Outage Probability Analysis For NOMA Downlink and Uplink Communication Systems With Generalized Fading Channels

Received November 16, 2020, accepted November 29, 2020, date of publication December 7, 2020,
date of current version December 18, 2020.

Digital Object Identifier 10.1109/ACCESS.2020.3042993
Outage Probability Analysis for NOMA Downlink

and Uplink Communication Systems With
Generalized Fading Channels
AKASH AGARWAL , (Graduate Student Member, IEEE), RISHABH CHAURASIYA,
SUDHAKAR RAI, AND ADITYA K. JAGANNATHAM , (Member, IEEE)
Department of Electrical Engineering, IIT Kanpur, Kanpur 208016, India
Corresponding author: Akash Agarwal (akash@iitk.ac.in)
This research was supported in part by the Science and Engineering Research Board (SERB), Department of Science and Technology,
Government of India, in part by the Space Technology Cell, IIT Kanpur, in part by the IIMA IDEA Telecom Centre of Excellence, in part
by the Qualcomm Innovation Fellowship, and in part by the Arun Kumar Chair Professorship.
ABSTRACT This work considers multiple user power-domain non-orthogonal multiple access (NOMA)-
based downlink (DL) and uplink (UL) communication systems with potentially dissimilar fading links for
all the users that can follow one of several possible distributions such as Rayleigh, Rician, Nakagami-m,
Nakagami-q, κ − µ, η − µ, Nakagami-lognormal. The presented analysis, which is based on approximating
the probability density function (PDF) of the channel gain as a sum of Gamma distributions, is sufficiently
general and applicable in a multitude of NOMA scenarios. For both the UL and DL, closed-form expressions
are determined for the outage probability at the users considering both statistical channel state information
(CSI)-based as well as instantaneous CSI-based ordering techniques. Analytical expressions for the outage
probability and the ensuing diversity orders have also been obtained for the NOMA DL system at high
SNRs. Furthermore, similar expressions for the outage probability and outage floor for the NOMA UL
system have been derived at high SNRs. Finally, simulation results have been presented to authenticate
the analytical results derived and provide insights into the NOMA system performance.
INDEX TERMS Non-orthogonal multiple access (NOMA), generalized fading, sum of gamma distributions,
uplink, downlink, statistical CSI-based ordering, instantaneous CSI-based ordering.
I. INTRODUCTION Subsequently, successive interference cancellation (SIC) is

A major challenge in the fifth generation (5G) wireless com- employed at the receivers for demultiplexing the transmitted
munication networks is to support the massive number of signals [4]. In particular, each user decodes and cancels the
connected devices with low communication latencies and signals of all the users that are stronger than the information
enhanced data rates [1]. To fulfil these demands, researchers signal that is required by the user in an iterative manner. Sub-
have been constantly exploring improved communication sequently, the user decodes the required information signal
technologies and more efficient system designs. considering all the weaker user signals as interference [5].
In this context, the power-domain non-orthogonal multiple On similar lines, in an uplink (UL) NOMA system, multiple
access (NOMA)1 technology has gained the keen attention users share the same communication resources and transmit
of the research community as a potential technique to meet to the common receiver or the BS simultaneously. Thus,
the challenges in 5G [2], [3]. The NOMA architecture can the BS receives a superposed signal comprising of the signals
be described as follows. In a downlink (DL) NOMA sys- of all the transmitting users. Subsequently, SIC is employed
tem, multiple users share the same orthogonal resources (i.e. at the BS to decode the signals of the transmitting users [4].
time, frequency, spreading code), but are allocated different Therefore, NOMA can support a significantly higher number
amounts of power at the base station (BS) or the transmitter. of users in comparison to conventional orthogonal multiple
access (OMA)-based communication techniques [3].
The associate editor coordinating the review of this manuscript and A brief review of the existing research in NOMA DL
approving it for publication was Xiaofan He . and UL systems as well as the motivation for our work is
1 From now onwards we refer power-domain NOMA as NOMA. presented next.
This work is licensed under a Creative Commons Attribution 4.0 License. For more information, see https://creativecommons.org/licenses/by/4.0/
VOLUME 8, 2020 220461
A. Agarwal et al.: Outage Probability Analysis for NOMA DL and UL Communication Systems
TABLE 1. Tabular comparison of the contributions of existing and present works.
A. REVIEW OF THE EXISTING LITERATURE rate, outage probability and average bit error rate (BER)
1) DOWNLINK NOMA considering a DL scenario with two-paired users, indepen-
The performance analysis of a NOMA DL system with ran- dent and identically distributed (IID) shadowed κ − µ fading
domly deployed users and Rayleigh fading channel links links, and statistical CSI-based user ordering. The near user
considering instantaneous channel state information (CSI)- is assumed to be the better channel user in their work. The
based user ordering and fixed as well as opportunistic qual- effective rate performance of a two user NOMA DL with IID
ity of service (QoS) thresholds has been investigated by shadowed κ − µ and α − µ distributed fading channels with
Ding et al. in [6]. Outage probability and sum throughput instantaneous CSI-based user ordering has been reported by
analysis for a NOMA DL system with statistical CSI at the Kumar et al. in [19] and [20], respectively. Sharma et al. in
transmitter and Nakagami-m fading links has been studied [16] have explored the outage probability and sum rate per-
by Wang et al. in [9]. Outage performance analysis for a formance of a NOMA DL system considering η−µ and κ −µ
paired two user NOMA DL system with Nakagami-m fading fading channels. A partial interference overlap-based scheme
channel links and instantaneous CSI-based user ordering has for a NOMA DL system with η − µ fading channels has also
been presented by Hou et al. in [7]. In [10], Yang et al. been reported by the same group of authors in [17]. For a
have presented the outage probability and sum rate perfor- NOMA DL system with multiple users, average BER analysis
mance analysis for a NOMA DL system considering partial considering α − η − µ fading channels has been reported by
CSI-based user ordering of uniformly distributed users over Alqahtani et al. in [27]. A general expression for the user
Rayleigh fading channel links. Outage performance analy- outage probability in a NOMA DL system with randomly
sis and pairing schemes for NOMA DL systems in dense deployed users has been obtained by Papanikolaou et al.
network deployments have been explored by Zhang et el. in [28]. In particular, the authors have expressed the outage
in [11]. Outage and sum rate performance for a two user probability at any ordered user in terms of a Gauss Hyperge-
NOMA DL system considering a dynamic power allocation ometric function and the CDF of the unordered channel gain.
scheme and instantaneous CSI-based user ordering has been Subsequently, by employing this result, the expression for the
presented by Yang et al. in [14]. Evaluation of NOMA sys- outage probability at a particular user has been obtained for
tem performance from a fairness standpoint has been pre- Nakagami-m fading channel links.
sented by Timotheou et al. in [21]. In the analysis therein,
the authors have described power allocation schemes for a 2) UPLINK NOMA
NOMA DL system considering Rayleigh fading channel links The throughput for a NOMA UL system has been studied
while ensuring fairness at the users. Ding et al. have studied by Endo et al. in [29]. A power control mechanism for a
the impact of user pairing for hybrid NOMA DL systems NOMA UL system with Rayleigh fading channel links has
considering Rayleigh fading channel links in [8]. A multiple been reported by Zhang et al. in [12]. Moreover, to character-
user grouping scheme for sum throughput enhancement for ize the system performance, the outage probability and sum
both UL and DL NOMA systems has been proposed by rate analysis has also been presented in [12] considering two
Ali et al. in [22]. Finally, applications of NOMA in coop- users in the system and instantaneous CSI-based user order-
erative relaying over Rayleigh [23] and Nakagami-m [24] ing. Resource allocation fairness for a NOMA UL system
fading channels, multiple input multiple output (MIMO) [25] with multiple users has been analyzed by Wei et al. in [30].
systems and millimeter wave communication systems [26] In particular, authors in [30] have proposed a quantitative
etc. have also been explored in the corresponding literature. fairness indicator metric for two-user NOMA UL systems to
The above mentioned works have confirmed the superior compare the fairness of resource allocation for NOMA and
spectral efficiency of NOMA DL systems in comparison to OMA-based techniques. Outage analysis for a multiple user
their OMA-based counterparts. NOMA UL system with statistical CSI-based user ordering at
To study the impact of small-scale fading together with the BS for Rayleigh fading channel links has been analyzed
shadowing in a NOMA system, ElHalawany et al. in [18] by Liu et al. in [13]. A joint power and subcarrier alloca-
have obtained the expressions for the average achievable tion problem for sum rate maximization in a UL NOMA
220462 VOLUME 8, 2020

OFDM system has been presented by Al-Imari et al. in [31]. respectively. Outage probability and the high SNR analysis
Wang et al. in [15] have analyzed the outage performance of a for the NOMA DL system with the statistical CSI-based
NOMA UL system considering dynamic and fixed decoding ordering scheme has been presented in sections III-A1
order schemes for independent and non identical Rayleigh and III-A2, respectively, whereas for the instantaneous
fading channel links. CSI-based scheme, these two analyses have been described
However, the performance analyses reported in the above in sections III-B1 and III-B2, respectively. Expressions for
mentioned works on NOMA UL [12], [13], [15], [29]–[31] the outage probability and the high SNR analysis for the
or DL [6]–[11], [14], [21], [22] are restricted to the simplistic UL system with statistical CSI-based user ordering have
Rayleigh or Nakagami-m fading channels. Moreover, none been presented in IV-A1 and IV-A2, respectively. For the
of the works in the literature have explored the performance NOMA UL system with instantaneous CSI-based user order-
of NOMA UL systems with generalized fading channels. ing, the expressions for the outage probability and the outage
Furthermore, almost all the works in the literature [6]–[15], floor at high SNR have been determined in sections IV-B1
[21], [22], [29]–[31] including the ones in [16], [18], [19], and IV-B2, respectively. Verification of the derived analytical
[28] assume all the users to have either identically distributed expressions and performance evaluation of the NOMA DL
fading channels or follow the same distribution with differ- and UL systems through simulations is given in sections V-A
ent average channel gains, which is highly idealistic. Thus, and V-B, respectively. This is followed by the conclusion in
the aim of this work is to overcome the limitations of the section VI.
analysis in the existing literature on NOMA. The various
contributions of this article are described next. A quick visual D. NOTATIONS
summary of the contributions of the salient existing works in The quantities fX (x) and FX (x) denote the probability den-
relation to the present work is given in Table 1. sity function (PDF) and the cumulative distribution func-
tion (CDF) of the random variable X . The quantity F̄X (x) =
B. CONTRIBUTIONS OF THIS ARTICLE 1 − FX (x) is the complementary CDF of X . The quantity
Motivated by the discussion in the previous paragraphs, this Pr (·) represents the probability of an event and E (·) is the
work considers multi-user NOMA DL and UL communica- expectation operator. The operator |·| gives the magnitude of a
tion systems and presents the pertinent analysis and results quantity. 0(·) is the Gamma function and Iv (·) is the modified
for several scenarios. The major contributions of this work Bessel function of the first kind and order v.
are itemized below
• The PDFs of the channel gains of the users have been II. SYSTEM MODEL
approximated as mixtures of Gamma (MG) distribu- Consider a single cell non-orthogonal communication sys-
tions. Subsequently, these approximations have been tem comprising of M users and a single base station (BS),
employed to obtain closed-form expressions for the net each equipped with a single antenna. The wireless channel
outage probability for all the users considering statistical between the BS and all the users is assumed to be block
CSI-based user ordering in the DL. A unique aspect fading. Perfect CSI has been assumed to be available at the
of the results presented throughout this article is that receivers. Therefore, coherent detection can be performed
one can consider potentially dissimilar fading links such at all the receiver nodes. The channel fading coefficients
as Rayleigh, Rician, Nakagami-m, Nakagami-q, η − µ, between the BS and the users Ui , denoted by hi , where i ∈
κ − µ, Nakagami-lognormal etc. for the different users, {1, 2, · · · , M }, are assumed to be independent and possibly
which is lacking in the existing works. distributed dissimilarly. The PDF of the channel gain can be
• The analysis and insights are subsequently extended to modeled as [32], [33]
all DL NOMA systems with instantaneous CSI-based
N N
user ordering.
an β tn −1 e−ζn β ,
X X
• A parallel framework is also developed for a UL NOMA
f|hi |2 (β) ≈ wn fn (β) = (1)
system considering both statistical as well as instanta- n=1 n=1
neous CSI-based user ordering. tn tn −1 −ζn β
• Expressions for the outage probability and the corre-

where fn (β) = ζn β 0(tne) is the PDF of a standard Gamma
sponding diversity orders in the DL and outage floor in distributed random variable with shape and scale parameters
tn and ζ1n , respectively [33]. The quantity wn = an 0(t n)
is
the UL have been obtained considering both the ordering PN ζntn
schemes at high SNR. the weighting coefficient such that n=1 wn = 1, where
• Finally, simulation results have been presented to N is the number of terms in the summation and can be
authenticate the analytical expressions derived and pro- set suitably to meet the desired accuracy. The parameter an
vide further insights into the system performance. is defined as an = ψ(θ n , tn , ζn ), where ψ(θn , tn , ζn ) =
PN −tm −1
θn m=1 mθ 0(t )ζ
m m and the quantity θn represents a
C. ORGANIZATION OF THIS ARTICLE constant. The values of the above parameters are defined
The rest of this article is organized as follows. Sections II-A in Table (2) for different fading channels [33]. Fig. 1 plots
and II-B describe the NOMA DL and UL systems, the exact as well as the approximate PDFs of the channel gain
VOLUME 8, 2020 220463

According to the DL NOMA protocol, we have

1 > α1 ≥ α2 ≥ · · · ≥ αM > 0. (4)
Subsequently, the BS transmits xS to all the users in the DL
over the same radio resources (i.e. time and frequency). Thus
the signal received at the user Ui in the DL is given as
yi = hi xS + ni , (5)
where the channel coefficient hi follows any one of the dis-
tributions listed in Table 2. The quantity ni ∼ CN (0, σ 2 )
represents the additive white Gaussian noise at Ui , where the
quantity σ 2 is the noise power. Since, the wireless channel
between the BS and users is assumed to be block fading and
perfect CSI has been assumed to be available at the receivers,
coherent detection can be performed at the receivers.
FIGURE 1. Various PDFs approximated by mixture of Gamma distributions
Subsequently, SIC is employed at the users to extract
versus exact PDFs considering average channel gain λ = 1. the required message signals from the received signal yi .
In particular, Ui begins by decoding the stronger signal of
U1 considering the rest of the signal portion as interference.
obtained using this approach. For computational tractability, Subsequently, Ui remodulates the decoded signal and cancels
the fading channels wherein the PDF of the channel gain it from the received signal yi to obtain a signal devoid of
r
f|hi |2 (β) ∝ e−ζβ , r 6 = 1, have not been considered in the the signal of U1 . Employing a similar procedure, Ui pro-
analysis. The notation for the statistical CSI-based and instan- gressively removes the signals corresponding to all the users
taneous CSI-based user orderings is kept different in order to U2 , U3 , · · · , Ui−1 from yi and finally decodes its own signal
clearly distinguish the settings and avoid any confusion. considering the rest of the signal portion corresponding to
users Ui+1 , Ui+2 , · · · , UM as interference. Thus, the achiev-
A. NOMA DOWNLINK SYSTEM MODEL able rate at Ui for decoding signal xj , when all the symbols
1) NOMA DOWNLINK WITH STATISTICAL CSI-BASED USER x1 , x2 , · · · , xj−1 , have been decoded correctly, where j ≤ i,
ORDERING can be obtained as
 !
This section describes the downlink non-orthogonal transmis- |h i |2
α j ρ S
,

 log 1 +

sion system with generalized fading and statistical CSI-based  2
1 + |hi |2 ρS M αk
 P
Rj→i = k=j+1 (6)
user ordering as shown in Fig. 2(a). In the downlink, the BS
i ≤ M, j < M,
linearly combines the information symbols x1 , x2 , · · · , xM to



 log (1 + |h |2 α ρ ), i = j = M ,

obtain a superposed signal xS comprising of the symbols of 2 M M S
all the users as follows
where the quantity ρS = PS
σ2
.
M p
X
xS = αi PS xi , (2) 2) NOMA DOWNLINK WITH INSTANTANEOUS CSI-BASED
i=1 USER ORDERING
In this scheme, perfect CSI of the users in the downlink is
where αi is the NOMA power allocation coefficient corre-
PM assumed to be available at both the BS as well as all the users.
sponding to information symbol xi such that α
i=1 i = 1 and
E |xi |2 = 1. The quantity PS represents the total transmit Accordingly, as shown in Fig. 2(b), the users are ordered

based on their instantaneous channel fading powers as
power of BS. Only the statistical CSI of the channel links is 2 2 2
assumed to be available at the BS, whereas the users have h̃1 ≤ h̃2 ≤ · · · ≤ h̃M .

(7)
access to the perfect CSI of their respective channel links.
Hence, the users are ordered as The signal received at the ith ordered user Ũi can be expressed
as
λ1 ≤ λ2 ≤ · · · ≤ λM , (3)
ỹi = h̃i x̃S + ñi , (8)
where the quantity λi represents the average channel gain
PM √
where x̃S = k=1 α̃k Ps x̃k is the superposed signal at BS
from BS to Ui that is defined as E |hi |2 = λi and hi
obtained by linearly combining the signals x̃1 , x̃2 , · · · , x̃M
is the fading channel coefficient between the BS and Ui .
corresponding to ordered users Ũ1 , Ũ2 , · · · ŨM , respectively.
Moreover, since no mobility is considered, the path loss is
The quantity α̃i is the power factor corresponding to Ũi and
fixed to the average channel gain λi representing the effect of
follows the order
path loss. Therefore, both the ordering schemes considered in
this article incorporate the effect of path loss in the system. 1 > α̃1 ≥ α̃2 ≥ · · · ≥ α̃M > 0. (9)
220464 VOLUME 8, 2020

TABLE 2. Values of the parameters of the MG distributions for different types of fading.
FIGURE 2. NOMA downlink system with (a) statistical CSI-based user ordering. (b) instantaneous CSI-based user ordering.
Similar to the previous scenario described in section II- B. NOMA UPLINK SYSTEM MODEL
A1, SIC is employed at the users to decode the desired 1) NOMA UPLINK WITH STATISTICAL CSI-BASED DECODING
message symbols. In particular, Ũ1 decodes the message ORDER
signal directly considering the rest of the signal portion In the uplink, as shown in Fig. 3(a), the M users simultane-
as interference, whereas Ũ2 , Ũ3 , · · · , ŨM employ SIC to ously transmit their respective information symbols to the BS
decode and progressively cancel interference of other users over the same radio resources. Therefore, the signal received
until decoding their own signals. Thus, the achievable rate at the BS can be expressed as the linear combination of all the
at Ũi for decoding signal x̃j , assuming all the symbols transmitted signals as follows
x̃1 , x̃2 , · · · , x̃j−1 , have been decoded correctly, where j ≤ i,
can be obtained as M
X p
  2  yS = gk αk PT xk + nB , (11)
h̃ α̃ ρ k=1


 i j S
log 1 + ,

  
 2 2 P where αk PT such that 0 < αk < 1 is the transmit P power of


M
1 + h̃ ρ α̃

R̃j→i = i S k=j+1 k (10) user Uk in the uplink and the additional constraint M
k=1 αk ≤
i ≤ M , j < M , 1 limits the inter cell interference in the NOMA system [14].




On the other hand, the condition αi > 0, i = {1, 2 · · · , M }
 2
 log (1 + h̃M α̃M ρS ), i = j = M .


2
represents a scenario with no power control in the uplink.
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FIGURE 3. NOMA uplink system with (a) statistical CSI-based user ordering. (b) instantaneous CSI-based user ordering.
The quantity xk is the message signal transmitted by Uk , gk represented as

represents the channel fading coefficient between Uk and the  !
α̃ ρ |g̃ |2
BS and nB ∼ CN (0, σ 2 ) is the additive noise at the receiver. i T i
, i<M

 log 1+ P

2 M
Under this decoding scheme, the users are ordered on the R̃i→S = m=i+1 α̃m ρ T
|g̃ m | 2
+1 (15)
 log 1 + α̃M ρT |g̃M |2 , i = M.

basis of decreasing average channel gains i.e. 
2
λ̃1 ≥ λ̃2 ≥ · · · ≥ λ̃M , (12) where x̃i is the message signal transmitted by Ũi and the
quantity α̃i is the power allocation coefficient of Ũi .
where E |gk |2 = λ̃k . The BS decodes the signal from U1

considering the signals from other users as interference. Sub- III. NOMA DOWNLINK SYSTEM ANALYSIS
sequently, the BS remodulates and cancels the decoded signal This section presents the outage probability analysis of
from the received signal yS . This is followed by decoding the a DL NOMA system considering statistical as well as
signals from other users U2 , U3 , U4 , · · · , UM −1 employing instantaneous CSI-based ordering schemes described in
SIC. Ultimately, the BS decodes the signal of the statistically sections II-A1 and II-A2, respectively. The user links have
weakest user UM . Therefore, the achievable rate at the BS for been assumed to be independent and possibly distributed dis-
decoding symbol xi , assuming the symbols x1 , x2 , · · · , xi−1 similarly as per one of the distributions described in Table 2.
have been decoded correctly, can be represented as Moreover, the expressions for the outage probability and the
ensuing diversity order at the users have been obtained at high
 ! SNR.
αi ρT |gi |2
, i<M

 log 1+ P

2 M
m=i+1 αm ρT|gm | +1
2
Ri→S = (13) A. NOMA DOWNLINK WITH STATISTICAL CSI-BASED
 log 1 + αM ρT |gM |2 , i = M.

USER ORDERING

2
1) OUTAGE PERFORMANCE
where ρT = PT
. Let Ri denote the minimum required data rate at Ui where
σ2 1 ≤ i ≤ M . Let Ei,j , j ≤ i, represent the event that Ui is
able to successfully decode and remove the signal component
2) NOMA UPLINK WITH INSTANTANEOUS CSI-BASED
required at Uj from the received signal yi . Therefore, the out-
DECODING ORDER
age probability at Ui can be succinctly represented as
In this scheme, as shown in Fig. 3(b), the BS orders the users
i = 1 − Pr Ei,1 ∩ Ei,2 ∩ · · · ∩ Ei,i ,
PDL

as follows (16)
where the event Ei,j can be represented mathematically as
|g̃1 |2 ≥ |g̃2 |2 ≥ · · · ≥ |g̃M |2 , (14) !
|hi |2 αj ρS
Ei,j ≡ log2 1 + ≥ Rj
and unlike the previous case, decodes the signal of the user |hi |2 ρS M k=j+1 αk + 1
P
Ũ1 with the highest channel gain first. Subsequently, the BS δj
employs the iterative SIC technique to decode the signals of ≡ |hi |2 ≥ . (17)
ρS αj − δj M k=j+1 αk
P
other users in the order of decreasing channel gain strengths
i.e., Ũ2 , Ũ2 , · · · , ŨM . Hence, the rate that can be achieved
The quantity δj = 2Rj − 1 is required to satisfy the
at the BS for decoding symbol x̃i , assuming that the sym- α
bols x̃1 , x̃2 , · · · , x̃i−1 have been decoded correctly, can be constraint δj < PM j . Intuitively, Ei,j represents the event
k=j+1 αk
220466 VOLUME 8, 2020

that the maximum transmission rate at which the signal of a user experiencing η−µ fading will achieve a diversity order
Uj can be decoded by Ui in the presence of interference that is twice that of a user with κ − µ fading.
from the superposed signals of Uj+1 , Uj+2 · · · , UM , at an
arbitrarily low probability of error, is greater than or equal to B. NOMA DOWNLINK WITH INSTANTANEOUS CSI-BASED
the minimum required QoS transmission rate of Rj bps/Hz. USER ORDERING
Moreover, the constraint αj > δj M k=j+1 αk is necessary,
P
1) OUTAGE PROBABILITY
|hi |2 αj ρS αj Let R̃i denote the minimum required data rate at Ũi where
since, the quantity < , even at
|hi |2 ρS M
PM
k=j+1 αk +1 k=j+1 αk 1 ≤ i ≤ M . Let Ẽi,j , j ≤ i, represent the event that Ũi is
P
αj
very high transmit SNR. Therefore, if δj ≥ PM , PDL
i able to successfully decode and remove the signal component
k=j+1 αk
will always be 1. Furthermore, we define the quantities j as required at Ũj from the received signal ỹi . Therefore, similar
to (16), the outage probability at Ũi can be obtained as
δj



 , j < M, n o
P̃DL . . . . . . ,
PM
α δ α = 1 − Pr Ẽ ∩ Ẽ ∩ ∩ Ẽ (22)

j = j − j k=j+1 k (18) i i,1 i,2 i,i
 δM
, j = M,

where the quantity Ẽi,j can be obtained from (17) by replacing

αM

αj , δj with α̃j , δ̃j , respectively, where δ̃j = 2R̃j − 1. Therefore,
where i∗ = max {1 , 2 , · · · , i }. Therefore, using (17)-
similar to (19), the outage probability at Ũi can be expressed
(18), the expression for the outage probability in (16) can be
as
equivalently expressed as
˜i∗ ˜i
∗
i∗ i
∗ 2
P̃DL > ,

= 1 − Pr h̃i = F 2 (23)
Pi = 1 − Pr |hi | >
DL 2
. i
ρS ρS

= F|hi |2 (19)

h̃i

ρS ρS
Utilizing the expression for the PDF in (1), the outage prob- where ˜i∗ = max {˜1 , ˜2 , · · · , ˜i } and the quantity ˜j is
ability at Ui can be presented as obtained from (18) by replacing the quantities αj and δj with
i∗
α̃j and δ̃j .
Ni
Using the result for the CDF of the ith order statistics [35],
Z
ρs X t −1 −ζi,n(i) βi
PDL
i = ai,n(i) βi i,n(i) e dβi the expression for the CDF of the channel gain of Ũi can be
0 n(i)=1 written as
Ni
∗ ζi,n(i)

X −t M XY
r M
= ai,n(i) ζi,n(i)
i,n(i)
γ ti,n(i) , i , (20) 2 (β̃i )
X Y
ρS F = Fh 2 β̃i F̄|h |2 (β̃i ), (24)
n(i)=1 h̃i
jl
jt
Rx r=i pr l=1 t=r+1
where the mathematical quantity γ (s, x) = 0 t s−1 e−t dt P
where pr denotes the summation over all permutations
denotes the lower incomplete Gamma function [34].
(j1 , j2 , . . . jM ) of (1, 2, · · · , M ). Therefore, by substituting
The high SNR analysis for this scheme is presented
(24) into (23), one can arrive at the expression for the outage
next.
probability at Ũi as
2) HIGH SNR PERFORMANCE M XY
r M
˜i∗ ˜
X Y ∗
To obtain further insights into the performance of the system, P̃DL
i = Fh 2 F̄|h |2 i , (25)
jl

ρs jt ρs
the expression for the outage probability at each user Ui r=i pr l=1 t=r+1
is obtained when ρs → ∞. Accordingly, at high SNR, ∗
˜i
s
employing the approximation γ (s, x) ≈ xs , x 1, s > 0, where the quantity Fh
jl
2
ρs can be obtained from (1) as
the expression in (20) can be approximated as
i∗
ai,1 i∗ ti,1 i∗
Z
ρs

PDL |ρs →∞ = P̄ DL
≈ . (21) Fh 2 = fh 2 (β) dβ
i i
ti,1 ρs jl

ρs 0 jl

Njl
ζj ,n(j ) ∗

X −tj ,n(j )
Remark 1: At high SNR, the outage probability at Ui = ajl ,n(jl ) ζjl ,n(jl l ) l γ tjl ,n(jl ) , l l i .
−G
(i)
(i)
ρS
n(jl )=1
varies as P̄DL
i ∝ ρS d , where the quantity Gd = ti,1
represents the diversity order at Ui . (26)
Remark 2: From Table (2), it can be inferred that for
The high SNR analysis for this scheme is illustrated next.
Rayleigh, Nakagami-q, and Rician fadings, Ui will observe
a diversity order equal to 1. For Nakagami-m and Nakagami
2) HIGH SNR PERFORMANCE
Lognormal fading channel links, the diversity order will be m, s
At high SNR, by employing the approximation γ (s, x) ≈ xs
where m is the shape factor of the random variable. Moreover,
when x 1,s > 0 in (26), followed by the approximation
for η − µ and κ − µ channels, the diversity orders are 2µ and ˜ ∗
µ, respectively. Thus, for the same value of the parameter µ, 1−Fh 2 ρiS ≈ 1, the expression for the outage probability
jl
VOLUME 8, 2020 220467

at Ũi can be approximated as is greater than or equal to the minimum QoS transmission rate
M XY
r of Uj i.e. R̂j bps/Hz. Therefore, the average outage probability
˜i
∗ tj ,1

X ajl ,1 l
at Ui , i ∈ {1, 2, · · · , M }, can be written as
P̃DL DL
i |ρs →∞ = P̂i ≈
t ρS
r=i pr l=1 jl ,1
n o
PUL
i = 1 − Pr |g1 |2 > ω1 , · · · , |gi |2 > ωi
i
ajl ,1 ˜i∗ tjl ,1
XY Z ∞ Z ∞Z ∞ Z ∞
≈ . (27) = 1− ··· ··· f|g1 |2 |g2 |2 ···|gM |2 (β1 , β2 ,
tjl ,1 ρS
| 0 {z 0 } | ωi {z ω1 }
p i l=1
M −i terms i terms
Remark 3: At high SNR, the outage probability at Ũi
(i) · · · , βM ) dβ1 dβ2 · · · dβM , (31)
i ∝ ρs
−G̃d
varies as P̂DL where the diversity order is
where the quantity
i
!
(i)
X
tjl ,1 . δ̂j XM

G̃d = min (28)
pi αm ρT |gm | +1 , 1 ≤ j < M ,
2


ωj = αj ρT
l=1

m=j+1
(32)
Remark 4: At high SNR, the diversity order at Ũi , denoted  δ̂M , j = M.


(i) αM ρT
by G̃d , is the minimum value that can be obtained after
the summation of the shape parameters of any i users in the Using the procedure described in Appendix A, the above
system, where i ≤ M . expression in (31) can be simplified further to obtain the
outage probability for Ui in the uplink as given below in (33),
IV. NOMA UPLINK SYSTEM ANALYSIS as shown at the bottom of the next page. where 9 (l, n (l)),
This section presents the outage probability analysis of the 1 ≤ l < M is given as
NOMA UL system considering the statistical CSI-based as
ζ̃l,n(l) δ̂l t̃l,n(l) −1
well as the instantaneous CSI-based user ordering schemes. −t̃ −
X 1
To provide further insights into the system, expressions for 9 (l, n (l)) = al,n(l) ζ̃l,n(l)
l,n(l)
0(t̃l,n(l) )e αl ρT
kl !
the outage probability have also been obtained, at high SNR. kl =0
!kl
ζ̃l,n(l) δ̂l X
A. NOMA UPLINK WITH STATISTICAL CSI-BASED USER ×
αl ρT
ORDERING rl,l + M
P
v(l)=l+1 rl,v(l) =kl
1) OUTAGE PERFORMANCE M
Y
kl rl,v(l)
In the uplink, the BS receives a superposed signal comprising × αv(l) ρT
of the signals of all the users U1 , U2 , · · · , UM . Subsequently, rl,l , rl,l+1 , · · · , rl,M
v(l)=l+1
the BS employs SIC to decode these signals iteratively such (34)
that the signal from the statistically strongest user U1 is −t̃
M ,n(M )
decoded first. Thereafter, signals from U2 , U3 , · · · UM −1 are and 9(M , n (M )) = aM ,n(M ) ζ̃M ,n(m) ×0(t̃M ,n(M ) , ζ̃M ,n(m) ωM ).
Pmin(i,k−1)
decoded one after another. Finally, the signal from UM is The quantity t̃k,n(k) = tk,n(k) + j=1 rj,k , ζ̃k,n(k) =
decoded at the BS. Let R̂i be the minimum data rate required Pmin(i,k−1) ζ̃j,n(j) δ̂j
αk j=1 αj + ζk,n(k) , where k ∈ {1, 2, · · · , M } and
by Ui . Therefore, the net probability of outage at Ui can be
expressed mathematically as follows the quantities ζ̃1,n(1) = ζ1,n(1) , t̃1,n(1) = t1,n(1) .
i = 1 − Pr {φ1 ∩ φ2 ∩ · · · ∩ φi }
PUL (29) 2) HIGH SNR PERFORMANCE
where φj , 1 ≤ j ≤ i, represents the event that the symbol xj At high SNR, the quantity ωj in (32) can be approximated as
has been decoded correctly by the BS, i.e. shown below

 δ̂j XM
2 !
αj ρT gj αm |gm |2 , 1 ≤ j < M ,

φj ≡ log2 1 + PM > R̂j ωj |ρT →∞ ≈ αj m=j+1 (35)
m=j+1 αm ρT |gm | + 1
2
j = M.

 
 0,
M
2 δ̂j 
X Employing a procedure similar to the one described in
H⇒ φj ≡ gj > αm ρT |gm |2 + 1 (30)
αj ρT Appendix A to obtain (33) from (31), the overall outage
m=j+1
probability or the outage floor for decoding xi at the BS
where δ̂j = 2R̂j − 1. Similarly, the condition for the event at high SNR, denoted by OFi , can be obtained from (33)
by replacing the quantity 9 (l, n (l)), 1 ≤ l < M with
φM can be obtained as |gM |2 > αMδ̂MρT , δ̂M = 2R̂M − 1.
9̄ (l, n (l)) given below in (36)
Intuitively, φj represents the event that the maximum data
rate at which the signal transmitted in the uplink by Uj can t̃l,n(l) −1 !kl
−t̃l,n(l) X ζ̃l,n(l) δ̂l
be decoded by the BS in the presence of interference from 9̄ (l, n (l)) = al,n(l) ζ̃l,n(l) 0(t̃l,n(l) )
Uj+1 , Uj+2 · · · , UM , at an arbitrarily low probability of error, αl
kl =0
220468 VOLUME 8, 2020

Z cZ ∞
1 X kl
× I2 = f|g̃1 |2 |g̃2 |2 (β̃1 , β̃2 )d β̃1 d β̃2 (40)
kl ! PM rl,l+1 , · · · , rl,M 0
δ̄1 (1+α̃2 ρT β̃2 )
α̃1 ρT
v(l)=l+1 rl,v(l) =kl
× αv(l)
rl,v(l)
. (36) where the constant c is defined as
δ̄1 α̃1

Moreover, at high SNR, as ρT → ∞, we have ωM → 0.
 , δ̄1 <
c = ρT (α̃1 − α̃2 δ̄1 ) α̃2 (41)
Hence, from (31), it can be inferred that OFM ≈ OFM −1 . 
∞, otherwise.
Intuitively, at very high ρT , the achievable rate Ri→S , where
i < M , become independent of the SNR term ρT and varies Using the procedure described in Appendix B, for the
only with the power allocation coefficients, QoS threshold scenario when δ̄1 < α̃α̃21 , the above expression in (39) can be
rates and the channel gains of the users. Therefore, the outage simplified to obtain the integral I1 in a closed-form as given in
probability of each user reaches an outage floor at very high (42), as shown at the bottom of the next page. When δ̄1 > α̃α̃12 ,
transmit SNR. it follows that I1 = 0. Furthermore, when δ̄1 < α̃α̃12 , one
can obtain the closed-form expression for I2 in (40) using the
B. NOMA UPLINK WITH INSTANTANEOUS CSI-BASED procedure defined in Appendix C. Also, using a procedure
ORDERING similar to the one described in Appendix C, the closed-form
1) OUTAGE PROBABILITY expression for I2 when δ̄1 > α̃α̃21 can also be obtained by
In this scheme, as described in section II-B2, the users are substituting c = ∞ therein. The expressions for I2 for both
(1)
ordered as |g̃1 |2 ≥ |g̃2 |2 ≥ · · · ≥ |g̃M |2 . Accordingly, the BS the scenarios are given below in (43) where the quantities I2
(2)
decodes the symbol x̃1 first considering rest of the signal and I2 are given in (44) and (45), as shown at the bottom of
as interference. Subsequently, the BS removes the decoded the next page, respectively.
signal of Ũ1 from the received composite signal to decode
 I (1) , δ̄ < α̃1

symbols x̃2 , x̃3 , · · · , x̃M one after the other. Due to the highly 1
I2 = 2 α̃2 (43)
complex nature of the analysis, for mathematical tractability,  (2)
I2 , otherwise.
a two user scheme has been considered under this ordering
scheme. Accordingly, using the expression in (30), the outage Subsequently, by substituting the closed-form expressions for
probability for Ũ1 can be obtained as I1 and I2 given in (42) and (43), respectively, in (38), yields
( ) the closed-form expression for P̃UL 1 .
δ̄1 (1 + α̃2 ρT |g̃2 |2 ) Using an approach similar to the one adopted for obtaining
P̃1 = 1 − Pr |g̃1 | >
UL 2
α̃1 ρT P̃UL
1 above, the outage probability at Ũ2 can be expressed as
Z ∞Z ∞ ( )
= 1− f 2 2 (β̃1 , β̃2 )d β̃1 d β̃2 δ̄1 (1 + α̃ 2 ρ T β̃ 2 ) δ̄2
2 = 1 − Pr |g̃1 | > , |g̃2 |2 >
2
δ̄ (1+α̃ ρ β̃ ) |g̃1 | |g̃2 |
max(β̃2 ,
P̃UL
0 1 2 T 2
α̃1 ρT ) α̃1 ρT α̃2 ρT
| {z } Z ∞ Z ∞
I
= 1− δ̄ |g̃1 |2 |g̃2 |2 (β̃1 β̃2 )d β̃1 d β̃2 .
f
(37) δ̄ (1+α̃ ρ β̃ )

1 2 T 2
2
α̃2 ρT max β̃2 , α̃1 ρT
where |g̃1 |2 = β̃1 = max |g1 |2 , |g2 | , |g̃2 |2 = β̃2 = 2

| {z }
D
min |g1 |2 , |g2 |2 and the quantity δ̄1 = 2R̄1 − 1, where R̄1 is

(46)
the QoS threshold at Ũ1 . The above expression for the outage
probability in (37) can be presented in a more compact form Hence, similar to (38), the above expression can be written
as follows in the more convenient form given below
2 = 1 − D1 − D2 ,
P̃UL (47)
1 = 1 − (I1 + I2 ) ,
P̃UL (38)
where the nquantities D2 and D1 represent the joint proba-
where the integrals I2 and I1 represent the jointo prob-
bilities Pr β̃1 > δ̄1 (1+ α̃2 ρ β̃2 ) δ̄2 δ̄1 (1+α̃2 ρ β̃2 )
o
, β̃ > , β̃ ≤ ,
abilities Pr β̃1 > δ̄1 (1+α̃1α̃ρ2TρT β̃2 ) , β̃2 < δ̄1 (1+α̃1α̃ρ2TρT β̃2 ) ) α̃1 ρT 2 α̃2 ρT 2 α̃1 ρT
n
and
δ̄2 δ̄1 (1+α̃2 ρT β̃2 )
n o
n
δ̄1 (1+α̃2 ρT β̃2 )
o Pr β̃1 > β̃2 , β̃2 > α̃2 ρT , β̃2 > α̃1 ρT , respectively.
Pr β̃1 > β̃2 , β̃2 ≥ α̃1 ρT ) , respectively and can be
This yields the integral form expressions for D1 and D2 as
represented in an integral form as follows shown below.
Z ∞Z ∞ Z ∞Z ∞
I1 = f|g̃1 |2 |g̃2 |2 (β̃1 , β̃2 )d β̃1 d β̃2 (39) D1 = f|g̃1 |2 |g̃2 |2 (β̃1 , β̃2 )d β̃1 d β̃2 (48)
c β̃2 z β̃2
N1 N2 Ni M Nj
X X X Y X aj,n(j) 0(t̃j,n(j) )
PUL
i =1− ··· 9 (1, n (1)) 9 (2, n (2)) · · · 9 (i, n (i)) (33)
t̃
n(1)=1 n(2)=1 n(i)=1 j=i+1 n(j)=1 ζ̃j,n(j)
j,n(j)
VOLUME 8, 2020 220469

Z c Z ∞
D2 = δ̄2 δ̄1 (1+α̃2 ρT β̃2 )
f|g̃1 |2 |g̃2 |2 (β̃1 , β̃2 )d β̃1 d β̃2 (49) can be simplified to obtain the closed-form expressions in
α̃2 ρT α̃1 ρT (53), as shown at the bottom of the next page. Similarly,
the expressions for D2 in (49), (51) can be simplified to
δ̄2 δ̄1

where the constant z in (48) is max ,ρ when obtain the corresponding closed-form expressions in (54)
α̃2 ρT T (α̃1 −α̃2 δ̄1 ) (1) (2)
δ̄1 < α̃α̃21 . Otherwise D1 = 0 when δ̄1 > α̃1
α̃2 . Furthermore,
below where the quantities D2 and D2 are given in (55) and
the upper and the lower limits of the outer integral in (49) (56), as shown at the bottom of the next page, respectively.
should satisfy the constraint These can be substituted appropriately in (47) to obtain the
closed-form expressions for P̃UL
2 .
δ̄2 δ̄1 (1 + δ̄2 ) α̃1
c> H⇒ > > δ̄1 . (50)
α̃2 ρT δ̄2 α̃2 
α̃1 δ̄1 (1 + δ̄2 )
(1)
D2 , δ̄1 < < ,


For α̃α̃12 < δ̄1 , the integral form expression for D2 can be α̃2 δ̄2



D2 = (2) α̃1 (54)
obtained as D2 , < δ̄1 ,
α̃2
Z ∞ Z ∞ 



f 2 2 (β̃1 , β̃2 )d β̃1 d β̃2 . (51) 0, otherwise.

D2 = δ̄ δ̄ (1+α̃ ρ β̃ ) |g̃1 | |g̃2 |
2 1 2 T 2
α̃2 ρT α̃1 ρT
Therefore, in summary, 2) HIGH SNR PERFORMANCE

At high SNR, i.e., ρT → ∞, using the expression in (37),
α̃1

 0, (51), < δ̄1 , the outage probability or the outage floor for Ũ1 can be
α̃2


expressed as


α̃1 δ̄1 (1 + δ̄2 )


D1 , D2 = (48), (49), δ̄1 < < , (52)
 α̃ 2 δ̄2 Z ∞Z ∞
α̃1 δ̄1 (1 + δ̄2 ) ˜ 1 = 1− f|g̃1 |2 |g̃2 |2 (β̃1 , β̃2 )d β̃1 d β̃2


 OF
 (48), 0, > .

0 β̃2 ×c1

α̃2 δ̄2 N N2
1
X X
Employing a procedure similar to the one presented in = 1− a1,n(1) a2,n(2)
Appendix B or Appendix C, the expression for D1 in (48) n(1)=1 n(2)=1

N1 N2 t1,n(1) −1 k
0(t1,n(1) ) X ζ1,n(1) 0 k + t2,n(2) , c ζ1,n(1) + ζ2,n(2)

X X
I1 = a1,n(1) a2,n(2)  t1,n(1)
n(1)=1 n(2)=1 ζ 1,n(1)
(ζ1,n(1) + ζ2,n(2) )k+t2,n(2)
k!
k=0
 t2,n(2) −1 
0 t2,n(2) X (ζ2,n(2) )k 0 k + t1,n(1) , c(ζ1,n(1) + ζ2,n(2) )
+  t2,n(2)  (42)
ζ2,n(2) k=0
k! (ζ 1,n(1) + ζ2,n(2) )k+t1,n(1)

N1 N2 0 t X−1 1 ζ1,n(1) δ̄1 k X
δ̄1 t1,n(1) k
ζ
(1)
X X 1,n(1) − 1,n(1) k
I2 = a1,n(1) a2,n(2) e α̃1 ρT
(α̃2 ρT )r
 ζ t1,n(1) k! α̃1 ρT r
n(1)=1 n(2)=1 1,n(1) k=0 r=0
γ t2,n(2) + r, c ζ1,n(1) δ̄1 α̃α̃21 + ζ2,n(2)

0(t2,n(2) ) − ζ2,n(2) X−1 1 ζ2,n(2) δ̄1 k X
δ̄1 t2,n(2) k
k
× + e α̃1 ρT
(α̃2 ρT )r
t2,n(2)
α̃ ρ
t2,n(2) +r
α̃2 ζ2,n(2) k! r

ζ1,n(1) δ̄1 α̃1 + ζ2,n(2) k=0
1 T
r=0

γ t1,n(1) + r, c ζ2,n(2) δ̄1 α̃α̃12 + ζ1,n(1) 


× t1,n(1) +r (44)
ζ2,n(2) δ̄1 α̃α̃12 + ζ1,n(1)




N1 N2 0 t t1,n(1) −1 k Xk
(α̃2 ρT )r 0 t2,n(2) + r
ζ δ̄1
ζ1,n(1) δ̄1

(2)
X X 1,n(1) − 1,n(1)
α̃1 ρT
X 1 k
I2 = a1,n(1) a2,n(2) e
t
α̃1 ρT
t2,n(2) +r
 ζ 1,n(1) k! r ζ α̃2

1,n(1) δ̄1 α̃1 + ζ2,n(2)

n(1)=1 n(2)=1 1,n(1) k=0 r=0

t2,n(2) −1
0 t2,n(2) ζ2,n(2) δ̄1 X 1 ζ2,n(2) δ̄1 k X k
(α̃2 ρT ) 0 t1,n(1) + r
r

− α̃1 ρT
k 
+ e (45)
t
α̃1 ρT
t1,n(1) +r
ζ2,n(2)
2,n(2) k! r ζ α̃2

2,n(2) δ̄1 α̃1 + ζ1,n(1)

k=0 r=0 
220470 VOLUME 8, 2020


t1,n(1) −1 k
0(t1,n(1) ) X c1 ζ1,n(1)
×  t1,n(1) Remark 5: At high SNR, the users Ũ1 and Ũ2 obtain a
ζ1,n(1) k=0
k!
similar outage probability/floor in the uplink.
0 k + t2,n(2)

Moreover, at high SNR, in a multiple user NOMA UL
× k+t2,n(2) system with instantaneous CSI-based user ordering, due to
c1 ζ1,n(1) + ζ2,n(2)
SIC error propagation, the outage floors at the users will
t2,n(2) −1 k
0(t2,n(2) ) X c1 ζ2,n(2) follow the relation
+ t2,n(2)
ζ2,n(2) k=0
k! ˜ 1 < OF
OF ˜ 2 < · · · < OF
˜ M −1 . (59)
!
0 k + t1,n(1)

Furthermore, since, the signal of the M th user will be decoded
× k+t1,n(1) , (57)
ζ1,n(1) + c1 ζ2,n(2) without the interference from any user, we will have
OF ˜ M.
˜ M −1 ≈ OF (60)
where the constant c1 = max 1, δ̄1α̃α̃1 2 . Moreover, as ρT →

∞, the quantity ã2δ̄ρ2 T → 0. Therefore, the integral in (46) can V. SIMULATION RESULTS
be approximated to the integral in (37) and subsequently to A. NOMA DOWNLINK SYSTEM PERFORMANCE
(57) above. Thus, one can obtain In this subsection, simulation results have been presented
to verify the expressions for the outage probability derived
OF ˜ 1.
˜ 2 ≈ OF (58) in section III for the NOMA DL system considering both

N1 N2 t1,n(1) −1 k
0(t1,n(1) ) ζ1,n(1) 0 k + t2,n(2) , z(ζ1,n(1) + ζ2,n(2) ) 0(t2,n(2) )

X X X
D1 = a1,n(1) a2,n(2)  t1,n(1) +
n(1)=1 n(2)=1 ζ1,n(1) k=0
k! (ζ1,n(1) + ζ2,n(2) )k+t2,n(2) t
ζ2,n(2)
2,n(2)
t2,n(2) −1 
X (ζ2,n(2) )k 0 k + t1,n(1) , z(ζ1,n(1) + ζ2,n(2) )
×  (53)
k=0
k! (ζ 1,n(1) + ζ 2,n(2) )k+t1,n(1)

N1 N2  0(t ζ1,n(1) δ̄1 t1,n(1) −1
k k
1 ζ1,n(1) δ̄1 X k

(1) 1,n(1) ) −
X X X
D2 = a1,n(1) a2,n(2) t1,n(1) e
α̃1 ρT
(α̃2 ρT )r
 ζ1,n(1) k! α̃1 ρT r
n(1)=1 n(2)=1 k=0 r=0
 
0 t2,n(2) + r, α̃2δ̄ρ2 T ζ1,n(1) δ̄1 α̃α̃12 + ζ2,n(2) − 0 t2,n(2) + r, c ζ1,n(1) δ̄1 α̃α̃21 + ζ2,n(2)

× 
 
t2,n(2) +r
α̃2

ζ1,n(1) δ̄1 α̃1 + ζ2,n(2)
ζ2,n(2) δ̄1 t2,n(2) −1 k X k
0(t2,n(2) ) ζ2,n(2) δ̄1

− X 1 k
+ t2,n(2) e
α̃1 ρT
(α̃2 ρT )r
ζ2,n(2) k! α̃1 ρT
r
k=0 r=0
 
0 t1,n(1) + r, α̃2 ρT ζ2,n(2) δ̄1 α̃1 + ζ1,n(1) − 0 t1,n(1) + r, c ζ2,n(2) δ̄1 α̃α̃21 + ζ1,n(1)
δ̄2 α̃2



×  (55)
 
t1,n(1) +r
ζ2,n(2) δ̄1 α̃α̃21 + ζ1,n(1)



N1 N2 ζ1,n(1) δ̄1 t1,n(1) −1 k X

k
0(t1,n(1) ) ζ1,n(1) δ̄1

(2)
X X − X 1 k
D2 = a1,n(1) a2,n(2) e α̃1 ρT
(α̃2 ρT )r
t
ζ1,n(1)
1,n(1) k! α̃1 ρT r
n(1)=1 n(2)=1 k=0 r=0
δ̄2
ζ1,n(1) δ̄1 α̃α̃12 + ζ2,n(2)

0 t2,n(2) + r, α̃2 ρT 0(t2,n(2) ) −
ζ2,n(2) δ̄1 t2,n(2) −1
X 1

ζ2,n(2) δ̄1
k X
k
k
× + e α̃1 ρT
(α̃2 ρT )r
t
α̃1 ρT
t2,n(2) +r
ζ1,n(1) δ̄1 α̃α̃12 + ζ2,n(2) ζ2,n(2)
2,n(2) k! r

k=0 r=0
0 t1,n(1) + r, α̃2δ̄ρ2 T ζ2,n(2) δ̄1 α̃α̃12 + ζ1,n(1)

× t1,n(1) +r (56)
ζ2,n(2) δ̄1 α̃α̃12 + ζ1,n(1)

VOLUME 8, 2020 220471


FIGURE 4. (a) Outage probability versus SNR performance considering M = 5 users in the DL with statistical CSI-based user ordering (Eq. (20)). b
Outage probability versus SNR performance at U1 , U2 for a two-user NOMA DL system considering statistical CSI-based user ordering and κ − µ fading
channel for U1 , η − µ fading for U2 .
the ordering schemes. All the results in this section have performance of the users when the channels between the BS
been obtained using the MATLAB software. Moreover, all and U1 , U2 follow κ −µ, η−µ distributions, respectively. The
the Monte Carlo simulation results have been obtained by simulation parameters for U1 have been set as κ = 1.5, µ1 =
averaging the outage probability over 3 × 105 iterations. 2 whereas for U2 we have η = 1.5, µ2 = 2. The average
channel gains of the two users have been set as E |h1 |2 =

The simulation parameters have been set as follows unless
mentioned otherwise. The number of users in the DL system λ1 = 0.5 and E |h2 |2 = λ2 = 1. Thus, Figs. 4(a) and
have either been set as M = 5 or M = 2. The QoS threshold 4(b) verify the accuracy of the derived analytical results in
rates at the users have been set equal that is R1 = R2 = R3 = section III-A. Moreover, it can be inferred from Fig. 4(a)
R4 = R5 = 1 bps/Hz. Similarly, for the two-user systems we that the analysis presented in this work is also applicable for
have kept R1 = R2 = 1 bps/Hz. For the two-user DL system, non-integer values of the parameter µ.
the NOMA power factors for the statistical CSI-based and The outage probability versus SNR performance of a
the instantaneous CSI-based ordering schemes have been set NOMA system with M = 5 users in the DL and instantaneous
equal, i.e., α1 = α̃1 = 0.8 and α2 = α̃2 = 0.2. The value of CSI-based user ordering has been presented in Fig. 5(a).
the parameter N for different fading channels have been kept The channel coefficients between the BS and users U3 , U5
as shown in Fig. 1. Other parameters have been described at have been assumed to be Nakagami-m distributed with shape
appropriate places in the subsequent section. parameters 0.5, 1.5, respectively, whereas the fading links
Fig. 4(a) presents the outage probability versus SNR per- between the BS and U1 , U2 and U4 follow η − µ(η = 2,
formance for a NOMA DL system with M = 5 users µ = 2), κ − µ(κ = 2, µ = 3) and Nakagami-q (q = 0.55)
considering the channel between the BS and the users distributions, respectively. The power allocation coefficients
U1 , U2 , U3 , U4 and U5 to be Nakagami-m (m = 3), have been kept as α̃1 = 0.55, α̃2 = 0.25, α̃3 = 0.12, α̃4 =
Nakagami-q (q = 0.8), Nakagami-m (m = 2), κ − µ(κ = 0.05, α̃5 = 0.03. The QoS threshold at all the users have
2, µ = 3.4) and η − µ(η = 3, µ = 1.7) distributed, been set equal to 1bps/Hz. Moreover, the outage performance
respectively. The power allocation coefficients of the users of a two-user DL system with instantaneous CSI-based user
have been set as α1 = 0.51, α2 = 0.28, α3 = 0.13, α4 = ordering for κ − µ and η − µ fading channel links for U1
0.05, α5 = 0.03. The average channel gains of the users and U2 respectively, has been presented in Fig. 5(b). The
have been set as E |h1 |2 = λ1 = 0.1, E |h2 |2 =

simulation parameters for the result in Fig. 5(b) have been
λ2 = 0.3, E |h3 |2 = λ3 = 0.4, E |h4 |2 = λ4 = set κ = η = 1.5, µ1 = µ2 = 1 and λ1 = λ2 = 0.5.

0.6, E |h5 |2 = λ5 = 0.8. A close overlap can be observed A close agreement can be seen in Figs. 5(a), 5(b) between the
between the simulation results and the analytical expres- simulated results and the analytical results derived in (25) for
sion derived in (20). A similar overlap can be observed the outage probability, and in Fig. 5(b) for the diversity order
in Fig. 4(b) wherein the outage probability versus SNR derived in (28) at high SNRs. Moreover, it can be observed
performance for a two-user NOMA DL system considering from Fig. 5(b) that in the low SNR region, the outage proba-
dissimilar fading channels and statistical CSI-based ordering bility at Ũ2 is higher in comparison to Ũ1 . Intuitively, at low
has been presented. In particular, Fig. 4(b) presents the outage SNRs, the power allocated to Ũ2 is not sufficient to decode
220472 VOLUME 8, 2020

FIGURE 5. (a) Outage probability versus SNR performance at Ũ1 , Ũ2 , Ũ3 , Ũ4 , Ũ5 considering M = 5 users in the DL system for instantaneous CSI-based
user ordering (Eq. (25)). b Outage Probability versus SNR performance at Ũ1 , Ũ2 in the two-user DL system with instantaneous CSI-based ordering

(Eq. (25)) and the high SNR performance (Eq. (27)) considering κ − µ fading channel for U1 and η − µ fading for U2 .
the signal x̃2 , leading to a higher net outage probability at Ũ2 . which is quite intuitive. However, the outage probability at
Subsequently, with an increase in SNR, Ũ2 is able to decode U2 remains constant for small values of the threshold rate R2
the required signal correctly without any interference from and increases monotonically afterwards. This arises because
the other user. for small values of R2 and with R1 = 1 bps/Hz, the outage
From now onwards, until stated explicitly, the channel fad- probability at U2 is dominated by the outage probability for
ing coefficients betweens the BS and U1 , U2 for the NOMA decoding x1 at U2 that is due to SIC error propagation at U2 .
DL system are assumed to be κ − η, η − µ distributed, Moreover, with a subsequent increase in R2 , the outage prob-
respectively. Moreover, the transmit SNR has been fixed at ability increases monotonically. Similar observations can be
ρS = 10 dB. Fig. 6(a) presents the outage probability versus obtained from Fig. 6(b) wherein the outage probability versus
QoS threshold rate performance for the NOMA DL system QoS threshold rate performance for the NOMA DL system
with statistical CSI-based user ordering. Two cases of thresh- with instantaneous CSI-based user ordering has been pre-
old rates R1 and R2 have been considered. Case 1 presents sented. The simulation parameters for Fig. 6(b) have been
the outage probability versus threshold rate R1 performance kept similar to Fig. 6(a) except that now µ1 = µ2 = 1 and
when R2 has been set constant at R2 = 1 bps/Hz. For λ1 = λ2 = 0.5.
Case 2, the threshold rate R1 has been fixed to 1 bps/Hz for Fig. 7(a) presents the outage probability versus power allo-
presenting the outage probability versus rate R2 performance. cation coefficient (α1 ) performance for the NOMA DL sys-
The simulation parameters have been set as κ = η = tem with statistical CSI-based user ordering and α2 = 1 − α1 .
1.5, µ1 = µ2 = 2, λ1 = 0.5, λ2 = 1. A near perfect overlap Two cases of QoS threshold rates have been considered.
can be observed between the simulation results and the ana- In Case 1 we set R1 = 1, R2 = 0.5 bps/Hz whereas for
lytical result derived in (20). Moreover, it can be observed Case 2, the threshold rates have been set as R1 = 0.5, R2 = 1
from Fig. 6(a) that the outage probability at U1 increases bps/Hz. A near perfect agreement can be observed between
monotonically with the QoS threshold rate R1 whereas the the simulated and theoretical results for both the cases. More-
outage probability at U2 remains constant for low to moderate over, it can be observed from the figure that for both the
threshold values of R1 . This can be explained by the fact that cases, the outage probability at U1 decreases monotonically
for these values of R1 , U2 which is the statistically better with α1 , which is obvious since a higher value of α1 implies
channel user, is likely to perform SIC correctly but fail in lower SINR for decoding x1 at U1 . However, at U2 , the outage
decoding its own message signal that is x2 . Hence, for low probability first decreases until a minimum is reached and
to moderate values of R1 , the net outage probability at U2 increases monotonically thereafter. This is because for small
will be dominated by the outage probability for decoding to moderate values of α1 , the outage probability at U2 is
its own message signal x2 at U2 . Moreover, as the value dominated by SIC error propagation i.e. for decoding x1 at
of R1 increases further, the outage probability at U2 starts U2 , which decreases monotonically with the power allocation
increasing monotonically since error propagation due to SIC coefficient α1 . However, after a certain value of α1 , the outage
starts increasing. For Case 2, it can be observed that the probability for decoding x2 at U2 dominates the net outage
outage at U1 is constant since it is not a function of R2 , probability at U2 , which increases monotonically with the
VOLUME 8, 2020 220473

FIGURE 6. (a) Outage probability versus threshold rate performance at U1 , U2 (statistical CSI-based user ordering). b Outage probability versus

threshold rate performance at Ũ1 , Ũ2 (instantaneous CSI-based user ordering).
FIGURE 7. (a) Outage probability versus power allocation coefficient (α1 ) performance at U1 , U2 (statistical CSI-based user ordering) for two cases of
QoS threshold rates. b Outage probability versus power allocation coefficient α̃1 performance at Ũ1 , Ũ2 (instantaneous CSI-based user ordering) for

two pairs of QoS threshold rates.
coefficient α1 . Furthermore, for Case 2 i.e. when we have Users U1 and U2 have been assumed to be experiencing κ −µ
R1 = 0.5 and R2 = 1 bps/Hz, the outage probability and η − µ fading, respectively. The average channel gains of
at U2 increases monotonically with α1 . This is because for the users have been set as λ1 = 0.5 and λ2 = 1. Two cases
Case 2 i.e. R1 = 0.5 and R2 = 1 bps/Hz, the outage have been considered. Case 1 presents the outage probability
probability at U2 is dominated only by the outage probability versus channel coefficient κ performance at U1 , whereas in
for decoding x2 at U2 , which increases monotonically with Case 2, the variation of outage probability at U2 with the
α1 . A similar trend is seen in Fig. 7(b) that presents the channel coefficient η has been presented. Two values of the
outage probability versus the power allocation coefficient α̃1 parameter µ1 = µ2 = µ have been considered. A close
performance for the NOMA DL system with instantaneous match can be observed between the simulated and theoretical
CSI-based user ordering. The simulation parameters in both results derived in (20). It can be observed from the figure that
the figures have been kept same. the outage probability at U1 decreases with the coefficient κ,
Fig. 8(a) presents the outage probability versus the chan- since, for a fixed value of λ1 and µ, the increase in the value
nel coefficients κ, η performance at the users in a two-user of coefficient κ signifies an increase in the total power of
NOMA DL system with statistical CSI-based user ordering. the line-of-sight or dominant components. For Case 2, which
220474 VOLUME 8, 2020

FIGURE 8. (a) Outage Probability versus the channel coefficient κ performance at U1 (Case 1) and η performance at U2 (Case 2) considering a two-user
NOMA DL system with statistical CSI-based user ordering with κ − µ and η − µ fading channels for users U1 and U2 , respectively. b Outage probability

versus SNR performance considering M = 5 users in the UL with statistical CSI-based user ordering (Eq. (33)).
represents the outage probability versus the coefficient η per- From now onwards, the various parameters have been set
formance at U2 , it can be observed that the outage probability as α1 = 0.7, α2 = 0.3, α̃1 = 0.7, α̃2 = 0.3. Any particular
at U2 increases monotonically with the coefficient η. This is changes in the value of the simulation parameters in the sub-
because an increase in the value of η when 0 < η < 1 or sequent results have been specified explicitly at the relevant
equivalently an increase in the value of η1 when 1 < η < ∞ places in the discussion. The average channel gains of the two
[36], helps overcome the effects of fading [37]. Moreover, users have been set as λ̃1 = 1, λ̃2 = 0.5. Fig. 9(a) plots the
it can be observed from the figure that the outage probability outage probability versus SNR performance of the NOMA
at both the users decreases with an increase in the value of the UL system with statistical CSI-based user ordering for two
coefficient µ, since, a higher value of µ implies more number channel fading scenarios. Scenario 1 considers Nakagami-
of multipath clusters and thus aids in overcoming the impact m fading links for both the users whereas in Scenario 2,
of fading [37]. the channel fading coefficients for U1 and U2 have been
assumed to be η − µ and κ − µ distributed, respectively.
A close agreement can be observed between the simulation
B. NOMA UPLINK SYSTEM PERFORMANCE results and the analytical expression for the outage probability
This subsection presents the outage probability performance derived in (33) and the outage floor obtained in section IV-A2,
for the NOMA uplink system considering both the statisti- at high SNR. Thus, the results in Figs. 8(b) and 9(a) verify the
cal CSI-based as well as instantaneous CSI-based decoding accuracy of the analysis derived in section IV-A.
schemes. Fig. 9(b) presents the outage probability versus SNR per-
Fig. 8(b) plots the outage probability versus SNR perfor- formance for U1 , U2 in the NOMA uplink system considering
mance of the NOMA system considering M = 5 transmit- statistical CSI-based user ordering for Nakagami-m fading
ting users in the UL and statistical CSI-based user ordering. channel links for both the users and two pairs of values of the
The fading links for the users have been considered to be shape parameters m1 = m2 = 2 and m1 = 3, m2 = 2. A close
Nakagami-m distributed with the parameters m1 = 4, m2 = correspondence can be observed between the simulated plots
3, m3 = 2, m4 = 2 and m5 = 1 corresponding to users and the theoretical results derived in (33). Moreover, at high
U1 , U2 , U3 , U4 and U5 , respectively. The average channel SNR, the simulated curves nearly overlap with the error floor
gains of the users have been set as λ̃1 = 1, λ̃2 = 0.8, λ̃3 = derived in section IV-A2. Furthermore, a reduction in the
0.6, λ̃4 = 0.4 and λ̃5 = 0.2. The power allocation coeffi- outage probability at both the users can be observed when
cients have been set as α1 = 0.5, α2 = 0.33, α3 = 0.1, α4 = the value of the shape parameter m1 increases from m = 2 to
0.05, α5 = 0.02, while the QoS threshold rates for all the m = 3. Intuitively, an increase in m1 leads to a reduction in the
users have been kept equal i.e. R̂1 = R̂2 = R̂3 = R̂4 = R̂5 = skew of the positively skewed PDF curve of the channel gain
1 bps/Hz. A near perfect correspondence can be observed |h1 |2 . This results in the reduction in the outage probabilities
between the simulated results and the theoretical expression at U1 and at U2 .
derived for the outage probability with multiple users in the From now onwards, the total transmit power has been
uplink in (33). fixed at ρT = 10 dB until specified explicitly. Fig. 10(a)
VOLUME 8, 2020 220475

FIGURE 9. (a) Outage probability versus SNR performance at the two users in the UL with statistical CSI-based user ordering for Nakagami-m fading
links for both users (Scenario 1) and η − µ fading for U1 , κ − µ fading for U2 (Scenario 2). b Outage probability versus SNR performance at the two

users in the UL with statistical CSI-based user ordering for Nakagami-m fading links for both users and two pairs of values of shape parameters.
FIGURE 10. (a) Outage probability versus the average channel gain of U2 (Scenario 1) and U1 (Scenario 2) performance for a NOMA uplink system with
statistical CSI-based user ordering and η − µ fading for U1 , κ − µ fading for U2 . b Outage probability versus QoS threshold of U1 (R̂1 ) and U2 (R̂2 )

performance of the two users in the UL with statistical CSI-based user ordering and η − µ fading link for U1 , κ − µ fading for U2 .
plots the outage probability versus the average channel gain increases monotonically with λ̃2 , as expected. However, for
performance of the two users for the NOMA UL system U2 , the outage probability decreases for low to moderate
considering statistical CSI-based user ordering and two sim- values of λ̃2 only. This is because a decrease in the outage
ulation scenarios. Scenario 1 presents the outage probability probability for decoding the signal from U2 due to an increase
versus λ̃2 performance when the average channel gain of U1 in λ̃2 is offset by the higher outage floor/probability owing to
has been set constant at λ̃1 = 1. For Scenario 2, the average a decrease in the effective SINR for decoding x1 from U1 at
channel gain of U2 has been set constant at λ̃2 = 1 to present the BS. For Scenario 2, it can be observed that the outage
the outage probability versus the λ̃1 performance of the two probability for both the users decreases monotonically with
users. The channel coefficient between the BS and user U1 λ̃1 and follow a similar trend. Intuitively, an increase in the
has been assumed to be a η − µ distributed random variable value of λ̃1 with λ̃2 being a constant, leads to a decrease in
whereas for U2 , we consider κ − µ fading. The simulation the outage probability for decoding x1 at the BS.
parameters have been set as κ = 2, η = 2, µ1 = µ2 = 2. Fig. 10(b) presents the outage probabilities versus the QoS
The power allocation coefficients have been set as α1 = 0.6 threshold rate performance at the two users for a similar
and α2 = 0.4. A close match can be observed between NOMA UL system. Two cases of QoS threshold rates have
the theoretical and simulated results. Moreover, it can be been considered. Case 1 plots the outage probability versus
observed from the figure that the outage probability for U1 the threshold rate of U1 , i.e., R̂1 performance when R̂2 has
220476 VOLUME 8, 2020

FIGURE 11. (a) Outage probability versus SNR performance at the two users in the UL with instantaneous CSI-based user ordering for Nakagami-m
fading links for the two users (Case 1), and η − µ fading for U1 and κ − µ fading for U2 (Case 2). b Outage probability versus SNR and average channel

gain λ̃1 , λ̃2 performance at the two users in the UL with instantaneous CSI-based user ordering for κ − µ fading for U1 and Nakagami-m fading for U2 .
been fixed at 0.5 bps/Hz. In Case 2, outage probability versus BS. The analysis considered various fading channels such as
R̂2 performance has been presented with R̂1 = 0.5 bps/Hz. Rayleigh, Rician, Nakagami-m, Nakagami-q, η − µ, κ − µ,
The fading channel and the simulation parameters have been Nakagami-lognormal, with the PDFs of the channel gains
kept similar to the ones set for Fig. 10(a) except that now approximated as a mixture of Gamma distributions. Another
λ̃1 = 1 and λ̃2 = 0.5. For Case 1, the outage probability trend distinguishing aspect is that the user links can have dissimilar
at the two users is similar to the one in Fig. 10(a) Scenario 1. fading distributions, which renders the framework widely
Moreover, for Case 2 in Fig. 10(b), the outage probability at applicable. Closed-form expressions have been obtained for
U1 remains constant whereas at U2 it increases monotonically the outage probability at the users considering both statistical
with R̂2 , as expected. as well as instantaneous CSI-based ordering schemes. The
Fig. 11(a) presents the outage probability versus SNR former can be used in scenarios with only long term channel
performance of the NOMA UL system with instantaneous feedback, which makes them very practical. Expressions have
CSI-based user ordering and two user channel fading sce- also been derived for the diversity order and outage floor for
narios. Case 1 plots the outage probability considering the NOMA DL and UL systems, respectively, at high SNR.
Nakagami-m fading channel links for both the users. For Finally, simulation results have been presented to authen-
Case 2, η−µ and κ −µ fading channels have been considered ticate the accuracy of the derived analytical results, which
for U1 and U2 , respectively. The simulation parameters have demonstrate an excellent fit with the analytical expressions.
been fixed as α̃1 = 0.8, α̃2 = 0.2, η = 2, κ = 2, µ1 = As a possible future work, the system model considered in
µ2 = 2, R̄1 = 1.5 bps/Hz and R̄2 = 1 bps/Hz. The this work can be extended to MIMO wireless systems.
average channel gains of the two users have been set equal as
λ̃1 = λ̃2 = 0.5. The simulated results are in close agreement APPENDIX A
with the analytical results derived in (38) and (47) for P̃UL1 PROOF OF PiUL
and P̃UL
2 , respectively. A similar overlap can be observed Since, the channels of all the users are assumed to be inde-
in Fig. 11(b) wherein the outage probability versus SNR pendent and possibly follow dissimilar fading, using (1),
performance of the NOMA UL system with instantaneous the joint PDF of the channel gains for the statistical CSI-based
CSI-based user ordering has been presented for two values of ordering scheme can be obtained as
the average channel gains. The channel coefficients between
Nj
M X
the BS and U1 , U2 have been assumed to be distributed as Y t −1 −ζj,n(j) βj
κ − µ and Nakagami-m random variables, respectively. The f|g1 |2 ···|gM |2 (β1 , · · · , βM ) = aj,n(j) βj j,n(j) e .
simulation parameters have been set as κ = 2, µ = 2, m = j=1 n(j)=1
2, α̃1 = 0.8, α̃2 = 0.2, R̄1 = R̄2 = 1 bps/Hz. Thus, both (61)
these simulation results bear testimony for the accuracy of the
Substituting the above expression in (31), yields the following
derived results for the NOMA uplink system section IV-B1.
expression for the outage probability PUL
i as
VI. CONCLUSION Z ∞ Z ∞Z ∞ Z ∞ N1
X −t
This work considered NOMA UL and DL communication PUL
i = 1− ··· ··· a1,n(1) ζ1,n(1)
1,n(1)
systems wherein multiple users communicate with a single 0 0 ωi ω2 n(1)=1
VOLUME 8, 2020 220477

Nj
M X
Y t −1 to represent the expression in (67) as follows
× 0(t1,n(1) , ζ1,n(1) ω1 ) × aj,n(j) βj j,n(j)
N1 Z ∞ Z ∞Z ∞ Z ∞
j=2 n(j)=1 X
UL
Pi = 1 − 9 (1, n (1)) ··· ···
× e−ζj,n(j) βj dβj . (62) n(1)=1 00 ωi ω2
ζ δ̂ α

N2 1,n(1) 1 2
xk +ζ2,n(2) β2
Employing the identity 0(s, x) = 0(s)e−x s−1 r1,2 +t2,n(2) −1 −
P
α1
k=0 k! for the
X
× a2,n(2) ×β2 e dβ2
upper incomplete Gamma function [34], the above expression n(2)=1
in (62) can be further simplified as follows M ζ δ̂1 PM

Y r1,v − 1,n(1) m=3 αm ρT βm
Z ∞ Z ∞Z ∞ Z ∞ N1 × βv ×e α1 ρT
X −t
PUL
i = 1− ··· ··· a1,n(1) ζ1,n(1)
1,n(1) v=3
0 0 ωi ω2 n(1)=1 M X Nj
aj,n(j) βj j,n(j) × e−ζj,n(j) βj dβj
Y t −1
t1,n(1) −1 ×
X (ζ1,n(1) ω1 )k1
× 0(t1,n(1) )e−ζ1,n(1) ω1 × j=3 n(j)=1
k1 ! N1 N2 Z ∞ Z ∞
k1 =0 X X
M X Nj = 1− 9 (1, n (1)) 9 (2, n (2)) ···
Y t −1 −ζj,n(j) βj n(1)=1 n(2)=1 0 ω3
× aj,n(j) × βj j,n(j) e dβj . (63)
M ζ δ̂1 ζ̃2,n(2) δ̂2 PM

j=2 n(j)=1 Y r1,v +r2,v −( 1,n(1) + α ρ ) m=3 αm ρT βm
× βv e α ρ 1 T 2 T
Substituting ω1 defined in (32), followed by mathematical v=3

simplification, yields the above expression in (63) as Nj
M X
Y t −1 −ζj,n(j) βj
× aj,n(j) βj j,n(j) e dβj , (69)
Z ∞ Z ∞Z ∞ Z ∞ N1
X −t1,n(1) j=3 n(j)=1
PUL
i = 1− ··· ··· a1,n(1) ζ1,n(1)
0 0 ωi ω2 n(1)=1 where r1,2 + t2,n(2) = t̃2,n(2) and ζ1,n(1) δ̂1 α2 /α1 + ζ2,n(2) =
ζ̃2,n(2) and the quantity 9 (2, n (2)) is defined in (34).
ζ1,n(1) δ̂1
1+ M X−1
t1,n(1)
1
m=2 αm ρT βm
P
× 0(t1,n(1) ) × e
− α1 ρT By employing a procedure similar to the one employed for
k1 =0
k1 ! evaluating the integral with respect to β1 or β2 , one can eval-
!k1 !k1 uate the integrals with respect to β3 , · · · βi in the above equa-
M
ζ1,n(1) δ̂1 X tion. Moreover, the remaining M − i integrals with respect
× × αm ρT βm + 1
α1 ρT to βRi+1 , · · · , βM can be evaluated by employing the iden-
m=2 ∞
tity 0 aβ t−1 e−ζβ = a0(t) ζ t to obtain the final closed-form
Nj
M X UL
expression for Pi as given in (33).
× e−ζj,n(j) βj dβj .
Y t −1
× aj,n(j) βj j,n(j) (64)
j=2 n(j)=1
APPENDIX B
The expression in (64) can be simplified further by employing PROOF OF I1
the multinomial theorem that states The joint PDF of the random variables |g̃1 |2 , |g̃2 |2 where
!k |g̃1 |2 > |g̃2 |2 , can be written as
m X m
Y
k

f|g̃1 |2 |g̃2 |2 (β̃1 , β̃2 ) = f|g1 |2 β̃1 f|g2 |2 β̃2
X
zt = zrvv , (65)
Pm r1 , r2 , · · · , rm
l=1 v=1

l=1 rl =k
+ f|g2 |2 β̃1 f|g1 |2 β̃2 . (70)
k k!
where the quantity r1 ,r2 ,··· ,rm = r1 !r2 !···rm ! is the multino- Substituting the above expression in (39), for the scenario
mial coefficient. Using the above identity and moving the when δ̃1 < α̃α̃21 , the integral I1 can be simplified as follows
constants out of the integral, (64) can be further simplified Z ∞Z ∞
as shown in (66)-(67), as shown at the bottom of the next I1 = f|g1 |2 (β̃1 )f|g2 |2 (β̃2 )d β̃1 d β̃2
page. To further simplify the expression in (67), using (34), c β̃2
Z ∞Z ∞
we substitute
+ f|g2 |2 (β̃1 )f|g1 |2 (β̃2 )d β̃1 d β̃2
ζ1,n(1) δ̂1 c β̃2
−t −
9 (1, n (1)) = a1,n(1) ζ1,n(1)
1,n(1)
0(t1,n(1) )e α1 ρT Z ∞Z ∞ N1
X t −1 −ζ1,n(1) β̃1
t1,n(1) −1 !k1 = a1,n(1) β̃11,n(1) e d β̃1
X 1 ζ1,n(1) δ̂1 X c β̃2 n(1)=1
×
k1 ! α1 ρT Z ∞Z ∞ N2
k1 =0 r1,1 + M
P
v=2 r1,v =k1
X t −1
× f|g2 |2 (β̃2 )d β̃2 + a2,n(2) β̃12,n(2)

k1
M
Y c β̃2 n(2)=1
× (αv ρT )r1,v , (68)
r1,1 , r1,2 , · · · , r1,M × e−ζ2,n(2) β̃1 d β̃1 f|g1 |2 (β̃2 )d β̃2
v=2
220478 VOLUME 8, 2020

∞ N1 N2 t2,n(2) −1
N1
X (ζ2,n(2) )k X
Z X a1,n(1) a2,n(2)
t1,n(1) 0(t1,n(1) , ζ1,n(1) β̃2 )f|g2 |2 (β̃2 )d β̃2
X
t2,n(2) 0(t2,n(2) )
= + a1,n(1)
n(1)=1 ζ1,n(1) n(2)=1 ζ2,n(2)
c k!
k=0 n(1)=1
N2 0 k + t1,n(1) , c(ζ1,n(1) + ζ2,n(2) )

Z ∞ a2,n(2)
.
X
t2,n(2) 0(t2,n(2) , ζ2,n(2) β̃2 )f|g1 |2 (β̃2 )d β̃2 .
+ × (72c)
(ζ1,n(1) + ζ2,n(2) )k+t1,n(1)
c n(2)=1 ζ2,n(2)
(71) This completes the proof.
xk
Employing the identity 0(s, x) = 0(s)e−x s−1
P
k=0 k! followed
APPENDIX C
(1)
by substituting the expressions for f|g2 |2 (β̃2 ), f|g1 |2 (β̃2 ) into PROOF OF I2
(71) yields We proceed by substituting the expression for f|g̃1 |2 |g̃2 |2
(β̃1 , β̃2 ) in (70) into (40) to obtain
Z ∞ N1 t1,n(1) −1
X a1,n(1) −ζ1,n(1) β̃2
X N1
t1,n(1) 0(t1,n(1) )e ζ1,n(1) δ̄1
Z cX
I1 = a1,n(1)
t1,n(1) 0 t1,n(1) , (1 + α̃2 ρT β̃2 )

n(1)=1 ζ1,n(1)
c I2 =
k=0
0 n =1 ζ1,n(1) α̃1 ρT
N2 1
(ζ1,n(1) β̃2 )k ∞X
Z
a2,n(2) N2
f|g2 |2 (β̃2 )d β̃2 + t2,n(2) 0(t2,n(2) )
Z c X
× a2,n(2)
k! c n(2)=1 ζ2,n(2) × f|g2 |2 (β̃2 )d β̃2 + t2,n(2)
0 n(2)=1 ζ2,n(2)
t2,n(2) −1
X (ζ2,n(2) β̃2 )k
× e−ζ2,n(2) β̃2 × f|g1 |2 (β̃2 )d β̃2 (72a) ζ2,n(2) δ̄1
× 0 t2,n(2) , (1+ α̃2 ρT β̃2 ) f|g1 |2 (β̃2 )d β̃2 . (73)

k! α̃1 ρT
k=0
N1 t1,n(1) −1 N2 xk
X (ζ1,n(1) )k X Employing the identity 0(s, x) = 0(s)e−x s−1
P
X a1,n(1) k=0 k! ,
= t1,n(1) 0(t1,n(1) ) a2,n(2)
the above expression can be further simplified as
n(1)=1 ζ1,n(1)
k!
k=0 n(2)=1
Z ∞ Z c N1 ζ1,n(1) δ̄1
t +k−1 −(ζ1,n(1) +ζ2,n(2) )β̃2 a1,n(1) α̃1 ρT (1+α̃2 ρT β̃2 )
β̃22,n(2) d β̃2 −
X
t1,n(1) 0(t1,n(1) )e
× e I2 =
c 0 n(1)=1 ζ1,n(1)
N2 t2,n(2) −1 N1
X a2,n(2) X (ζ2,n(2) )k X t1,n(1) −1
0(t ) 1 ζ1,n(1) δ̄1 k

+ t2,n(2) 2,n(2) a1,n(1) X
n(2)=1 ζ2,n(2)
k! × (1 + α̃2 ρT β̃2 )k f|g2 |2 (β̃2 )d β̃2
k=0 n(1)=1 k! α̃1 ρT
Z ∞ k=0
t +k−1 −(ζ1,n(1) +ζ2,n(2) )β̃2
× β̃21,n(1) e d β̃2 (72b) Z c N2
a2,n(2) ζ2,n(2) δ̄1
− α̃1 ρT (1+α̃2 ρT β̃2 )
X
t2,n(2) 0(t2,n(2) )e
c +
N1 t1,n(1) −1
X (ζ1,n(1) )k X N2 0 n(2)=1 ζ2,n(2)
X a1,n(1)
= t1,n(1) 0(t 1,n(1) ) a2,n(2) t2,n(2) −1
n1 =1 ζ1,n(1)
k! X 1 ζ2,n(2) δ̄1 k

k=0 n(2)=1
× ×(1+ α̃2 ρT β̃2 )k f|g1 |2 (β̃2 )d β̃2 .
0 k + t2,n(2) , c(ζ1,n(1) + ζ2,n(2) ) k! α̃1 ρT

k=0
×
(ζ1,n(1) + ζ2,n(2) )k+t2,n(2) (74)
!k1
N1 ζ1,n(1) δ̂1 t1,n(1) −1
ζ1,n(1) δ̂1

X −t1,n(1) − X 1 X k1
PUL = 1− a1,n(1) ζ1,n(1) 0(t1,n(1) ) e α1 ρT
i
k1 ! α1 ρT r1,1 , r1,2 , · · · , r1,M
n(1)=1 k1 =0 r1,1 + M
P
v=2 r1,v =k1
Z ∞ Z ∞Z ∞ Z M
∞Y ζ1,n(1) δ̂1
P M Nj
M
r1,v − m=2 αm ρT βm t −1 −ζj,n(j) βj
Y X
× ··· ··· (αv ρT βv ) e α1 ρT
aj,n(j) βj j,n(j) e dβj (66)
0 0 ωi ω2 v=2 j=2 n(j)=1
N1 ζ1,n(1) δ̂1 t1,n(1) −1 k1
ζ1,n(1) δ̂1

X −t − X 1 X k1
= 1− a1,n(1) ζ1,n(1)
1,n(1)
0(t1,n(1) )e α1 ρT
×
k1 ! α1 ρT r1,1 , r1,2 , · · · , r1,M
n(1)=1 k1 =0 r11 + M
P
v=2 r1,v =k1
M N2 Z ∞ Z ∞Z ∞ Z ∞ ζ1,n(1) δ̂1 α2 M
Y
Y r1,v X r +t2,n(2) −1 − +ζ2,n(2) β2 r1,v
× αv ρT a2,n(2) ··· ··· β21,2 ×e α1
dβ2 βv
v=2 n(2)=1 0 0 ωi ω2 v=3
ζ1,n(1) δ̂1 PM M Nj
− αm ρT βm Y X t −1 −ζj,n(j) βj
×e α1 ρT m=3
aj,n(j) βj j,n(j) e dβj (67)
j=3 n(j)=1
VOLUME 8, 2020 220479

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220480 VOLUME 8, 2020

AKASH AGARWAL (Graduate Student Member, SUDHAKAR RAI received the B.Tech. degree
IEEE) received the B.Tech. degree in electronics in electronics and communication engineering
and communication from the Jaypee University from I. K. Gujral Punjab Technical Univer-
of Information Technology, Solan, and the M.E. sity, Kapurthala, India, and the M.Tech. degree
degree in electronics and communication from in electronics and communication engineering
Thapar University, Patiala, India. He is currently from the Jaypee Institute of Information Tech-
pursuing the Ph.D. degree with the Department of nology, Noida, India. He is currently pursuing
Electrical Engineering, IIT Kanpur, Kanpur, India. the Ph.D. degree with the Department of Electri-
His research interests include NOMA, energy har- cal Engineering, IIT Kanpur, India. His research
vesting, cooperative communication, and signal interests include NOMA, signal processing for
processing for 5G multimedia networks. MIMO-NOMA technology, and mmWave communication.
ADITYA K. JAGANNATHAM (Member, IEEE)

received the bachelor’s degree from IIT Bombay
and the M.S. and Ph.D. degrees from the Univer-
sity of California at San Diego, San Diego, USA.
In 2009, he was employed as a Senior Wireless
Systems Engineer at Qualcomm Inc., San Diego,
CA, UDA, where he was a part of the Qualcomm
CDMA Technologies Division. He is currently a
Professor with the Department of Electrical Engi-
neering, IIT Kanpur, where he holds the Arun
RISHABH CHAURASIYA received the bachelor’s Kumar Chair Professorship. He is also associated with the BSNL-IITK
degree from the Madhav Institute of Technology Telecom Center of Excellence. His research interests are in the area of
and Science, Gwalior, India, in 2017. He is cur- next-generation wireless cellular and Wi-Fi networks, with an emphasis on
rently pursuing the M.Tech degree with IIT Kan- various 5G technologies, such as massive MIMO, mmWave MIMO, FBMC,
pur, Kanpur, India. His research interests include NOMA, and full duplex. He has received the P. K. Kelkar Young Faculty
NOMA, generalized fading, and 5G technologies. Research Fellowship for excellence in research two times, the Qualcomm
Innovation Fellowship, and the IIT Kanpur Excellence in Teaching Award.
He was a recipient of the CAL(IT)2 fellowship at the University of California
at San Diego and the Upendra Patel Achievement Award at Qualcomm.
VOLUME 8, 2020 220481

Outage Probability Analysis For NOMA Downlink and Uplink Communication Systems With Generalized Fading Channels

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Outage Probability Analysis For NOMA Downlink and Uplink Communication Systems With Generalized Fading Channels

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Received November 16, 2020, accepted November 29, 2020, date of publication December 7, 2020,

date of current version December 18, 2020.

Outage Probability Analysis for NOMA Downlink

I. INTRODUCTION Subsequently, successive interference cancellation (SIC) is

TABLE 1. Tabular comparison of the contributions of existing and present works.

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neous CSI-based user ordering. tn tn −1 −ζn β

• Expressions for the outage probability and the corre-

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According to the DL NOMA protocol, we have

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The quantity xk is the message signal transmitted by Uk , gk represented as

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where |g̃1 |2 = β̃1 = max |g1 |2 , |g2 | , |g̃2 |2 = β̃2 = 2

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Therefore, in summary, 2) HIGH SNR PERFORMANCE

γ t2,n(2) + r, c ζ1,n(1) δ̄1 α̃α̃21 + ζ2,n(2)

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N1 N2 ζ1,n(1) δ̄1 t1,n(1) −1 k X

0 t1,n(1) + r, α̃2δ̄ρ2 T ζ2,n(2) δ̄1 α̃α̃12 + ζ1,n(1)

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threshold rate performance at Ũ1 , Ũ2 (instantaneous CSI-based user ordering).

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systems wherein multiple users communicate with a single 0 0 ωi ω2 n(1)=1

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Substituting ω1 defined in (32), followed by mathematical v=3

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ADITYA K. JAGANNATHAM (Member, IEEE)

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