Digital Signal Processing 92 (2019) 223–233

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Digital Signal Processing

www.elsevier.com/locate/dsp

Cognitive radio inspired NOMA with SWIPT for green multicasting in

next generation wireless networks
Sangeeta Bhattacharjee a , Tamaghna Acharya a,∗ , Uma Bhattacharya b
a
Department of Electronics and Telecommunication Engineering, Indian Institute of Engineering Science and Technology, Shibpur, Howrah, 711103, India
b
Department of Computer Science and Technology, Indian Institute of Engineering Science and Technology, Shibpur, Howrah, 711103, India

a r t i c l e i n f o a b s t r a c t

Article history: This paper investigates an application of simultaneous wireless information and power transfer (SWIPT)
Available online 28 June 2019 in a cognitive radio (CR) inspired non-orthogonal multiple access (NOMA) framework with an aim to
support simultaneous multicast services of delay sensitive traffic to a high priority multicast group and
Keywords:
a low priority multicast group, modeled as primary user (PU) and secondary user (SU) respectively. A
Energy-efficient multicast
Cognitive radio inspired NOMA
cooperative NOMA protocol is proposed where the nodes in the SU multicast group (SU-MG), located in
SWIPT between a common base station (BS) and the PU multicast group (PU-MG), act as relays. As an incentive,
Outage analysis a provision is made such that the BS could support exclusive downlink transmission to the SU-MG. In
view of the challenge of supporting sustainable network operation with their limited battery power, the
SU relays are equipped with requisite harvesting hardware to harvest energy from the NOMA signal
transmitted by the BS, using the principle of SWIPT. Closed form expressions of outage probabilities of
PU-MG and SU-MG and their approximations under high SNR regime are derived to characterize the
performance of the proposed protocol. Furthermore, allocation of exclusive time interval to SU-MG and
power sharing of NOMA signal are optimized jointly with an aim to minimize the outage probability of
SU-MG under the outage constraint of PU-MG. Simulation results are presented to validate the accuracy
of the analytical expressions. Results highlight that proposed scheme performs much better in terms
of energy efficiency of PU-MG as compared to that of traditional orthogonal multiple access and non-
cooperative NOMA, both without SWIPT.
© 2019 Elsevier Inc. All rights reserved.

1. Introduction power to the users with stronger channel conditions in compar-

Non-orthogonal multiple access (NOMA) [1] is a promising
technology to ameliorate the spectrum utilization of 5G cellu-
lar networks as well as other emerging wireless networks such
as smart grid [2], radar communication [3], etc. NOMA provides
paradigm shift from the conventional orthogonal multiple access
(OMA) techniques, where users are served by orthogonal resource
blocks. It achieves higher system throughput and accommodates
massive connectivity by allowing multiple users to share frequency
and temporal resources over a common spectrum through power
or code domain multiplexing [4]. The key idea of power domain
NOMA is to serve multiple users, with heterogeneous channel con-
ditions, concurrently by superimposing their signals at the trans-
mitter with different power levels. This enables delivery of lesser
*
Corresponding author.
E-mail addresses: sangeeta.bhatta@gmail.com (S. Bhattacharjee),
t_acharya@telecom.iiests.ac.in (T. Acharya), ub@cs.iiests.ac.in (U. Bhattacharya).
ison to that of the users with poorer channel conditions [5]. At
each receiver, successive interference cancellation (SIC) technique
[4] is used to recover the individual users’ signal from the su-
perimposed one by eliminating multiuser interference. Although
conventional power-domain NOMA ensures user fairness, it cannot
guarantee reception reliability due to inherent interference present
in the transmitted signal [6].
Cognitive radio (CR) inspired NOMA (CR-NOMA) is a varia-
tion of power-domain NOMA, which facilitates intelligent spectrum
sharing by minimizing multiuser interference while guaranteeing
the required heterogeneous quality of service (QoS) for multiple
users. In downlink CR-NOMA, the base station (BS) serves multiple
users by prioritizing them according to their QoS requirements [7].
Specifically, the users with stronger channel conditions, referred
to as secondary users (SUs), are granted opportunistic access to
the spectrum of primary users (PUs) with poorer channel condi-
tions subject to the satisfaction of QoS requirements of the latter.
However, a situation may arise, that PUs, because of their strin-
gent QoS requirements, may deny spectrum access to the SUs due

https://doi.org/10.1016/j.dsp.2019.06.011
1051-2004/© 2019 Elsevier Inc. All rights reserved.
224 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233
to unacceptable levels of interference by the latter. To overcome
this problem, the BS may encourage the SUs to cooperatively re-
lay PUs’ signal, while incentivizing the SUs with spectrum access
using NOMA [8].
In view of the growing demand for TV services in smart phones,
coupled with limitations of spectrum availability, design of band-
width efficient multicasting services is imperative in 5G networks.
Our current study attempts to address this issue based on CR-
NOMA, which is envisaged to be even more beneficial in multicast
scenarios. We aim to improve the capacity and reliability of PUs’
communication by exploiting the presence of multiple SUs having
a common interest thus leading to better spectrum utilization [8].
A key challenge to enable cooperative CR-NOMA transmission
lies in the fact that often the relay nodes because of their limited
battery capacity demand continuous supply of external energy to
sustain their relaying function. Simultaneous wireless information
and power transfer (SWIPT) [9,10] emerges as a promising tech-
nology to combat this situation, where the wireless relay nodes
can use the received RF signal for both energy harvesting (EH) and
information processing.
1.1. Related works
The outage performance of the downlink in a single EH re-
lay assisted NOMA based cellular network is analyzed in [11–13]
to demonstrate the superiority of EH-NOMA over EH-OMA. While
multiple antennas at the BS are considered [11,12] to improve
spectral efficiency and user fairness, a more realistic analysis con-
sidering the impact of imperfect channel state information (CSI)
is studied in [13]. The uplink of a NOMA based wireless pow-
ered communication network, where multiple users harvest energy
from an energy rich source and subsequently use it for trans-
mitting information to an access point is proposed in [14,15].
While the authors in [14] focus on maximizing the sum through-
put of the network, this work is extended in [15] to maximize
the minimum throughput of individual users with an aim to en-
sure fairness among users. SWIPT enabled wireless-powered uplink
systems are studied in [16–18] to jointly design the downlink RF
energy transfer from the base station as well as uplink information
transmission from multiple users using NOMA. All these works fo-
cus on improving system throughput and user fairness through
optimal allocation of time and energy resources. A NOMA based
joint uplink and downlink rate maximization problem consider-
ing wireless-powered nodes is addressed in [19]. The authors show
that NOMA is more suitable as compared to time division multiple
access (TDMA) when high downlink data rate is desired.
The application of SWIPT for two user cooperative NOMA sys-
tem with multiple antennas at the base station is investigated in
[20,21]. The outage probability of cooperative NOMA system is in-
vestigated [20] considering SWIPT enabled relaying action of the
user located closer to the base station for assisting the user lo-
cated far. The data rate maximization problem for a cell-center
user which acts as EH relay to satisfy the QoS constraint of a
cell-edge user is investigated in [21]. A cooperative SWIPT-NOMA
protocol [22] is proposed in a randomly deployed multiuser net-
work, where distance based user selection strategies are adopted
for pairing an user which acts as a cooperative relay to another
user. The outage performance of a full-duplex SWIPT enabled co-
operative NOMA network with imperfect CSI is analyzed in [23]
where the optimal duration of energy harvesting is derived to
maximize the system throughput.
The application of SWIPT in a CR inspired NOMA network is
considered in [24,25]. Specifically, power allocation policies pro-
posed in [24] for two user downlink CR-NOMA system assisted by
a single EH relay highlights the existence of a trade off between
system reliability and user fairness. The authors in [25] report an
interesting result that the spectral efficiency of a CR-NOMA with
two user SWIPT system is strictly dependent on sufficient devi-
ation in channel power gains of the users as well as the QoS
threshold of the weaker users. A SWIPT based underlay cognitive
radio NOMA network using non linear EH model is proposed in
[26] to improve both EE and SE of the network.
The research on integrating SWIPT in CR-NOMA networks is still
in its infancy. It may be noted that all the works discussed above
consider SWIPT enabled NOMA in a multiuser environment where
each message signal is destined for a single user. There exist a few
works which consider CR inspired NOMA in multicast scenarios,
where a common message signal is delivered by the BS to multi-
ple users forming a SU multicast group (SU-MG) while supporting
concurrent unicast service to a PU [27,28]. Specifically, both these
works consider cooperative multicast NOMA (CM-NOMA) scheme,
where the best SU in the SU-MG decodes and forwards the NOMA
signal received from the BS to the PU and all other SUs. The out-
age performance of both the PU and the SU-MG are analyzed in
[27], which shows that increasing the size of SU-MG improves
spectrum efficiency of the network. This work is extended in [28]
to adapt transmit power for maximizing the system throughput.
Further, CR-NOMA is considered in [29] to support simultaneous
multicast services to a PU multicast group (PU-MG) as well as a
SU-MG. It is worth mentioning that the CM-NOMA schemes inves-
tigated above are realistic for bursty traffic transmission, where the
SU relays may use their own battery power. However, in scenarios
where prolonged relaying operation is required such as transmis-
sion of delay sensitive traffic, the SU nodes may avoid participation
in relaying action due to fast depletion of their limited battery
resources. To overcome these limitations, SWIPT may be used in
situations where battery power consumption of SUs for relaying
PU-MG’s signal may be avoided. To the best of our knowledge, the
joint consideration of SWIPT and CR inspired NOMA aiming to de-
sign a bandwidth efficient sustainable multicast services is not well
investigated.
1.2. Contributions
In this paper, we consider a BS which intends to support mul-
ticast services to two heterogeneous groups comprising of co-
located users in each group. For this, we consider a CR inspired
NOMA framework, where the multicast group located far from
the BS is viewed as a PU-MG while that located closer to the
BS is modeled as a SU-MG. The BS serves both the PU-MG and
the SU-MG concurrently using NOMA. The SU-MG also assists the
BS through cooperative relaying of PU-MG’s information after de-
coding it from the NOMA signal. As an incentive to the relaying
actions of SUs, the BS also intends to support multicast service
to the SU-MG using a dedicated time slot. Results of preliminary
investigation involving the spectrum efficiency perspective of this
novel communication protocol is presented in [29]. Here, we re-
visit this protocol envisaging sustainable network operation and
assuming RF energy harvesting abilities of the nodes of SU-MG.
Even though energy harvested at any node is stochastic in nature,
utilizing multiple SWIPT enabled relays would certainly make the
relaying action more robust as energy harvested across multiple
nodes is considered to be independent of each other. However,
the introduction of SWIPT in the multi-relay assisted CR-NOMA
system makes the problem much more challenging due to the
complex coupling between the strength of signal received at any
PU-MG node and power of the BS. In addition, the number of SU
nodes participating in cooperative relaying depends on the residual
strength of the NOMA signal after wireless power transfer, which
is substantially different than that in [29] where the nodes are bat-
tery powered. Our key contributions are listed as follows:
 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233
Fig. 1. (a) System model. (b) Frame structure.
• A SWIPT based adaptive cooperative multicast energy harvest-
ing NOMA (CM-EH-NOMA) protocol is proposed in a CR-NOMA
network for supporting joint energy and spectrum efficient
multicast services to a primary multicast group and a sec-
ondary multicast group.
• Exact expressions of outage probability of primary and sec-
ondary multicast groups are derived. In addition, asymptotic
expressions are presented and diversity order at the PU-MG is
calculated.
• An optimization framework is studied to minimize the outage
probability of secondary multicast group by jointly adapting
power and time allocation factors, under a minimum outage
probability constraint of the PU-MG.
• Numerical results are presented to illustrate the dependence of
various system parameters on the complex analytical results
and are validated using simulation. Moreover, the results of
the performance comparison with OMA and non-cooperative
NOMA systems are presented to further appreciate the practi-
cal importance of the proposed scheme.
The remainder of this paper is organized as follows. Section 2
describes the system model. The performance analysis of the pro-
posed protocol is presented in Section 3. Section 4 presents an
optimization framework for outage minimization of SU-MG. Sec-
tion 5 provides results and related discussions. Finally, conclusions
and future work are discussed in Section 6.
2. System model
We consider a common BS b entrusted with the task of sup-
porting delay-sensitive multicast services to a PU-MG and a SU-MG
simultaneously under CR-NOMA framework. Let L = {1, 2, · · · , L }
denote the set of L co-located PUs constituting the PU-MG. Sim-
ilarly, N = {1, 2, · · · , N } denotes the set SU-MG comprising of N
co-located SUs. The nodes in SU-MG are located between the BS
and the PU-MG as shown in Fig. 1a. They follow decode-and-
forward (DF) relaying with power splitting based receiver architec-
ture for SWIPT [9]. All the nodes in the network use single antenna
and operate in half-duplex mode. We assume that direct transmis-
sion links between BS and members of PU-MG are available. Dis-
tance of each member of PU-MG/SU-MG from BS may be approxi-
mated as equal1 since the users within each group are co-located.
1
This assumption is reasonable if the distances of each multicast group member
from any other node outside the group are much larger than distances between the
group members.
225
Let d p and d s denote the distances from BS to PU-MG and SU-MG
respectively. Also, the inter-group distances between PU-MG and
SU-MG nodes are much larger than the intra-group node distances
and hence the distance between any SU n and any PU l is consid-
ered as equal, say dr , ∀l ∈ L and ∀n ∈ N . Thus, based on the above
problem statement, the wireless links from BS to PU-MG and BS
to SU-MG are modeled as independent and identically distributed
(i.i.d.) Rayleigh block fading with co-efficients hb,l ∼ CN (0, d− v
p ),
gb,n ∼ CN (0, d− s
v
) respectively ∀l ∈ L and ∀n ∈ N , where v is the
path loss exponent. Similarly, the relaying links from the nodes in
SU-MG to the nodes in PU-MG are also assumed to experience i.i.d.
Rayleigh block fading with co-efficients f n,l ∼ CN (0, dr− v ).
Let x p and xs be the information-bearing signals of primary
and secondary multicast groups respectively with zero mean and
E{x∗p x p } = 1, E{x∗s xs } = 1, where E denotes the expectation op-
erator. The noise at each receiver is assumed to follow circularly
symmetric complex Gaussian distribution (CSCG) and is denoted as
w i ∼ CN (0, P w ), where i ∈ {l, n}. We consider that the energy re-
quired for activating EH and decoding circuitry in relays are negli-
gible as compared to that required for signal transmission and this
extra energy is provided by the supplementary battery. We assume
that the transmit channel state information (CSI) is not available at
the BS or the SU relay nodes as no feedback channel exists from
PUs to the BS and the SUs. However, the receiver CSI is made avail-
able at all the nodes of both the multicast groups by sending pilot
signals from the BS and the SU relay nodes to the correspond-
ing receiving nodes. The transmission duration T in the proposed
CM-EH-NOMA protocol is divided into three adaptive intervals of
durations α T2 , α T2 and (1 − α ) T (0 < α ≤ 1) for NOMA transmis-
sion, cooperative relaying to PU-MG and exclusive transmission to
SU-MG respectively. A detailed description of the proposed proto-
col along with necessary signal modeling is described below.
2.1. Phase 1: NOMA transmission and energy harvesting
During the first phase of duration α T2 , the BS superimposes pri-
mary signal x p and secondary signal xs with power allocation co-
√ √
efficient2 β ∈ (0, 1) as β x p + 1 − β xs . The BS then broadcasts
this superimposed signal to both PU-MG and SU-MG with transmit
power P 0 . According to the CR-NOMA principle [8], higher power
is allocated to the high priority PUs as compared to low priority
SUs, i.e. in our case β > 1 − β or β > 0.5. The received signal at
any PU l in phase 1 is given by
( p ,1)
  
yl = P 0( β xp + 1 − β xs )hb,l + w l , ∀l ∈ L (1)
Similarly, the signal received at any SU n in phase 1 is
  
(s,1)
yn = P 0( β xp + 1 − β xs ) gb,n + w n , ∀n ∈ N (2)
Following the power splitting based relaying (PSR) protocol [9],
the power splitter at each SU splits the received signal into the
√ ( s , 1)
proportion ρ : (1 − ρ ) such that ρ yn portion of the signal
√ ( s , 1)
power is used for EH and the remaining signal (1 − ρ ) yn is
used for information processing. Here, we consider that all the SUs
are equipped with identical device circuitry and hence the power
splitting ratio ρ is equal for all the SUs. Also, we assume that the
energy harvested from noise w n is negligible as compared to that
harvested from the signal. Thus, the harvested energy at SU n dur-
ing phase 1 is given as
αT
E nh = ηρ P 0 | gb,n |2 , (3)
2
2
When PU-MG’s QoS requirement is high, NOMA is not applied if it provides
inferior spectrum efficiency as compared to OMA [8]. In this case β is set to 1.
226 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233

where η denotes the energy conversion efficiency. The signal-to- However, any unsuccessful SU n ∈ / S is still left with the NOMA
( s , 1)
interference-plus-noise ratio (SINR) at any PU l and any SU n, for signal yn received in phase 1 (2) and will not participate in re-
decoding x p are given respectively as laying.

( p ,1) β γ |hb,l |2 2.3. Phase 3: retransmission of SU-MG’s signal

l = , ∀l ∈ L, (4)
(1 − β)γ |hb,l |2 + 1
(s,1) (1 − ρ )β γ | gb,n |2 In this phase, the SU signal xs is retransmitted by the BS to only
n = , ∀n ∈ N, (5) the members of SU-MG for duration (1 − α ) T . We assume that the
(1 − ρ )(1 − β)γ | gb,n |2 + 1
PU-MG receivers are in idle state in phase 3. Thus, the received
P
where γ = P 0 is the transmit signal-to-noise ratio (SNR) at BS. signal at any SU is
w
Thus, the condition for SU n to successfully decode the PUs’ mes- 
2R p (s,3)
sage at the information receiver is n
( s , 1)
> u, where u = 2 α − 1 yn = P 0 gb,n xs + w n . (11)
and R p is the prescribed transmit rate of the PU-MG. The SUs
which successfully decode x p become members of the decoding We consider that the SUs decode xs applying maximal ratio com-
set denoted as S such that S ⊆ N . bining (MRC) to each SU’s observation in phase 1 and phase 3.
Specifically, the end-to-end capacity of any SU is
2.2. Phase 2: cooperative relaying
(s,end)
Cn =
In the second phase of duration α T
distributed space-time ,
 
2 (1 − α ) log2 1 + (1 − ρ )(1 − β)γ | gb,n |2 +γ | gb,n |2 , n ∈ S
coding (DSTC)3 [31,30] is used for cooperative relaying by all the 
(1−ρ )(1−β)γ | g | 2

SUs in the decoding set S to improve the system performance (1 − α ) log2 1 + (1−ρ )β γ | g |2b+,n1 + γ | gb,n |2 , n∈/S
b,n
through higher spatial diversity. Thus, following the decoding oper- (12)
ation, each SU in S linearly transforms the PU signal x p → xn using
DSTC [30] to generate the transmit signal. The DSTC codeword is 3. Performance analysis
then forwarded to the PU-MG by cooperative relaying action of SUs
in S . The transmit power required for relaying is available from the The performance of the proposed CM-EH-NOMA scheme is
energy harvested at each SU in phase 1 and is given by evaluated by analyzing the following parameters.

E nh
P nh = (6) 3.1. Exact outage probability of the PU-MG
α T2
Hence, the received signal at any PU l, for S
= φ in phase 2 is The outage of the PU-MG occurs when at least one PU fails to
decode x p with target rate R p . Let O p denote the event that any

( p ,2)
yl = P nh f n,l xn + w l . (7) PU l ∈ L is in outage. In absence of transmit CSI, the decoding set
n∈S
S is unknown and random at the BS. Also, for i.i.d. fading channels
between the nodes of the SU-MG and the PU-MG, the event of out-
The SINR at each PU in phase 2 is given by age probabilities depends only on the cardinality of the decoding
( p ,2) ηρ P 0  set S of the SU-MG. Hence, the outage probability of PU-MG, con-
l = | gb,n |2 | f n,l |2 , ∀l ∈ L. (8) sidering all possible combinations of the decoding set S can be
Pw
n∈S expressed as follows.
If S
= φ , as per the principle of DSTC, the PU-MG’s total achiev-
able rate during phases 1 and 2 is given by the sum of the rates P Pout L
U = P r (|S| = 0)[1 − {1 − P r (O p | |S| = 0)} ] +
achieved in the direct link and that in the relaying link [31]. How- N  
N
ever, under worst case fading environment, there may be a par- P r (|S| = j )[1 − {1 − P r (O p | |S| = j )} L ], (13)
ticular event where all the SUs fail to decode x p in phase 1, i.e. j
j =1
S = φ . Hence, for S = φ , any PU l is left with only the signal re- S⊆N
ceived from the BS in the direct link in phase 1, as shown in (1).
where |S| represents the cardinality of decoding set S .
Thus, from (4) and (8), the end-to-end capacity achieved by any
P r (O p | |S| = j ) denotes the conditional probability that any PU
PU l ∈ L in phase 2 is l ∈ L is in outage when |S| SUs cooperatively relay x p .
⎧  
⎨ α log2 1 + ( p ,1) + α log2 1 + ( p ,2) , S
= φ
( p ,end)
Cl = α
2  l 2 l
Lemma 1. The exact PU-MG outage probability for the CM-EH-NOMA
⎩ log2 1 + ( p ,1) , S=φ scheme is given in (14).
2 l
(9) Here, K q (.) is the modified Bessel function of order q and (.) is the
Gamma function.
In phase 2, each SU, which successfully decodes x p , excludes it
from the NOMA signal in phase 1. Hence, the observation at any Proof. See Appendix A. 2
SU n ∈ S is
(s,2)
 3.1.1. Asymptotic outage probability of PU-MG
yn = (1 − β)(1 − ρ ) P 0 gb,n xs + w n , ∀n ∈ S. (10)
To obtain further insights on the system performance, we pro-
vide an asymptotic outage probability analysis of the PU-MG under
3
DSTC design is beyond the scope of our work. For detailed insights on DSTC
high SNR regime. For analytical tractability, the integral term ψ j in
implementation in relay networks, we refer the reader to [30]. (14) is approximated as ψ̂ j in (15) by neglecting the adjustment
 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233 227

N  

 
−σ s N −Lσ p N  N − j  L β
P Pout
U = 1−e (1 − e )+ e − j σ s 1 − e −σ s 1 − (1 − ψ j ], >u
j 1−β
j =1
⎡ ⎤
 k j +m j  z−1 j 2 j −1
k +m
u +1 
  
   1 
⎢ d v (u +1− z)
p 2 k m
j j
2
ηργ k jm j z − 1 2 ⎥
where ψ j = ⎢ 1 − e − γ {z−(1−β)(u+1)} K 2 ⎥ dz
⎣   k j +m j k j −m j  j ηργ ⎦
1 ηργ (k j ) (m j )  j 2
 
−0.127 − 0.95 − 0.0058
with k j = j , m j = j + z , z = ( j − 1) ,  j = jd− v −v
s dr ,
1 + 0.00124 + 0.98
d sv u d vp u 2R p
σs = , σp = , u=2 α − 1. (14)
γ (1 − ρ ){β − (1 − β)u } γ {β − (1 − β)u }

⎧
u +1   ⎡ ⎤⎫
 ⎨ 
 12 ⎬
d vp (u +1− z)
− γ {z−(1−β)(u +1)} 2 j 2 j ( z − 1) j −1 4 j2
ψ̂ j =
⎩
1−e   j K0 ⎣ ( z − 1) ⎦ dz
⎭
(15)
(ηργ ) j ( j )2  j  j ηργ
1

u +1
 #   $
(a) 2 j2 j d vp (u + 1 − z) 1 4 j2
ψˆ∞ ≈  j ( z − 1) j −1 − ln ( z − 1) dz
j
(ηργ ) j ( j )2  j γ {z − (1 − β)(u + 1)} 2  j ηργ
1
u +1
   
(b) 2 j 2 j d vp (u + 1 − z ) 4 j2
≈  j ( z − 1) j −1 1 − ( z − 1) dz
(ηρ ) j γ j +1 ( j )2  j z − (1 − β)(u + 1)  j ηργ
1 (16)
j +2  
(c) j 2 j d vp u u
≈  j B(2, j ) 2 F 1 1, 2; 2 + j ;
(ηρ γ )j j +1 ( j )2 j (u + 1)β (u + 1)β
∞
(a) (b) (a + b)  (a + n) (b + n) zn
where B(a, b) = and 2 F 1 (a, b; c ; z) = .
(a + b) (a) (b) (c + n) n!
n =0

 N  
∞ (d) 1 d sv u Ld vp u
PP U ≈
γ N +1 (1 − ρ ){β − (1 − β)u } β − (1 − β)u
N 
  %  N − j
N d sv u d sv u
+ 1− j
j =1
j γ (1 − ρ ){β − (1 − β)u } γ (1 − ρ ){β − (1 − β)u }
⎛
⎞⎤
  L
j 2 j d vp u j +2 u
⎝1 − 1 −  j B(2, j ) 2 F 1 1, 2; 2 + j ; ⎠⎦ (17)
γ j+1 (ηρ ) j ( j )2  j (u + 1)β (u + 1)β
 N   N   
% N − j
(e) 1 d sv u Ld vp u 1  N d sv u
≈ +
γ N +1 (1 − ρ ){β − (1 − β)u } β − (1 − β)u γ N +1 j =1
j (1 − ρ ){β − (1 − β)u }
 *
L j 2 j d vp u j +2 u
 j B(2, j ) 2 F 1 1, 2; 2 + j ;
(ηρ ) j ( j )2  j (u + 1)β (u + 1)β

parameter z 4 which modifies the shaping parameter k j (see Ap- • Step (b) is obtained by ignoring the higher order terms in
pendix A) [32, Eq. 19], i.e. we consider k j ≈ j in (14) [32, Eq. 15]. the series representation of the logarithm term in step (a), i.e.
Thus, the asymptote of ψ̂ j is expressed in (16) by applying γ → ∞ x→0
ln(x) ≈ x − 1 [34, 1.512.1].
in (15), where the intermediate steps are elaborated below.
• In Step (c), first we use the approximation lim (1 − px ) ≈ 1 (p
x→∞
x→0 is a real number) in the last term of the integral in step (b).
• Step (a) follows from (15) by applying K 0 (x) ≈ − ln(x) [33,
x→0 This reduces the integral term in a standard form [34, 3.228.3]
9.6.8] and 1 − e −x ≈ x [34, 1.211.1].
and the result is directly written. Here, B(a, b) is the Beta func-
tion and 2 F 1 (a, b; c ; z) is the Gauss hypergeometric series [33,
4
This assumption is accurate when SU-MG group size is small. 15.1].
228 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233

N  

Thus, the asymptotic outage probability of PU-MG, denoted by ∞ (i ) N
P P∞U , for 1−β
β
> u is derived in (17). The intermediate steps are P SU ≈1− [1 − j (σs + μs )] [(1 − θs )σs ] N − j
j
j =0
detailed below.
≈ 1 − {1 − N (σs + μs )}
x→0
• Step (d) is obtained by applying the operation 1 − e −x ≈ x 
N −1  
γ →∞ N
and plugging ψ j ≈ ψ̂ j
∞
in (14). − [1 − j (σs + μs )] [(1 − θs )σs ] N − j
j
x→0 j =0
• In the step (e), we apply the approximation (1 − x) ≈ 1 to

N −1  
the first term in the summation series. It may be noted that (ii ) N
step (d) comprises of an hypergeometric series 2 F 1 (a, b; c ; z), ≈ N (σs + μs ) − [σs ] N − j (20)
j
which is convergent in the unit circle throughout the entire j =0
unit circle, except at the point z = 1, under the condition (iii )
Re (a + b − c ) ≤ 0 [34, 9.102]. Clearly, the infinite hypergeo- ≈ N (σs + μs ) + 1 − [1 + σs ]N
metric series in step (d) satisfies the convergence condition (i v )
for j = 1 to N since β > u + u
in (14). Therefore, step (e) is ≈ N (σs + μs ) + 1 − [1 + N σs ]
1
p y →∞ p ≈ N μs
obtained by applying the approximation (1 − y )q ≈ 1 − q y
such that the higher order terms in the binomial expansion d sv w
≈N .
are neglected. γ [(1 − ρ )(1 − β) + 1]
3.1.2. Diversity order at PU-MG From (19), it may be noted that μs , σs , θs ∝ γ1 . Thus, the operations
From (17), it may be noted that under sufficiently high SNR, applied in step (i)-(iv) in (20) under γ → ∞ are described below.
the outage probability of PU-MG, P P∞U ∝ γ N1+1 . Thus, the proposed
x→0
CM-EH-NOMA scheme can achieve a full diversity order of N + 1 • Step (i) is obtained from (19) by applying e −x  1 − x in each
at the PU-MG. exponential term of P SUout
in (19).
• Following (19), (μs + σs ) ∝ γ1 and θs ∝ γ1 . Thus, step (ii) is ob-
3.2. Exact outage probability of SU-MG p
tained by applying the approximation lim (1 − x ) ≈ 1, where
x→∞
p is a constant.
The SU-MG N is in outage when any one of the following • Step (iii) is obtained by expressing the summation term in step
events occurs (i) the event Os when any SU n ∈ S is in outage (ii) as a binomial series.
or (ii) the event Os when any SU n ∈
/ S is in outage. Mathemati- • Step (iv) is derived by ignoring the higher order terms
cally, SU-MG outage event is the complement of the event that all of the binomial expression obtained in step (iii) such that
the SUs in N successfully decode xs and is expressed as y →0
(1 − y )q ≈ 1 − qy.
N  

out N 3.2.2. Diversity order at SU-MG
P SU =1− { P r (|S| = j )
j From (17) it may be noted that under sufficiently high SNR, the
j =0 (18) ∞ ∝ 1 . Thus, the diversity order at
S⊆N SU-MG outage probability P SU γ
 N − j SU-MG for the CM-EH-NOMA scheme is 1, which is also intuitively
[1 − P r (Os )] 1 − P r (Os )
j
satisfied as the fading state experienced by any SU in phase 1 and
phase 3 remains the same (block fading).
Lemma 2. For i.i.d. SU channels, the group outage probability for SU-MG
4. Joint optimization of power and time allocation factors
may be expressed as

N  
 In the following analysis, we focus on optimizing the power
N  +  N − j
out
P SU =1− e − j (σs +μs ) e −θs 1 − e −σs , allocation factor (β) and time allocation factor (α ) for minimiz-
j ing the outage probability of the SU-MG under high transmit SNR,
j =0
i.e. γ = PP 0 >> 1. To this end, we consider the joint adaptation
β w
>u of β and α at the BS while ensuring that the outage probability
1−β requirement of the primary multicast group, denoted as P th out
, is
where guaranteed. Furthermore, from (13) and (19), it may be noted that
 the outage probability analysis presented in this paper are valid
2R p
−[1+(1−ρ ){1−β(1+ w )}]+ [1+(1−ρ ){1−β(1+ w )}]2 +4(1−ρ )β w β
θs = dsv , under the condition 1−β > 2 α − 1, Where β > 0.5. Moreover, ac-
2(1−ρ )β γ
cording to the principle of NOMA. Thus, the optimization problem
d sv w d sv u
μs = , σs = , for minimizing outage probability of SU-MG subject to the system
γ [(1 − ρ )(1 − β) + 1] γ (1 − ρ ){β − (1 − β)u } constraints is formulated as follows:
2R s 2R p
w = 2 (1−α) − 1, u = 2 (α) − 1. (19) ∞
P1 : min P SU (21a)
α ,β
⎧
Proof. See Appendix B. 2 ⎪
⎪ P ∞ ≤ P thout
⎪ 2RPpU
⎪
⎨ α β
2 − 1 < 1−β
3.2.1. Asymptotic outage probability of SU-MG subject to : (21b)
⎪
⎪ 0<α<1
The asymptotic outage probability of SU-MG when γ → ∞ is ⎪
⎪
⎩0.5 < β < 1
denoted as P SU∞ and is obtained as follows:
 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233
Fig. 2. Outage probability vs. SNR at BS γ.
Theorem 1. The objective function of P1 is convex. However, the problem
P1 is a non-convex optimization problem.
Proof. See Appendix C. 2
From Theorem 1, it clear that though the objective function
is convex, non-convex nature of the constraints may result in an
infeasible solution for the non-convex programming problem P1.
Hence, the optimal solution for power and time allocation factors
can be obtained only when the feasible solution set formed by
the constraints is convex. However, it may be noted that the out-
age probability constraint of PU-MG in (21b) is highly non-linear
and comprises of an indefinite summation term (hypergeometric
series). Therefore, it is a highly challenging task to convert this
non-convex problem into a convex one through function trans-
formation. Hence, we resort to numerical methods for finding the
optimal values of α and β . Specifically, with the aid of constrained
nonlinear minimization problem solver ‘fmincon’ provided in the
optimization toolbox of MATLAB® 2016b, we search for the optimal
values α ∗ and β ∗ for a given set of system parameters such that
the constraints are satisfied. Otherwise, the result would represent
an infeasible solution.
5. Results and discussion
For the ease of presentation, we assume that the BS, the SU-MG
and the PU-MG are collinear and the path loss exponent v = 3.
Unless stated otherwise, the system parameter values are chosen
as follows: L = 10, N = 5, d p = 10 m, d s = 3 m, dr = d p − d s , η =
0.9, ρ = 0.3, β = 0.75, α = 0.66, P 0 = 2 dBm, P w = −40 dBm,
R p = 0.5 bps/Hz, R s = 0.5 bps/Hz, P th
out
= 10−2 .
Fig. 2 shows the variation of outage probability with the trans-
mit SNR γ at the BS for N = 2. The outage performance of pri-
mary user group improves as the transmit power P 0 of the BS
increases during phase 1. This is due to the availability of higher
amount of energy harvested at the SUs (3), which in turn im-
proves the end-to-end capacity of PU-MG (9). Similarly, the outage
probability of SU-MG also decreases due to the increase in re-
ceived signal strength resulting from higher P 0 in both phase 1
and phase 3. The correctness of the outage probability expres-
sions derived is verified from the fact that the analytical results
match closely with the simulated results. Also, the asymptotic re-
sults derived in (17) and (20) under high-SNR regime suggest tight
bounds.
229
Fig. 3. Outage probability vs. SU-MG distance ds .
Fig. 4. Outage probability vs. SU-MG size N.
Fig. 3 shows the outage experience of the primary and sec-
ondary multicast groups when the distance between the BS and
the SU nodes (d s ) increases, for ρ = [0.2, 0.5]. It is seen that
our proposed CM-EH-NOMA protocol performs better in terms of
PU-MG outage when SU-MG is located closer to the BS. This is
attributed to more number of relays decoding and forwarding PU-
MG’s signal with adequate harvested power. Moreover, the outage
probability of the PU-MG also decreases when SU-MG is located
very near to the former. However, the outage probability of SU-MG
increases monotonically with d s as gain of the channel between
SU-MG and BS deteriorates with d s . Thus, the overall outage per-
formance of the network improves when the SU-MG is closer to
the BS. Furthermore, it is also noted that although the outage prob-
ability of SU-MG degrades a little when ρ increases, the outage
probability of PU-MG improves significantly.
Fig. 4 shows outage performance of primary as well as sec-
ondary multicast groups when N, the size of SU-MG is varied for
α = [0.67, 0.72]. Since, the size of the decoding set S becomes
larger when SU-MG size increases, the diversity order achieved
at the PU-MG is higher as shown in Section 3.1.2. Hence, the
outage probability of PU-MG decreases as N increases. However,
the joint probability of decoding the SU signal successfully by
all the SUs decreases when N is augmented (19). Hence, the
outage experience of SU-MG worsens when size of SU-MG in-
creases. An interesting observation from Fig. 4 reveals that with
increase in the value of N, the total time fraction dedicated for
transmitting PU-MG’s signal (α ) can be reduced without causing
much deterioration to the PU-MG’s outage performance. There-
230 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233
Fig. 5. Energy efficiency vs. transmit power P 0 .
fore, due to the availability of larger fraction of frame duration
for secondary signal transmission in Phase 3, the outage expe-
rience of SU-MG can be improved by reducing α . For exam-
ple, when N = 4 and α is reduced from 0.72 to 0.66, the SU-
MG outage probability improves by 28% while the corresponding
change in the outage probability of PU-MG is still below 1%. This
illustrates an inherent flexibility of transmission scheme to fa-
cilitate substantial improvement in outage probability of SU-MG
while causing minor compromise in outage performance of PU-MG
through careful adjustment of SU-MG’s size and time allocation
factors.
Fig. 5 compares the energy efficiency (EE) of PU-MG for the
proposed CM-EH-NOMA protocol with that of a non-cooperative
multicast NOMA (nCM-NOMA)5 [28] as well as traditional orthogo-
nal multiple access (OMA),6 both without SWIPT. The EE of PU-MG
is defined as the ratio of average achievable throughput of PU-MG
to the total power consumed by the BS to deliver PU-MG’s infor-
mation. Although the BS uses either larger fraction (in OMA) or
whole of the dedicated frame duration (in nCM-NOMA) for sup-
porting multicast service to PU-MG, their EE performance is much
worse than that of our proposed protocol due to their inability to
exploit the usage of SUs as RF assisted relays. Interestingly, the na-
ture of the plot shows the scope of transmit power optimization
aiming EE maximization. This is due to the fact that PU-MG’s out-
age probability decreases significantly with transmit power, which
in turn results in increase of EE of PU-MG. However, beyond a cer-
tain limit, the PU-MG’s outage probability almost saturates while
the transmit power keeps increasing, which in turn decreases EE.
Moreover, the EE of CM-EH-NOMA protocol improves significantly
with the size of the SU-MG due to improved diversity order at the
PU-MG. However, it may be noted from Fig. 4 that increase in size
of SU-MG size worsens its outage performance. Thus, a trade-off
exists between energy efficiency of PU-MG and outage probability
of SU-MG in terms of N.
Fig. 6 depicts the outage probabilities of both PU-MG and SU-
MG when power splitting factor ρ is varied. Here, we consider
fixed as well as optimized values of α and β and the SNR is con-
sidered to be high, i.e. γ = 55 dB. It may be noted that for fixed
values of α and β , the outage probability of PU-MG decreases as ρ
increases because the SUs can transmit primary signal with higher
power. However, increasing ρ beyond a certain limit leads to in-
crease in outage probability of PU-MG due to deterioration in the
strength of NOMA signal available for information decoding, thus
5
BS transmits NOMA signal to both the groups for duration T .
6
The BS supports multicasting to both the groups respectively in two equal non-
overlapping time slots.
Fig. 6. Outage probability vs. power splitting ratio (ρ ).
lowering the number of SUs participating in relaying of PU-MG’s
signal. Furthermore, as ρ increases, outage performance of SU-MG
worsens due to the larger number of SUs failing to decode PU’s
information in phase 1, thus resulting in higher interference from
primary signal in phase 3 as shown in (12).
Fig. 6, also demonstrates the effectiveness of the optimization
framework P1. It is seen that the outage probability of SU-MG
improves significantly by jointly adapting the values of α and β ,
while the outage probability of PU-MG is constrained below the
out
given threshold P th . For example, when ρ = 0.2, the outage prob-
ability of PU-MG for fixed values of α and β is in the order of
10−4 while the minimum QoS requirement of PU-MG ( P th out
) is
− 2
10 . Thus, 45% improvement in outage probability of SU-MG is
achieved by finding the optimal values α ∗ and β ∗ as compared to
the fixed case, while ensuring that the outage probability of PU-
MG is still below the minimum requirement.
One may be interested to find the results of performance com-
parison of our proposed CM-EH-NOMA protocol with that of CM-
NOMA protocol in [29]. But it is important to note that the outage
performance of PU-MG for both these schemes are not comparable
under fixed transmit power constraints. More specifically, due to
strict transmit power constraint of the BS ( P 0 ), the relaying power
available from RF EH at any SU node in our proposed scheme
is much lesser than that in [29], where the SU nodes consume
their own constant battery power ( P 0 ) for the relaying task. This is
due to the fact that RF EH is a stochastic process, which depends
on the distance between the BS and the SU nodes. Furthermore,
the SINR at any SU for decoding PUs’ information (5) after RF-EH
in our scheme is much lower as compared to that in [29], thus
leading to exploitation of higher number of SUs participating in
relaying in the latter case. Hence, PU-MG’s outage performance in
[29] is not comparable to that of our proposed scheme. In sum-
mary, our current study should be viewed as an extension of [29]
with an aim to support prolonged relaying with energy limited SU
nodes.
6. Conclusion
This paper presents an energy efficient cognitive radio inspired
NOMA framework aiming to cater simultaneous multicast services
to both primary user and secondary user multicast groups. An
adaptive protocol integrating CR NOMA and SWIPT is proposed.
The scheme exploits the relaying potential of multiple secondary
users for enhancing the quality of primary multicast services, with-
out burdening the limited battery reserves of SU nodes. Results
 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233 231

show that a careful selection of size, position and spectrum sharing of Z ∈ [1, ∞) can be approximated by using the expression [32,
interval of secondary group facilitates multicast services to pri- Eq. 10] as
mary users with superior energy efficiency as compared to that
 k j +m j  z−1 j 2 j −1
k +m
of with non-cooperative NOMA transmission schemes, while main- 
2 k jm j 2
ηργ
taining satisfactory outage performance of the secondary users.
f Z ( z) =
An optimization framework is also studied to improve the out-   k j +m j
age experience of SU-MG while guaranteeing QoS requirement ηργ (k j ) (m j )  j 2
(A.6)
% / *
of PU-MG.
k j m j ( z − 1)
Future scope of the work includes transmit power optimization K k j −m j 2 ,
for maximizing EE. Due to the highly complex nature of the an- ηργ  j
alytical expressions for outage probability, machine learning tech- where k j = j + z and m j = j are the shaping parameters of the
niques can be explored for optimizing various system parameters. RV Z and  j is the mean of Z given by [32, Eqs. 15-17]. Here,
Furthermore, the system model may be made more realistic by
the term z in k j denotes an adjustment parameter, which is in-
considering non-linear model of RF energy harvesting.
troduced to improve the accuracy of approximated distribution of
Z [32, Eq. 19]. This adjustment parameter is estimated as given
Declaration of Competing Interest
below [32, Eq. 22]:
 
The authors declare that they have no known competing finan- −0.127 − 0.95 − 0.0058
z = ( j − 1)
cial interests or personal relationships that could have appeared to 1 + 0.00124 + 0.98
influence the work reported in this paper. d vp (x−1)
1 −
Also, the CDF of X ∈ [1, 1−β ] is F X (x) = 1 − e γ [1−(1−β)x] . Thus, us-
Appendix A
ing the values of f Z ( z) and F X ( u +
z
1
) in (A.5), Lemma 1 is proved.
The probability that a decoding set S with cardinality j is Appendix B
formed in phase 1 is
From (12), for i.i.d. SU channels
-
j  -
N  
(s,1) (s,1)
P r (|S| = j ) = P r i ≥u P r i <u (A.1) P r (OS ) = P r [(1 − ρ )(1 − β) + 1] γ | gbn |2 < w
i =1 i = j +1 (B.1)
dv w
− γ [(1−ρ )(s 1−β)+1]
2R p
=1−e ,
where u = 2 α − 1. Since | gb,n | ∼ 2
exp(d sv ) and SU channels are
i.i.d., from (5) ∀i, Rs
where w = 2 1−α . Also,
 −d sv u  
(s,1) β  (1 − ρ )(1 − β)γ | gb,n |2
P r i < u = 1 − e γ (1−ρ ){β−(1−β)u} , >u (A.2) P r (OS ) = Pr + γ | gb,n |2 < w
1−β (1 − ρ )β γ | gb,n |2 + 1 (B.2)
Moreover, for |S| = 0, the outage probability of any PU l ∈ L is due −θs
=1−e ,
to the direct transmission only. Thus, from (4) and (9)
where
#   $ 
α β γ |hb,l |2 −[1+(1−ρ ){1−β(1+ w )}]+ [1+(1−ρ ){1−β(1+ w )}]2 +4(1−ρ )β w
P r (O p | |S| = 0) = P r log2 1 + < R p θs = dsv 2(1−ρ )β γ
2 (1 − β)γ |hb,l |2 + 1
−d vp u is the upper bound of | gb,n |2 .
β
=1− e β γ −(1−β)γ u , > u. (A.3)
1−β Appendix C
β
From (9), the outage probability of PU-MG for |S|
= 0 and 1−β >u Reformulating the minimization problem P1 in the standard
is
form, we have
 
β γ |hb,l |2 P2 : min OF (α , β)
P r (O p | |S| = j ) = P r 1+
(1 − β)γ |hb,l |2 + 1 ⎧
⎧ ⎫ ⎞ ⎪
⎪ C1 (α , β) − P th
out
≤0
⎨ ⎬ (A.4) ⎪
⎨C < 0
j
2R p (C.1)
| gb,n |2 | f n,l |2 < 2 α ⎠
2
1 + ηργ subject to :
⎩ ⎭ ⎪
⎪ 0 <α<1
n =1 ⎪
⎩
0.5 < β < 1
β γ |h |2 .
j
Let X = 1 + (1−β)γ |hb,l |2 +1 and Z = 1 + ηργ | gb,n |2 | f n,l |2 . Rs
d v 2 1 −α
b,l
n=1 where the objective function OF = N γ [(1−ρs )(1−β)+1] ,
Thus, # 0 1N 0 1 N +1
1 dsv u u

u +1   C1 = γ N +1 Ld vp 1 −ρ β−(1−β)u
u+1
P r (O p | |S| = j ) = P r ( X Z < u + 1) = f Z ( z) F X dz N + 0
. 1N − j
z N dsv u
1
+ j (1−ρ ){β−(1−β)u }
j =1
(A.5)
L j 2 j d vp
0 1$
u j +2 u
The product of two exponential random variables |hb,l |2 and | gb,n |2  j B(2, j ) 2 F 1 1, 2; 2 + j ; ,
(ηρ ) j ( j )2  j (u +1)β (u +1)β
follows distribution [32, Eq. 1] with shaping parameters k = 1, 2R p
β
l = 1. Since Z is derived from the sum of i.i.d. variates, the PDF C2 = 2 α − 1−β
−1 (C.2)
232 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233

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 S. Bhattacharjee et al. / Digital Signal Processing 92 (2019) 223–233
Sangeeta Bhattacharjee received her B.Tech. in
Electronics and Communication Engineering from
West Bengal University of Technology, India and
M.Tech. in Electronics and Communication Engineer-
ing from National Institute of Technology, Rourkela in
2014. She is presently pursuing her Ph.D. as a Visves-
varaya research fellow in the department of Electron-
ics & Telecommunication Engineering, Indian Institute
of Engineering Science and Technology Shibpur, India.
Her research interests include green multicast communication, cognitive
radio networks.
Tamaghna Acharya received his bachelor of engi-
neering (B.E.) degree from Bengal Engineering College,
Howrah, India in 2000. He received his M. Tech. de-
gree from Electronics & Electrical Communication En-
gineering department of IIT Kharagpur, India in 2005
and his PhD degree from Jadavpur University, India
in 2011. Presently, he is an Associate Professor in the
233
Electronics & Telecommunication Engineering department of Indian Insti-
tute of Engineering Science and Technology Shibpur, India. His current
research interests include cognitive radio in 5G, NOMA in 5G and green
communications.
Uma Bhattacharya, presently Professor in Depart-
ment of Computer Science and Technology of In-
dian Institute of Engineering Science and Technology,
Shibpur obtained her Ph. D. Degree from University
of Calcutta in 1995. She has more than 30 years of
teaching experience in her institute. Her research in-
terest includes broadband computing, interconnection
network and mobile computing. She received several
awards such as UK India networking award from Royal
society, UK and DST, Govt. of India in 2005-2006, Commonwealth Post-
doctoral Award in 2002-2003 from Commonwealth Scholarship Commis-
sion, UK and Post-doctoral Fellowship Award received in the year 1998
from Windsor University, Canada.