COMMUNICATIONS THEORIES & SYSTEMS
Antenna Selection and Power Allocation Design for
5G Massive MIMO Uplink Networks
Hongyuan Gao1,*, Yumeng Su1, Shibo Zhang1, Ming Diao1
1
College of Information and Communication Engineering, Harbin Engineering University, Harbin 150001, China
* The corresponding author, email: gaohongyuan@hrbeu.edu.cn
Abstract: Massive MIMO is one of the key
technologies in future 5G communications
which can satisfy the requirement of high
speed and large capacity. This paper considers
antenna selection and power allocation design
to promote energy conservation then provide
good quality of service (QoS) for the whole
massive MIMO uplink network. Unlike pre-
vious related works, hardware impairment,
transmission efficiency, and energy consump-
tion at the circuit and antennas are involved in
massive MIMO networks. In order to ensure
the QoS, we consider the minimum rate con-
straint for each user and the system, which
increases the complexity of power allocation
problem for maximizing energy and spectral
efficiency in massive MIMO system. To this
end, a quantum-inspired social emotional op-
timization (QSEO) algorithm is proposed to
obtain the optimal power control strategy in
massive MIMO uplink networks. Simulation
results assess the great advantages of QSEO
which previous strategies do not have.
Keywords: 5G; massive MIMO; antenna se-
lection; power allocation; quantum-inspired
social emotional optimization
I. INTRODUCTION
With the increasing demands of high-speed
communication and rapid development of
China Communications • April 2019
wireless networks, the carbon emissions and
operating costs caused by wireless commu-
nication are increasing day by day [1]. Now-
adays, promoting energy conservation then
building intensive community has become a
heated research topic [2-4]. Therefore, careful
planning and deployment of the base station
(BS) infrastructure is necessary to decrease
the energy consumption in line with green
objectives [5-7]. As a key technology of 5G
communication system, massive MIMO has
received substantial attention in both academic
and industry domain since 2010 [8-12]. Com-
pared to traditional communication networks,
massive MIMO has great advantages of higher
data rate, larger capacity, lower latency and
greater throughput [13].
Large number of antennas at the base sta-
tion is the major characteristic of massive
MIMO compared with conventional MIMO
technology [14]. The promising technology
has been studied in many aspects [15-22].
Distributed MIMO has been illustrated to be
capable of significantly increasing the sys-
tem capacity [15]. In [16], the author studied
the sum rate in different signal-to-noise ratio
(SNR) conditions and illustrated how dense
multiple antenna arrays can be designed in
massive MIMO system. In [17], a coordination
Received: Apr. 19,2018
approach was proposed to reduce the negative
Revised: Aug. 23, 2018
influence of pilot contamination on channel es- Editor: Da Chen
1
 timation. Importantly, the author demonstrated
A quantum-inspired that the effect of pilot contamination can be
social emotional op- completely vanished under certain conditions
timization (QSEO) on the channel covariance. To reduce the com-
algorithm is proposed
putational complexity of channel estimation,
to obtain the optimal
power control strategy
[18] decomposed the space of the received
in massive MIMO up- signals into three subspaces according to fac-
link networks. tor analysis, and an interference-free subspace
was created to obtain accurate channel esti-
mation. In [19], a joint pilot design and power
allocation strategy was considered to mitigate
pilot contamination and provide good service
in multi-cell massive MIMO system, which
can be used as a benchmark for pilot design
in ideal or non-ideal hardware scenarios. Due
to the high hardware complexity, linear pro-
cessing methods are widely used in massive
MIMO system [20]. In [21], a low-complexity
hybrid precoding method named phased-ZF
(PZF) was proposed to approach the perfor-
mance of the optimal linear precoding scheme
in massive MIMO systems. In [22], two inter-
ference-suppressed precoding methods were
proposed and significantly suppressed the
mutual interference between the users with
statistical and imperfect instantaneous channel
state information (CSI). Pilot-based channel
estimation can be avoided by utilizing statisti-
cal CSI.
With the dramatic increase of antenna quan-
tity, antenna selection is an effective technique
to decrease the operating cost and the number
of radio frequency chains in massive MIMO
networks. It’s impractical to obtain the opti-
mal antenna selection by exhaustive search
because of the high computational complexity.
Some researches on suboptimal antenna se-
lection methods are emerged in recent years
[23-25]. In [23], a successive removal strategy
for antenna selection was proposed. The suc-
cessive elimination strategy was performed
according to the received channel coefficients
from the previous users. Considering the trade-
off between the performance and computation-
al complexity, a mixed-integer programming
approach was proposed to jointly optimize
antenna selection and precoding scheme [24].
In order to maximize the channel capacity, the
2 China Communications • April 2019
author of [25] proposed an antenna selection
strategy based on the theory of rectangular
maximum volume submatrices. However, this
strategy is invalid if a square matrix with max-
imum-volume is not given.
Due to the growing demand of environ-
mental protection, energy efficiency (EE) and
spectral efficiency (SE) have become two
important concerns in massive MIMO net-
works [26-28]. Power allocation is an essential
technique to enhance the system performance
and promote energy conservation. To further
exploit the benefits of power allocation, more
and more works have been proposed for pow-
er allocation in massive MIMO networks [29-
32]. For maximizing the achievable uplink
rate in multi-cell massive MIMO systems, a
pilot power allocation strategy was proposed
in [29]. Considering pilot allocation, hardware
impairments and other system parameters, the
resource allocation problem for maximizing
SE in multi-cell massive MIMO system was
discussed in [30]. In [31], an approximate
power allocation scheme for maximizing EE
was proposed in massive MIMO networks.
The author considered power amplifier effi-
ciency, transmission power and circuit pow-
er. To ensure the QoS of the whole massive
MIMO system, minimum rate constraint of
the system was considered in [32]. The paper
developed a unified framework for EE op-
timization and proposed a power allocation
method based on fractional programming the-
ory. However, all schemes mentioned above
could not guarantee the QoS for each user and
the system simultaneously. Especially in more
complex conditions, it’s hard for mathematical
approximation to obtain the optimal solution.
1.1 Motivation and contributions
In this paper, we propose an effective anten-
na selection and power allocation strategy to
optimize the EE and SE in massive MIMO
uplink networks. To reduce the computation
complexity and satisfy the changing require-
ments of the practical system in real time, an
effective antenna selection strategy is designed
to select a group of antennas from the avail-
able ones at the BS. For promoting energy
conservation, we assume that the unselected
antennas do not consume any energy. Besides,
hardware impairment, transmission efficien-
cy, energy consumed at active antennas and
circuit energy consumption are considered in
massive MIMO system. Different from former
articles, minimum rate constraints of each
user and the system are satisfied to guarantee
the QoS for each user and the whole system,
which highly increase the complexity of the
power allocation problem. A quantum-inspired
social emotional optimization (QSEO) algo-
rithm is designed to obtain the optimal power
allocation result in massive MIMO uplink
networks. The main contributions of this paper
are summarized as follows:
• An effective antenna selection strategy is
proposed to reduce the radio frequency
chains and promote energy conservation in
massive MIMO uplink networks. The num-
ber of selected antennas varies according
to the variation of system requirements in
real time. Larger amount of antennas are
selected when higher transmission rate is
required in practical system.
• Exact expressions for EE and SE are giv-
en considering the hardware impairment,
transmission efficiency, circuit power con-
sumption and power consumed by active
antennas in massive MIMO networks. To
optimize the EE and SE while guarantee the
QoS in massive MIMO uplink networks,
minimum rate constraints of each user and
the system are considered in this paper.
• A quantum-inspired social emotional op-
timization (QSEO) algorithm is proposed
to solve the multi-constrained non-con-
vex power allocation problem in massive
MIMO uplink networks. Two different
quantum evolution rules are designed to
improve the diversity of solutions and
guarantee the strong searching ability of
the algorithm. The interactions among the
quantum individuals are fully utilized to
obtain the optimal solution of the feasible
region, which avoids the local convergence
compared with traditional SEO algorithm.
China Communications • April 2019
Through the simulation results, QSEO has
the advantages which previous strategies do
not have.
• QSEO combines the advantages of both
quantum evolution and social emotional
optimization algorithm, with the strong
searching ability and fast convergence. Be-
sides, the QSEO algorithm proposed in this
paper can not only be used to obtain the
optimal power allocation strategy in mas-
sive MIMO uplink networks, it’s a general
algorithm which can also be widely used
to solve continuous, discrete and hybrid
optimization problems in many engineering
domains.
1.2 Organization and notation
Other sections of this paper are organized as
follows. The model of the massive MIMO
uplink network is shown in the next section.
In Section III, we propose an effective antenna
selection strategy and derive exact expressions
of EE and SE considering the hardware im-
pairment of the BS. Power allocation strategy
based on QSEO for maximizing EE and SE
are proposed in Section IV. The simulation
results are given in Section V and the last sec-
tion concludes this paper.
Notation: In this paper, matrix and vector
are denoted by boldface upper and lower case
symbols. Superscripts (.)T and (.) H represent
the transpose and conjugate transpose, respec-
tively. || . || and | . | denote the Euclidean norm
of a vector and a scalar, respectively. diag(b)
represents the diagonal matrix with the ele-
ments of vector b on its main diagonal, and
E{.} represents the expectation.
II. SYSTEM MODEL
In this paper, a single-cell multiuser massive
MIMO system is considered. One base station
equipped with M antennas and K users with
single antenna constitute the system. B is the
bandwidth of the system. To promote energy
conservation, there is not necessary to utilize
all the antennas at the BS during the period of
3
 data transmission. According to the require-
ments of practical system, we select a part of
antennas to participate in communication. The
antenna selection strategy is discussed in the
following section. Assuming that M s antennas
are selected at the BS, M s ≤ M . In massive
MIMO uplink system, the CSI matrix from the
users to the BS can be expressed by
G = HD,(1)
w h e r e G i s a n Ms × K m a t r i x a n d
G = [ g1 , g2 ,..., g K ], gk denotes the CSI between
the k th (k = 1, 2,..., K ) user and the BS. H is
the small-scale fading matrix with the size of
M s × K, while D = diag( β1 , β 2 ,..., β K ) is
the large-scale fading matrix with the size of
K × K. β k represents the shadow and geomet-
ric fading between the k th user and the BS,
which is shown by the following formula
z BS takes the following general form [32]:
β k = k v ,(2)
 rk 
 
 r0 
with
α k =| gkH gk |2 ,(5)
σ k2 = gkH gk σ 2 ,(6)
ωk , j =| gkH g j |2 ,(7)
where α k and ωk , j are positive quantities de-
pend on transmission channels, σ 2 denotes the
noise power. In particular, α k is only related
to the CSI of user k, while the interference
coefficient ωk , j depends on the CSI from other
users to the base station.
Hardware impairment is inevitable in prac-
tical massive MIMO system. The degree of
the reduction for the desired signals causing
by the hardware impairment is 1− ε 2, where
ε represents the magnitude of error. For sim-
plicity, we assume that the BS is hardware-im-
paired, and ε BS denotes the impairment mag-
nitude. The SINR experienced by user k at the
(1 − ε BS
2
) pk α k
γk = K
,(8)
σ k + pk φk + ∑ p j wk , j
2

where rk is the distance from user k to the BS, j =1

j≠k

r0 denotes the radius of the BS, v represents with

the path loss exponent, and zk is a log-normal
distributed variable with zero mean and stan-
dard deviation.
During the data transmission phase, each
user transmits its signal to the BS while inter-
fering with other users. The signal received at
the BS is given by
K between the user j and the m th antenna of the
y =pk gk sk + ∑ p j g j s j + n ,(3)
j =1
j≠k
where pk and p j denote the transmission power
of user k and user j (j = 1,..., K, j ≠ k). sk and s j
denote the signal vector of user k and user j,
which satisfy E{|| sk ||2 } = 1 and E{|| s j ||2 } = 1,
respectively. n represents the additive white
Gaussian noise vector.
φk = ε BS2
gkH Dk gk ,(9)
wk , j | gkH g j |2 +ε BS
= 2
gkH D j gk ,(10)
w h e r e Dk = diag ({| g m , k |2 }mM=s 1 ) , g m , k d e -
notes the CSI between the user k and
the m th antenna of the BS. Similarly,
D j = diag ({| g m , j |2 }mM=s 1 ), g m , j denotes the CSI
BS. α k and σ k2 are the same form as in (5) and
(6).
The data transmission rate of user k is given
by
= Rk B log 2 (1 + γ k ).(11)
Then, the achievable rate of the massive
MIMO uplink system can be expressed as
K K

In the case of all CSI can be obtained and

=R
=
k
k 1=
∑
= R ∑ B log
k 1
2 (1 + γ k ).(12)

maximum ratio combining (MRC) is used for

signal processing at the BS, the signal-to-inter- III. OPTIMIZATION FUNCTIONS IN
ference-plus- noise ratio (SINR) experienced MASSIVE MIMO UPLINK NETWORKS
by user k at the BS is shown as
pk α k In this section, we first propose an effective
γk = K
,(4)
σ + ∑ p j ωk , j
2
k
antenna selection strategy. Then, we derive
j =1
j≠k

4 China Communications • April 2019

exact expressions of SE and EE which are two
major concerns in massive MIMO system.
Considering the impact of various parameters,
these expressions provide practical design in-
sights on practical massive MIMO system.
Algorithm 1. Steps of antenna selection strategy.
1 Input:
2 GM × K = [ g1 , g2 ,..., g K ] // CSI matrix;
3 M // the number of available transmission antennas;
4 ξ // antenna selection coefficient;

3.1 Antenna selection 5 Initialize:

6 num = 1 // the first iteration;
According to the requirements of massive 7 A = Φ // the set of selected antennas;
MIMO system during the period of data trans- 8 Obtain M s by (13);
mission in real time, we select M s(M s ≤ M) 9 Calculate the achievable sum-rate from the users to each available antenna by
antennas out of the available M ones at the (12);
10 while num ≤ M s do
BS. The specific expression of the relationship
between M s and M is shown by 11 Select the best one which a higher sum-rate can be obtained from M antennas;
12 Add the selected antenna to the set of A;
M= s ξ ⋅ M  ,(13) 13 M= M −1;
where . denotes the ceiling function, ξ de- 14 num
= num +1;
notes the antenna selection coefficient which 15 end while
is related to the needs of the practical system. 16 Output: The set of selected antennas A.

Assuming that the CSI for all antennas is 

obtained at the BS, the optimal solution for
antenna selection can be obtained according
to the exhaustive search under a given per-
formance metric. However, with the large
amount of antennas in practical system, huge
computational cost is inevitable by exhaustive
search. It is necessary to design a new strategy
since the existing solutions cannot match the
practical system in real time. For this reason,
an effective antenna selection strategy to re-
duce the calculation complexity is proposed.
At the stage of antenna selection, we as-
sume that all users have the same transmission
power and the antennas at the BS are inde-
pendent of each other. Then, we calculate the
achievable rate from the users to each antenna
by (12). Antennas which provide higher sum-
rate are selected at the BS.
Rk
ϕ=
k = log 2 (1 + γ k ).(14)
B
For user k, the following power constraint
must be satisfied
pk ≤ pkmax ,(15)
where pkmax denotes the maximum transmission
power of the user k. To ensure the commu-
nication quality of each user, the minimum
achievable rate of each user should be satis-
fied, which is shown by
B log 2 (1 + γ k ) ≥ Rkmin ,(16)
where Rkmin is the minimum achievable rate of
user k.
In order to ensure the quality of service
(QoS) for the massive MIMO system, the fol-
lowing expression needs to be satisfied
K

The basic idea of the antenna selection ∑ B log 2 (1 + γ k ) ≥ Rmin ,(17)

k =1
strategy in this paper is to select the best M s
where Rmin represents the minimum achievable
antennas which afford the highest transmission
rate of the system.
rate. The steps of the antenna selection strate-
The total SE (in bit/s/Hz) of the system is
gy are summarized in Algorithm 1.
given as follows
3.2 Spectral efficiency
K
=ϕ ∑ log
k =1
2 (1 + γ k ).(18)
According to the expression of transmission
According to (15), (16) and (17), we de-
rate for user k in (11), the achievable SE (in
fine P as the feasible set of power allocation
bit/s/ Hz) ϕ k for user k is defined by
results, and p = [ p1 , p2 ,..., pK ] represents one

China Communications • April 2019 5

 feasible power allocation result of P. Accord- networks. However, the maximization of
ing to the settings mentioned above, the prob- SE and EE are two competing goals in mas-
lem of SE maximization can be denoted as sive MIMO system. Both (19) and (22) are
K
non-convex and complicated optimization
ϕ ∗ max
= = ϕ max ∑ log 2 (1 + γ k ).(19)
p∈P p∈P
k =1 problems. To tackle the tough problem, an
efficient power control strategy is proposed in
3.3 Energy efficiency the next section.
The network EE (in bit/J) is related to the
sum-rate and the power consumed in the sys- IV. POWER CONTROL STRATEGY IN
tem, which is defined by the following formu- MASSIVE MIMO UPLINK NETWORKS
la
K
As is shown above, the aim of the problems
∑ B log 2 (1 + γ k )
mentioned ahead is to find the optimal power
ψ = k =1
,(20)
PΣ control strategies for maximizing SE and EE
where P∑ represents the total consumption of in massive MIMO networks. Unfortunately,
energy. The circuit power consumption always the feasible region is difficult to determine.
exists in practical massive MIMO networks. Especially in (22), the objective function does
Then we consider the power consumed at the not have a concave numerator, and it’s difficult
users and the BS respectively. For the perspec- to find the optimal solution with affordable
tive of users, the power consumption is larger complexity. Since the multi-constrains nonlin-
than total transmission power of each user ear optimization problem is difficult to resolve,
since the transmission efficiency cannot reach the existing power allocation method based
100%. Active antennas at the BS also consume on fractional programming is hard to find the
energy to ensure their works for receiving and optimal solution, and the traditional intelligent
processing signals from the users. Thus, the algorithms cannot be simply applied to the
total consumed power is given by problem because of local convergence. In this
Ms section, a quantum-inspired social emotional
K
1 K
PΣ = ∑ pc , m + ∑ pc , k + ∑ pk ,(21) optimization (QSEO) algorithm is proposed
=m 1=k 1 η =k 1
to solve the power allocation problems men-
where pc , m denotes the power consumed at the
tioned before.
m th antenna, pc , k denotes the circuit power
dissipated from user k to the BS, and η rep- 4.1 Quantum-inspired social
resents the transmission efficiency. emotional optimization algorithm
The feasible set of power allocation results QSEO is a discrete optimization algorithm
P is the same as in 3.2 according to the con- which is inspired from the social emotional
straints in (15), (16) and (17). The problem of optimization (SEO) algorithm [33] and the
EE maximization can be formulated as follows thought of quantum intelligence computation
K
[34]. In the L-dimensional space (L represents
∑ B log 2 (1 + γ k )
the number of dimensions for the optimization
ψ
= =*
max ψ max Ms
k =1
.
p∈P p∈P K
1 K
problem), there are N quantum individuals
=m 1=k 1
∑ pc,m + ∑ pc,k +
η =k 1
∑ pk in quantum population of QSEO. The n th
(22) (n = 1, 2,..., N) quantum individual of the t th
SE and EE are two major concerns in the iteration is defined as
performance of practical massive MIMO sys- α nt ,1 , α nt ,2 ,..., α nt , L 
t
tem. In particular, ϕ in (18) denotes a variable x = t n  ,(23)
 β n ,1 , β n ,2 ,..., β n , L 
t t

in proportion to the sum-rate while ψ in (20)

w h e r e | α nt ,l |2 + | β nt,l |2 = 1 , l = 1, 2,..., L .
is the benefit-cost in massive MIMO uplink
We define 0 ≤ α nt ,l ≤ 1 and 0 ≤ β nt,l ≤ 1 , so

6 China Communications • April 2019

 β nt= 1 − (α nt ,l ) 2 . Then, xnt can be simplified as  1 − ( xt )2 θ nt ,+l1 = 0 and ρ nt +,l1 ≤ κ1
,l
t +1 n ,l
x =
n ,l
=xnt [α
= n ,1 , α n ,2 ,..., α n , L ]
t t t
[ xnt ,1 , xnt ,2 ,..., xnt , L ], | xnt ,l ⋅ cos θ nt ,+l1 − 1 − ( xnt ,l ) 2 ⋅ sin θ nt ,+l1 | else,
(24)
(27)
where l = 1, 2,..., L and 0 ≤ xnt ,l ≤ 1 . Each xnt ,l
where θ nt ,+1l denotes the l th quantum rotation
denotes a quantum bit. The measurement state
angle of the n th quantum individual; c1, c2,
xnt = [ xnt ,1 , xnt ,2 ,..., xnt , L ] of the n th quantum indi-
and c3 are three constants which represent im-
vidual is gotten by the following rules, which
pact factors of the global optimal solution of
is shown by
the quantum population, the historical optimal
1, λ t > ( xnt ,l ) 2 solution of the n th quantum individual, and
xnt ,l =  nt,l ,(25)
0, λn ,l ≤ ( xn ,l )
t 2
the worst solution set to the quantum individ-
where λnt .l is a random number evenly distrib- ual n, respectively. κ1 denotes the mutation
uted between 0 and 1. probability and ρ nt +,l1 is a random variable even-
The social evaluations of all quantum indi- ly distributed between 0 and 1.
viduals are calculated by the function of spe- In particular, for the first iteration, the emo-
cific problem. The historical optimal solution tional index of any quantum individual n is
of the n th quantum individual is expressed by set to 1. Each quantum individual obeys the
µnt = [ µnt ,1 , µnt ,2 ,..., µnt , L ]. For the first iteration, following updating process
N′
the historical optimal solution of each quantum
c3 ⋅ ∑ (ϖ nt ′,l − xnt ,l ),(28)
ϑnt ,+1l =
individual is initialized as its measurement state. n ′=1

The quantum individual who gets the highest where ϑnt ,+1l denotes the l th quantum rotation
social evaluation is denoted as the global optimal angle of the n th quantum individual. The ele-
solution ugt = [u gt ,1 , u gt ,2 ,..., u gt , L ] among t itera- ments of the quantum individuals are updated
tions. We define ϖ t as the set of the worst quan- by (27), and the corresponding measurement
tum individuals which consists of N ′ (N ′ ≤ N) states of the quantum individuals are up-
quantum individuals with the lowest social dated by (25). Then, we calculate the social
evaluations, where ϖ nt ′ = [ϖ nt ′,1 ,ϖ nt ′,2 ,...,ϖ nt ′, L ] evaluations of all quantum individuals under
represents the measurement state of the n′th the same function of the problem mentioned
(n′ = 1, 2,..., N ′) quantum individual. ahead. To make it easy, the emotional index
Each quantum individual has different emo- and the historical optimal solution of each
tions which greatly affect the process of evo- quantum individual are updated by the follow-
lution. The emotional index of quantum indi- ing
vidual n is a variable between 0 and 1, which 1 f ( xnt +1 ) > f ( µ nt )

is denoted by ent. e1 and e2 are two emotional +1
ent= t t +1 t
en − ∆e f ( xn ) ≤ f ( xn ) (29)
thresholds of three different emotions, that is,  t
en else,
upset, calm and enthusiastic. Assuming that
 x t +1 f ( xnt +1 ) > f ( µ nt )
e1 < e2, the process of updating the quantum µnt+1 =  nt (30)
 µ n f ( xn ) ≤ f ( µ n ),
t +1 t
individual n according to different emotions
can be expressed as follows where f (.) denotes the social evaluation
c1 ⋅ (u gt ,l − xnt ,l ) ent < e1 function, ∆e denotes the reducing index of
 emotion. Especially, when ent+1 < 0, we define
c1 ⋅ (u g ,l − xn ,l ) + c2 ⋅ ( µn ,l − xn ,l )
t t t t

 N′ ent+1 = 0. Then, we update the worst solution set

θ nt ,+1l = +c ⋅ (ϖ t − x t )
3 ∑ e1 ≤ ent < e2
 n ′ =1
n′,l n ,l
and the global optimal solution of the quan-
 N′
c2 ⋅ ( µ nt ,l − xnt ,l ) + c3 ⋅ ∑ (ϖ nt ′,l − xnt ,l ) ent ≥ e2 , tum population. The measurement state of
 n ′=1 the quantum individual who gets the highest
(26) social evaluation value in history is selected as

China Communications • April 2019 7

 the global optimal solution among all previous social evaluations of the new quantum indi-
iterations. viduals with the computational complexity of
The process of iteration ends until the algo- O( N ). The historical optimal solutions, the
rithm achieves the terminal condition (usually emotional indexes of all quantum individuals,
depend on the predetermined number of itera- the worst solution set and the global optimal
tion). solution of the quantum population are up-
dated according to the social evaluations after
4.2 Computational complexity of
each iteration. The computational complexity
the QSEO algorithm
is O(4 N ).
As described in 4.1, the QSEO algorithm For the termination of the QSEO algorithm
needs to update the quantum rotation angles after running t iterations, the computational
in all dimensions of all quantum individuals complexity is O(t (5 N + 3 NL)).
at each iteration, which has a computational
complexity of O( NL), where N is the popula- 4.3 Power allocation strategy based
tion size and L is the maximum dimensional on QSEO
number. The quantum individuals are updated In this subsection, we consider the implemen-
by the quantum rotation angles and the mea- tation of power allocation strategy based on
surement states can be obtained by (25), with QSEO in massive MIMO uplink networks.
the computational complexity of O (2 NL ). In order to solve the non-convex continuous
After the updating process, we calculate the optimization problem, we encode the esti-
mated power of the each user by L binary
bits. Hence, the dimension of each quantum
Algorithm 2. Power control strategy for SE and EE maximization. individual is L= K × L . At the stage of ini-
1 Input system parameters proposed in Section II and Section III; tialization, the measurement state of the n th
2 t = 1 // the first iteration; quantum individual xnt = [ xnt ,1 , xnt ,2 ,..., xnt , K × L ] is
3 Initialize parameters of QSEO, quantum population, measurement states of
obtained by (25). Since the transmission pow-
quantum individuals and historical optimal solutions µ1t , µ 2t ,..., µ Nt ;
er of the each user is encoded by L binary bits,
4 Obtain the power allocation strategy of each quantum individual according to the
the power allocation result can be obtained by
mapping rules in (31);
5 Calculate the social evaluations // select (19) or (22) for SE or EE maximization,
the following formula
respectively;  kL 2( kL −l ) xnt ,l  max
pnt , k =  ∑  p ,(31)
6 Obtain the global optimal solution ugt and the set of worst solutions ϖ t of the  l =( k −1) L +1 2 L − 1  k
 
quantum population; max
where k = 1, 2,..., K, pk denotes the maximum
7 while t ≤ maximum number of iterations
transmission power of user k, and pnt , k denotes
8 if t = 1
9 Update all quantum individuals by (28) and (27) the n th feasible power allocation result of
10 else user k. The corresponding power allocation
11 Update the quantum individuals with different emotions by (26) and (27) result of quantum individual n is denoted by
12 end if pnt = [ pnt ,1 , pnt ,2 ,..., pnt , K ].
13 Obtain measurement state of each quantum individual;
For the power allocation strategy based on
14 Obtain power allocation result of each quantum individual by (31);
QSEO, (19) and (22) are considered as the
15 Calculate the social evaluations of the new quantum individuals;
16 Update the worst solution set, the global optimal solution of the quantum social evaluation functions to optimize SE and
population, historical optimal solutions and the emotional index for any n; EE, respectively. The implementation steps of
17 t = t +1; the power control strategy based on QSEO for
18 end while SE and EE maximization are summarized in
19 Obtain the optimal power allocation result according to the global optimal Algorithm 2.
solution of the quantum population;
20 Output: The optimal power allocation result.


8 China Communications • April 2019

V. SIMULATION RESULTS
In this section, the simulation results of dif-
ferent communication scenarios are given to
examine the capability of the power control
strategy based on QSEO. To this end, we study
two major concerns in massive MIMO net-
works, namely, energy efficiency and spectral
efficiency.
5.1 System parameters
We consider the hardware-impaired single-cell
multiuser massive MIMO uplink network
as depicted in Section II, where K = 3 and
M = 125. Under the assumption of perfect
CSI, MRC is adopted for data recovery. We
assume that only the BS is hardware-impaired
and ε BS represents the degree of impairment.
M s antennas are selected at the BS, and the
antenna selection coefficient ξ varies ac-
cording to the requirements of the practical
system. The power of Gaussian white noise is
σ 2 = FBN 0. Without loss of generality, assum-
ing that the location of the BS is (0,0)m, the
users are distributed in three circles where the
centers are located at (125,200)m, (320,0)m,
(253,103)m with the radius of 2m, 2m, 5m, re-
spectively. The parameters in massive MIMO
uplink system are shown in table 1.
5.2 Energy efficiency
To make it easy, assuming each antenna con-
sumes the same energy pc=,m pc ∀m in data
processing. All users have the same maximum
max
transmission power p= k pmax ∀k, the same
circuit power pc=
,k pc ∀k, and the same mini-
min
mum achievable rate constraint R= Rmin ∀k.
k
hardware-impaired massive MIMO networks,
the performance of power control strategies
based on QSEO, SEO, fractional programming
theory, and the maximum power allocation
strategy is studied in this section. For compar-
ison purposes, the population size and the iter-
ation number of SEO are the same of QSEO.
For SEO, the other parameter settings can
refer to [33], while the power control strategy
based on fractional programming theory and
the maximum power allocation strategy are
discussed in [32]. All results are the average of
100 simulations.
The variation of the system energy efficien-
cy with the number of iterations is shown in
figure 1. The results show that: 1) the max-
imum power allocation strategy causes the
lowest EE. The reason is that though the larg-
est energy is obtained for the desired signal,
the SINR in (8) is seriously decreased by the
Table I. Parameter settings in massive MIMO system.
Parameter Value
System bandwidth B 1MHz
Radius of the BS r0 100m
Path loss exponent v 3.8
Noise factor F 3dB
Noise power spectral density N 0 −170dBW / Hz
Transmission efficiency η 50%
Circuit power of user k pc , k 0.01W
Power consumption at antenna m pc , m 0.001W
Minimum achievable rate of user k Rkmin 1Mbit / s
Minimum achievable rate of the system Rmin 5Mbit / s
1
where 1dB = 101/10
, 1dBW = 101/10
W.
Table II. Parameter settings of QSEO.
Parameter Value

For QSEO, all quantum individuals have Population size N 50

different emotions and the emotional index Number of the worst quantum individuals N ′ 3

of each quantum individual is distributed be- Number of binary bits encoded for each estimated variable L 15

tween 0 and 1. At the stage of initialization, Emotional thresholds e1, e2 0.14, 0.58

each element of the quantum individual is set Emotional reducing index ∆e 0.05

to 1/ 2 and the emotional indexes are set to Impact factor of the optimal solution of the quantum population c1 0.3

1. The other parameters of QSEO are shown Impact factor of the historical optimal solution of each quantum
0.6
individual c2
in Table II.
Impact factor of the worst solution set c3 −0.1
For the problem of EE maximization in
Mutation probability κ1 0.1/L

China Communications • April 2019 9

 strong non-negligible interference between the
users. 2) For power control strategies based
on QSEO, SEO, and fractional programming
theory, the EE in massive MIMO uplink net-
works increases with the number of iterations.
3) Compared with other methods, a higher EE
is obtained by the power allocation strategy
based on QSEO. However, for the power al-
location method based on fractional program-
ming theory, a lot of mathematical derivations
250
200
Power allocation based on QSEO
Power allocation based on SEO
efficiency(Mbit/J)
and Lagrangian constraints are needed for
finding a suitable power allocation result. It’s
only applicable to convex optimization prob-
lem with equality constraints. For the non-con-
vex power allocation problem with minimum
rate constraints in massive MIMO uplink net-
works, it couldn’t get a higher performance,
while the resolving method of traditional SEO
is easy to get into a local optimum in the ear-
ly searching stage. In QSEO, two different
quantum evolution strategies are designed to
guarantee the diversity of solution and the
strong searching ability of the algorithm. The
designed evolution rules can make full use of
the advantages of quantum theory and SEO,
and the interactions of quantum individuals
are fully utilized to obtain the optimal solution

Power allocation based on fractional programming

150 Maximum power allocation of the feasible region, which avoids the local
convergence of traditional algorithms. To sum
100 up, QSEO can overcome the shortcomings of
Energy ef

traditional algorithms and show its advantages

in convergence speed and convergence accu-
50
racy.
Fig. 2. shows the curves of energy efficien-
0 cy for the variation of antenna selection coef-
0 100 200 300 400 500 600 700 800 900 1000
Iteration number
ficient ξ in no hardware impaired system. The
antenna selection coefficient increases as a
Fig. 1. Energy efficiency versus iteration number with ξ = 0.7, pmax = −20dBW,
higher requirement is needed for the commu-
nication system. However, the EE decreases
ε BS = 0.
with the increase of ξ. The reason is that each
antenna consumes energy for data receiving
350
and processing. As the increasing number of
Power allocation based on QSEO
Power allocation based on SEO selected antennas, the power consumed at the
300
Power allocation based on fractional programming
BS increases and the total power consumed in
Maximum power allocation
the massive MIMO system goes up. Besides,
250 the increase of achievable rate is far less than
efficiency(Mbit/J)

energy consumption. Compared with other

200
power control strategies, the power control
strategy based on QSEO has the best perfor-
150
mance.
Energy ef

100
Fig. 3. shows the variation curves of ener-
gy efficiency with hardware impairment coef-
50 ficient at the BS. ε BS is a variable distributed
between 0 and 1, where ε BS = 0 represents no
0
0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 hardware impairment at the BS and ε BS = 1 de-
Antenna selection coef
coefficient
notes the BS is completely damaged. In order
to study the effect of the hardware impairment
Fig. 2. Energy efficiency as a function of ξ, with pmax = −20dBW, ε BS = 0.

10 China Communications • April 2019

coefficient on EE, we define dB as the unit
of ε BS. We can learn from the curves that EE
decreases as the increase of hardware impair-
ment. In particular, when ε BS = 0, the EE of all
curves goes to zero. That is because the power
of the desired signal decreases as ε BS increas-
es. When the BS is totally destroyed, the en-
ergy of the desired signal is zero. The power
control strategy based on QSEO is more sen-
sitive to hardware impairment and has a better
performance than other strategies.
The variation of energy efficiency with the
maximum transmission power of each user is
shown in figure 4. We observe that the QSEO
power allocation strategy has an obvious
advantage over the other power control strat-
parameter settings of power control strategies
based on QSEO, SEO, fractional programming
theory, and the maximum power allocation
strategy are the same of 5.2 in this section.
Fig. 6. shows the variation of the system
spectral efficiency with the number of itera-
tions under different power control strategies.
The simulation results show that SE increases
with the iteration number. The trend of the
curves is similar to the curves in figure 1.
250
Power allocation based on QSEO
Power allocation based on SEO
Power allocation based on fractional programming
Maximum power allocation
200
efficiency(Mbit/J)

egies. For the power allocation problem in 150

massive MIMO networks, the solution space
expands with the increase of the maximum
100
transmission power. And it’s difficult for the
Energy ef

strategies based on fractional programming

theory and SEO to find the optimal solutions 50
due to their own limitations of randomness
and local convergence. But for QSEO, the
quantum evolution mechanic and the variety 0
-50 -45 -40 -35 -30 -25 -20 -15 -10 -5 0
of evolution rules can overcome the disadvan- Hardware impairment coef
coefficient(dB)

tages of traditional SEO algorithm and the ap-

proximation method. Hence, the QSEO-based
power allocation strategy can get an excellent
performance in massive MIMO networks.
In order to see the relationship of two dif-
ferent parameters, we show the simulation
results in another way. The simulation result
which is related to the variation of two system
Fig. 3. Energy efficiency as a function of ε BS, with pmax = −20dBW, ξ = 0.7.
250
Power allocation based on QSEO
Power allocation based on SEO
Power allocation based on fractional programming
Maximum power allocation
200

parameters, hardware impairment coefficient

efficiency(Mbit/J)

at the BS ε BS and the maximum transmission

150
power pmax is shown in figure 5. It is clear
to see the impact of ε BS and pmax on energy
100
Energy ef

efficiency based on QSEO power allocation

strategy. A higher pmax and a lower hardware
impairment coefficient are good for improving 50
the EE in massive MIMO networks.

5.3 Spectral efficiency 0

-60 -50 -40 -30 -20 -10 0 10
p max (dBW)
The simulation results for SE maximization in
hardware-impaired massive MIMO networks
are presented in this part. To make it easy, the Fig. 4. Energy efficiency as a function of pmax, with ε BS = 0, ξ = 0.7.

China Communications • April 2019 11

 Compared with power allocation strategies the degree of hardware impairment at the BS
based on SEO, fractional programming theory with the unit of dB. We can learn from the
and the maximum power allocation method, curves that SE decreases with the increase of
the proposed power allocation strategy based hardware impairment coefficient. When the
on QSEO can get a better performance for the BS is totally destroyed, ε BS = 0, the SE of all
SE maximization in massive MIMO networks. power allocation strategies goes to zero. The
Fig. 7. shows the variation curves of spec- power control strategy based on QSEO is
tral efficiency with the hardware impairment more sensitive to hardware impairment and
coefficient. Same as in figure 2, ε BS denotes has a higher SE than other strategies under the

30
200

180
Energy efficiency(Mbit/J)

25
300 160 Power allocation based on QSEO

efficiency(bit/s/Hz)
Power allocation based on SEO
200 140 Power allocation based on fractional programming
20
Maximum power allocation
100 120

100 15
0
Spectral ef

20 80
10
0 60

-20 0 40
5
p max (dBW) -10
-20 20
-40
-30
-40 0 0
-60 -50 0 100 200 300 400 500 600 700 800 900 1000
Hardware impairment coefficient(dB) Iteration number

Fig. 5. Energy efficiency as a function of pmax and ε BS, with ξ = 0.7. Fig. 6. Spectral efficiency versus iteration number with ξ = 0.7,
pmax = −20dBW, ε BS = 0.

30 40
Power allocation based on QSEO Power allocation based on QSEO
Power allocation based on SEO Power allocation based on SEO
Power allocation based on fractional programming 35 Power allocation based on fractional programming
25 Maximum power allocation Maximum power allocation

30
efficiency(bit/s/Hz)
efficiency(bit/s/Hz)

20
25

15 20
Spectral ef
Spectral ef

15
10
10
5
5

0 0
-50 -45 -40 -35 -30 -25 -20 -15 -10 -5 0 -60 -50 -40 -30 -20 -10 0 10
Hardware impairment coef
coefficient(dB) p max (dBW)

Fig. 7. Spectral efficiency as a function of ε BS, with pmax = −20dBW, Fig. 8. Spectral efficiency as a function of pmax, with ε BS = 0, ξ = 0.7.
ξ = 0.7.

12 China Communications • April 2019

condition of BS is not paralyzed.
The variation of spectral efficiency with the
maximum transmission power of each user is
shown in figure 8. The SE of the power control
strategy based on QSEO increases with the
increase of the maximum transmission power
of each user, while other strategies almost no
change with the variation of pmax. Power allo-
cation strategy based on SEO mechanism and
fractional programming theory are trapped
into the local optimal solution because SEO
is vulnerable to local convergence and frac-
tional programming theory is only suitable
for the convex optimization problem. For the
maximum power allocation strategy, each
user transmits signals with the power of pmax,
the SINR in (8) tends to a fixed value. But for
QSEO, the quantum evolution mechanic and
the variety of evolution rules can improve the
global searching ability and get the optimal
power allocation strategy for maximizing SE
in massive MIMO networks.
In order to see the effects of two differ-
ent parameters on the spectral efficiency, we
show the simulation results in another way.
In figure 9, two system parameters, namely
hardware impairment coefficient at the BS ε BS
and the maximum transmission power pmax is
considered. It is clear to see the impact of ε BS
and pmax on spectral efficiency based on QSEO
power allocation strategy from the simulation
results. A higher pmax and a lower hardware
impairment coefficient are good for improving
the SE of massive MIMO networks.
VI. CONCLUSION
In this paper, we analyze the EE and SE under
the condition of specific requirement for data
transmission in massive MIMO uplink system.
It is assumed that perfect CSI is obtained, and
MRC is used for data recovery at the BS. For
promoting energy conservation, we select part
of antennas at the BS to participate in com-
munication according to the requirements of
the system. Hardware impairments, energy
consumed at each antenna, circuit power, and
China Communications • April 2019
35
Spectral efficiency(Mbit/J)
30
40
30 25
20
20
10
0 15
20
0 10
-20 0
-10 5
p max (dBW) -40 -20
-30
-40 0
-60 -50
Hardware impairment coefficient(dB)
Fig. 9. Spectral efficiency as a function of pmax and ε BS, with ξ = 0.7.
the efficiency of the transmitter are considered
in practical systems. To guarantee the QoS in
massive MIMO uplink networks, minimum
rate constraints of each user and the system are
considered in this paper. QSEO algorithm is
proposed to solve the non-convex multi-con-
strained power allocation problem for EE and
SE maximization. Simulation results demon-
strate the superiority of the QSEO-based pow-
er allocation strategy which previous strategies
do not have.
Although power control strategy based on
QSEO enjoys excellent performance in EE
and SE, there are still some certain commu-
nication systems which can be investigated.
In the future, we will study the application of
massive MIMO with imperfect CSI, multi-cell
multiuser networks, cognitive radio, heteroge-
neous networks, and co-time co-frequency full
duplex systems.
ACKNOWLEDGEMENT
This work was supported by the National
Natural Science Foundation of China (No.
61571149), the Special China Postdoctoral
Science Foundation (2015T80325), the Fun-
13
 damental Research Funds for the Central Uni-
versities (HEUCFP201808), the China Post-
doctoral Science Foundation (2013M530148).
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Biographies
Hongyuan Gao, received the
Ph.D. degree from the Depart-
ment of Communication and
Information Systems, College
of Information and Communi-
cation Engineering, Harbin En-
gineering University, China, in
2010. He has been a Visiting
Research Professor with the Department of Comput-
er and Information Science, Korea University, Sejong
Metropolitan City, South Korea, from 2015 to 2016.
China Communications • April 2019
He is currently an Associate Professor with the Col-
lege of Information and Communication Engineering,
Harbin Engineering University, China. Areas of his
current interests include wireless energy harvesting
communications, intelligent computing, software ra-
dio, signal recognition and classification, cognitive
radio, array signal processing, LTE-Unlicensed, artifi-
cial intelligence, HetNets in 5G, communication the-
ory and image processing, and massive MIMO.
Yumeng Su, received her B.E.
degree in Electronic Informa-
tion Engineering from Harbin
Engineering University, Harbin,
Heilongjiang, P. R. China, in
June 2016. She is currently a
doctoral student in Harbin En-
gineering University. Her cur-
rent research interests include intelligent computing,
relay selection, power allocation, massive MIMO, se-
cure communications, co-frequency co-time full du-
plex systems and beyond 5G technologies.
Shibo Zhang, received his B.E.
degree in Electronic Informa-
tion Engineering from Harbin
Engineering University, Harbin,
Heilongjiang, P. R. China, in
June 2016. He is currently a
doctoral student in Harbin En-
gineering University. His cur-
rent research interests include relay communication,
intelligent computing, energy harvesting, fog com-
puting, heterogeneous networks, device-to-device
communications, Internet of Things and future wire-
less networks.
Ming Diao, was born in 1960.
He received his B. E. Degree
and M. E. degree in 1982 and
1987 respectively, from Harbin
Engineering University. He is
currently a Professor with the
College of Information and
Communication Engineering,
Harbin Engineering University, a senior member of
China Institute of Communications, a board member
of Committee of Deep Space Exploration Technology,
Chinese Society of Astronautics, and also a member
of China Society of Image and Graphics. His current
research interest includes wide-band signal detec-
tion, processing and recognition, and signal process-
ing for communications.
15