2017 International Conference on Cyber-Enabled Distributed Computing and Knowledge Discovery
Energy-Efficient and Fair Power Allocation Approach for NOMA in Ultra-Dense
Heterogeneous Networks
Lanhua Xiang and Hongbin Chen
School of Information and Communication, Guilin University of Electronic Technology, Guilin 541004, China
E-mail: 1366305886@qq.com; chbscut@163.com
Abstract-Non-orthogonal multiple access (NOMA) is considered
as a promising candidate for fifth-generation mobile
communication systems due to its high spectral efficiency (SE).
Many earlier works focused on the power allocation for NOMA
to achieve the sum rate maximization. However, the energy
efficiency (EE) optimization problem in NOMA systems has not
been well studied. In this paper, the EE of a two-tier downlink
ultra-dense heterogeneous network (HetNet) with NOMA is
studied. The goal is to maximize the EE subject to the constraint
of allocated powers for users. To achieve this goal, an
optimization problem is formulated which aims to find out the
optimal number of users. In order to solve the optimization
problem, a fair power allocation approach is proposed.
Simulation results show that NOMA has a superior EE
performance in comparison with orthogonal frequency division
multiple access (OFDMA). Moreover, the fairness of the
proposed fair power allocation (FPA) approach exceeds the
conventional fractional transmit power allocation (FTPA)
approach. At the same time, the optimal number of users can be
found out by simulations.
Keywords—Ultra-dense heterogeneous networks;
non-orthogonal multiple access; energy efficiency; fairness
I. INTRODUCTION
NOMA has been recognized as a promising multiple
access scheme for fifth-generation wireless communication
systems [1]-[3]. Different from conventional orthogonal
multiple access (OMA) schemes such as frequency-division
multiple access (FDMA), NOMA serves multiple users
simultaneously over the same channel resource (e.g., time
and frequency) via the power-domain division. Specifically,
multiple users are allowed to be laid over each other in the
power domain by allocating different transmission power
levels according to user channel conditions [4], and users
with better channel conditions can be allocated less power
than users with poor channel conditions. Then, by applying
the successive interference cancellation (SIC) technique,
users with better channel conditions can decode signals of
users with poor channel conditions. Therefore, NOMA can
achieve a higher spectral efficiency than OMA and enhance
the cell-edge throughput performance by using the
superposition coding at transmitters and the SIC at users [5].
The earlier literature on NOMA has primarily focused
on the improvement of SE. For example, the capacity of a
downlink NOMA system was analyzed in [6]. In [7], the
sum rate and outage performance in 5G systems with
cooperative NOMA were considered. Recently, the EE has
978-1-5386-2209-4/17 $31.00 © 2017 IEEE
DOI 10.1109/CyberC.2017.54
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become a focal point especially in 5G systems. To maximize
the EE, the author in [8] proposed an EE-optimal power
allocation strategy. However, they did not find out the
optimal number of users and neglected the user fairness.
The authors of [9] considered the energy-efficient
subchannel power allocation for downlink NOMA systems.
Nevertheless, the number of users is limited and fixed as
two in the subchannel power allocation algorithm, which
greatly restrains the application of NOMA.
The ultra-dense base station (BS) deployment in
HetNets as a key technique in 5G has been proposed. An
ultra-dense HetNet consists of various low-power small
cells, such as micro, pico, and femto BSs, which overlay the
traditional macro cells [10]. Moreover, the density of access
points in ultra-dense HetNets is much higher than the
mobile communication systems of today. It can provide
extremely high traffic capacity and data rates [11]. However,
there is rare work on NOMA in ultra-dense HetNets. The
previous works on NOMA has been studied mainly in
HetNets. For example, in [12], the convergence in HetNets
was considered. In [13], the authors studied the EE of
NOMA for wireless backhaul in HetNets. So, in this paper,
NOMA is introduced into an ultra-dense HetNet and an
optimization problem is formulated to maximize the EE. To
solve it, a multiple-user power allocation approach from the
perspective of user fairness is proposed. Finally, optimal
number of users that maximizes the EE of NOMA in the
ultra-dense HetNet is found out by simulations. Simulation
results show that the NOMA scheme implemented with the
proposed FPA approach yields much better sum rate and EE
performance than the conventional OFDMA scheme.
II. SYSTEM MODEL
A two-tier downlink ultra-dense HetNet consisting of
macro-cell base stations (mBSs) and pico-cell base stations
(pBSs) is deployed in an area À, each tier has M k (k = 1, 2)
BSs, and each BS serves N k , M k users. The symbol i
denotes the index of ith BS in kth tier, where
i ∈ {1, 2,..., M k } , and j denotes the index of jth user
covered by BSk ,i , where j ∈ {1, 2,..., N k , M k } . The transmit
power of kth tier BS is the same and is denoted by Ptk . The
universal frequency reuse is considered over the total
available bandwidth W . Fig. 1 shows the two-tier
downlink ultra-dense HetNet model.
89
 covered by BS k ,i . We assume that the receiver of user j
treats the inter-cell interference as a white noise. Let
2
hk ,i , j
H k ,i , j = 2
denote the normalized channel power
δ k ,i , j + I k , i , j
gain of user j covered by BS k ,i .
In a NOMA system, the SIC technique is implemented at
mBS
user receivers to reduce the interference from the other users
pBS
connecting to the same BS. The optimal decoding order for
the SIC is the increasing order of normalized channel gains.
communication
link Based on this order, any user can successfully and correctly
mBS user decode signals of the other users with smaller channel gains.
pBS user Thus, the interference from users having poorer channel
conditions can be canceled and removed by users having
better channel conditions. Without loss of generality, one
assumes that H k ,i ,1 > H k ,i ,2 > ... > H k ,i , N k ,M . According to
k
Figure1. A two-tier downlink ultra-dense HetNet.
the optimal SIC decoding order, user j can successfully
A. Power Consumption Model decode and remove interfering symbols from users l (l > j ) .
In order to compute the power consumption in the However, interfering symbol from user l (l < j ) cannot be
two-tier downlink ultra-dense HetNet, referring to [14], the removed and will be treated as noises by user j . Therefore,
total power consumption in the system can be written as the the signal-to-interference-plus-noise ratio (SINR) of user j
following expression:
2 Mk with the SIC at it receiver can be written as
Ptotal = ¦¦˄Ptk + N k , M k Psk˅ (1) Pk ,i , j H k ,i , j
k =1 i =1 SINR k ,i , j = j −1
. (4)
where Psk is the power consumption related to signal 1 + H k ,i , j ¦ Pk ,i ,l
l =i
processing for each user covered by kth tier BS, which is
assumed to be identical for them. Then, the data rate of jth user covered by BS k ,i can be
expressed as
B. Performance of NOMA
Pk ,i , j H k ,i , j
According to the NOMA principle, BS k ,i Rk ,i , j = W log 2 (1 + j −1
). (5)
simultaneously transmits a superposition signal xk ,i to its 1 + H k ,i , j ¦ Pk ,i ,l
N k , M k users. The transmitted signal xk ,i can be expressed l =i
Next, the sum rate of BS k ,i can be written as
as
N k ,M k
N k ,M k
Pk ,i , j H k ,i , j
xk ,i = ¦ Pk ,i , j xk ,i , j (2) Rk ,i = ¦ W log 2 (1 + j −1
). (6)
1 + H k ,i , j ¦ Pk ,i ,l
j =1
j =1
Nk ,Mk

where ¦ Pk ,i , j = Ptk , E ª« xk ,i , j º» = 1 ; Pk ,i , j and xk ,i , j are

2
l =i
j =1 ¬ ¼ Thus, the sum rate of kth tier BS can be expressed as
the allocated power and the modulated symbol for user j M k N k ,M k
Pk ,i , j H k ,i , j
covered by BS k ,i , respectively. Rk = ¦ ¦ W log 2 (1 + j −1
). (7)
The signal received at user j covered by BS k ,i over a
i =1 j =1
1 + H k ,i , j ¦ Pk ,i ,l
l =i
fading channel is given by the following equation:
Finally, the sum rate of the NOMA system can be
yk ,i , j = hk ,i , j xk ,i + nk ,i , j + I k ,i ,l (3) written as
where hk ,i , j = g k ,i , j d k−,iv, j is the channel coefficient from 2 M k N k ,M k
Pk ,i , j H k ,i , j
BS k ,i to its user j , g k ,i , j is assumed to have Rayleigh R NOMA
= ¦¦ ¦ W log 2 (1 + j −1
).
fading channel power gain, d k ,i , j is the distance from user
k =1 i =1 j =1
1 + H k ,i , j ¦ Pk ,i ,l
l =i
j to its serving BS, and v is the path loss; nk ,i , j is the (8)
additive white Gaussian noise with zero mean and variance As done in our previous work, the EE is defined as the
2 ratio of sum rate to total power consumption. Then, the
δ k ,i , j ; I k ,i ,l is the inter-cell interference received at user j

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network EE is given by according to the normalized channel gains of all multiplexed
2 M k N k ,M k
Pk ,i , j H k ,i , j users j ( j ∈ {1, 2,..., N k , M k } ) covered by BS k ,i , which are
¦¦ ¦ W log 2 (1 + j −1
)
given by
k =1 i =1 j =1
1 + H k ,i , j ¦ Pk ,i ,l
R NOMA ( H k ,i , j ) −α
η EE
NOMA
= = Mk
l =i
. (9) Pk ,i , j = Ptk N k ,M k
(13)
Ptotal 2

¦¦˄P
k =1 i =1
tk + N k , M k P˅
s ¦ (H k ,i , j ) −α

j =1

C. Performance of OFDMA where α (0 < α < 1) is a decay factor. Note that the same
When OFDMA is applied in the two-tier downlink decay factor should be applied to all BSs.
ultra-dense HetNet, the sum rate of the system can be The cell-edge user throughput is important in a real
written as system, but the FTPA approach cannot guarantee it all the
M k N k ,M k
way. Based on this fact, a FPA approach is proposed to
2 Pk ,i , j H k ,i , j
R OFDMA = ¦¦ ¦ β W log j 2 (1 + ) (10)
guarantee the cell-edge user throughput in next Subsection.
Here, the Jain’s fairness index [17] is adopted to measure
k =1 i =1 j =1 βj
the fairness. The Jain’s fairness index is defined as
where βj denotes the ratio of the bandwidth sharing and it Nk ,M k

N k ,M k
( ¦ Rk ,i , j ) 2

¦β
j =1
satisfies 0 < β j < 1, = 1 . The EE of OFDMA in J= Nk ,M k
. (14)
j
j =1 ( Nk ,Mk ¦R 2
k ,i , j
)
the two-tier downlink ultra-dense HetNet is given by j =1

2 M k N k ,M k P H C. Fair Power Allocation

R OFDMA ¦¦ ¦
k =1 i =1 j =1
β jW log 2 (1 + k ,i , j k ,i , j )
βj Let us denote τ k ,i , j , j = 1, 2,..., N k , M k − 1 as the ratio of
η EE
OFDMA
= = 2 Mk
. (11)
Ptotal power allocated for user j + 1 and the power allocated for
¦¦˄Ptk + N k , M k P˅ s
k =1 i =1 user j covered by BS k ,i , i.e.,
III. ENERGY EFFICIENCY OPTIMIZATION Pk ,i , j +1 H k ,i , j
τ k ,i , j = = . (15)
A. Problem Formulation Pk ,i , j H k ,i , j +1
From (9), it is noticed that the EE of the NOMA system Recursively, Pk ,i , j +1 in (15) can be determined by
depends on the number of users covered by different types Pk ,i , j +1 = τ k ,i , j Pk ,i , j
of BSs. In this subsection, the EE optimization problem is
formulated whose objective is to find out the optimal =τ k ,i , jτ k ,i , j −1 Pk ,i , j −1 (16)
number of users covered by different types of BSs subject to j

the constraint of allocated powers for users. The EE =∏τ k ,i ,l Pk ,i ,1 .

optimization problem can thus be formulated as follows: l =1

2 M k Nk ,M k Pk ,i , j H k ,i , j The total transmit power at BS k ,i for its served users can be

¦¦ ¦ W log 2 (1 + j −1
) obtained as
k =1 i =1 j =1
1 + H k ,i , j ¦ Pk ,i ,l N k ,M k

max 2 Mk
l =i ¦P k ,i , j = Ptk . (17)
(12) j =1
¦¦˄Ptk + N k , M k P˅ s
k =1 i =1
Thus, the power for user 1 in BS k ,i can be deduced as
N k ,M k 1
Pk ,i ,1 =
s.t. ¦P j =1
k ,i , j = Ptk . 1 + τ k ,i ,1 + τ k ,i ,1τ k ,i ,2 + ... + τ k ,i ,1τ k ,i ,2 ...τ k ,i , Nk ,M
k
−1
Ptk . (18)

Substituting (18) into (16), transmit powers for other users

B. Fractional Transmit Power Allocation
in BS k ,i (i.e., user j , j = 2,3,..., N k , M k ) can be
To solve the EE optimization problem, one needs to
reasonably allocate transmit powers for users. As noted in sequentially determined as
j −1
Section II, transmitted powers for users covered by different
types of BSs should be appropriately allocated by taking the ∏τl =1
k ,i ,l

distance from a user to its serving BS and the quality of Pk ,i , j = Ptk . (19)
1 + τ k ,i ,1 + τ k ,i ,1τ k ,i ,2 + ... + τ k ,i ,1τ k ,i ,2 ...τ k ,i , N k ,M −1
channels into consideration. In previous works [15] [16], the k

FTPA is widely adopted in NOMA systems because of its

low complexity. In the FTPA approach, transmit powers of IV. SIMULATION RESULTS
users covered by different types of BSs are allocated In this section, the performance of NOMA will be

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compared with OFDMA [13, Sec. 4.3] through numerical
simulations. Meanwhile, simulation results are presented to
evaluate the fairness of the proposed FPA approach for the

The Network Sum Rate(bit/s)

NOMA system through comparing it with the FTPA
approach and finding out optimal number of users covered
by different types of BSs to maximize the EE. Simulation
parameters are listed in Table I. Locations of user terminals
in each cell are random with a uniform distribution [18].
Minimum distance between users is set as 40 m [9].

TABLEI. Parameters used in simulation.

Parameters Value
Area radius 100 km
Macrocell radius 1 km
Picrocell radius 500 m
Figure2. Sum rate versus number of users.
Total bandwidth 10 MHz
Noise power -120 dBm
Path loss exponent 3
Number of mBSs 104
Number of pBSs 6*105 The Network EE(bits/Joule)
mBS transmit power 40 W
pBS transmit power 6W
mBS signal processing power 0.256 W
pBS signal processing power 0.02 W
Decay factor 0.4 [9]

In Fig. 2, the performance of sum rate versus the number

of users N k , M k is evaluated when N k , M k varies from 2 to
40. It can be observed that NOMA achieves a higher sum
rate compared with OFDMA. It is also shown that when
Figure3. Network EE versus number of users.
NOMA is applied, the sum rate increases with the number
of users. As the number of users grows larger, the sum rate
continues to increase, but the rate of growth becomes slower.
It is because that the allocated power for each user becomes
smaller when the number of users grows larger. From Fig. 2,
The Fair Index of mBS Users

one can also observe that the sum rate performance of FTPA
is better than that of the proposed FPA.
Fig. 3 shows that the network EE with NOMA is much
higher than that with OFDMA, when the number of users
varies. It is also seen that the network EE increases with the
number of users to a peak and then starts to decrease. With
the increase of the number of users, the network power
consumption will increase. Additionally, the speed of sum
rate growth is slower than the speed of power consumption
growth. From Fig. 3, one can observe that the performance
of FTPA is better than the proposed FPA in terms of network
EE. In addition, one can find out optimal number of users to
get maximum EE under the constraint of allocated powers
for users. Although the performance of FTPA is better than
the proposed FPA in terms of the sum rate and the EE, from Figure4. Fairness index of mBS users for the two power allocation
approaches.

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Figs. 4 and 5 one can see that the fairness of the proposed
FPA is much better than that of the FTPA.
Taking into account the impact of BS types on the sum
rate and the EE of the two-tier downlink ultra-dense HetNet,

The Cell EE(bits/Joule)

Figs. 6 and 7 further show the sum rate and the EE for mBS
and pBS with the proposed FPA, respectively. The tendency
of the sum rate shown in Fig. 6 and the EE shown in Fig. 7
are the same as those shown in Fig. 2 and Fig. 3,
respectively. Fig. 6 shows that the sum rate of mBS is much
higher than the sum rate of pBS, but the EE of mBS is much
lower than the EE of pBS. It is because that the power
consumption of a mBS is much more than that of a pBS. So,
from the perspective of EE, one should introduce a number
of low-power small cells overlaying the traditional macro
cells.

0.9
Figure7. Cell EE versus number of users.
0.8 0.8723
V. CONCLUSION
The Fair Index of pBS Users

0.7
In this paper, the EE optimization problem in a two-tier
0.6 downlink ultra-dense HetNet with NOMA has been studied.
A FPA approach has been proposed to maximize the EE.
0.5 Simulation results have shown that compared with OFDMA,
0.3978 NOMA has superior performance in terms of the sum rate
0.4
and the EE. Besides, the fairness of the proposed FPA
0.3 approach outperforms that of the FTPA approach. Finally,
optimal number of users can be found out to get maximum
0.2 EE under the constraint of allocated powers.
0.1 ACKNOWLEDGMENT
0 This research was supported by the National Natural
FTPA FPA Science Foundation of China (61671165), the Guangxi
Natural Science Foundation (2015GXNSFBB139007,
Figure5. Fairness index of pBS users for the two power allocation 2016GXNSFGA380009), and the Innovation Project of
approaches. GUET Graduate Education (2016YJCX91, 2017YJCX27).
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