Dynamic Non-Orthogonal Multiple Access (NOMA) and Orthogonal Multiple Access (OMA) in 5G Wireless Networks

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Dynamic Non-Orthogonal Multiple Access


(NOMA) and Orthogonal Multiple Access (OMA)
in 5G Wireless Networks
Mina Baghani∗ , Saeedeh Parsaeefard† , Mahsa Derakhshani‡ , and Walid Saad §
∗ Faculty of Technical and Engineering, Imam Khomeini International University, Qazvin, Iran
† Communication Technologies & Department, ITRC, Tehran, Iran
‡ Wolfson School of Mechanical, Electrical & Manufacturing Engineering, Loughborough University, UK
§ Wireless@VT, Electrical and Computer Engineering Department, Virginia Tech, VA, USA

Abstract—In this paper, a novel dynamic multiple access NOMA case, the lower power level is allocated to the user with
technology selection among orthogonal multiple access (OMA) higher channel gain (the first user) compared to the user with
and non-orthogonal multiple access (NOMA) techniques is pro- lower channel gain (the second user). Then, the information
posed. For this setup, a joint resource allocation problem is
formulated in which a new set of access technology selection of different users is superimposed and transmitted.
parameters along with power and subcarrier are allocated for Despite the proven benefits of NOMA [11]–[13], several
each user based on each user’s channel state information. Here, practical challenges must be addressed before NOMA can be
a novel utility function is defined to take into account the effectively deployed. One such challenge is to analyze the
rate and costs of access technologies. This cost reflects both sensitivity of NOMA to the accuracy of channel state infor-
the complexity of performing successive interference cancellation
and the complexity incurred to guarantee a desired bit error mation (CSI) [14]. Another major challenge is the complexity
rate. This utility function can inherently capture the tradeoff of transceivers. Indeed, a typical NOMA transceiver requires
between OMA and NOMA. Due to non-convexity of the proposed the use of superposition coding and successive interference
resource allocation problem, a successive convex approximation cancellation (SIC). Moreover, the performance of NOMA can
is developed in which a two-step iterative algorithm is applied. In be substantially limited when the difference in the channel
the first step, called access technology selection, the problem is
transformed into a linear integer programming problem, and gains of the involved users is not sufficiently significant.
then, in the second step, a nonconvex problem, referred to Clearly, these practical issues make it challenging to solely rely
power allocation problem, is solved via the difference-of-convex- on NOMA, particularly, when the wireless users experience
functions (DC) programming. Moreover, the closed-form solution somewhat similar channel gains.
for power allocation in the second step is derived. For diverse In particular, the performance of NOMA degrades when
network performance criteria such as rate, simulation results
show that the proposed new dynamic access technology selection the difference in channel gains among the wireless users
outperforms single-technology OMA or NOMA multiple access is small. Therefore, the need for a more complex receiver
solutions. coupled with the higher probability of error imposed by SIC
Index Terms—Orthogonal multiple access (OMA), non- might limit the practicality of using NOMA in 5G under all
orthogonal multiple access (NOMA), technology selection. network conditions. One promising approach to overcome this
issue is to leverage the software-defined nature of 5G systems
I. I NTRODUCTION [15], in order to implement a dynamic approach for multiple
access selection depending on the network state, e.g. CSI. This
The anticipated exponential growth in the demand for motivates the development of new multiple access solutions
wireless access is expected to strain the capacity and coverage that can dynamically select between NOMA and OMA such
of existing wireless cellular networks [1]–[4]. In particular, as orthogonal frequency division multiple access (OFDMA)
the fixed multiple access techniques of yesteryears, such as [16].
time division multiple access (TDMA), code division multi- The main contribution of this paper is a new framework
ple access (CDMA), and frequency division multiple access for multiple access technology selection that can enable a
(FDMA), which guarantee the orthogonality in time, code 5G system to flexibly decide on whether to use NOMA or
and frequency, respectively, will no longer be able to sustain OMA depending on the state of its users. This programmable
this growing demand for wireless access. In order to address structure can be implemented in practical systems by using
this challenge in the fifth generation (5G) of cellular systems, the inherent software defined structure of 5G and beyond
several new techniques for multiple access have recently [15]. Although the rate of transmission is a very critical
emerged based on the concept of non-orthogonal multiple factor in the performance of a communication system, the
access (NOMA) as discussed in [5]–[10]. In power-domain cost of implementation complexity is another important factor
NOMA, multiple users can share each subcarrier and the in system design which has been ignored in prior works.
diversity on that subcarrier is obtained by allocating different The problem is formulated as an optimization problem whose
power levels to the users. The basic principle of NOMA is objective captures the tradeoff between the achievable rate and
to exploit the difference in channel gains among users in a processing cost of using each access technology. Considering
order to offer multiplexing gains. For example, in a two-user the processing cost of NOMA, the access technology selection
This research was supported by the U.S. National Science Foundation under between OMA and NOMA for each subcarrier is then used
Grant CNS-1836802. as an example of a dynamic, selective access scheme. As a
2

result, a new utility function is proposed and defined as the SIC receivers is a function of the number of users who share
total rate of network minus the cost of performing NOMA for a single subcarrier. Since we consider NOMA with two users,
the allocated subcarriers. this cost component will be constant. The second component
of the cost is an increasing function of the requested bit error
A. Related Works rate (BER) for SIC [34]. Note that the BER is inversely
proportional to the experienced signal-to-interference-plus-
There exists a large body of works that addressed the re-
noise-ratio (SINR). Thus, we model the second term of the
source allocation problems for OFDMA [17]–[20] and NOMA
NOMA cost as a logarithmic function of the inverse of SINR
[21]–[25] techniques in 5G. In OFDMA setup, the proposed
which is a concave increasing function. We define a new set
resource allocation problems are consisting of subcarrier and
of optimization variables for access technology selection for
power allocation. Meanwhile, in NOMA, one needs to opti-
each subcarrier.
mize user pairing along with power and sub-carrier allocation
Furthermore, to enhance infrastructure utilization, we con-
[22]. For both NOMA and OFDMA, network optimization
sider a virtualized network in which each service provider
is often posed using non-deterministic polynomial-time (NP)-
(SP) has its own quality-of-service (QoS) requirements, which
hard problems [21], [26].
should be guaranteed via effective resource allocation [35].
The authors in [24] studied the problem of analytically
The formulated problem is then shown to be nonconvex
characterizing the optimal power allocation for NOMA, con-
and complex to solve. To address this challenge, we propose
sidering various objective functions and constraints. To reduce
a two-step iterative algorithm. To this end, the variables of the
the computational complexity, a new user pairing and power
resource allocation problem are divided into two groups and
allocation scheme is proposed in [25]. Meanwhile, the works
are optimized iteratively in two steps to alleviate the problem
in [27]–[29] have studied advanced approaches that combine
complexity [36]. The problem of allocating the first group
NOMA with other emerging transmission techniques, such
of variables is transformed into a linear integer programming
as full-duplex communications and multiple-input, multiple-
problem. To solve the power allocation in the second problem,
output (MIMO) systems and heterogeneous systems.
DC programming is applied [37]. For the power allocation
This idea of utilizing a hybrid of OMA and NOMA in 5G
strategy, the closed-form solution is also derived. The obtained
has been recently studied in [30] and [31]. In [30], considering
expression sheds light on the effects of the NOMA processing
three different regions in the cell based on the distance,
costs on the power allocation strategy. One of the the main
the access technology is chosen according to the region of
technical challenges to develop the proposed dynamic OMA-
users without any optimization and it is predetermined for
NOMA scheme is the need for optimized technology access
each region. In particular, in [30], the access technology
selection jointly with user pairing and power allocation which
selection is not dynamically optimized taking into account the
are required for conventional NOMA systems. Thus, resource
instantaneous CSI.
allocation is more complex for dynamic access selection,
In [31], a heterogeneous network in which OMA and
compared to the classical NOMA case.
NOMA coexist, is considered. In such a network, four generic
pairing methods for NOMA with a heuristic pairing cost To study the performance of our proposed resource alloca-
function are studied. When those methods cannot achieve tion strategy, three criteria are investigated in simulation sec-
a suitable performance level OMA will be used for that tion, i.e., rate, utility and outage probability. The outage proba-
subcarrier. bility is defined as the probability of not meeting constraints of
optimization problem simultaneously. Simulation results show
that the proposed dynamic multiple access selection approach
B. Motivation and Contribution yields significant performance gains in terms of achievable
In this paper, in contrast to [31], we propose a joint resource rate, utility value, and outage probability compared to single-
allocation problem in which access technology selection, user technology OMA or NOMA multiple access techniques. In
pairing (for NOMA) or user selection (for OMA) and power particular, when the maximum power limitation or minimum
allocation are jointly determined. Also, the requirements of required rate of SPs is a dominant constraint of feasibility,
different services in 5G are very diverse and such diverse our proposed scheme achieves 20% higher utility performance
requirements must be considered in the resource allocation compared to the cases in which pure OMA and NOMA are
[32]. As shown in [13] and [33], NOMA can achieve a adopted.
higher data rate compared to OMA. However, the required The rest of this paper is organized as follows. First, Sec-
processing of NOMA can be higher than OMA due to the tion II describes the system model and problem formulation.
need for SIC at the receiver. Thus, to address this tradeoff, Section III introduces the proposed resource allocation ap-
we formulate these two conflicting design aspects together proach. Simulation results and analysis are presented in IV.
by defining a new utility function for resource allocation. Finally, Section V concludes this paper.
In the defined utility, the imposed cost of extra processing
of NOMA is subtracted from the achievable data rate. The
II. S YSTEM M ODEL AND P ROBLEM F ORMULATION
cost of performing NOMA is modeled using two components,
one representing the complexity of performing SIC in NOMA Consider a cellular network with a single base station (BS)
and the other one expressing the cost of employing complex that services a set K of K users in its own, specific coverage
designs to combat the error propagation. The complexity of area. In this system, a set S of S different SPs, provide service
3

to their users sharing the BS. Each user belongs to one SP. utility as a weighted subtraction of these two objectives. Note
Hence, we define Ks ⊂ K as the subset of Ks users subscribed that weighting is needed in this combination to normalize the
to SP s ∈ S. The purpose of introducing multiple SPs is to units of the two objectives and to assign them the desired
enable service customization as each SP has a minimum rate priority levels. Thus, we define the utility which incorporates
requirement for its own subscribed users. the processing cost of access technology for each subcarrier
The total available bandwidth is partitioned into a set n, as follows:
N of N subcarriers. We assume that the BS can switch
between two access technologies (i.e., OMA and NOMA) for
Un (α, β, P ) = Rn (α, β, P ) − wβn Fn (α, β, P ), ∀n ∈ N ,
each subcarrier. βn represents the access technology selection
(3)
parameter and is defined as follows:
 where w is a normalizing factor to harmonize the cost and rate
0, if OMA is selected for subcarrier n,
βn = (1) functions to the desired priority levels of these two parameters
1, if NOMA is selected for subcarrier n.
in designing the system and Fn (α, β, P ) represents the total
Here, we consider that only two users can share a single processing cost of NOMA.
subcarrier in NOMA [14]. Let hk,n be the wireless channel For the case of NOMA, SIC receivers are required and this
gain from BS to the user k on subcarrier n, and σ 2 be the will incur an extra cost to the system as SIC receivers are
additive white Gaussian noise (AWGN) variance. Therefore, computationally more complex. Depending on the structure
the downlink rate for a transmission over subcarrier n ∈ N of NOMA as well as some practical considerations, in order
will be given by: to define Fn (α, β, P ), we focus on two major components
 that contribute to the NOMA complexity:
X pk,n hk,n
Rn (α, β, P ) = αk,k,n log(1 + ) (2) • SIC processing: Primarily, the complexity of SIC re-
σ2
k∈K
 ceivers is a function of the number of code layers in su-
X pk2 ,n hk2 ,n perposition coding scheme [41]. In our setup, we assume
+βn log(1 + )αk,k2 ,n ,
pk,n hk2 ,n + σ 2 that a maximum of two users can share one subcarrier
k2 ∈K
k2 6=k in NOMA, to keep the SIC complexity low, which is a
where the first term captures the rate of a user in OMA or the common assumption in the NOMA literature, e.g., see
first user in NOMA, while the second term represents the rate [42] and [23]. Consequently, two layers of superposition
of the second user that accounts for the interference of the coding schemes will be used in this setup which leads to
first user in the NOMA case. When βn = 0, the second term a constant cost in Fn (α, β, P ) which is represented by
is equal to zero and OMA is selected. In (2), pk,n represents parameter A′ hereinafter.
the power allocated by the BS to user k over subcarrier n, and • Error propagation: SIC receivers suffer from propagation

αk,k2 ,n is a binary variable given by: errors. To alleviate such errors, more complex designs
have been proposed such as multiple decision aided SIC

1, if k and k2 are the first and second users receivers [34]. In [34], it is shown that the required



 of NOMA, respectively, on subcarrier n, complexity is an increasing function of the requested



∀k, k2 , k 6= k2 , BER for SIC. On the other hand, hybrid automatic repeat
αk,k2 ,n = request (HARQ) is necessary to have reliable commu-
 1, if k 2 is the first user of NOMA or user


 of OMA on subcarrier n, ∀k, k2 , k = k2 , nications when there is an error in signal detection.



0 otherwise. Compared to OMA, NOMA encounters higher HARQ
probability and its HARQ design is more challenging
The three-dimensional matrix α = [αk,k2 ,n ], the vector [43] as it requires more processing, increases complexity,
β = [βn ], and the two-dimensional matrix P = [pk,n ] are and imposes extra cost. In traditional SIC receivers,
optimization variables that capture the problem of resource the achievable BER corresponding to the detection of a
allocation in our system. strong signal in presence of interference from a weaker
The achievable rate of NOMA is higher than OMA [13], signal, is inversely proportional to the experienced SINR.
[33]. However, since additional processing is required at the Therefore, to capture these effects, our considered NOMA
receiver for SIC when NOMA is selected, this additional cost will also include a component that is an increasing
complexity can be considered as a cost of using this access function of the inverse SINR.
technology. Such cost calls for optimizing the multiple access Therefore, we propose a NOMA cost function that properly
technology that is chosen by the wireless network at a given captures these two components as follows:
time. In recent works, such as [38], [39], and [32], multi-
objective optimization is used to optimize multiple, conflicting Fn (α, β, P ) = A′ + (4)
objective functions. To do so, scalarization, which consists X X  
hk,n pk2 ,n + σ 2

of creating a linear combination of the different objectives, αk,k2 ,n αk,k,n G ,
hk,n pk,n
k∈K k2 ∈K,k2 6=k
has emerged as a very popular technique to deal with multi-
objective optimization [40]. Thus, we use scalarization to con- where A′ denotes the constant cost of considering two users
sider two conflicting design criteria which are the achievable per subcarrier in our setup and G(.) is an increasing function
rate and the implementation complexity cost by defining our of the inverse SINR. G(·) represents the additional complexity
4

required to alleviate the error propagation to a desired level. When a given user is selected as the second user, the associated
By increasing the difference between the power of the desired subcarrier should use NOMA. Moreover, only one user should
signal and the interference induced from other users over be chosen as the second user, which imposes the following
the same subcarrier, proper interference cancellation can be constraint
performed with lower complexity. For tractability of the anal- X X
ysis, we consider a concave increasing logarithmic function βn = αk,k2 ,n αk,k,n , ∀n ∈ N . (10)
k∈K k2 ∈K,k2 6=k
for G(.) such that G(υ) = V ′ log(υ) where V ′ is a positive
scalar. This is a reasonable choice in terms of tractability for Furthermore, the features of OMA and NOMA impose three
optimization purposes. Moreover, since the relation between additional constraints on the resource allocation problem. First,
BER and SINR generally follows the complementary error each subcarrier is assigned to only one user in OMA and
function, the logarithmic function of the inverse of the SINR only one user should be selected as the first user in NOMA.
is a suitable candidate with similar characteristics. Considering Therefore, we have,
(3) and (4), the final utility function is X
 αk,k,n ≤ 1, ∀n ∈ N . (11)
Un (α, β, P ) = Rn (α, β, P ) − βn A (5) k∈K
  
X X hk,n pk2 ,n + σ 2 
When user k is not assigned to subcarrier n ∈ N , its allocated
+ αk,k2 ,n αk,k,n V log ,
hk,n pk,n power should be equal to zero. The mathematically expression
k∈K k2 ∈K,k2 6=k
of this practical consideration is
∀n ∈ N ,
′ ′
X
where V = V w and A = A w hereinafter. pk,n − αk′ ,k,n Pmax ≤ 0, ∀k ∈ K, n ∈ N . (12)
Considering virtualization at the radio access unit and k′ ∈K
assuming that multiple SPs share the BS, the isolation between
Moreover, the transmit power limitation of BS is controlled
SPs should be provided for resource allocation purposes [44].
by
This isolation requirement is represented as a rate requirement
for each SP as follows [45], X X X
αk,k,n (pk,n + αk,k2 ,n pk2 ,n ) ≤ Pmax (13)
X Xh k∈K n∈N k2 ∈K
pk,n hk,n k2 6=k
αk,k,n log(1 + ) + βn (6)
σ2
k∈Ks n∈N Finally, by using (3), we can pose the following dynamic
X pk,n hk,n i
multiple access technology selection problem:
log(1 + )α k 1 ,k,n α k 1 ,k 1 ,n >Rs , ∀s ∈ S,
pk1 ,n hk,n + σ 2 X X
k1 ∈K max Rn − w β n Fn (14)
k1 6=k β,α,P
n∈N n∈N
where Rs is the minimum required rate for SP s ∈ S. In (6),
s.t. (6) − (13),
the second term belongs to the case in which user k is the
second user of NOMA and shares the subcarrier n with user where βn and αk,k2 ,n ∈ {0, 1}, and pk,n ≥ 0. Problem (14)
k1 . is a mixed integer assignment programming problem whose
If subcarrier n ∈ N is selected for NOMA transmission, objective function is not concave and, hence, it is an NP-hard
SIC should be applied at the receiver side. For performing optimization problem. To solve this problem, next, we propose
SIC, the difference in power levels of NOMA users should be an iterative resource allocation algorithm.
larger than a specific lower bound [46]. This implementation
constraint can be written as follows
X hk,n  X  III. P ROPOSED A LGORITHM AND P ERFORMANCE
βn α k,k,n p k 2 ,n α k,k 2 ,n − p k,n > βn Pd , (7) A NALYSIS
σ2
k∈K k2 ∈K
k2 6=k To solve (14), we categorize the variables into two groups.
∀n ∈ N , The first group is discrete variables, including technology
selection (βn , n ∈ N ) and subcarrier allocation or user pairing
where Pd represents the minimum required difference of the for OMA or NOMA (αk,k2 ,n , k, k2 ∈ K, n ∈ N ) parameters.
received power levels between two NOMA users. The second group of variables, that includes the power levels
Due to the fact that, in NOMA, the second user should pk,n , k ∈ K, n ∈ N , is continuous. A two-step iterative
have lower CSI compared to the first user, we should have algorithm is proposed to allocate the variables. In the first
αk,k2 ,n = 0 when hk2 ,n > hk,n , which can be represented as t
step, at iteration t, the values of αk,k and βnt are optimized
! 2 ,n
hk2 ,n considering the previous optimal value of pt−1 k,n at iteration
αk,k2 ,n ≤ 1, ∀k, k2 , k 6= k2 ∈ K, n ∈ N . (8) (t−1). In the second step, ptk,n is optimized for a fixed value of
hk,n
t
αk,k 2 ,n
and βnt obtained from the first step. The mathematical
Moreover, since only one user could be selected as the second expression of total iterative optimization procedure is as
user in NOMA, we need to have,
X X β 0 , α0 → P 0 → β 1 , α1 , ..., β t , αt → P t → β ∗ , α∗ → P ∗
αk,k2 ,n ≤ 1, ∀n ∈ N . (9) (15)
k∈K k2 ∈K,k2 6=k
5

This iteration continues until the algorithm converges and the


following conditions are held X X X
max αk,k,n Y1 (pt−1
k,n ) + Y2 (pt−1 t−1
k,n , pk2 ,n )uk,k2 ,n
t β,u,α
n∈N k∈K k∈K
β − β t−1 ≤ εβ , αt − αt−1 ≤ εα , P t − P t−1 ≤ εp , k2 6=k
(16) X X X 
− βn A + V uk,k2 ,n Y3 (pt−1
k,n , p t−1
k2 ,n ) ,
where 0 < εβ , εα , εp ≪ 1. n∈N k∈K k2 ∈K,k2 6=k
(19a)
s.t. αk,k,n − uk,k2 ,n ≥ 0 ∀k, k2 ∈ K, n ∈ N , (19b)
A. Technology Selection and Subcarrier Assignment Problem βn − uk,k2 ,n ≥ 0 ∀k, k2 ∈ K, n ∈ N , (19c)
The optimization problem at iteration t for the fixed value X X
of pt−1
k,n from the previous iteration is αk,k,n Y1 (pt−1
k,n )+
n∈N k∈Ks
X
X X Y2 (pt−1 t−1
k1 ,n , pk,n )uk1 ,k,n > Rs , ∀s ∈ S, (19d)
max αk,k,n Y1 (pt−1
k,n )+ (17) k1 ∈K
β,α
n∈N k∈K k1 6=k
! !
X X 
βn Y2 (pt−1 t−1
− hk2 ,n
k,n , pk2 ,n )αk,k2 ,n βn A + uk,k2 ,n ≤ 1, ∀k, k2 ∈ K, n ∈ N , (19e)
k∈K,k2 6=k n∈N hk,n
X X 
V αk,k2 ,n αk,k,n Y3 (pt−1 t−1
k,n , pk2 ,n ) ,
X X
k∈K k2 ∈K,k2 6=k uk,k2 ,n ≤ 1, ∀n ∈ N , (19f)
k∈K k2 ∈K,k2 6=k
s.t. (6), (8) − (11),
X X
  βn = uk,k2 ,n , (19g)
pt−1
k,n hk,n
where Y1 (pt−1
k,n ) = log 1 + and
σ2 =Y2 (pt−1 t−1
k,n , pk2 ,n )
k∈K k2 ∈K,k2 6=k
  X
pt−1
k2 ,n hk2 ,n αk,k,n ≤ 1, ∀n ∈ N . (19h)
log 1 + t−1 are the rate of users according to
pk,n hk2 ,n +σ 2 k∈K
the optimal allocated power in the previous iteration. Also, This problem is a linear integer programming. There are
pt−1 hk,n +σ 2
Y3 (pt−1 t−1 k2 ,n
k,n , pk2 ,n ) = log( hk,n pt−1 ) represents the second different approaches to solve linear optimization, among them,
k,n
part of the processing cost model which is a function of the interior-point method has gained much more attention due
the optimal allocated power derived in the second step of to its simplicity. Here the linear integer programming problem
optimization problem. Since Y1 , Y2 , and Y3 only depend on of (19) is solved using CVX [47], which uses the interior-point
the power allocation, they are assumed to be constant in the method.
first step of resource allocation, i.e., technology selection and
subcarrier assignment problem. B. Power Allocation Problem
To convert this problem into linear optimization, we use In Step 2, given to the best access selection and subcar-
an auxiliary variable uk,k2 ,n = βn αk,k,n αk,k2 ,n . Note that, rier allocation for users derived in Step 1 (βnt and αk,k,n t
,
the defined variable uk,k2 ,n depends on αk,k,n . As a result, a t
uk,k2 ,n ), the BS should decide on its power allocation across
new constraint should be added in the optimization problem to subcarriers. In fact, by substituting the derived values for the
prevent the unacceptable values for these dependent variables. optimization variables in (14) and omitting the constraints
In essence, uk,k2 ,n cannot be equal to one when αk,k,n = 0. which do not depend on the power allocation, the optimization
Therefore, one of the key additional constraints is to have problem for power allocation becomes
αk,k,n − uk,k2 ,n ≥ 0. Similarly, since uk,k2 ,n cannot be equal
to one when βn = 0, the following constraint should be
X X
t pk,n hk,n
max αk,k,n log(1 + ) (20)
satisfied βn − uk,k2 ,n ≥ 0. P σ2
n∈N k∈K
The optimization problem should be reformulated according X X X
to the new auxiliary variable. For this purpose, by multiplying + utk,k2 ,n log(pk,n hk2 ,n + σ 2 + pk2 ,n hk2 ,n )
n∈N k∈K k∈K
both sides of (10) by βn , we obtain: k2 6=k
 X X X
X X − log(pk,n hk2 ,n + σ 2 ) − V utk,k2 ,n
βn2 = uk,k2 ,n . (18) n∈N k∈K k∈K
k∈K k2 ∈K k2 6=k

log(pk2 ,n hk,n + No ) − log(pk,n hk,n )
Since the variable βn is binary, we have βn2
= βn . Therefore,
s.t. (6), (7), (12), (13)
(18) is used in (17). Also, uk,k2 ,n is equal to zero when αk,k2 ,n
is zero. Thus, αk,k2 ,n in (8) and (9) can be replaced by uk,k2 ,n . where P is a K × N matrix in which each element at row k
Finally, (17) is transformed into and column n is equal to pk,n .
6

we can approximate the negative logarithmic terms in the (pk2 ,n − pkt22−1


,n )hk,n 

+ + log(pk,n hk,n )
objective function at iteration t2 with affine functions as pkt22−1
,n hk,n + σ
2
f (x) = f (xt2 −1 ) + f ′ (xt2 −1 )(x − xt2 −1 ) where xt2 −1 is the
optimal solution of t2 − 1 iteration.
X XX
t pk,n hk,n
+ λs αk,k,n log(1 + )
By applying the DC algorithm [37], we can approximate the σ2
s∈S k∈Ks n
X 
negative logarithmic terms in the objective function at iteration + utk1 ,k,n log(pk,n hk,n + pk1 ,n hk,n + σ 2 )
t2 with affine functions as f (x) = f (xt2 −1 ) + f ′ (xt2 −1 )(x − k1 ,k1 6=k
xt2 −1 ) where xt2 −1 is the optimal solution of t2 − 1 iteration. 
!
Therefore, hk,n
− log(ptk21−1+ σ ) − t2 −1
,n hk,n (pk1 ,n − pkt21−1
2
,n ) − Rs
pk1 ,n hk,n
X X
t pk,n hk,n X 
J(P ) = αk,k,n log(1 + ) + utk1 ,k,n log(pk,n hk,n + pk1 ,n hk,n + σ 2 )
σ2
n∈N k∈K k1 ,k1 6=k
X  !
+ uk,k2 ,n log(pk,n hk2 ,n + σ 2 + pk2 ,n hk2 ,n ) hk,n 
k∈K
− log(ptk21−1 + σ ) − t2 −1
,n hk,n
2 t2 −1
(pk1 ,n − pk1 ,n ) − Rs
k2 6=k pk1 ,n hk,n
t2 −1 X X hk,n  X 
2 −1
(pk,n − pk,n )hk2 ,n  + γn p u t
− β t
p α t
− βnt pd

− log(ptk,n hk2,n + σ 2 ) + t2 −1 σ 2 k 2 ,n k,k 2 ,n n k,n k,k,n
pk,n hk2 ,n + σ 2 n k k2 ,k2 6=k
X X X  XX X XX
+V uk,k2 ,n − log(pkt22−1 2 − ζk2 ,n (pk2 ,n − utk,k2 ,n Pmax )−η t
αk,k,n pk,n
,n hk,n + σ )
n∈N k∈K k2 ∈K,k2 6=k k2 n k k n
 X 
hk,n  + utk,k2 ,n pk2 ,n − Pmax . (24)
+(pk2 ,n − pkt22−1 ) + log(p k,n h k,n ) . (21)
,n
ptk22−1
,n hk,n + σ
2 k2 ,k2 6=k

In this method, the primal (maximizing L(P ) to find P ) and


The same approach is used for constraint (6) dual (minimizing L(λ, γ, ζ, η) to find Lagrange multipliers)
problems are solved iteratively until changes in the variables
X X
t pk,n hk,n are negligible and the iterative algorithm converges to a fixed
αk,k,n log(1 + )+
σ2 point. Since the optimization problem (23) is convex, this fixed
n∈N k∈KS
X  point will be the optimal.
uk1 ,k,n log(pk1 ,n hk,n + σ 2 + pk,n hk,n ) Next, in Proposition 1, for fixed access technology selec-
k1 ∈K tions, we derive closed-form expressions for the optimal power
k1 6=k
t2 −1
! allocation strategy as a function of the NOMA processing cost
(p k ,n − p k ,n )h k,n

coefficient (V ), channel gains, and Lagrange multipliers. The
(log(ptk21−1
1
− + σ2 ) + 1
) > Rs , ∀s ∈ S.
,n
ptk21−1
,n hk,n + σ
2 Lagrangian multipliers (dual variables) are obtained by solving
(22) the dual problem using the gradient method.
Proposition 1. Given the access technology selection for
Finally, the transformed power allocation optimization prob- subcarrier n, the optimal power allocation will be given by:
lem to the convex one, is
• If βn = 0 and αk,k,n = 1,
 +
max J(P ) (23) 1 + λ s′ σ2
P pk,n = − − (25)
Dk,n hk,n
s.t. (22), (7), (12), (13).
where Dk,n = −ζk,n − η.
We write the Lagrange function of the convex problem (23) • If βn = 1, αk1 ,k1 ,n = 1, and αk1 ,k2 ,n = 1,
by considering the Lagrange multipliers λ, γ, ζ, and η for  +
1 + λ s′ σ2
constraints in (22), (7), (12), and (13), respectively. Thus, the pn = − − (26)
Dk2 ,n hk2 ,n
optimization problem is encapsulated in single term as
and
−(hk1 ,n (1+λs′+V )+σ 2 Q)
XX pk,n hk,n pk1 ,n = (27)
L(P , λ, γ, ζ, η) = t
αk,k,n log(1 + ) 2Qhk1 ,n
σ2 q
2
X k n (hk1 ,n (1+λs′+V )+σ 2 Q) −4V σ 2 Qhk1 ,n
+ utk,k2 ,n log(pk,n hk2 ,n + pk2 ,n hk2 ,n + σ 2 ) ±
2Qhk1 ,n
k2 ,k2 6=k
 where
hk2 ,n t2 −1 2 −1
− t2 −1 (pk,n − pk,n ) − log(ptk,n hk2 ,n + σ 2 )
pk,n hk2 ,n +σ 2 pn = pk1 ,n + pk2 ,n , ∀k1 ∈ Ks′ , ∀k2 ∈ Ks′′ , (28)
X X X  −Dk2 ,n (1 + λs′′ )
+V utk,k2 ,n − log(ptk22−1 2
,n hk,n + σ ) Q= + Dk1 ,n ,
1 + λ s′
n∈N k∈K k2 ∈K,k2 6=k
7

−hk2 ,n hk ,n
Dk1 ,n = −(1 + λs′′ ) + γn 12
ptk21−1 h
,n k2 ,n + σ 2 σ  +
2
− ζk1 ,n − η, and  1 σ 
pn =  hk2 ,n
−  . (29)
hk ,n hk ,n η+V hk2 ,n
Dk2 ,n = −V t2 −1 2 + γn 12 − ζk2 ,n − η. t −1
pk2 ,n hk2 ,n +σ 2
pk2 ,n hk2 ,n + σ 2 σ 2
t2 −1
p
At a high SNR regime, when kσ22,n ≫ 1, we have
Proof. See Appendix A. h 2
i+
pn = η1 − hkσ ,n . This means the NOMA power allocation
2
will follow the water filling algorithm depending on the
From (25), the allocated power to an OMA
h user is based ion channel gains of the second users. However, the allocated
2 +
a pseudo water filling algorithm as pk,n = − 1+λ σ t −1
Dk,n − hk,n
s′ pk2 ,n
power is a decreasing function of V when 2
σ2 ≪ 1 as
where Dk,n = −ζk,n − η. Similarly, in (26), the power  +
h i+ 1 σ2
allocation for NOMA transmission pn = − D 1+λs′
− σ2 pn = hk ,n
2
− hk ,n .
k ,n hk ,n V σ2
+η 2
2 2

where Dk2 ,n = −V
hk2 ,n h
+γn kσ12,n −ζk2 ,n −η is in a Finally, to study the effects of V on the power allocation of
t −1
pk2 ,n hk2 ,n +σ 2 OMA and NOMA users, we assume the Lagrange multipliers
2
water filling format. For NOMA power allocation, the channel to be fixed. By increasing V , the absolute value of Dk2 ,n
gain of the second NOMA user and the processing gain play increases which leads to a lower value for the first term in
key roles in the total power allocated to both NOMA users in (26). As a result, the total power allocated to the NOMA users
one subcarrier. decreases. Considering a fixed total power Pmax for the BS,
We first compare the amount of power allocated to NOMA decreasing the total power allocated to the NOMA users leads
and OMA subcarriers depending on the NOMA processing to a higher allocated power to the OMA users. In other words,
cost. For instance, assume that NOMA and OMA are selected, Proposition 1 shows that the optimal power allocated to OMA
respectively, for subcarriers n and n′ during the technology increases (thus the allocated power to NOMA decreases) when
selection phase. By comparing (25 and (26, we can observe the cost of NOMA grows.
that if |Dk2 ,n | < |Dk,n′ |, then more power is allocated
to NOMA subcarriers compared to OMA subcarriers when In a nutshell, the following engineering insights can be
hk,n′ hk2 ,n
σ2 , σ2 >> 1. To satisfy the condition of |Dk2 ,n | < observed from Proposition
h h   t21: 
|Dk,n′ |, − V t2 −1 k2 ,n 2 + γn kσ12,n should be positive −1
pk ,n 1
pk ,n hk2 ,n +σ
2  t2 −1  • If V < hk1 ,n γn σ 2 + hk ,n
2
for all subcarriers
2
pk ,n 1
or equivalently, V < hk1 ,n γn σ 2 + hk ,n . In other
2 allocated to NOMA, the allocated power to the NOMA
2
subcarriers is larger than the allocated power to the
words, when the NOMA processing cost V is lower than a
OMA subcarriers when channel gains normalized by
certain threshold, higher power levels are allocated to NOMA
noise power are sufficiently high.
subcarriers compared to OMA subcarriers. Note that since user
• When noise power is very low, all power is allocated to
k2 and k are assigned to subcarriers n and n′ , respectively, the
the subcarriers that OMA is selected for them.
allocated power to these users will not be equal to zero which
• When satisfying the constraints of resource allocation
leads to ζk,n = ζk2 ,n = 0.
(except for the maximum power constraint) is not impos-
Next, we consider the case in which the noise power is
h ing any limitation on the objective function, the allocated
very low, i.e., σ 2 → 0. In this case, kσi2,n , ∀i ∈ {1, 2} tends power to OMA is
to infinity and this leads to Dki ,n → +∞, ∀i ∈ {1, 2}. Thus,  +
the total allocated power to the NOMA subcarriers will be zero 1 σ2
σ2 pk,n = − . (30)
according to (26), since − 1+λDk2 ,n − hk2 ,n is a small negative
s′
η hk,n
value. On the other hand, in this case, the allocated power to an In this case, for high SNRs, the allocated power to the
OMA user over subcarrier n is obtained by ζ1+λ s′
k,n +η
. Therefore, NOMA users is a decreasing function of V as
we can conclude that, whenever the noise power is very low, " #+
the power is allocated only to the OMA subcarriers and no 1 σ2
pn = h
− . (31)
power is allocated to the NOMA subcarriers. V kσ22,n + η hk2 ,n
We further consider the case when Pmax is high, and hence, However, for low SNRs, the allocated power to NOMA
constraints (7), (12), and (22) are inactive, not causing any users will be independent of V as
limitation on the objective functions. According to the La-  +
grangian multiplier method, when the constraints are satisfied 1 σ2
pn = − . (32)
by inequality, the associated Lagrange multipliers will be equal η hk2 ,n
to zero. As a result, the Lagrange multipliers λ, γ and ζ are • By increasing V , the total allocated power to the NOMA
equal to zero. In this scenario,
h the
i allocated power to the OMA users decreases.
2 +
users will be pk,n = η1 − hσk,n which is exactly the same The flow chart of resource allocation algorithm is shown in
as the water-filling algorithm. On the other hand, the allocated Fig. 1. Also, pseudo-code of resource allocation algorithm is
power to the NOMA users will be presented in Algorithm 1.
8

Algorithm 1: Pseudo-code of Resource Allocation Algo-


rithm
Initialization: Set t := 1 and initialize P ∗ (0) = Pmax /(2N )
Repeat
Step 1: Derive β ∗ (t), u∗ (t), and α∗ (t) to maximize
(19) with considering fixed value of P ∗ (t − 1)
Step 2: Set t2 := 1 and P (t2 − 1) = P ∗ (t − 1)
Repeat
Step I:
repeat
Step A: find pti,j 2
i ∈ K, j ∈ N :
for n ∈ N
if βn∗ (t) == 0
for k ∈ K
if αk,k,n

(t) == 1
find ptk,n2
from (25)
else
ptk,n
2
=0
end
else
Set pti,n
2
= 0, i ∈ K
for k1 ∈ K and k2 ∈ K
Fig. 1. A flow chart of the proposed approach. if αk∗1 ,k1 ,n (t) == 1 and
αk∗1 ,k2 ,n (t) == 1
find ptk21 ,n from (26),
and find ptk22 ,n from (27)
Two other important aspects to evaluate the performance end
end
of the proposed resource allocation are its convergence and update λ, γ, ζ, η by derived value of
computational complexity. Regarding the convergence, the pti,j
2
i ∈ K, j ∈ N
proposed iterative algorithm uses the block coordinate de- if variation of lagrangian multipliers are
scent (BCD) method in which one group of variables is higher than ε
optimized and the others are assumed to be fixed. In [48], go to Step A
else
it is shown that the convergence of BCD is guaranteed when Stop repeat
the variable groups are updated by a successive sequence of if kP ∗ (t2 ) − P ∗ (t2 − 1)k ≤ ε
approximations of the objective function like strictly convex Set P (t) = P ∗ (t2 ) and Stop Repeat
local approximations. Therefore, applying successive convex else
approximation, the convergence of algorithm is guaranteed. set t2 := t2 + 1 and go to Step I
Step 3: if kP ∗ (t) − P ∗ (t − 1)k ≤ ε
However, the convergence is guaranteed to a local optimum, Stop Repeat.
which may not be the global optimum. else
Regarding the computational complexity, in a primal-dual Set t := t + 1 and go to Step 1.
interior point method for linear programming of the first

step of the proposed algorithm, O( nv ns ) (where nv is
the number of variables and ns is the size of the problem IV. S IMULATION R ESULTS
data) iterations are required in the worst case to obtain a
solution that can be transformed easily into an optimal basic For our simulations, we consider a network with 10 subcar-
feasible solution [49]. The major computation in each iteration riers and 20 users. Two SPs seek to provide service to their
of the primal-dual interior point method is the construction subscribed users. Users are uniformly distributed in a square
and Cholesky factorization of a symmetric and positive def- area with a unit length. The channel gains of users are modeled
inite matrix of size m by m, where m is the number of by assuming large and small scale fading as hk,n = d−α k sk,n ,
linear equality constraints. The computational complexity of where dk is the distance between the BS and user k, α = 3
Cholesky factorization is O(m3 ) in the worst case [50]. The and sk,n has an exponential distribution with unit variance in
complexity of the Lagrangian method for power allocation Rayleigh fading channel. In our simulation setup, we consider
is O(nv /ǫ2sub ) where 1/ǫ2sub is the number of iterations of normalized noise, i.e., σ 2 = 1, and Pmax = 20 dB, and
sub-gradient method to find a ǫsub -suboptimal point. On the the required minimum power difference for SIC is set equal
other hand, the convergence of DC method is achieved by to Pd = 0.01. The cost of NOMA processing is set to
complexity of O(log(1/ǫdc )) where ǫ is the stopping criterion A = V = 2. In our simulation results, when the constraints of
[51]. Consequently, the total complexity of power allocation the optimization problem cannot be satisfied simultaneously
algorithm is O(nv /(ǫ2sub ǫdc )). This proves that the complexity for a given CSI, the utility is set to zero. All statistical results
of our proposed scheme only grows polynomially with the are averaged over a large number of independent runs. To show
number of variables, which is a considerable improvement the benefits of dynamic multiple access technology selection,
over direct search methods with exponential complexities. the achieved utility of the proposed algorithm is compared to
9

120 110
Proposed dynamic OMA/NOMA selection
Proposed dynamic OMA/NOMA selection OMA
OMA NOMA
100
NOMA
100
90
80
Achieved utility

Achieved utility
80

60 70

22 % 60 21 %
40
50
20
40

0 30
16 17 18 19 20 21 22 23 24 42 44 46 48 50 52

(a) (a)

10 0 Proposed dynamic OMA/NOMA selection 10 0


OMA Proposed dynamic OMA/NOMA selection
NOMA OMA
NOMA
Outage probability

Outage probability

10 -1 10 -1

10 -2 10 -2
16 17 18 19 20 21 22 44 45 46 47 48 49 50 51 52

(b) (b)

Fig. 2. (a) Utility performance and (b) Outage probability of different access Fig. 3. (a) Utility performance and (b) Outage probability of different access
technologies versus different values for maximum transmit power. technologies versus different values for QoS of SPs.

the NOMA and OMA cases. The optimization of OMA and that the rate of at least one SP is lower than its minimum
NOMA, respectively, can be obtained by setting βn = 0 and required rate. This performance metric is studied in Fig. 2(b).
βn = 1 in (19) and (23). As expected, our proposed scheme offers the lowest outage
In Fig. 2(a), the value of the proposed objective function probability due to the flexibility in access technology selection.
which is a difference between the rate and the cost of NOMA Based on Fig. 2(b), for Rs = 48 bps/Hz, Pmax = 16 dB is
processing is shown for different values of maximum transmit not enough to satisfy the rate requirements for SPs and the
power where Rs = 48 bps/Hz. As can be seen from Fig. optimization problem will be mostly infeasible which explains
2(a), our proposed scheme outperforms the OMA and NOMA the very high outage at those values. As can be seen for Pmax =
technologies. NOMA can support more than one user in each 20 dB, our proposed strategy achieves approximately half of
subcarrier and thus can facilitate meeting the QoS require- the outage probability of NOMA and OMA. The flexibility
ments of SPs compared to OMA. Therefore, it can be observed offered by our proposed scheme to select between OMA and
that NOMA enhances the performance for low power ranges NOMA leads to the higher probability to satisfy the minimum
despite of its processing cost. Note that in 18 dB point where rate of SPs, and, thus, lower outage probability compared to
the feasibility of (6) is very sensitive to the resource allocation the OMA and NOMA.
strategy due to the dominant constraint (13), the performance Fig. 3(a) and Fig. 3(b) analyze the impact of the SPs’ QoS
of our proposed scheme is approximately 22% higher than requirement parameter Rs on the achieved utility and outage
NOMA. probability. As expected, the proposed algorithm improves
We define the outage probability in (6) as the probability the performance in terms of both utility function and outage
10

100 90
Proposed dynamic OMA/NOMA selection Proposed dynamic OMA/NOMA selection
OMA 80 OMA
NOMA NOMA
90
7% 70
19 %
80 60
Achieved utility

13 %

Achieved utility
50
70
75 % 40

60 30

20
50
10

40 0
1 1.5 2 2.5 3 3.5 4 4.5 5 10 11 12 13 14 15 16 17 18
Number of users

Fig. 4. Utility performance of different access technologies versus different Fig. 5. Utility performance of different access technologies versus number
values for A and V for Rs = 48. of users.

probability compared to the pure OMA or NOMA cases. As the maximum power is set to the 20 dB. In general, by
can be seen in Fig. 3(a), for low ranges of Rs , the proposed increasing the number of users in the system, the utility of
scheme will mostly choose OMA since the probability of all schemes increases due to the users’ diversity gain. When
infeasibility is very low. In these cases, OMA is the best N < 11, NOMA has higher utility compared to OMA despite
choice since the cost is lower. By increasing the minimum the processing cost. This is because NOMA can expand the
rate requirement, the feasibility region is shrunk in any access feasibility region as two users can be supported in each
technology and outage probability increases. Meanwhile, in subcarrier. For N ≥ 11, the performance of OMA improves
OMA the outage probability increases more quickly compared owing to the users’ diversity gain and up to 10% higher
to the NOMA case since there are more restrictions as each performance is achieved compared to NOMA. This means
subcarrier can be allocated to only one user. In other words, the processing cost for NOMA influences its effectiveness
the ability of NOMA to allocate two users to each subcarrier compared to OMA. However, our proposed dynamic scheme
results in a higher opportunity to satisfy the minimum required outperforms both the NOMA and OMA cases for any number
rate of SPs. Compared to the pure OMA and NOMA cases, of users in the network.
our proposed strategy for resource allocation achieves lower In Fig. 6 and Fig. 7, we study the effect of the distribution
outage probability since dynamic access technology selection density of users in the coverage region of the BS on the
expands the feasibility region. Also, the ability of the proposed achievable utility and total achievable rate,
P respectively. The
scheme to choose between OMA with no processing cost as total achievable rate is calculated as n∈N Rn (α, β, P )
well as NOMA leads to performance improvement in the terms where Rn (α, β, P ) is defined in (2). For this purpose, we
of defined utility compared to the pure NOMA technology. For divide the coverage region into central and edge regions.
example, when the feasibility of (6) is the dominant constraint The central region is the square with the half length of total
(e.g. for Rs = 50), the proposed strategy for dynamic access coverage area, which is located at the center of the coverage
technology selection yields utility gains of approximately 21% region, and the rest is the edge region. The users in the edge
compared to OMA. region are called cell-edge users. In these figures, the x-axis
In Fig. 4, we evaluate the effects of the processing cost represents the percentage of users in the cell-edge region.
values on the system performance by presenting the value of Other parameters are set as in Fig. 2(a) where Pmax = 20 dB.
the utility function for different values of A and V . From Fig. In Fig. 6, when no users are located in the cell-edge region,
4, by increasing the value of these parameters, the proposed NOMA achieves the lowest performance among the three
scheme can enhance the performance up to 75% compared schemes in the terms of achieved utility, in presence of NOMA
to the NOMA scenario. For low values of A and V , NOMA cost. Furthermore, it is shown that, the utility performance
achieves up to 13% utility improvement compared to the OMA of OMA is equal to the utility performance of NOMA when
case. In fact, when taking into account both the rate and 80% of users are distributed at the cell edge, even though
processing cost, on their own, neither NOMA nor OMA will NOMA imposes an extra processing cost. As a result, we can
be suitable for all use cases. As can be seen, our proposed conclude that the performance of OMA is severely degraded
scheme with flexible access technology improves the utility when all users are at the cell edge (point 100%). However,
from 7% to 19%. NOMA can provide a better performance since it can support
In Fig. 5, we study effect of the number of users on more users, and consequently, the probability to satisfy the
the performance of proposed method. 5. In this figure, the isolation constraint will increase and the feasibility region of
other parameters are similar to those used in Fig. 2(a) where the optimization problem is expanded. When the number of
11

 K  N
is +K . Consequently, the exhaustive search suffers
160 2
from huge computational complexity at large values of N and
140
15%
K. This forces us to focus on K = 6 and N = 3 and 4 for this
120
simulation. We also set Pmax = 20 dB and Rs = 12 bps/Hz.
20%
The results are summarized in Table I, which reveals that the
Achieved utility

100
Proposed dynamic OMA/NOMA selection
gap between the optimal resource allocation and our proposed
OMA algorithm is negligible when N and K are small, while this
80 NOMA
gap expands when network size grows. However, this gap does
60 not exceed 7% as seen from Table I.

40
V. C ONCLUSION
20 In this paper, we have introduced a new approach for access
technology that can dynamically choose a suitable technology
0
0 20 40 60 80 100 based on the instantaneous CSI. As an example, two different
Percentage of cell edge users (%) access technologies (OMA and NOMA) have been considered
as options of access technology selection. We have considered
Fig. 6. Utility of different access technologies versus percentage of cell edge
users. a multi-user multi-carrier single cell downlink communication
system, assuming a set of the SPs, each of which having a set
of its own users and a minimum QoS requirement. We have
160
then proposed a novel algorithm that can allocate resources in-
140 17% cluding subcarriers, power and technology selection variables.
We have defined a novel utility function which reflects the
120
Proposed dynamic OMA/NOMA selection
tradeoff between the achievable rate and the imposed cost for
100
OMA NOMA processing. To efficiently solve the proposed resource
NOMA
allocation problem, we have developed a two-step iterative
Achieved rate

80 algorithm. In the first step, by introducing auxiliary variables,


the subcarrier assignment and technology selection problem
60
is transformed and solved using linear integer programming.
40 Subsequently, in the second step, the power allocation is solved
by applying DC programming. Simulation results highlight
20
that higher utility and lower outage probability can be achieved
0
via the proposed dynamic access technology selection. Future
0 20 40 60 80 100 work can extend to the case where more than two users can
Percentage of cell edge users (%) share one subcarrier in NOMA.
Fig. 7. Rate performance of different access technologies versus percentage
of cell edge users. A PPENDIX A
P OWER A LLOCATION S TRATEGY
In the primal problem, we want to find the variables of
cell-edge and central users in the network are equal, i.e., point matrix P with dimension K × N by considering fix value
50% in Fig. 6, our proposed scheme achieves 15% and 20% for λ, γ, ζ, η. Because each user can be first or second user
higher utility performance compared to the OMA and NOMA of NOMA, we take derivative of general formula (24) with
cases, respectively, due to its capability to choose the best respect to pk′ ,n
technology depending on users CSI and cost of technology
implementation. dL(P , λ, γ, ζ, η) hk′ ,n
= αkt ′ ,k′ ,n 2 +
From Fig. 7, it is evident that all access methods have dpk′ ,n σ + pk′ ,n hk′ ,n
| {z }
similar performance in terms of the total rate achieved by the a1
users when all users are in the central region. Comparing the X  hk2 ,n
two points at 50% and 80% in Fig. 7, it can be observed that pk′ ,n hk2 ,n + pk2 ,n hk2 ,n + σ 2
k2 ∈K,k2 6=k′
the gap between the total rate of our proposed scheme and | {z }
a2
NOMA decreases. In fact, when the number of users at cell 
edge and central region is equal, (i.e., point 50%), the flexible hk ,n
− t2 −1 2 utk′ ,k2 ,n
access technology selection of our proposed scheme leads to pk′ ,n hk2 ,n + σ 2
| {z }
17% improvement in the total rate. a3
To study the gap between our proposed scheme and the X hk′ ,n utk1 ,k′ ,n
optimal resource allocation, we use the exhaustive search to +
find the optimal solution. First, we note that, the complexity of pk1 ,n hk′ ,n + pk′ ,n hk′ ,n + σ 2
k1 ∈K,k1 6=k′
| {z }
technology selection and user assignment of exhaustive search a4
12

TABLE I
ACHIEVED UTILITY OF THE PROPOSED RESOURCE ALLOCATION ALGORITHM AND OPTIMAL RESOURCE ALLOCATION

Exhaustive search for OMA/NOMA Our proposed algorithm for OMA/NOMA


Achieved Utility (N = 3, K = 6) 30.5326 29.5603
Achieved Utility (N = 4, K = 6) 44.2093 41.0337

 X hk′ ,n
−V utk1 ,k′ ,n 1, ..., K, in the above equation are represented by Dk′ ,n as,
t2 −1
k1 ∈K,k1 6 k′
=
pk′ ,n hk′ ,n + σ2
| {z } X  hk2 ,n 
a5 Dk′ ,n = βnt −
t2 −1 2
utk′ ,k2 ,n
 k2 ,k2 6=k
p k ,n
′ h k ,n + σ
X 1 hk′ ,n ′ 2

− utk′ ,k2 ,n + λs′ (αkt ′ ,k′ ,n 2  X hk′ ,n 


pk′ ,n σ + pk′ ,n hk′ ,n −V utk1 ,k′ ,n t2 −1
k2 ∈K,k2 6=k′
| {z } | {z }
k ∈K,k 6=k′
pk′ ,n hk′ ,n + σ 2
a 7 1 1
a6
X hk′ ,n
+ ut ′ ) !
pk′ ,n hk′ ,n + pk1 ,n hk′ ,n + σ 2 k1 ,k ,n X X hk ,n
k1 ∈K,k1 6=k′
| {z } + λs utk′ ,k2 ,n − t2 −1 2
a8 s∈S,s6=s′ k2 ∈Ks
pk′ ,n hk2 ,n + σ 2
 
X X hk2 ,n −hk′ ,n βnt αkt ′ ,k′ ,n hk1 ,n 
utk′ ,k2 ,n
X
+ λs +γn  + utk1 ,k′ ,n
pk2 ,n hk1 ,n + pk′ ,n hk2 ,n + σ 2 σ2 σ2
s∈S,s6=s′ k2 ∈Ks | {z } k1 ,k1 6=k′
a9 !
! X
 −hk′ ,n β t αt ′
hk2 ,n n k ,k′ ,n −ζk′ ,n − η αkt ′ ,k′ ,n + utk1 ,k′ ,n (34)
− t2 −1 + γn
pk′ ,n hk2 ,n + σ2 | σ{z2 } k1
| {z } a11
a10
! Therefore, the relation between the optimum values of
X hk1 ,n  X pk,n , k = 1, .., K is
+ utk1 ,k′ ,n − ζk′ ,n− η αkt ′ ,k′ ,n+ utk1 ,k,n ,
σ2 hk′ ,n
k1 ∈K,k1 6=k′ k1 ∈K
| {z } αkt ′ ,k′ ,n (1 + λs′ )
a12 p hk′ ,n + σ 2
k′ ,n

∀k ′ , n. (33)
X hk,n X
+ ut ′
2 k ,k,n
(1 + λs )
p h
k ,n k,n
′ + p h
k,n k,n + σ
k,k6=k
′ s∈S,k∈Ks
In (33), the first three terms (a1 , a2 , and a3 ) capture the X hk′ ,n utk,k′ ,n
case in which user k ′ is the first user of NOMA or is the OMA + (1 + λs′ )
user. Note that when k ′ is the first user of NOMA, its power pk,n hk′ ,n + pk′ ,n hk′ ,n + σ 2
k,k6=k′
causes interference to the second user of NOMA, which leads  X 1 
to terms a2 and a3 . +V utk′ ,k,n + Dk′ ,n = 0. (35)
pk′ ,n
k,k6=k

The term a4 is related to the case in which k ′ is the second
user of NOMA. In (33), since we do not replace αkt ′ ,k′ ,n Note that by allocation in step 1 and considering only two
with its derived values from the previous step (considering the users for NOMA at most, there are two equations and two
general format), the summation over k1 appears when user k ′ variables for each subcarrier. Next, we consider two cases.
is the second user of NOMA. a5 and a6 are the derivations of In the first case, OMA is selected for subcarrier n and
the processing cost of NOMA in the objective function when the user k uses it. Thus, βnt = 0, utk1 ,k2 ,n = 0, ∀k1 , k2
k ′ is the second user of NOMA and the first user of NOMA, t
and αk,k,n = 1. So, by substituting these value in (35), the
respectively. In a5 , we have a summation on k1 similar to the allocated power to the user k on subcarrier n is obtained
a4 . Similar to a2 and a3 , a6 has a summation on k2 . according to (25).
The terms a7 , a8 , a9 , and a10 are the Lagrangian terms For subcarrier n, when NOMA is selected and if user k1
related to the constraint (22). Let assume user k ′ belongs to and k2 are the first and second users, respectively, we have
SP s′ The term a7 is related to the case in which user k ′ is βnt = 1, αkt 1 ,k1 ,n = 1, utk1 ,k2 ,n = 1, and other variables, i.e.,
the first user of OMA or NOMA. Again, when user k ′ is the λ, γ, ζ, η, are equal to zero. By assuming pn = pk1 ,n + pk2 ,n
second user of NOMA, its rate should be considered in the we have two equations and two variables
rate constraint of SP s′ , which leads to a8 . When the user k ′
is the first user of NOMA and its power is considered as the hk1 ,n hk2 ,n
(1 + λs′ ) + (1 + λs′′ )
interference for the user belong to the other SPs (s 6= s′ ) leads pk1 ,n hk1 ,n + σ 2 pn hk2 ,n + σ 2
to the a9 and a10 terms. The a11 and a12 terms are due to the V
Lagrangian term related to constraint (7). Similar to a4 and + + Dk1 ,n = 0 (36)
pk1 ,n
a8 , we have summation in a12 . hk2 ,n
All terms of dpdL′ that are not function of pk,n , k = (1 + λs′ ) + Dk2 ,n = 0 (37)
k ,n pn hk2 ,n + σ 2
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metrics in 5G systems,” IEEE Signal Processing Magazine, vol. 31, Mahsa Derakhshani (S10, M13) received the
no. 6, pp. 14–23, Nov. 2014. Ph.D. degree in electrical engineering from McGill
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research trends,” IEEE Communications Magazine, vol. 53, no. 9, pp. of Electrical and Computer Engineering, University
74–81, Sep. 2015. of Toronto, Toronto, Canada, a Research Assistant
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nonorthogonal multiple-access downlink transmissions,” IEEE Transac- Engineering, McGill University, from 2013 to 2015,
tions on Vehicular Technology, vol. 65, no. 8, pp. 6010–6023, Aug. and an Honorary NSERC Post-Doctoral Fellow with
2016. the Department of Electrical and Electronic Engi-
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Commun. (PIMRC), Hong Kong, China, Sep. 2015, pp. 590–594. Engineering, Loughborough University, U.K. Her research interests include
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control framework for 5G network slicing with effective isolation,” in cations (URLLC), software-defined wireless networking, and the applications
IEEE 52nd Annual Conference on Information Sciences and Systems of optimization and machine learning for radio resource management. She has
(CISS), Princeton, NJ, USA, Mar. 2018. received several awards and fellowships, including the John Bonsall Porter
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strate for virtualizing wireless resources in cellular networks,” Society for Quebec Nature et Technologies (FRQNT), and the Natural Sciences and En-
Industrial and Applied Mathematics Journal on Optimization, vol. 20, gineering Research Council of Canada (NSERC) Post-Doctoral Fellowships.
no. 5, pp. 1333–1346, Oct. 2012. She currently serves as an Associate Editor for IET Signal Processing Journal.
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Neural Computation, vol. 15, no. 4, pp. 915–936, Apr. 2003. Walid Saad (S07, M10, SM15, F19) received his
Ph.D degree from the University of Oslo in 2010. He
is currently a Professor at the Department of Elec-
trical and Computer Engineering at Virginia Tech,
where he leads the Network Science, Wireless, and
Mina Baghani received the B.Sc. and M.Sc. degrees Security laboratory. His research interests include
from Shahed University, Tehran, Iran, in 2008 and wireless networks, machine learning, game theory,
2011, respectively and the Ph.D. degree in electrical security, unmanned aerial vehicles, cyber-physical
engineering from Amirkabir University of Technol- systems, and network science. Dr. Saad is a Fellow
ogy (Tehran Polytechnic), Tehran, Iran, in 2017. of the IEEE and an IEEE Distinguished Lecturer.
In 2018, she worked as a researcher at the Iran He is also the recipient of the NSF CAREER award
Telecommunication Research Center (ITRC). Since in 2013, the AFOSR summer faculty fellowship in 2014, and the Young
2019, she is an assistant professor of the Faculty Investigator Award from the Office of Naval Research (ONR) in 2015. He
of Technical and Engineering, Imam Khomeini In- was the author/co-author of seven conference best paper awards at WiOpt
ternational University, Qazvin, Iran. Her current re- in 2009, ICIMP in 2010, IEEE WCNC in 2012, IEEE PIMRC in 2015,
search interests include multilayer coding, nonlinear IEEE SmartGridComm in 2015, EuCNC in 2017, and IEEE GLOBECOM in
optimization methods, cognitive radio networks, and resource allocation in 2018. He is the recipient of the 2015 Fred W. Ellersick Prize from the IEEE
wireless networks. Communications Society, of the 2017 IEEE ComSoc Best Young Professional
in Academia award, and of the 2018 IEEE ComSoc Radio Communica-
tions Committee Early Achievement Award. From 2015-2017, Dr. Saad was
named the Stephen O. Lane Junior Faculty Fellow at Virginia Tech and, in
2017, he was named College of Engineering Faculty Fellow. He currently
serves as an editor for the IEEE Transactions on Wireless Communications,
Saeedeh Parsaeefard (S09M14) received the Ph.D. IEEE Transactions on Mobile Computing, IEEE Transactions on Cognitive
degree in electrical and computer engineering from Communications and Networking, and IEEE Transactions on Information
Tarbiat Modares University, Tehran, Iran, in 2012. Forensics and Security. He is an Editor-at-Large for the IEEE Transactions
From November 2010 to October 2011, she was a on Communications.
visiting Ph.D. student with the University of Califor-
nia, Los Angeles, Los Angeles, CA, USA. She was
a Postdoctoral Research Fellow with the Department
of Electrical and Computer Engineering, McGill
University, Montreal, QC, Canada. She is currently
a Faculty Member with the Iran Telecommunication
Research Center, Tehran, Iran and visiting faculty
member in University of Toronto. She received the IEEE Iran Section Women
in Engineering awards in 2018. Her research interests span the overall systems
architecture of wireless networks, including the physical, medium access, and
networking layers, and applications of optimization theory and game theory
in system designs.

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