Dynamic Subchannel and Power Allocation in

OFDMA-Based DF Cooperative Relay Networks

Hongxing Li, Hui Yu, Hanwen Luo, Jia Guo, Chisheng Li
Institute of Wireless Communication Technology
Shanghai Jiao Tong University
Shanghai 200030, China
Email: {lihongxing;yuhui;hwluo;guozixie;chishengli}@sjtu.edu.cn

Abstract— This paper focuses on subchannel and power al-
location problem in OFDMA-based decode-and-forward (DF)
cooperative relay networks. The objective of this problem is
to maximize the total data rate under the constraints of joint
total transmission power and subchannels occupation, while
maintaining the maximum fairness among multiple relay nodes.
We transform this mixed integer programming problem to a
standard convex optimization one through Lagrangian relaxation
method. Accordingly, the optimal solution can be achieved by
using Karush-Kuhn-Tucker (KKT) conditions. In addition, we
propose two suboptimal subchannel allocation schemes with and
without subchannel permutation (SP), which reduce significantly
the computational complexity with small performance loss. The
simulation results show that the performance of the proposed
suboptimal algorithms with SP approaches asymptotically that
of the optimal algorithm and with the increment of the number
of relay nodes.
I. I NTRODUCTION
Resource allocation such as power control and frequency
allocation has been regarded as one of effective ways to im-
prove the capacity of wireless networks. In resource allocation,
dynamic subcarrier and power allocation (SPA) can constantly
maintain high transmission rate. Thus, intense interest has been
focused on the resource allocation, especially in cooperative
OFDMA networks.
The main idea of cooperative communication is to achieve
spatial diversity through distributed cooperating terminals. In
the pioneer work on cooperative transmission mechanism [1],
a CDMA-based two users cooperative transmission framework
was adopted to demonstrate the mechanism and advantages of
cooperative diversity. Several efficient cooperative protocols
and their outage behaviors were analyzed in [2]. Generally, co-
operation protocol can be cataloged into two classes, i.e., fixed
relay protocol and selective relay protocol [2]. The former
one includes amplify-and-forward (AF), decode-and-forward
(DF) [3], compress-and-forward (CF) [4], [5]. The later one
comprises selection decode-and-forward, coded cooperation
[6], and dynamic decode-and-forward [7]. Most research on
cooperation protocol exploit a two-stage transmission scheme.
In the first stage, the source node transmits and the relay and
destination nodes listen, while in the second stage, the relay
nodes transmit the received message to the destination node
and the source node is idle. The optimization of resource
allocation in OFDM systems offers substantial gains to the
system performances [8]- [11]. In resource allocation, there are
two kinds of optimization techniques which are rate adaptive
(RA) and margin adaptive (MA). In RA problem, the objective
is to maximize users’ error free capacity with the constraints
of total transmission power and co-channel interference (CCI)
avoidance [8] and [9]. While the objective of MA is to achieve
the minimum overall transmit power given the constraints on
the users’ data rates or bit error rates (BER). An adaptive
subcarrier, bit, and power allocation algorithm was proposed
in [10], whose objective is to minimize the total transmit
power. In [11], Kim et al. solved the optimal subcarrier and
bit allocation problem by using integer programming(IP), and
proposed linear-programming(LP)-based suboptimal algorithm
which is considerably simpler to implement than the optimal
IP.
All the aforementioned work, which investigated different
power, bit and subchannel allocation schemes with diverse
optimization objectives to improve the system performance,
focused on peer-to-peer wireless OFDM systems. However,
there are still many unresolved problems of resource allocation
in cooperative relay networks. It is all known that OFDM can
eliminate inter-symbol interference by dividing the available
bandwidth into multiple orthogonal subchannels. Hence, Lin
Dai et al. [12] applied the technique to cooperative system
and proposed an OFDMA-based selective relaying scheme,
where the relay selection at each hop is performed on a per-
subcarrier basis. By assigning the subcarriers to different relay
nodes, the error probability of the whole OFDM symbol is
greatly reduced. Based on this idea, the power allocation over
frequency subchannels at source and relay nodes in OFDM
cooperative networks was studied in [13] and [14]. However,
they only considered the scenario with the AF cooperation
protocol and a single relay node. In OFDMA-based DF
cooperative relay networks, Bo Gui et al. [15] proposed
several bit loading and power allocation schemes by using
an equivalent channel gain, which aimed at minimizing the
total transmission power under a target rate constraint. In [16],
the power management problem over a multiuser OFDMA-
based cooperative network with the objective of minimizing
the total transmission power under the constraint of each user’s
rate was analyzed. By dividing the total transmission power
into two parts according to the sizes of sub-frames, separate
transmission power minimization can be done in [17], which
is subject to a requested data rate on each link.

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 So far, the work on the resource allocation problem in
OFDMA-based cooperative network mainly focused on ei-
ther minimizing transmission power subject to some rate
requirements or maximizing the sum throughput under some
power constraints. To the best of our knowledge, there is no
consideration on balancing the tradeoff between transmission
rate and fairness among multiple relay nodes. Motivated by
this, we formulate a new optimization problem in OFDMA-
based DF cooperative networks. Under the constraint of total
transmission power for the source and relay nodes, our objec-
tive is to maximize the data rate of the worst relay node by
dynamically allocate subcarriers and power among multiple
relay nodes. Such that, high sum rate is achieved based on the
maximum fairness among all the relay nodes, i.e. all the relay
nodes have the same transmission rate.
The paper is organized as follows. We outline OFDMA-
based relay system model in section II. In section III, we
formulate the optimization problem and present how to find
the optimal solution. In section IV, we propose two suboptimal
algorithms on which the dynamic subcarrier allocation is
based. The simulation results are presented in section in V.
Finally, we conclude this paper in section VI.
II. S YSTEM M ODEL
We consider an OFDMA-based half-duplex dual-hop coop-
eration scenario with a source-destination pair and K relay
nodes, as shown in Fig. 1. It is assumed that the direct path
between the source and destination node is blocked, while
the relay nodes can communicate with both the source and
destination node. Each node is equipped with an OFDM
transceiver with N subchannels. We assume perfect time
and frequency synchronization among nodes. A two-stage
R1
ĂĂ
S D
RK
Fig. 1. The two-stage cooperative relay model
transmission protocol is adopted. In the first stage which is
denoted by solid lines, the source node transmits to the relay
nodes and the relay nodes do receiving only. In the second
stage that is expressed as dash lines, the relay nodes retransmit
the received signal to the destination and the source node is
idle. Here, we adopt a selective decode-and-forward relaying
strategy. In particular, each subchannel can only be occupied
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by one relay node in each hop. We also assume that the
selected relay nodes can fully decode the received information,
re-encode it, and then forward it to the destination node. Each
subchannel at the source node may select different relay nodes,
similar to the selective OFDMA relaying scheme in [12].
To describe the optimization problem, we first introduce
some notations. The channel response of the subchannel n
from the source node S to the relay node Rk and from
the relay node Rk to the destination node D are denoted
as hsrk (n) and hrk d (n), respectively. For convenience, let
Gsrk (n) = |hsrk (n) |2 and Grk d (n) = |hrk d (n)|2 denote the
channel power gains, respectively. Further, we assume that the
double-sided noise power spectral density level N0 is equal to
unity (i.e. N0 = 1) and is same for all subchannels and relay
nodes. We also let Psrk (n) denote the transmission power
assigned to the subchannel n at the source S and Prk d (n)
at the relay node Rk . The required power on subcarrier n for
cooperative transmission through relay node Rk includes two
parts which are Psrk (n) and Prk d (n).
Let x(n), yrk (n) and yd (n) be the data transmitted on
subcarrier n from the source node S, the received signal at
the relay node Rk and the destination node D, respectively.
Then, the following relationships can obtained.
In the first stage

yrk (n) = hsrk (n) Psrk (n)x(n) + υk (n). (1)
In the second stage

yd (n) = hrk d (n) Prk d (n)x(n) + υd (n), (2)
where υk (n) and υd (n) are independent and identically dis-
tributed (i.i.d.) complex Gaussian noise with unit variance for
all subchannels and is same for all relays. Therefore, the data
rate of subchannel n can be expressed as
⎧  
⎪
⎪ Psrk (n)Gsrk (n)
1 ⎨ log2 1 + ,
N0
Rk,n = min   (3)
2 ⎪
⎪
Pr d (n)Grk d (n)
⎩ log2 1 + k .
N0
III. O PTIMAL S UBCHANNEL AND P OWER A LLOCATION
In this section, we formulate the optimization problem
and present the optimum subchannel and power allocation
algorithm.
Suppose that the available total transmission power is PT ,
we maximize the minimum rate of the kth relay node subject
to the total transmit power constraint. The problem can be
expressed as
N
max min ρk,n Rk,n (4)
Psrk (n),Prk d (n),ρk,n k
n=1
 subject to in the SR links with best channel gains with the one in the
RD links. Thus the transmission power can be further saved.

K
N
C1. [Psrk (n) + Prk d (n)]  PT , Finally, by introducing new variables z and ρk (n, j), the
k=1 n=1 original optimization problem can be expressed as
Psrk (n)  0, Prk d (n)  0, for all k, n,

K max z (8)
C2. ρk,n = 1, ρk,n ∈ {0, 1}, ∀n Psrk (n),ρk (n,j)

k=1

N
N  
where ρk,n is an indicator which denotes whether or not ρk (n, j) Psrk (n)Gsrk (n)
subcarrier n is used at relay node k. Constraint C1 indicates s.t. C1 z  log2 1 + ,
n=1 j=1
2 N0 ρk (n, j)
that the total transmission power for an OFDM symbol con- ⎛ ⎞
sists of two parts, and C2 indicates each subcarrier n can only
K N N
G (n)
Psrk (n) ⎝1 + ⎠  PT ,
srk
be used by at most one relay at each stage. C2. ρk (n, j)
G (j)
As we can see from (3), the capacity of subchannel n n=1 j=1 rk d
k=1

approaches its maximum value when Psrk (n)  0, for all k, n,

Psrk (n)Gsrk (n) = Prk d (n)Grk d (n) (5)
K
N
C3. ρk (n, j) = 1, ρk (n, j) ∈ (0, 1], ∀j,
is satisfied. Such that, we obtain the relationship of power k=1 n=1
allocation between the source node S and the relay node Rk K N
ρk (n, j) = 1, ρk (n, j) ∈ (0, 1], ∀n.
Gsrk (n)
Prk d (n) = Psrk (n) (6) k=1 j=1
Grk d (n)
where the variable ρk (n, j) indicates whether or not subcarrier
Consequently, the parameter Prk d (n) can be taken off and the n in the first stage is used in cooperation with the subchannel
problem above can be simplified as j in the second stage occupied by relay node k.

N The above optimization problem is a standard convex
max min ρk,n Rk,n (7) optimization problem. Thus using the Karush-Kuhn-Tucker
Psrk (n), ρk,n k (KKT) conditions [19], the optimal solution can be obtained.
n=1

subject to However, the computational complexity increases exponen-

K
N
Gsrk (n)
C1. [Psrk (n)(1 + )]  PT ,
Grk d (n)
k=1 n=1
Psrk (n)  0, for all k, n,
K
C2. ρk,n = 1, ρk,n ∈ {0, 1}, ∀n
k=1
In general, this RA optimization problem is very hard
to be solved. As we can see, (7) involves both continuous
variable Psrk (n) and binary variable ρk,n . Thus it belongs
to the group of mixed binary integer programming problem.
The general approach to solve this problem is to relax the
integer ρk,n to real numbers on the interval (0, 1], which means
the proportion that the subcarrier n is occupied by the relay
node Rk . However, after solving the relaxation problem, the
solution has to be reevaluated [10] as only integer solutions are
feasible from a system point of view. Usually, this is done by
reassigning the sub-channels to the terminals with the largest
non-integer fraction.
Up to now, we have assumed that the subchannels used by
the relay node Rk in the first stage and the second stage are
the same ones. In fact, the best subchannel n in the SR link
maybe not the best one in the RD link. As shown in [15] and
[14], a higher data rate can be achieved if the subchannels of
both hops are paired according their actual magnitude, which
is called SP. For each relay node, we combine the subchannels
tially with the increment of K and N . Therefore, the optimal
algorithm is not feasible from an implemental point of view.
Considering the tradeoff between computational complexity
and rate performance, we propose two suboptimal algorithms
in the next section.
IV. S UBOPTIMAL S OLUTIONS
In order to achieve the optimal solution of (8), subchannels
and power should be allocated jointly. However, the computa-
tional complexity is very high when K and N is large. Hence,
low-complexity suboptimal algorithms are preferred for cost-
effective implementations. Separating the SPA problem into
two subproblems is an effective way to reduce the complexity,
because the number of variables in the objective function is
almost reduced by half. In this section, we propose two sub-
optimal sub-channel allocation algorithm. In the suboptimal
algorithms, equal power distribution is assumed across all
subchannels. The throughput of subchannel n is defined as
 
2
N |hk,n |
PT
1
C(hk,n ) = log2 1 + (9)
2 N0
A. Subchannel Allocation without SP
To find the appropriate subcarrier to be used in a link,
we introduce an equivalent channel gain. Let Preq (n) denote
the required transmission power on the nth subchannel for a
reliable reception of 1 bits/symbol when the channel gain is

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 equal to unity, the transmit power consumed at the source and 50
relay node should satisfy optimal
45
equal power with SP
Psrk (n)Gsrk (n) ≥ Preq (n), (10)

Average Total Rate ( bits/s/Hz)

40
equal power without SP
Prk d (n)Grk d (n) ≥ Preq (n). (11) 35

30
The total minimum transmission power that should be allo-
cated to subchannel n is 25

20
PT (n) = Psrk (n) + Prk d (n),
15
Preq (n)
= . (12)
Gsrk d (n) 10

5
where Gsrk d (n) is defined as the equivalent channel gain of
the subchannel occupied by the relay node Rk , which is given 0
0 2 4 6 8 10 12 14 16 18 20
Transmit Power ( R=8 )
as
Fig. 2. Average total capacity for different SNR
Gsrk (n)Grk d (n)
Gsrk d (n) = . (13)
Gsrk (n) + Grk d (n)
c) update Rk according to (9) by using the result of
As we can see, (13) is equivalent to the harmonic mean of
b), S = S − n and S  = S  − j.
the gains of subchannel n occupied by the kth relay in the
step 3 : While S = φ, S  = φ
two transmission stages.
We exploit the subcarrier with the largest Gsrk d (n) at a) find k satisfying Rk ≤ Rk for all k  , 0 ≤ k  ≤ K,
relay k. Hereby, the subchannel allocation procedure can be
described as b) for the found k, pick out the n satisfying
|hk,n | ≥ |hk,n | and j satisfying |hk,j | ≥ |hk,j  |
step 1 : Initialization
for all n ∈ S and j ∈ S  ,
set Rk = 0 for k = 1, 2, ..., K, S = {1, 2, ..., N }.
step 2 : For k = 1 to K
c) update Rk , S and S  with the k, n and j, respec-
a) calculate the equivalent channel gain according to tively:
(13) for all n ∈ S, and find Rk = Rk + C(hk,n ), S = S − {n}, S  = S  − {j}.
n∗ = arg max Gsrk d (n),
n∈S V. S IMULATION R ESULTS
b) for the found n∗ , compare |hsrk (n∗ )| with
|hrk d (n∗ )|, choose the smaller one and update Rk In this section, we present some simulation results to
according to (9): compare the performance of different subcarrier and power
Rk = C(hk,n ), S = S − {n}. allocation algorithms. We employ an OFDMA-based cooper-
ative communication network with a single source-destination
step 3 : While S = φ (empty set)
pair and K relay nodes. The relay nodes are independently
a) find k satisfying Rk ≤ Rj for all j, 0 ≤ j ≤ K, and identically distributed in the area between the source and
relay nodes. We also assume that the total subcarrier number
b) for the found k, repeat step 2, N is fixed to be 64 and the power spectral density of AWGN
c) update Rk , S and S  : is normalized to be 1.
Rk = Rk + C(hk,n ), S = S − {n}. In Fig.2, we compare the average total data rate of the
B. Subchannel Allocation with SP optimal algorithm, suboptimal algorithm without and with SP.
In this experiment, the number of relay nodes is fixed to be
The subcarrier allocation algorithm with SP can be de- 8. From Fig.2 we can see that with the increment of transmit
scribed as power, the performance of the proposed suboptimal approach
step 1 : Initialization asymptotically to the optimal one with SP. This is because the
set Rk = 0 for k = 1, 2, ..., K, S = {1, 2, ..., N } and subchannel allocation algorithm utilizes the subchannels with
S  = {1, 2, ..., N }. large SNR as much as possible. We also observe that both
step 2 : For k = 1 to K of this two algorithms achieve more performance gain than
a) find n satisfying |hsrk (n)| ≥ |hrk d (n )| and j the suboptimal algorithm without SP. It can be found that the
satisfying |hsrk (j)| ≥ |hrk d (j  ) for all n, n ∈ S averaged total data rate increases more and more quickly at
and j, j  ∈ S  , high transmit power. This result validates the conclusion in [1]
b) compare |hsrk (n)| with |hrk d (j)|, and select the that the cooperation scheme can greatly improve the achievable
smaller one, rate region when the channels between the source and relay
nodes are better.

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 4.5
4
Average Total Rate (bits/s/Hz)
3.5
3 ACKNOWLEDGEMENT
2.5
2 equal power with SP
1.5
1 [1] A. Sendonaris, E. Erkip and B. Aazhang, “User Cooperation Diversity-
0.5
2 4 6 8
The number of Relay Node
Fig. 3. Average total capacity for different relay number K
Fig.3 illustrates the data rate with different number of relay
nodes. In this experiment, we compare the date rate of the
proposed algorithms. The comparison is done at the SNR
level 5dB. From Fig.3, we can observe that with increment
of the number of relay nodes, the data rate can be improved.
However, the slope of the curves become small when the user
number is large, which indicates that the incremental gains
from additional relay nodes will diminished as the number of
the relay nodes grows. This conclusion is consistent with that
in [1]. We also find that the performance of the proposed sub-
optimal algorithm with SP approaches asymptotically that of
the optimal algorithm. This is because the power distribution
among the relay nodes tends to be uniform when the number
of relay nodes is large, which is similar to the assumption
of the suboptimal algorithm with SP. We also find that the
performance of the suboptimal algorithm without SP is away
from that of the algorithms with SP when K is large. This
is because that the number of the subcarriers that may be
occupied by each relay node is decreased when K is large,
such that it is difficult to find the appropriate subcarriers for
each relay nodes.
VI. C ONCLUSIONS
In this paper, we have investigated the problem of dynamic
subchannel and power allocation which has not been consid-
ered previously in decode-and-forward cooperative OFDMA
systems. The proposed algorithm was designed to maximize
the minimal rate of the relay nodes under the constraints of
joint transmission power and subcarriers occupation. By for-
mulating the initial resource allocation problem to a standard
convex optimization problem, the optimal solution is obtained.
However, the computational complexity of the optimal algo-
rithm is very high. To reduce the complexity without sacrific-
ing performance too much, we then designed two suboptimal
algorithms. Simulation results indicated that the suboptimal
algorithm without SP could achieve the most computational
complexity advantage but too much performance loss. At the
same time, the suboptimal algorithm with SP offers much com-
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE "GLOBECOM" 2008 proceedings.
putational advantage while incurring negligible performance
loss. Hence, the suboptimal algorithm with SP can be regarded
as the substitute of the optimal algorithm with a view of
implementation.
This work is supported by the National Natural Science
optimal Foundation of China (No. 60572157). We thanks Feng She
for discussion about the convex optimization problem.
equal power without SP
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