2019 IEEE 20th International Conference on High Performance Switching and Routing (HPSR)

Energy efficient resource allocation algorithm in

multi-carrier NOMA systems
Kunhao Huang∗ , Zhengqiang Wang∗†‡ , Hongjia Zhang∗† , Zifu Fan† , Xiaoyu Wan† , Yongjun Xu∗
∗ School
of Communication and Information Engineering
Chongqing University of Posts and Telecommunications, Chongqing, P. R. China
† Institute of Next Generation Network, Chongqing University of Posts and Telecommunications, Chongqing, P. R. China

Abstract—In this paper, we studied the joint subchannel and
power allocation problem to maximize energy efficiency (EE) for
the multi-carrier non-orthogonal multiple access (MC-NOMA)
systems. First, a matching algorithm is proposed to allocate the
user in the subchannel. Then, the EE maximization problem is
converted into a series of subproblems, which can be solved by the
penalty function method. Next, the joint channel allocation and
power allocation is proposed based on the Dinkelbach algorithm.
Simulation results show that the proposed algorithm is superior
to the traditional fractional power allocation (FTPA) scheme and
the OFDMA scheme in terms of the EE.
Index Terms—MC-NOMA, energy efficiency, channel alloca-
tion, power allocation.
I. I NTRODUCTION
Non-orthogonal multiple access (NOMA) technology based
on power domain multiplexing has been recognized as an
important candidate technology to support the massive ma-
chine type communication (mMTC) in the fifth generation
(5G) mobile communication system [1], [2]. Different from
the orthogonal multiple access (OMA) technology, NOMA
allows one frequency or subchannel can be occupied by
multiple users. Superposition coding technology is utilized to
superimpose the signal of the users at the transmitter. The
receiver of each user can obtain its information by adopting
successive interference cancellation (SIC). Compared with the
traditional OMA, NOMA has the following advantages: higher
spectral efficiency (SE), higher cell edge throughput, lower
transmission latency, enhanced user fairness, and supporting
more users’ connections [3]–[6].
Due to the flexibility of resource allocation and multi-user
diversity gain, multi-carrier (MC) technology [7] has been
widely used in the past broadband wireless communication.
However, the traditional MC allocation method cannot reach
the upper bound of the capacity area. Especially, when the
system guarantees user fairness, some subcarriers are specif-
ically allocated to users with poor channel quality, which
will cause the waste of spectrum resources [8]. Therefore,
the combination of MC and NOMA can further improve
‡ Corresponding author: Zhengqiang Wang (wangzq@cqupt.edu.cn)
This work was partially supported by the National Natural Science Foun-
dation of P. R. China(No.61701064) and the Youth Project of Science
and Technology Research Program of Chongqing Education Commission
(KJQN201800606) and the China Scholarship Council (CSC, File No.
201808500024).
the utilization of spectrum efficiency [9]. In [10], system
weighted-sum-rate maximization problem was investigated for
MC-NOMA with a two-user case. A novel low-complexity
algorithm is proposed to solve the problem with a closed-form
power allocation expression. In [11], the authors studied total
transmit power minimization problem under the constraints of
the user data rate requirements in multi-cell MC-NOMA net-
work. A greedy user clustering and power allocation scheme
were proposed with low computational complexity. In [12],
the authors studied the problem of maximizing the weighted
system throughput of MC-NOMA systems with a maximum of
two users multiplexed on a subcarrier. A suboptimal iterative
algorithm with low computational complexity was proposed
which can achieve nearly optimal performance. In [13], the
authors considered the maximization of MC-NOMA systems
with the rate constraints of users. In [14], jointly power
allocation, rate allocation, user scheduling, and SIC decoding
policy is proposed to minimize the total transmit power of the
downlink MC-NOMA system under imperfect channel state
information (CSI) at the transmitter. The work in [15] studies
the resource allocation of full-duplex MC-NOMA system, by
optimizing the weighted sum rate of the system and using the
continuous convex approximation algorithm, the complexity
and optimality of the algorithm are balanced.
From what we have discussed above, previous works in
resource allocation algorithms [10]–[14] for NOMA system
mainly focus on the performance of optimizing the system’s
sum rate and total power. Nowadays, green communication
has become the vane of communication area, and energy
consumption has aroused deep concern [16]. Moreover, energy
efficiency (EE) has become a key indicator to measure the
performance of future 5G systems [17]. Therefore, EE analysis
and optimization of MC-NOMA system is also an impor-
tant research in wireless communication [18]. In [19], the
authors consider a single cell downlink MC-NOMA network
to maximize the EE. The EE maximization problem was
solved by suboptimal subchannel matching scheme with super-
modular game and power allocation with successive convex
approximation. However, the system model only considered
each subchannel can be multiplexed by two users, and the
minimal signal-to-interference and noise ratio(SINR) was not
considered. In [20], resource allocation problem for achieving
SE-EE tradeoff is investigated in hybrid MC-NOMA systems.

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 2019 IEEE 20th International Conference on High Performance Switching and Routing (HPSR)

In this paper, we study the energy efficient resource alloca- The EE of the system is defined as the ratio of the total
tion problem MC-NOMA system. Due to the tight coupling achievable rate to the total power consumption of
the system,
R K
between power allocation and subcarrier selection for MC- which is given by EE = Pt +P c
, where Pt = k=1 Pk is
NOMA systems, we first decoupled the EE optimization the total transmit power for users at the BS such that Pk =
problem into two subproblems: channel allocation and power 
N
pk,n is transmit power of user k and Pc is the constant
allocation. Based on fractional programming, we proposed n=1
a joint channel allocation and power allocation algorithm to circuit power consumption. Then, EE optimization problem of
maximize the EE. Simulation results show that the EE obtained the MC-NOMA can be given by
by the proposed algorithm outperforms the traditional fraction- 
K 
N |hk,n |2 pk,n
al power allocation (FTPA) scheme and OFDMA scheme. ρk,n log2 (1+ K
)
k=1 n=1 
|hk,n |2 ρi,n pi,n +σ 2
i=1,|hi,n |2 >|hk,n |2
II. S YSTEM M ODEL max 
K N
pk,n ,ρk,n Pc + ρk,n pk,n
We consider the downlink MC-NOMA system with K users K N k=1 n=1

and the maximum power of base station (BS) is Pmax . The
available bandwidth is divided into N subcarriers (subchan-
nels). The channel from the BS to the k-th (1 ≤ k ≤ K) users
in subchannel n is hk n. It is assumed that the instantaneous
CSI of users is known at the BS and the receiver of each
user. In MC-NOMA system, a subcarrier can be shared by
multiple users. Let ρk,n ∈ {1, 0} denotes the subcarrier
occupancy of user k in subchannel n, where ρk,n = 1
indicates that subcarrier n is occupied by user k, otherwise
ρk,n = 0. The transmission symbol xn of the BS on subcarrier
n (1 ≤ n ≤ N ) can be expressed as:
K user k, otherwise ρk,n = 0. The constraint C4 indicates the
 √
xn = ρk,n pk,n sk,n
k=1
where pk,n is the transmit power of user k on subcarrier n,
and sk,n is the data symbol, which satisfies E(|sk,n |2 ) = 1.
Then, the received signal of user k on subcarrier n can be
expressed as:
K matching algorithm is first given to find the value of ρk,n .
 √
yk,n = hk,n xn + wk,n = hk,n ρk,n pk,n sk,n + wk,n
k=1
(2)
where hk,n , wk,n are the channel gain and background noise
of user k on subcarrier n, respectively. We assume that the BS
have perfect CSI for each user. The variance of background
noise wk,n is σ 2 . The receiver at the user k adopts SIC, and
the interference cancellation order of subcarrier n is arranged
in ascending order which the channel gain of the user hk,n
multiplexed on the carrier, that is, the k-th user first decodes
the i-th (i < k) users’ message and then cancels it from the
received signal. Thus, the SINR of user k on subcarrier n is:
ρk,n |hk,n |2 pk,n
γk,n = K
|hk,n | 2 ρi,n pi,n + σ 2
i=1,|hi,n |2 >|hk,n |2
Then, the sum rate Rk of user k can be expressed as follows.
n=N
 with the best channel conditions with equal power. Then, we
Rk = log2 (1 + γk,n )
n=1
The total rate R of the proposed system is given by
K cause each user has a minimum data rate limit, the number of

R= Rk
k=1
s.t. C1 : k=1 n=1 ρk,n pk,n ≤ Pmax ;
N
C2 : n=1 ρk,n log2 (1 + ρk,n γk,n ) ≥ RkM in , ∀k;
C3 : ρk,n ∈ {1, 0}; ∀k, n
C4 : pk,n ≥ 0, ∀k, n
(6)
The constraint C1 represents maximum transmit power at
the BS is Pmax . The constraint C2 denotes the minimum
rate requirement of each user is RkM in to ensure the users’
quality of service (QoS) requirement. The constraint C3 is
an indicator function of subcarrier n occupied by the user k,
where ρk,n = 1 indicates that subcarrier n is occupied by
(1) transmit power is non-negative.
The EE maximization problem in (6) is a mixed non-
convex problem with the discrete variables ρk,n and con-
tinuous variables Pk,n . The traditional convex optimization
method cannot be directly applied to solve (6). To handle
problem (6), we decouple the optimization problem into two
subproblems for channel and power allocation. A subchannel
Then, the power allocation problem is solved under the given
channel allocation by fractional programming. Next, we give
the energy efficient resource allocation algorithm for MC-
NOMA.
III. E NERGY E FFICIENT A LGORITHM
In this section, we propose an energy efficient algorithm
which has two steps. The first step is the matching algorithm
to assign users to subchannels. Then, the second step is
Dinkelbach algorithm for updating the transmit power of each
user in subchannel to maximize the EE.
(3) A. Matching algorithm for channel allocation
First, the channel conditions hk,n of the user on each sub-
channel are ordered, then assign each user to the subchannel
(4) calculate the minimum power Pkmin for user k = 1, · · · , K
under the minimum data rate RkM in by fixing the other user’s
K
power. If k=1 Pkmin ≤ Pmax , the matching is successful. Be-
(5) subchannels assigned to each user is uncertain. Therefore,we
first assume ρk,n = 1, ∀n and pk,1 , pk,2 , ..., pk,N are the power

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 2019 IEEE 20th International Conference on High Performance Switching and Routing (HPSR)
of user k on each subchannel. Then the minimal Pkmin for user
k is obtained by the following problem:
min pk,1 + pk,2 + ... + pk,N
N M in
n=1 log2 (1 + γk,n ) ≥ Rk
s.t.
pk,n ≥ 0, n = 1, · · · , N,
where the optimization variable in (7) is pk,1 , pk,2 , ..., pk,N for
power allocation of user k in each subchannel. The minimum
rate constraint in (7) is convex constraint because the left hand
size of the minimum rate constraint is a concave function with
respect to pk,1 , pk,2 , ..., pk,N . Thus, the power allocation prob-
lem (7) is a convex optimization problem for user k when other
user’s power allocation has been given. Therefore, we can find
the minimum transmit power Pkmin = p∗k,1 + p∗k,2 + ... + p∗k,N
for (7) by convex optimization. When the total transmit power
Pmax of BS is not large enough or RkM in is too large,
the problem (7) may not be feasible. A sufficient condition
for the feasibility
K of the EE maximization problem is that
min
Pmin = k=1 kP ≤ Pmax is held. Therefore, we can
allocate the sub-channel to the user by the following matching
algorithm as given by algorithm 1.
Algorithm 1 Subchannel Matching Algorithm
For a given RkM in , solve pk,n in (7) by convex optimization;
While the solution of (7) exists do
if pk,n > 0 let ρk,n = 1, the k-th user and the n-th
subchannel are matched successfully.
else
let ρk,n = 0
End While
The value of ρk,n will be determined after algorithm 1 is
applied for each user successively. (6) will be power allocation
problem for the given ρk,n where the objective function has
fractional form fg(x)
(x)
. Next, we solve the power allocation
problem by Dinkelbach algorithm in fractional programming.
B. Dinkelbach Algorithm for power allocation
The subproblem in the Dinkelbach algorithm is given
by:F (λ) = maxx∈S {f (x) − λg(x)}. When f and g are
continuous, S is a tight set, F exists and is continuous. In
addition, we have the following results [21]:
(x∗ )
Proposition1: Consider x∗ ∈ S and λ∗ = fg(x ∗ ) . Then, x
∗ Step 3: The EE of the MC-NOMA is obtained by the
is the solution to the fractional programming problem if and
only if x∗ = argmax{f (x) − λ∗ g(x)}.
x∈S
As a result of proposition 1, solving the fractional problem
is equivalent to finding the unique zero of the auxiliary
function F (λ). Moreover, the solution to F (λ) = 0 can be
obtained by Dinkelbach Algorithm [21].
In algorithm 2, f (x) and g(x) are given as follows:
K 
 N
|hk,n |2 pk,n
f (x) = ρk,n log2 (1 +  )
k=1 n=1 |hk,n |2 ρi,n pi,n + σ 2
i∈Ωk,n
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Algorithm 2 Dinkelbach Algorithm
Initialize λn = 0, ε > 0 and iteration index n = 0
While F (λn ) > ε do
x∗n = argmax{f (x) − λn g(x)} by Algorithm 3.
(7) x∈S
F (λn ) = max{f (x∗n ) − λn g(x∗n )}
x∈S
f (x∗ )
λn+1 = g(x∗n)
n
n=n+1
end while
N
K 

g(x) = pc + ρk,n pk,n (9)
k=1 n=1
 
where Ωk,n = i||hi,n |2 > |hk,n |2 .
From Algorithm 2, the key step is to find the solution
for subproblem x∗n = argmax{f (x) − λn g(x) for a given
x∈S
λn . Penalty function method is used to solve these sub-
problems as given by algorithm 3, where G(x) is defined
Algorithm 3 Penalty function method
1: Given initial point x0 ∈ D0 , termination error 0 < ε < 1,
τ1 > 0, ρ ∈ (0, 1). Let k = 1.
2: Solve the unconstrained sub-problem max G(x) with
xk−1 as the initial point, and get the minimum point xk .
3: If τk H̄(xk ) ≤ ε
end,
output x∗ ≈ xk as optimal value.
4: Let τk+1 = ρτk , k = k + 1 and turn to 1.
as G(x) = f (x) − λg(x) + τk H̄(x). H̄(x) is expressed as
m
H̄(x) = − i=1 ln[gi (x)], where gi (x) is constructed by
constraints C1, C2, C4.
In summary, the EE based on resource allocation algorithm
for MC-NOMA can be given by algorithm 4.
Algorithm 4 Energy Efficient Resource Allocation Algorithm
Step 1: ρk,n is obtained by Algorithm 1 is executed. If there
is a solution, execute the next step; otherwise, it means that
the match fails and the algorithm ends.
Step 2: Power allocation pk,n for each user is obtained by
Algorithm 2.
objective function in (6).
IV. S IMULATION R ESULTS
In this section, we evaluate the proposed matching algorithm
and power allocation scheme (recorded as NOMA-EE). In
addition, the proposed scheme is compared with orthogonal
frequency division multiple access (OFDMA) multi-carrier
transmission scheme and fractional transmit power allocation
(FTPA) scheme [22]. In OFDMA sytems, each user can only
choose to one subchannel and the users in the same subchannel
(8) using time-sharing method for resource allocation. The power
 2019 IEEE 20th International Conference on High Performance Switching and Routing (HPSR)

12 35
OFDMA
FTPA
System energy efficiency (bits/Joule/Hz)

OFDMA 30
10 Proposed
FTPA
Proposed
25

Sum rate (bits/s/Hz)

8

20
6
15

4
10

2
5

0 0
20 22 24 26 28 30 32 34 36 38 40 20 22 24 26 28 30 32 34 36 38 40
Maximum Power at the BS (dBm) Maximum Power at the BS (dBm)

Fig. 1. System energy efficiency versus Pmax Fig. 2. Sum rate of the system versus Pmax

10

transmitted to the user k on the n-th subchannel can be 9.5

Number of users satisfying minimum rate

expressed by: 9

8.5

(Hk,n )−α 8

pk,n = pn K (10) 7.5

−α
i=1 (Hi,n ) 7

6.5
2
where Hk,n = |hk,n | is power gain of user k on the n-th 6 OFDMA
FTPA
subchanne, pn is the power on the n-th subchannel, K is the 5.5 Proposed

number of users on the n-th subchannel, and α(0 ≤ α ≤ 1) 5

20 22 24 26 28 30 32 34 36 38 40
is the decay factor. In simulations, hkn is modeled as hk,n = Maximum Power at the BS (dBm)

gkn d−2
k , where gk,n is the Rayleigh fading coefficient, dk is Fig. 3. Number of users satisfying the minimum rate
the distance between the BS [19]. α = 1, σ 2 = −80 dBm,
Pc = 30 dBm. The users are randomly uniformly distributed
with the BS in [50, 500]m. The number of user is k = 10. maximization problem obtained optimal power allocation at
The number of subcarrier is n = 4. The minimum rate of each 28 dBm.
user is set to be 0.1 bits/s/Hz. Simulation results are averaged Figure 3 shows the number of users satisfying the minimum
by 103 channel realizations. rate versus the maximum power constraint. As the Pmax
Figure 1 show EE obtained by three algorithms versus the increase, the number of the users satisfying the minimum
maximum transmit power Pmax at the BS. It can be seen rate requirement increase as the maximum power constraint
that the EE obtained by the proposed algorithm is better than increases at the BS. However, the FTPA scheme and the
the other two algorithms. The EE of the proposed algorithm OFDMA scheme can not meet all the user’s rate requirement
increases as Pmax increases before it converges to a fixed value when Pmax is less than 26 dBm and 28 dBm, respectively.
at 28 dBm. This is because the proposed algorithm finds the The proposed algorithm can satisfy more than 200% users’
optimal power allocation for EE maximization problem when rate requirement when the maximum power at the BS is 20
the maximum power is 28 dBm. The EE by OFDMA and the dBm.
FTPA increases as Pmax increases from 20 dBm to 30 dBm,
and then decreases as Pmax increases from 30 dBm to 40 dBm. V. C ONCLUSION
This is because both the OFDMA and the FTPA algorithm will In this paper, we study the energy efficiency maximization
allocate all the power to maximize the sum rate of the system. problem in multi-carrier NOMA system. An energy efficient
The EE obtained by the OFDMA and the FTPA algorithm resource allocation algorithm is proposed with two steps,
will have maximum points due to the tradeoff between the which are subchannel matching algorithm for channel allo-
system sum rate and sum consumed power. When the Pmax cation and Dinkelbach algorithm for power allocation. Simu-
is 30 dBm, the EE of the proposed algorithm is 217% and lation results show the effectiveness of the proposed resource
40% more than that of the OFDMA algorithm and the FTPA allocation algorithm comparing with the OFDMA scheme and
algorithm, respectively. FTPA scheme.
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