Performance Enhancement through Optimal Power

Allocation for Downlink PD-NOMA-UFMC in 5G

Networks using Genetic algorithm and MFO
Gopal K Sharma

UIT, RGPV
Vineeta Saxena Nigam
UIT, RGPV
Rakesh K Arya
UIT, RGPV

Research Article

Keywords: 5G, PD-NOMA, UFMC, GA, MFO

Posted Date: May 21st, 2024

DOI: https://doi.org/10.21203/rs.3.rs-4357764/v1

License:   This work is licensed under a Creative Commons Attribution 4.0 International License.
Read Full License

Additional Declarations: No competing interests reported.

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Abstract
With the rise of Fifth generation (5G) communication systems, there's a growing demand for efficient
multiple access techniques capable of handling high data rates and accommodating a large user base.
Power Domain Non-Orthogonal Multiple Access (PD-NOMA) combined with Universal Filtered Multi-
Carrier (UFMC) has emerged as a promising solution to address these needs. This combination aims to
enhance spectral efficiency, capacity, and user fairness in 5G networks by capitalizing on the strengths
of both PD-NOMA and UFMC. Nevertheless, the efficient allocation of power among users poses an
optimization challenge within the confines of a specified power budget to achieve optimal performance
in PD-NOMA-UFMC systems. This paper presents a power optimization methodology for PD-NOMA-
UFMC utilizing intelligent optimization techniques, namely Genetic Algorithm (GA) and Moth Flame
Optimization (MFO) algorithm. The proposed approach aims to maximize the overall system throughput
by dynamically assigning power levels to users based on their individual channel conditions. Simulation
results showcase the effectiveness of the power optimization technique employing GA and MFO in
enhancing the performance of PD-NOMA-UFMC systems in terms of throughput, fairness, and power
efficiency. Additionally, the paper discusses comparative results of optimization using GA and MFO.

1.0 Introduction
In recent times, the landscape of wireless communication systems has witnessed significant expansion,
driven by escalating demands for enhanced data rates, heightened reliability, and seamless connectivity.
Noteworthy emphasis has been placed on pivotal technologies underpinning 5G and Beyond 5G
systems, encompassing small cells, device-centric architectures, beamforming, full-duplex technology,
massive multiple-input multiple-output (MIMO), millimeter (mm), and terahertz (THz) waves, non-
orthogonal multiple access (NOMA), and reconfigurable intelligent surfaces (RIS). Notably, the
bandwidth potential offered by millimeter waves surpasses tenfold the cumulative bandwidth of the
entire 4G cellular spectrum [1].

The advent of 5G communication systems has catalysed an upsurge in demand for efficient multiple
access (MA) techniques capable of sustaining high data rates and accommodating burgeoning user
populations [2]. Across successive generations of mobile communication, MA strategies empower users
to concurrently leverage time and/or spectrum resources while preserving the quality-of-service (QoS)
they receive. These strategies encompass a spectrum of approaches, including frequency-division
multiple access (FDMA), time-division multiple access (TDMA), orthogonal frequency-division multiple
access (OFDMA), code-division multiple access (CDMA), and non-orthogonal multiple access (NOMA),
among others, deployed across different wireless communication epochs to allocate spectra to diverse
users. Figure 1 provides a comparative delineation of distinct MA techniques across varied wireless
generations [2–4].

Orthogonal frequency-division multiplexing (OFDM) has long been the preferred modulation scheme due
to its resilience against frequency-selective fading channels. However, OFDM faces challenges like high

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out-of-band emissions and suboptimal spectral efficiency, particularly in scenarios with numerous users
and limited spectrum availability. To address these challenges, various non-orthogonal multiple access
(NOMA) schemes have been proposed, categorized into power-domain (PD) NOMA and code-domain
(CD) NOMA. Unlike traditional approaches in 3G and 4G cellular networks, NOMA eliminates
orthogonality, enabling multiple users to share frequency and time resources within the same spatial
layer through power or code domain multiplexing. The concept of power-domain NOMA was introduced
by Y. Saito et al [5].

PD-NOMA, a prominent multiple access technique in 5G networks, enables multiple users to utilize the
same radio resource in the power domain. Resource allocation is critical in PD-NOMA, involving the
optimal assignment of available radio resources to users. Various studies have proposed different
resource allocation schemes for PD-NOMA. For example, authors in [5] suggested a joint power and
subcarrier allocation scheme maximizing the sum rate while meeting users' quality of service (QoS)
requirements. Similarly, [6] proposed a user grouping and resource allocation scheme considering both
channel quality and QoS requirements to enhance PD-NOMA performance.

In PD-NOMA, users are segregated based on their power levels, with each user assigned a unique power
level corresponding to their channel quality. Users with superior channel conditions receive lower power
levels, while those with inferior conditions are allocated higher power levels. Various researchers,
including Y. Saito et al. [5], Z. Ding et al. [6], have explored the implementation of power-domain NOMA.
Additionally, the spectral efficiency gains of NOMA have been well established.

Furthermore, recent works have introduced innovative concepts to enhance device connectivity in NOMA
systems. For instance, Z. Yuan et al. [7] proposed methods to increase the number of connected devices,
while Saito et al. [17] demonstrated the applicability of basic NOMA with a Successive Interference
Cancellation (SIC) receiver in the uplink. Linglong Dai et al. [8] compared various NOMA schemes for 5G
and suggested that the number of connected devices could be increased at the expense of receiver
complexity. Hence, NOMA emerges as a promising choice to achieve higher spectral efficiency and
facilitate massive connectivity in 5G networks.

Power Domain Non-Orthogonal Multiple Access (PD-NOMA) emerges as a promising approach for 5G
networks, offering potential improvements in overall system capacity and user quality of service,
especially in densely populated urban areas with high data traffic demands. In the framework of PD-
NOMA, key functions at the transmitter end involve power allocation and superposition coding, while
Successive Interference Cancellation (SIC) plays a crucial role at the receiver end. Let's consider a
scenario of downlink transmission from the Base Station (BS) to two separate users, where d1 and d2
denote the distances of these users from the BS. The BS transmits two distinct messages, x1 and x2,
intended for user 1 (far user) and user 2 (near user) respectively. Power allocation factors α1 and α2
(with α1 + α2 = 1) are assigned to user 1 and user 2, while fading coefficients h1 and h2 characterize the
channel from the BS to each user. To ensure fairness among users, a strategy known as fair power

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allocation (PA), based on channel state information (CSI), was introduced [9–10]. In case of multiple
user, many time, the fair power allocation scheme is not optimum due to dynamics of wireless channels.

After the superposition coding, transmitted NOMA signal by the BS is,

x = √P (√α1 x1 + √α2 x2 )

Where P is the transmitted power received at the user1 is given by

y1 = h1 ∗ x + w1

The received signal at the user2 after propagating through Rayleigh fading channel h2 is given by

y2 = h2 ∗ x + w2

Where w1 and w2 represent white Gaussian noises. The signals y1 and y2 are the received signals. The
message signals are extracted using the SIC, followed by the calculation of the BER. The BER is a
function of signal power and fading through the channel. The scheme of SIC is shown in Fig. 3.

The capacity achieved by SIC for 2 users in PD-NOMA is depends on power assigned and the wireless
channel. For far user the capacity Rf is given by [11]

2
∣
∣hf ∣
∣ P αf
Rf = log (1 +
2 2
) (4)
∣hf ∣ P αn +σ 2

Where P is the total power. Normally higher power (P. αf ) assigned to far user compensate the
attenuation of the wireless channel. For near user the capacity Rn is given by

2
|hn | P αn
Rn = log (1 +
2 2
) (5)
σ

Where, αf and αn are the power allocation coefficient for far and near user respectively. The sum of these
coefficients is 1. Hence the optimum power allocation is essential for faithful communication. In this
paper, PD-UFMC with optimum power allocation is simulated for performance analysis.

2. Universal Filtered Multi-Carrier (UFMC)

Several multicarrier techniques are emerging as strong candidates for 5G waveforms, aiming to improve
spectrum efficiency beyond what OFDM can achieve. The primary design objective for 5G waveforms is
their flexibility and scalability to cater to various applications across diverse and heterogeneous
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domains. A thorough review and analysis of major waveform contenders for 5G, including Generalized
Frequency Division Multiplexing (GFDM), Filter Bank Multicarrier (FBMC), Filtered-OFDM (F-OFDM), and
Universal Filtered Multi-Carrier (UFMC), have been conducted. GFDM and FBMC, leveraging subcarrier
filtering, offer robustness against Inter-Symbol Interference (ISI). However, they require a completely new
transceiver design, lacking backward compatibility with 4G-LTE [12–14]. To address these limitations,
researchers have explored alternative modulation techniques, favouring sub-band filtering over
subcarrier-wise filtering for flexibility. UFMC, employing sub-band filtering where each sub-band covers
consecutive subcarriers, emerges as a promising technique.

UFMC combines the strengths of both OFDM and single-carrier modulation. At the transmitter, a bank of
sub-filters shapes the spectrum and mitigates interference, achieving greater spectral efficiency without
a cyclic prefix (CP) and reducing out-of-band emissions. Additionally, UFMC demonstrates resilience
against frequency-selective fading channels, making it suitable for challenging channel conditions. The
mathematical model governing UFMC encompasses signal representation, sub-filter design, subcarrier
modulation, sub-filtering, channel modelling, receiver processing, subcarrier demodulation, equalization,
and data decoding [15].

A UFMC system with N subcarriers and L sub-filters is examined. The baseband input signal, x(t), is
band-limited with a bandwidth of B and sampled at a rate of fs = N/T, where T is the symbol duration. L
sub-filters shape the spectral response of the transmitted signal, with each sub-filter designed to overlap
frequency responses for desired shaping. Subcarriers, modulated by complex-valued symbols from a
modulation alphabet, are equally spaced in frequency. After modulation, subcarriers are convolved with
corresponding sub-filters, and their outputs are summed to yield the UFMC signal, z(t). At the receiver,
the received signal undergoes matched filtering matched to transmitter sub-filters to compensate for
inter symbol interference (ISI). The demodulated symbols are then equalized to mitigate channel effects
and decoded to recover transmitted data [16–17].

3. Power Domain UFMC

Power Domain Non-Orthogonal Multiple Access (PD-NOMA) emerges as a promising Radio Access
Technique (RAT) for the forthcoming generation of wireless communication systems. It facilitates the
support of multiple users by leveraging frequency domain overloading, while assigning distinct power
allocations from the overall available transmit power pool. Through the formation of user groups
exhibiting significant Signal to Interference Noise Ratio (SINR) disparities, PD-NOMA effectively boosts
spectral efficiency. To further optimize this system, Universal Filtered Multi-Carrier (UFMC), a versatile
OFDM waveform, proves advantageous. UFMC not only offers flexibility but also mitigates the necessity
for stringent synchronization requirements [16].

Expanding upon UFMC, Power Domain UFMC (PD-UFMC) is introduced, wherein subcarriers are
organized into multiple power domains, with each domain assigned a specific power level. This
configuration enables more efficient power allocation, interference management, and overall system

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performance optimization. PD-UFMC possesses the capability to dynamically allocate power to different
domains based on channel conditions, user requirements, and quality-of-service (QoS) constraints,
thereby enhancing adaptability and resource utilization [18].

The power spectral density PD-NOMA system with K users sharing the same time-frequency resource
block. The users are indexed from k = 1 to K. The available power is divided into J power domains,
denoted as P1, P2, ..., PJ, where J ≤ K. Each power domain represents a portion of the total available
power.

The channel between the transmitter and each user is represented by hk, which is the channel coefficient
for user k. The channel coefficients can be complex-valued, representing both magnitude and phase of
the channel gain. The power allocation in PD-NOMA involves assigning power levels to each user within
the available power domains. Let pk represent the power allocated to user k, where pk∈ {P1, P2, ..., PJ}.
The power allocation is subject to power constraints and user-specific quality-of-service (QoS)
requirements. The power spectrum for two users is shown in Fig. 5.

The receiver plays a crucial role in PD-NOMA systems by executing detection and decoding tasks to
recover transmitted symbols from all users. Several detection techniques, including successive
interference cancellation (SIC), maximum likelihood (ML) detection, or minimum mean square error
(MMSE) detection, can be employed. Decoding involves making decisions based on the detected
information regarding the received symbols.

In PD-NOMA, effective interference management is essential for successful signal decoding from
different users. Techniques such as SIC are utilized to mitigate interference from signals detected from
users with higher power levels, thereby aiding in detecting signals from users with lower power levels.
Both power allocation and decoding processes must consider the Quality of Service (QoS) requirements
of users. QoS metrics, such as signal-to-interference-plus-noise ratio (SINR), error rate, and throughput,
play a vital role in evaluating the service quality delivered to each user. The power allocation scheme
should aim to optimize overall system throughput while fulfilling the QoS needs of individual users.
Efficient power allocation is critical to unleashing the full potential of PD-NOMA and maximizing system
throughput. This paper tackles the power optimization challenge in PD-NOMA systems by leveraging
Genetic Algorithm (GA) and Moth Flame Optimization (MFO) algorithm.

4. Proposed scheme for power optimization for PD-NOMA using GA

and MFO
This section presents the power optimization framework for PD-NOMA using the GA and MFO algorithm.
A mathematical model for the objective function in power optimization for power-domain non-
orthogonal multiple access (PDNOMA), we need to consider the specific optimization goals and
constraints of the PDNOMA system. The objective function typically aims to minimize BER.

N: Total number of users in the PDNOMA system

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Pei: BER of user i, where i = 1, 2, ...., N

hi: Channel gain of user i

wi: Weighting factor for user i.

Now, it can formulate the objective function for power optimization in PD-NOMA as follows:

N
Minimize: ∑i=1 wi ∗ P ei

4.1 GA based Optimization

Genetic Algorithms (GAs) represent a category of evolutionary algorithms inspired by natural selection
processes. They find extensive application in optimization scenarios characterized by large and intricate
search spaces. GAs operate on a population of potential solutions, employing genetic operators such as
selection, crossover, and mutation to iteratively generate new solution generations [19–20]. Optimizing
Power Domain Non-Orthogonal Multiple Access (PD-NOMA) through Genetic Algorithms (GA) stands as
a crucial endeavor for future wireless communication systems. PD-NOMA facilitates multiple users to
share the same time-frequency resources within a wireless communication setup by allocating them to
distinct power domains. Given the complexity of optimization tasks, particularly in power allocation for
PD-NOMA, GA algorithms prove adept at tackling such challenges. The paper addresses a specific
instance involving two users, which can be extrapolated to encompass multi-user scenarios as well.4.2
Moth Flame Optimization (MFO) based Optimization

The Moth Flame Optimization (MFO) algorithm emerges as a metaheuristic optimization approach
tailored for power allocation tasks within PD-NOMA systems. The paper elucidates the fundamental
principles and procedural steps of the MFO algorithm, encompassing initialization, reproduction,
attraction, and exploration phases. Leveraging the behavior of moths in search of optimal solutions, MFO
is adept at addressing intricate optimization challenges, notably power allocation in PD-NOMA [21–22].
In contrast to Genetic Algorithms (GA), MFO demonstrates superior convergence rates. Consequently,
the paper provides a comparative analysis between the two methodologies, shedding light on their
respective efficacies in the context of PD-NOMA power allocation.5.0 Performance Evaluation and
Comparisons

The simulation environment has been developed to evaluate the BER performance of the PD-NOMA
system. The simulation parameters for evaluating the power optimization by GA and MFO are given in
Table 1:

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 Table 1
Simulation Parameters
Parameters Value

Modulation QAM16

Channel Coding Convolution code, rate = 1/2

FFT Size 512

Subband Size 20

Number of subband 10

Filter type Dolph-Chebyshev window

Filter length 43

side-lobe attenuation, dB 40

No. of Users 2

SNR range 0 to 35 dB

Wireless Channel Rayleigh Channel

Method for interference c cancellation SIC

The performance analysis has been performed by GA and MFO separately the results of optimization
and their comparison are given ahead.

GA based optimization:

The performance of the proposed GA-based power optimization technique for PD-NOMA is evaluated
through simulations. The parameters of GA are as follows,

No. of Generation: 25
Population Size: 15
Elite count :2

The convergence of the optimization has been achieved within 12 iterations. The conversion curve
showing the best fitness value is given in the Fig. 6

The normalized power spectrum of near and far user with GA based optimization is shown in the Fig. 7.

The bit error rate for different SNR value for 16-QAM has been evaluated and shown in the Fig. 8. The
performance of the near user and far user are optimized with equal weight. w1 and w2 are considered
0.5 for optimization.

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The performance of the near user is better than the far user which is obvious in case of the large
difference between the distance of far user from base station as compared to the near user.

MFO base optimization:

The performance of the proposed MFO-based power optimization technique for PD-NOMA is evaluated
through simulations. The parameters of MFO are as follows,

No. of Iteration: 40
Population Size: 15
Constant for defining the shape of the logarithmic spiral (b) :1

The Convergence Curve showing the stable fitness value after iteration number 24 and considered the
best optimum value of the normalized power for near and far user. The power spectrum of the users with
this optimization is shown in Fig. 7.

Similar to the GA based optimization, the bit error rate for different SNR value for 16-QAM has been
evaluated and shown in the Fig. 10. In this case also, w1 and w2 are considered 0.5 for optimization.

The paper compares the results with power allocation schemes using GA and MFO based power
allocation. The performance metrics include system BER, and power efficiency. The simulation results
demonstrate the superiority of the MFO-based approach in achieving higher throughput, improved
fairness among users, and efficient power utilization.

Table 2
Comparative result of GA and MFO based optimization
S. No. Optimization with GA Optimization with MFO

Power to NEAR user 0.1949 0.199

Power to FAR user 0.8051 0.801

Fitness Value 0.01138 0.0117

Number of iteration for convergence 12 24

SNR at BER 0.01 for near user 7 dB 6 dB

SNR at BER 0.01 for FAR user 14 dB 11 dB

Conclusions
Performance evaluations of UFMC for 5G are conducted through simulations and comparisons with
other modulation techniques. The evaluations focus on key performance metrics such as spectral
efficiency, error rates, and robustness to interference. The results demonstrate the superior performance
of UFMC in various scenarios, including high-mobility environments, dense networks, and multi-user
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scenarios. Comparative studies with OFDM and other modulation schemes highlight the advantages of
UFMC in terms of spectral efficiency, interference resilience, and overall system capacity. To assess the
performance of PD-UFMC, extensive simulations and comparisons with existing modulation schemes
are conducted. The evaluations focus on key performance metrics such as spectral efficiency, error
rates, and energy efficiency. The results demonstrate the superiority of PD-UFMC over conventional
OFDM and UFMC in scenarios with various channel conditions and interference levels. Furthermore,
comparisons with other advanced modulation schemes, such as non-orthogonal multiple access
(NOMA)

Declarations
Author Contribution
All co-authors reviewed the manuscript and provide valuable inputs for implemetation of simulation
codes .

Data Availability
Data is provided within the manuscript .

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Figures

Figure 1

Multiple accesses techniques in different wireless generations

Figure 2

Scheme of PDNOMA system

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Figure 3

SIC scheme for PDNOMA

Figure 4

Scheme of Power domain UFMC

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Figure 5

Power spectral density of two users for Power domain UFMC

Figure 6

Convergence Curve of GA based power allocation

Figure 7

Power spectral density with GA based power allocation

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Figure 8

BER performance of PDNOMA with GA based power allocation

Figure 9

Convergence Curve of MFO based power optimization.

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Figure 10

Power spectral density with GA based power allocation

Figure 11

BER performance of PDNOMA with GA based power allocation

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