x)xdx,
for δ ≥ N , which means that P̃m′ provides an upper bound − 2
on Pm′ if δ ≥ N . Note that a choice of δ = 1 is sufficient to r1 r0
ensure that P̃m′ provides a very tight approximation to Pm′ as where ϕ̃m = max{ϕm , ϕm′ } and ϕm = ρα ϵm
2 . If ρI is fixed and
shown in [19]. In addition, the use of P̃m′ will be sufficient to the transmit SNR ρ approaches infinity, the outage probability
identify the achievable diversity order of the proposed MIMO- can be approximated as follows:
NOMA scheme.
Given a random choice of xm , the following lemma pro- ϕ̃m (2 + θ̃m′ ) ( α+2 )
P̃m ≈ αr0 + 2r1α+2 , (25)
vides an exact expression for P̃m′ as well as its high SNR r12 (α + 2)
approximation. where θ̃m′ was defined in Lemma 1.
′ ≤ αm ϵm′ , the probability P̃m′ = 1,
2 2
Lemma 1. If αm Proof: Please refer to Appendix B in [19].
where ϵm′ = 2 m′ − 1. Otherwise, the probability P̃m′ can be

expressed as follows:
∫ r B. Cognitive Radio Power Allocation
e−2ϕm′ x φI (x)xdx,
P̃m′ = 1 − 2 (20) In this section, a cognitive radio inspired power allocation
r − r1 r1
strategy is studied. In particular, assume that user m′ is viewed
where ϕ m′ = ϵm′
, φI (x) = as a primary user in a cognitive ratio network. With orthogonal
ρα2m′ −ρα2m ϵm′
2 ( ) multiple access, the bandwidth resource occupied by user m′
β (x)
−πλI (β ′ (x)) α γ 1
, α
e m α
, βm′ (x) = 2ϕm′ δρI L (xα ),
r0 cannot be reused by other users, despite its poor channel
and γ(·) denotes the incomplete Gamma function. conditions. In contrast, with NOMA, one additional user, i.e.,
If ρI is fixed and transmit SNR ρ approaches infinity, the user m, can be served simultaneously, under the condition that
outage probability can be approximated as follows: the QoS requirements of user m′ can still be met.
( ) In particular, assume that user m′ needs to achieve a target
2ϕm′ (2 + θ̃m′ ) rα+2 − r1α+2 data rate of Rm′ , which means that the power allocation
P̃m′ ≈ , (21)
r2 − r12 α+2 coefficients of NOMA need to satisfy the following constraint
where θ̃m′ = 2πλI δρI rα0 . When ρI = 0, P̃m′ simplifies to ρ|hm′ |2 αm

> ϵ m′ , (26)
1 ( α α
) ρ|hm′ |2 αm
2 + |vm′ | + |vm
2 H 1 |2 I ′
′ N m
P̃m′ = 1 − 2 e−2ϕm′ r r2 − e−2ϕm′ r1 r12 (22)
r − r1 2
which leads to the following choice for αm
2 ( ( ) ( )) ( )
(2ϕm′ )− α 2 2 ρ|hm′ |2 − ϵm′ (|vm′ |2 + |vm
′ 1 N | Im ′ )
− γ + 1, 2ϕm ′r
− γ + 1, 2ϕm
′ r1 . 2
αm = max 0, .
r2 − r12 α α (1 + ϵm′ )ρ|hm′ |2
Proof: Please refer to Appendix A in [19], which is the (27)
journal version of this paper It is straightforward to show that
By using the high SNR approximation in Lemma 1 and ρ|hm′ |2 −ϵm′ (|vm′ |2 +|vm
′ 1N | Im′ )

(1+ϵm′ )ρ|hm′ |2 is always less than one.

also the fact that both ϕm′ and θm′ are at the order of ρ1 , the ′
An outage at user m means here that all power is allocated
following corollary can be obtained straightforwardly.
to user m′ , but outage still occurs. As a result, the outage
Corollary 1. If αm2 2
′ > αm ϵm′ , the diversity order achieved probability of user m′ is exactly the same as that in conven-
by the proposed MIMO-NOMA framework for user m′ is one. tional orthogonal multiple access systems. Therefore, in this

Outage Sum rate: (1 − Pm‘ )Rm‘ + (1 − Pm )Rm

section, we only focus on the outage probability of user m
which can be expressed as follows:
( { 4.5

Pom =P |hm |2 < max ϕm′ (|vm |2 + |vm H

1N |2 Im ), (28) 4
ϕm (|vm |2 + |vm
1 N | 2 Im ) , 3.5

2 2
if αm ′ > αm ϵm′ , otherwise outage always occurs. It can be
′ ≤ αm ϵm′ is equivalent to αm = 0, in the
2 2
verified that αm 2
context of cognitive radio power allocation. 1.5
Analyzing this outage probability is very difficult due to MIMO−OMA without precoding
the following two reasons. First, hm and vm are correlated, MIMO−OMA with precoding
0.5 MIMO−NOMA without precoding
and second, the users experience different but correlated SA−MIMO−NOMA
co-channel interference, i.e., Im ̸= Im′ . Therefore, in this 0 5 10 15 20
Transmission Power in dBm
25 30 35 40

subsection, we only focus on the case without co-channel

(a) Outage Sum Rate
interference, i.e., ρI = 0. In particular, we focus on the
following outage probability 10

( { })
P̃m =P |hm |2 < 2 max ϕ̄m′ , ϕ̄m , (29)

Outage Probabilities: Pm‘ and Pm

where ϕ̄m = ρϵᾱm2 , ϕ̄m′ = ρᾱ2 −ρ 2
, and ᾱm =
( m ) m′
ᾱ2m ϵm′
ρ|hm′ | −2ϵm′
max 0, (1+ϵ . 10

m′ )ρ|hm′ |
Pm‘ , Rm‘ =
Similarly to the case with fixed power allocation, the outage 0.5 BPCU
Pm , Rm =
probability P̃m tightly bounds Pom . The following lemma 10

provides the expression for the outage probability P̃m .

Lemma 3. When ρI = 0, the outage probability can be MIMO−OMA without precoding
MIMO−OMA with precoding
expressed as follows: MIMO−NOMA without precoding
( ) ( ) SA−MIMO−NOMA

2ϵm′ 2ϵm (1 + ϵm′ ) 0 5 10 15 20 25 30 35 40

P̃m = 1 − Υ1 Υ2 , (30) Transmission Power in dBm
ρ ρ (b) Outage Probabilities
( −yrα 2 ) Fig. 1. Performance comparison for downlink transmission. Rm = 5 bits
r − e−yr1 r12
where Υ1 (y) = r 2 −r12
e + per channel use (BPCU) and Rm′ = 0.5 BPCU. r = 20m and r1 = 10m.
y− α
2 ( (2 ) ( )) M = N = 3. r0 = 1m. am′ = 43 . The path loss exponent is α = 3. The
r 2 −r12
γ α + 1, yrα − γ α2 + 1, yr1α , and noise power is −30dBm and the interference power is ρI = 0.
2 −zr0 α ( )
+ r12 e−zr1 r12 − e−zr0 r02 +
r0 e α α
Υ2 (z) = r12
z− α
2 ( (2 ) (2 1
)) design for the two schemes without precoding can be found in
γ α + 1, zr1 − γ α + 1, zr0α . At high SNR,
[9]. The MIMO-OMA scheme with precoding serves M users
the outage probability can be approximated as follows: during each orthogonal channel use, e.g. one time slot, whereas
4ϵm′ ( α+2 ) 2M users are served simultaneously by the proposed scheme.
P̃m ≈ r − r1α+2 (31)
ρ(2 + α)(r − r1 )
2 2 The framework proposed in this paper is termed SA-MIMO-
2r2+α ϵm (1 + ϵm′ ) 4ϵm (1 + ϵm′ ) ( α+2 ) NOMA. The size of D1 and D2 is determined by r = 20m,
+ 0 2 + 2 r1 − r0α+2 . and r1 = 10m. The parameter for the bounded path loss model
ρr1 ρ(2 + α)r1
is set as r0 = 1.
Proof: Please refer to Appendix C in [19]. Since the benchmark schemes were proposed for the
By using the above lemma, it is straightforward to show interference-free scenario, Fig. 1 shows the performance com-
that a diversity gain of one is still achievable at user m (i.e., parison of the four schemes for ρI = 0. In Fig. 1(a), the down-
there is no error floor), and it is important to point out that link outage sum rate, defined as Rm′ (1−Pm′ )+Rm (1−Pm ),
this is achieved when user m′ experiences the same outage is shown as a function of transmission power, and the corre-
performance as if it solely uses the channel. Therefore, by sponding outage probabilities are studied in Fig. 1(b). As can
using the proposed cognitive radio NOMA, one additional be seen from the figures, the two NOMA schemes can achieve
user, user m, is introduced into the system to share the larger outage sum rates compared to the two OMA schemes,
spectrum with the primary user, user m′ , without causing any which demonstrates the superior spectral efficiency of NOMA.
performance degradation at user m′ . In Fig. 1(b), the two schemes with precoding can achieve better
outage performance than the two schemes without precoding,
IV. N UMERICAL S TUDIES due to the efficient use of the degrees of freedom at the base
In this section, the performance of the proposed NOMA station. Comparing the proposed SA-MIMO-NOMA scheme
framework is investigated by using computer simulations. The with the one proposed in [9], one can observe that their outage
performance of three benchmark schemes, termed MIMO- sum rate performances are similar, but SA-MIMO-NOMA can
OMA without precoding, MIMO-OMA with precoding, and offer much better reception reliability, particularly for high
MIMO-NOMA without precoding, is shown in Fig. 1. The transmission power. In terms of individual outage probability,

0 0
10 10

Outage Probabilities
Outage Probabilities
−1 10

Solid lines: simulation

Dotted lines: exact expressions
Dash−dotted lines: approximation
Solid lines: simulations −2
10 Dash-dotted lines: analytical results R =4 BPCU, R =4 BPCU
m’ m
P̃m‘ , ρI = ρ Rm’=2 BPCU, Rm=4 BPCU
P̃m‘ , ρI = 10dBm R =1 BPCU, R =4 BPCU
m’ m
P̃m , ρI = 10 R =1 BPCU, R =1 BPCU
−3 m’ m
−3 P̃m , ρI = 10dBm 0 5 10 15 20 25 30 35 40
10 Transmission Power in dBm
0 5 10 15 20 25 30 35 40
Transmission Power in dBm Fig. 3. Outage probability P̃m for cognitive radio downlink transmission.
Fig. 2. Outage probabilities P̃m′ and P̃m for downlink transmission. λI = r = 20m, r1 = 10m, r0 = 1m, δ = 1, ρI = 0, and M = N = 2. The
10−4 , δ = 1, r = 20m, r1 = 10m, M = N = 2, r0 = 1m, and am′ = 34 . noise power is −30dBm. The analytical results and the approximations are
Rm′ = Rm = 1 BPCU. The path loss exponent is α = 3 and the noise based on Lemma 3.
power is −30dBm.
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