认知无线电频谱感知及资源分配技术研究
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摘要
随着无线通信需求的高速增长，频谱资源的稀缺与实际频谱固定分配机制造成的频谱总体利用率偏低之间的矛盾是制约未来移动通信快速发展的瓶颈。认知无线电（Cognitive Radio, CR）技术能主动感知无线通信环境，动态地接入未被授权用户（Primary User, PU）使用的空闲频段，为解决上述矛盾开辟了一条崭新的途径。然而，频谱资源的动态性和复杂性为CR系统的设计实现带来了挑战。
本文围绕CR动态频谱共享系统展开了研究，涵盖了频谱感知、频谱分配和功率控制等三个方面,主要创新性成果如下：
(1)针对基于OFDM的认知无线电宽带频谱感知问题进行了研究，提出了一种联合频谱感知方法。该方法利用了基于循环前缀相关检测的快速性和基于MUSIC算法对频谱空洞定位有效性的优点，在有效降低频谱感知时间的同时,保证了算法的检测性能。通过仿真验证，与传统基于功率谱的能量检测法和一阶导数法相比，联合频谱感知能够有效地降低感知开销，提高认知用户对空闲频谱的利用率。尤其是在多径衰落信道下，该方法的优势更为突出。
(2)研究了认知无线电MAC层频谱检测周期优化问题。针对认知无线电系统中频谱检测的频率直接影响系统容量以及与授权用户产生冲突的概率问题，分析了授权用户频谱使用的特性,对授权用户行为进行统计建模,提出一种自适应频谱检测算法。该算法通过引入“控制因子”，在保证不对授权用户产生干扰和CR系统稳定性的约束下，自适应地调整频谱感知频率，与周期检测算法相比有效地提高了频谱利用率并减小了系统冲突概率和频谱检测开销，同时理论和仿真证明该算法具有良好的实用性和灵活性。
(3)针对基于非连续正交频分复用（Non-Contiguous OFDM, NC-OFDM）的认知系统动态频谱分配策略问题进行了研究，提出了一种多用户子信道、功率、比特联合分配的方法。在确保不对授权用户产生干扰的前提下，该算法引入“比例公平”的原则，并充分考虑受限子信道上的功率分配，以保证其获得最优发射功率，从而提高了系统容量和频谱效率。仿真结果表明：与最大化系统容量算法相比，该算法保障了每个认知用户都能满足一定的通信要求；同时，与直接设定功率受限子信道上的功率为其干扰门限值的算法相比，该算法提高了系统容量。算法实现过程中，先分配子信道后分配功率的方法，更利于工程的实现。
(4)针对分布式CR系统中认知用户的功率控制问题进行了研究，采用博弈论的方法实现对认知用户的功率控制，提出了基于信干噪比效用函数的非合作博弈功率控制算法(NPGP_SINR)和基于归一化效用函数的非合作博弈功率控制算法(NPGP_NUF)，并证明了两种算法都存在纳什均衡且均衡点唯一。仿真分析表明：提出的两种算法性能相比于NPG算法和NPGP算法都有明显改善，即具有相对更低的发射功率和较高的效用；且NPGP_NUF算法具有最低的复杂度，其以牺牲少量的用户效用来换取算法的时效性。NPGP_SINR算法和NPGP_NUF算法都不受信号调制方式和接入方式的制约，可以广泛应用于CR系统的功率控制与分配。
With the rapid growth of the demand for wireless communication, thecontradiction between the scarcity of spectrum resources and the low actual spectralutilization by primary users (PU) is becoming a bottleneck restricting the developmentof the future mobile communications. Cognitive Radio (CR), with the ability ofproactively detecting wireless communication and dynamically accessing unusedspectral bands, is considered as a promising technique to solve the contradictionbetween low spectral utilization and the increasing spectral demand. However, thedynamic and complex spectrum resource makes the design and implementation of theCR system challenging.
The dissertation has carried out analyses and investigations for the CR dynamicspectrum sharing system, including spectrum sensing, dynamic resource allocation andpower control. The main innovation results are as follows:
(1) Firstly, the OFDM based CR broadband spectrum sensing is studied. A hybridspectrum sensing method combining with the correlation detection based on cyclicprefix and MUSIC algorithm is proposed. The rapidity of the correlation sensingalgorithm and the effectiveness of the MUSIC algorithm for the positioning of spectrumhole are combined together by the proposed method, which can shorten the time ofspectrum sensing with a certain sensing performance guaranteed. Results of thesimulation experiments show that the hybrid spectrum sensing method can effectivelylower the sensing cost and improves the utilization of idle spectrum by cognitive users(CU) compared with the traditional energy detection method based on power-spectrumand the first-order derivative method, and the advantage of which is more prominent inmultipath fading channels.
(2) The optimal spectrum sensing cycle of CR system in MAC layer is studied inthe dissertation. The system throughput and the probability of collision between PU andCU are directly influenced by the frequency of the spectrum sensing. A statistical modelfor the PU activity is given through an in-depth analysis into the spectral usage patternsof PU. Based on that, an adaptive spectrum sensing algorithm is proposed. By introducing a “control factor”, the proposed algorithm can adaptively adjust thefrequency of spectrum sensing，while maintaining the CR system stability, as well asreducing the probability of collision between PU and CU. Compared with the cycledetection algorithm, the proposed algorithm which has low implementation complexityfor practical applications, can effectively improve the spectrum utilization, reduces theprobability of system conflicts and detection cost.
(3) Next, the dynamic spectrum allocation policy for Non-Contiguous OFDM(NC-OFDM) CR system is studied, and a method for multi-user’s sub-channels, power,and bit joint allocation is proposed in this dissertation. The proposed method canmaximize the system capacity and improve the system spectral efficiency by allocatingthe sub-channel and power following the principle of “proportional fairness” withoutthe PU being interfered. Results of the simulation studies show that the algorithm hasprotected the communication requirement of each CU compared with the maximizesystem capacity algorithm. Meanwhile, the system capacity can be increased comparedwith the method of directly setting the interference threshold as the power of the limitedsub-channel. The way of firstly allocating sub-channels and then allocating power isutilized to reduce computational complexity, which is conducive to the projectapplication of the method.
(4) Last, the dissertation discusses the power control of CU in the distributed CRsystem. The game theory is adopted to achieve the power control of CU. TheNPGP_SINR algorithm and the NPGP_NUF algorithm are proposed with the existenceand uniqueness of the Nash equilibrium of each algorithm demonstrated. Simulationresults show that the performance of the two proposed algorithms have significantlyimproved performances compared with both the NPG and NPGP algorithms, whichmeans the two proposed algorithms have relatively lower power and higher utility. TheNPGP_NUF algorithm has the lowest complexity, and the time effectiveness of whichcan be obtained by sacrificing a small amount of user utility. Both the NPGP_SINR andNPGP_NUF algorithm are not subject to the signal modulation and access mode.Therefore, they can be applied to the power control in the CR system.
本文围绕CR动态频谱共享系统展开了研究，涵盖了频谱感知、频谱分配和功率控制等三个方面,主要创新性成果如下：
(1)针对基于OFDM的认知无线电宽带频谱感知问题进行了研究，提出了一种联合频谱感知方法。该方法利用了基于循环前缀相关检测的快速性和基于MUSIC算法对频谱空洞定位有效性的优点，在有效降低频谱感知时间的同时,保证了算法的检测性能。通过仿真验证，与传统基于功率谱的能量检测法和一阶导数法相比，联合频谱感知能够有效地降低感知开销，提高认知用户对空闲频谱的利用率。尤其是在多径衰落信道下，该方法的优势更为突出。
(2)研究了认知无线电MAC层频谱检测周期优化问题。针对认知无线电系统中频谱检测的频率直接影响系统容量以及与授权用户产生冲突的概率问题，分析了授权用户频谱使用的特性,对授权用户行为进行统计建模,提出一种自适应频谱检测算法。该算法通过引入“控制因子”，在保证不对授权用户产生干扰和CR系统稳定性的约束下，自适应地调整频谱感知频率，与周期检测算法相比有效地提高了频谱利用率并减小了系统冲突概率和频谱检测开销，同时理论和仿真证明该算法具有良好的实用性和灵活性。
(3)针对基于非连续正交频分复用（Non-Contiguous OFDM, NC-OFDM）的认知系统动态频谱分配策略问题进行了研究，提出了一种多用户子信道、功率、比特联合分配的方法。在确保不对授权用户产生干扰的前提下，该算法引入“比例公平”的原则，并充分考虑受限子信道上的功率分配，以保证其获得最优发射功率，从而提高了系统容量和频谱效率。仿真结果表明：与最大化系统容量算法相比，该算法保障了每个认知用户都能满足一定的通信要求；同时，与直接设定功率受限子信道上的功率为其干扰门限值的算法相比，该算法提高了系统容量。算法实现过程中，先分配子信道后分配功率的方法，更利于工程的实现。
(4)针对分布式CR系统中认知用户的功率控制问题进行了研究，采用博弈论的方法实现对认知用户的功率控制，提出了基于信干噪比效用函数的非合作博弈功率控制算法(NPGP_SINR)和基于归一化效用函数的非合作博弈功率控制算法(NPGP_NUF)，并证明了两种算法都存在纳什均衡且均衡点唯一。仿真分析表明：提出的两种算法性能相比于NPG算法和NPGP算法都有明显改善，即具有相对更低的发射功率和较高的效用；且NPGP_NUF算法具有最低的复杂度，其以牺牲少量的用户效用来换取算法的时效性。NPGP_SINR算法和NPGP_NUF算法都不受信号调制方式和接入方式的制约，可以广泛应用于CR系统的功率控制与分配。
With the rapid growth of the demand for wireless communication, thecontradiction between the scarcity of spectrum resources and the low actual spectralutilization by primary users (PU) is becoming a bottleneck restricting the developmentof the future mobile communications. Cognitive Radio (CR), with the ability ofproactively detecting wireless communication and dynamically accessing unusedspectral bands, is considered as a promising technique to solve the contradictionbetween low spectral utilization and the increasing spectral demand. However, thedynamic and complex spectrum resource makes the design and implementation of theCR system challenging.
The dissertation has carried out analyses and investigations for the CR dynamicspectrum sharing system, including spectrum sensing, dynamic resource allocation andpower control. The main innovation results are as follows:
(1) Firstly, the OFDM based CR broadband spectrum sensing is studied. A hybridspectrum sensing method combining with the correlation detection based on cyclicprefix and MUSIC algorithm is proposed. The rapidity of the correlation sensingalgorithm and the effectiveness of the MUSIC algorithm for the positioning of spectrumhole are combined together by the proposed method, which can shorten the time ofspectrum sensing with a certain sensing performance guaranteed. Results of thesimulation experiments show that the hybrid spectrum sensing method can effectivelylower the sensing cost and improves the utilization of idle spectrum by cognitive users(CU) compared with the traditional energy detection method based on power-spectrumand the first-order derivative method, and the advantage of which is more prominent inmultipath fading channels.
(2) The optimal spectrum sensing cycle of CR system in MAC layer is studied inthe dissertation. The system throughput and the probability of collision between PU andCU are directly influenced by the frequency of the spectrum sensing. A statistical modelfor the PU activity is given through an in-depth analysis into the spectral usage patternsof PU. Based on that, an adaptive spectrum sensing algorithm is proposed. By introducing a “control factor”, the proposed algorithm can adaptively adjust thefrequency of spectrum sensing，while maintaining the CR system stability, as well asreducing the probability of collision between PU and CU. Compared with the cycledetection algorithm, the proposed algorithm which has low implementation complexityfor practical applications, can effectively improve the spectrum utilization, reduces theprobability of system conflicts and detection cost.
(3) Next, the dynamic spectrum allocation policy for Non-Contiguous OFDM(NC-OFDM) CR system is studied, and a method for multi-user’s sub-channels, power,and bit joint allocation is proposed in this dissertation. The proposed method canmaximize the system capacity and improve the system spectral efficiency by allocatingthe sub-channel and power following the principle of “proportional fairness” withoutthe PU being interfered. Results of the simulation studies show that the algorithm hasprotected the communication requirement of each CU compared with the maximizesystem capacity algorithm. Meanwhile, the system capacity can be increased comparedwith the method of directly setting the interference threshold as the power of the limitedsub-channel. The way of firstly allocating sub-channels and then allocating power isutilized to reduce computational complexity, which is conducive to the projectapplication of the method.
(4) Last, the dissertation discusses the power control of CU in the distributed CRsystem. The game theory is adopted to achieve the power control of CU. TheNPGP_SINR algorithm and the NPGP_NUF algorithm are proposed with the existenceand uniqueness of the Nash equilibrium of each algorithm demonstrated. Simulationresults show that the performance of the two proposed algorithms have significantlyimproved performances compared with both the NPG and NPGP algorithms, whichmeans the two proposed algorithms have relatively lower power and higher utility. TheNPGP_NUF algorithm has the lowest complexity, and the time effectiveness of whichcan be obtained by sacrificing a small amount of user utility. Both the NPGP_SINR andNPGP_NUF algorithm are not subject to the signal modulation and access mode.Therefore, they can be applied to the power control in the CR system.
引文
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