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Survey of User Association in 5G HetNets

Hawar Ramazanali , Agapi Mesodiakaki , Alexey Vinel and Christos Verikoukis


School
of Information Technology, Halmstad University, Halmstad, Sweden
Saab Training and Simulation, Huskvarna, Sweden
Karlstad University, Department of Mathematics and Computer Science, Karlstad, Sweden
Telecommunications Technological Centre of Catalonia (CTTC), Castelldefels, Spain

Email: hawar.ramazanali@saabgroup.com, agapi.mesodiakaki@kau.se, alexey.vinel@hh.se, cveri@cttc.es

AbstractHeterogeneous networks (HetNets) are considered a ceived power (RSRP) and the reference signal received quality
key enabling technology to provide high capacity for next gener- (RSRQ). The RSRP measures the average received power over
ation, also known as fifth generation (5G), networks. However, in the resource elements that carry cell-specific reference signals
order to efficiently exploit the advantages of HetNets and strive
towards high network efficiency, efficient user equipment (UE) within certain frequency bandwidth. The RSRQ measures the
association is decisive for targeting network performance goals. portion of received signal power over the total received power
Therefore, in this work, user association algorithms are surveyed at the UE and hence gives a quality value of the signal.
and classified based on the criterion they use for association with
To that end, the classical user association method of
the base stations (macrocells or small cells). Special focus is given
on the suitability of the user association algorithms for 5G as well strongest received signal at the UE has been shown to associate
as their complexity. the majority of UEs to the macro cell (instead of small
Index TermsUser association, HetNets, small cells, 5G cells), due to its stronger downlink (DL) signal. Although the
strongest signal-to-interference-plus-noise ratio (SINR) could
I. I NTRODUCTION be favorable for DL, this is not the case for uplink (UL),
Heterogeneous networks (HetNets) are envisaged to play an where all the transmitters (i.e., UEs) have the same capabilities
important role in next generation telecommunication networks, in terms of transmit power. In other words, a UE that has
i.e., fifth generation (5G) networks. A HetNet is composed of been associated to a macro base station due to its stronger
homogeneous cellular macro base stations with high trans- DL signal could have obtained better UL performance if it
mission power overlaid (or underlaid) with low power base had been associated to a nearby small cell with a weaker
stations. The low power base stations are ranging from pico- DL signal instead. In addition to the better UL performance,
cells and femtocells to relay nodes and are commonly referred traffic offloading gains to the macro base station could be also
to as small cells. HetNets were employed already for GSM offered. Therefore, the separate study of UL and DL user
networks. Although HetNets have traditionally used different association, also known as UL-DL decoupling, is motivated
frequencies for macro and small cells, high frequency reuse is [1]-[4]. Although UL-DL decoupling has been shown to offer
expected during the next few years, to cope with the spectrum network throughput, outage, and power consumption gains
scarcity problem in conjunction with the increased capacity [2] at a lower cost compared to its counterparts as well as
demands. improving user fairness [3], most user association algorithms
in the literature focus only on performance optimization of DL
Through the introduction of different cell sizes as well as
association.
high spectrum reuse, user association becomes challenging,
since it impacts both the user and network performance. User One of the most promising DL user association proposals
association is the mechanism in which users are selecting a hitherto has been cell range extension (CRE), also referred to
serving cell based on certain criteria. The cells can be of as biasing, where a positive bias is added on the small cell DL
different types and the cell selection decision can be centrally signal strength indicator in the case the signal comes from
coordinated, i.e., coordinated by the network, or distributed, a small cell. CRE has been shown to achieve performance
where each user equipment (UE) decides on each serving base improvements by favoring the connection of UEs with small
station by itself. cells. Thereby, the traffic of the macro base station is offloaded,
In LTE, which constitutes a step towards the specification of while the UEs get access to a higher amount of spectrum
5G standards made by the 3rd Generation Partnership Project resources (higher spectrum reuse is possible among small
(3GPP) standardization body, the user association decision is cells). For maximum gains, CRE can be combined with
centralized, i.e. made by the network, based on the measure- efficient interference management techniques, such as almost
ment reports performed by the UEs. In particular, the UEs send blank subframes (ABS), to avoid the macro cell interfering the
a measurement cell set, containing the measurement results, transmissions of small cells due to its stronger signal strength.
when configurable conditions are met. Two LTE measurements Apart from the aforementioned solutions, there have been
commonly used for cell association are the reference signal re- several proposals of efficient algorithms where different crite-
9781509051373/16/$31.00 2016 IEEE
Macro cell (Tier 1) In terms of architecture, the backhaul network is responsible
Small cell (Tier 2) for connecting the different base stations in each tier and
Small cell (Tier 3) between different tiers with the core network. Due to the high
Small cell (Tier n)
Gateway
number of small cells, fiber connections are prohibitive due
Core network to their high deployment cost. Therefore, given the already
Wireless backhaul link existing fiber connection between the macro cell and the core
Fiber link network, it is straightforward to exploit this connection and
provide core network connectivity to small cells through it.
Still, new cheap solutions should be found for the connection
of small cells to the macrocell site.
Hence, millimeter wave constitutes a promising solution
due to its high bandwidth availability. However, its high
path loss makes it able to provide good coverage only for
short distances. Nevertheless, given that a short distance is
expected between neighboring small cells, 5G networks will
Fig. 1. Multi-tier HetNet architecture with wireless backhaul. most probably be characterized by a millimeter wave multi-
hop backhaul architecture.
ria in the user association decision have been employed and HetNet architecture plays a key role in the performance
certain network performance metrics have been targeted each of user association algorithms, since it impacts the way that
time. Due to the fact that each proposal is evaluated under the UE traffic is served, e.g., which base station will serve
specific scenarios and aims at specific performance targets, a the UE traffic and through which backhaul link this traffic
thorough survey, which will compare them under the same will pass until it reaches the core network. Therefore, HetNet
basis, is of utmost importance. To that end, in [5], a detailed architecture should be also taken into account when designing
user association survey is presented, which includes some efficient user association algorithms.
information on the complexity and the applicability of user
III. 5G U SER ASSOCIATION CHALLENGES
association algorithms in a 5G environment. Nevertheless, for
a proper and fair categorization of the studied algorithms, the We assume network coordinated user association, unless
provided information need still to be accompanied by accurate otherwise stated, although the categorization is valid for both
classification criteria. In [6], although a classification based on coordination types. To this end, the main user association
cell association criteria is given, the considered survey is not challenges can be summarized into:
thorough since only three papers are evaluated. Hence, in this
A. Complexity
paper, in section IV we present a novel classification of user
association algorithms based on the applied criteria for base As small cell densification in HetNets is foreseen to provide
station association. Furthermore, in section V, the complexity necessary capacity in hotspots it is also important to reduce
of the algorithms is evaluated as well as their applicability to the complexity of the user association algorithms. The large
a 5G HetNet environment. number of UEs together with the increasing number of base
stations requires simple user association algorithms with min-
II. 5G H ET N ET A RCHITECTURE imal signaling and processing overhead. At the same time,
the user association algorithms should be context-aware, i.e.,
5G HetNets will be composed of different tiers, where the aware of the UE requirements as well as the HetNet architec-
macro base station, which would be tier-1, will be connected ture, including the backhaul network. With this information,
to the core network via a wired connection. The small cells, simple and efficient user association algorithms can optimize
which constitute different kinds of low power, low complexity the radio and energy resource utilization and reduce unwanted
cellular base stations (tier-2 to tier n for n different types of effects such as unnecessary handovers.
small cells) will overlay (or underlay) the existing macro cell
network, as depicted in Fig. 1. B. Energy efficiency
The main purpose of small cells is to offer data offloading The radio access nodes constitute the major source (57%)
from the macro base station, thus resulting in higher network of power consumption in cellular network operation [8], while
throughput, higher cell edge rate, less congested macro base as much as a third comes from air-conditioners for isolated
station, and even improved power consumption for both macro base station sites. By using HetNets certain overhead like air-
cells and small cells. On the downside, there may be inter- conditioning can be eliminated for small cells. Moreover, small
ference between the macro base station and small cells due cells have higher efficiency in terms of provided capacity and
to frequency reuse. Therefore, several interference mitigation energy consumption per coverage area [9]. Energy efficiency
strategies have been proposed by 3GPP, such as ABS, inter- can be obtained by coordinating the advantages of a macro
cell interference coordination (ICIC) and enhanced inter-cell base station like higher output power and larger coverage
interference coordination (e-ICIC) [7]. areas together with the more efficient area coverage of small
cells. By context-aware and simple user association algorithms TABLE I
these advantages can be exploited effectively and various D EFINITION OF DIFFERENT COMPLEXITY LEVELS

performance metrics can be targeted and jointly optimized. Complexity Description of criterion Type of cost
level category
C. Spectrum efficiency 1A Criteria already obtainable in No incurred delay
the source device No incurred
The target of spectrum efficiency is to maximize the trans- processing
mitted data rate per spectrum resource unit. Since the available 2A Criteria as complexity 1A but No incurred delay
spectrum is limited, frequency reuse is motivated to maximize also needs additional processing Incurred processing
the utilization of the spectrum for each cell in a HetNet. In 1B Criteria needs to be obtained Incurred delay
such a case, the frequency resource allocation scheme should through communication (with No incurred
other devices or base station) processing
efficiently use the available resources to achieve high spectrum
2B Criteria as complexity 1B but Incurred delay
efficiency, while mitigating the generated interference due to also needs additional processing Incurred processing
frequency reuse. 3AB Criteria may or may not incur Incurred or no
In addition, a fair resource allocation among the UEs should delay but need heavy additional incurred delay
be also targeted. processing, such as optimization Incurred heavy
processing
D. Interference management
With the introduction of CRE such that offloading to small bandwidth, the higher the targeted channel throughput,
cells is taken place, UEs associated to small cells may be the higher the spectrum efficiency (bps/Hz).
interfered by the higher transmitted power of the macro base Backhaul: this criterion is related to whether the user
station. Interference management can be used to mitigate the association algorithm takes also into account the back-
interference at the cell edge UEs and improve the spectrum haul (in terms of backhaul capacity or even also power
efficiency. The interference management schemes can protect consumption).
the resources in 3 dimensions, time, frequency and space and Power consumption: this criterion may refer to network
communicate this to other nodes and UEs in the network. elements, e.g., to the backhaul. When the joint optimiza-
The other network participants are using the protected or tion of power consumption and data rate are targeted, this
unprotected sets of resources in various means to minimize criterion is equivalent to energy efficiency.
interference amongst base stations/cells. Load: this criterion refers to the resource utilization of a
ICIC was already included in 3GPP Release 8/9, which are base station.
finalized versions of LTE. They focus on inter-cell signaling Interference, which is a criterion measuring the power
to assist interference coordination. In release 10, enhanced of unwanted signals. For instance, this criterion is taken
inter-cell interference coordination (eICIC) was introduced, into account when RSRQ or SINR are used to decide a
targeting at time domain interference handling by mechanisms specific user association.
such as protected resources and ABS, to improve cell edge Bias: this criterion refers to the case where the user
performance for UEs. In release 11, coordinated multipoint association is biased towards a base station, based on
(CoMP) was introduced referring to a wide range of techniques criteria, which do not fall under current categorization.
targeting dynamic inter-cell coordination between geograph- CRE belongs to this category, where priority is given to
ically separated base stations to enable and improve inter- the association of UEs with small cells, as explained in
ference coordination. In CoMP new radio interface features Section I.
and terminal capabilities are used to assist this dynamic Other, where the association criterion does not fall in any
coordination. category of the aforementioned ones.
The columns UL/DL, C , T and 5G represent the considered
IV. C ATEGORIZATION access network link, the complexity of the algorithm, the
A. Categorization of user association criteria number of tiers and the applicability of the algorithm within
5G, respectively.
A wide variety of user association algorithms has been
studied and categorized based on the criteria they use for B. Applicability in 5G complexity
association to the base stations, as it can be seen in Table We propose a classification of the user association algo-
II. The association criteria are categorized into: rithms based on the complexity they induce into a 5G network.
Channel conditions, which is a criterion for the signal Five complexity levels are defined in two dimensions namely
quality or received power (which can be the channel incurred delay and incurred processing. Additional delay is
information ultimately obtained at the receiver). This incurred when additional metrics needs to be obtained that
criterion may also include path loss and fading. are not part of the available UE measurements. The different
Channel bandwidth, measured in Hertz, which is closely complexity levels are summarized in Table I and Fig. 2.
related to spectrum utilization efficiency. It can be ex- User association algorithms that achieve scalability and thus
plained by the following relation. For a specific channel can adapt to a changing number of small cells in the network
Association criteria Other
Ref.
Channel Channel Backhaul Power Load Interference Bias UL/DL C T 5G
conditions bandwidth consumption
[1] X X X X UL/DL decoupling 2B 2 Yes
[8] X UL/DL 2A n No
[11] X X X DL 1B 2 Yes
[12] X X X DL 1B 2 Yes
[13] X X X X DL 2B 2 Yes
[14] X X DL 1B n Yes
[15] X X X X X X X DL 2A 2 Yes
[16] X X DL 2A/2B 2 Yes
[17] X DL 3AB n No
[18] X X DL 2A n Yes
[19] X X X DL 2B n Yes
[20] X UL 2A 2 Yes

complexity to level 1B, since it is not part of the LTE measure-


ment report in the source device and thus it cannot be assumed
Communications

to be directly obtainable without a delay overhead. Biasing or


1B 2B CRE is used and the use of interference management ICIC
(protected resources) is also evaluated.
3AB
In [12], an SINR-based cell selection algorithm with biasing
1A 2A (or CRE) is evaluated and it is shown that ICIC improves
Processing the cell throughput for moderate CRE values. With regard
to fairness, higher CRE values can be used without ICIC,
Fig. 2. Two dimensional complexity levels. whilst lower CRE values should be used with ICIC. Since
the SINR is not considered to be available in the base
station complexity level 1B is obtained. In [13], time-domain
can be considered applicable within 5G. Another important interference management is assumed and similar to [12], the
criterion that could define the 5G applicability of a user associ- importance of ICIC is further reiterated. It is discussed that
ation algorithm is the complexity that it induces in the system. the ratio of protected frames is more important than the CRE
Complexity levels 1A, 1B, 2A and 2B are considered to be value. Therefore, a user association algorithm is proposed
suitable even with the incurred processing load as in level 2A, where the criterion is the expected user data rate based on
delay as in level 1B, and both delay and processing load as in the ABS ratio and SINR. Hence, it is assumed that the SINR
level 2B. User association algorithms of level 3AB complexity is measured in the UEs and transmitted to the base station for
may not be suitable for 5G environments. Moreover, certain processing prior to association decision. This leads to a level
cell association algorithms using optimization may neither be 2B complexity algorithm due to incurred delay and processing.
suitable for online applications [10]. Given that backhaul is The ABS ratio is assumed to be centrally decided. The work
expected to play a key role, both in terms of energy and in [14] belongs to SINR-based user association algorithms
capacity, algorithms that jointly take into account the access and has contributed with a model for an n-tier HetNet with
network and backhaul in the user association decision are the most important performance metrics. Still, no interference
considered the most suitable for 5G networks. By integrating management is taken into account, unlike previous SINR-
backhaul as a user association criterion both air interface based works, e.g., [1], [11]-[13]. The complexity of this work
and backhaul resources are considered in the design and thus is similar to [12] in the way that SINR needs to be measured (if
overall resource utilization can be taken into account [11]. possible) and transmitted to the base station prior to the user
association decision. This could cause extra communication
V. D ISCUSSION
overhead and incur delay, thus giving a complexity level 1B.
Cell association algorithms using RSRP and RSRQ are the Three of the most common user association algorithms,
ones with lowest additional communication complexity, since RSRP, CRE and minimum path loss (MPL), have been eval-
these parameters have already been specified in LTE. User uated in [15] together with a proposed algorithm for an n-
association based on these two channel estimation indicators tier HetNet environment. The network energy efficiency is
are evaluated and compared to a SINR-based algorithm in maximized using a heuristic algorithm based on the following
[11]. It is shown that SINR-based cell selection performs better context-aware information; the UE measurements and require-
considering both downlink cell and cell-edge user throughput ments, the knowledge of the HetNet architecture with wireless
for RSRP but RSRQ based cell selection is better for cell- backhaul connections and the available spectrum resources
edge user throughput. This could be explained by the fact of each base station. In particular, the proposed algorithm
that RSRQ evaluates the quality of the signal over the used prefers cells with fewer hops to reach the core network.
bandwidth. However, the SINR-based cell selection raises the On the contrary, algorithms that are not backhaul-aware may
associate the UEs to cells with a better signal quality but SINR. it is shown that CRE biasing is lowering the SINR,
with more hops, thus leading to higher energy consumption. having negative impact on outage and rate of the overall
Complexity level 2A is obtained since measurement results network. It is assumed the measurement can be obtained
already available in LTE are used in addition to processing. in the base station but need additional processing to obtain
Simple traditionally used user association criteria namely; the maximum long-term averaged received power, there the
max signal quality, pico cell first and minimum path loss have complexity level is 2A.
been evaluated and benchmarked against a joint user associa- In [19], a user association algorithm is evaluated called ref-
tion, channel allocation and reuse pattern optimization frame- erence base station efficiency (RBSE) that takes into account
work in [16]. The provided results show that there is still room the network conditions in terms of base station transmitted
for performance improvement of the traditionally used user power, base station load and required user data-rate. Once a
association algorithms. The complexity of the benchmarked handover procedure is initiated, according to the 3GPP frame-
algorithms depends on whether the measurements are available work, the proposed algorithm selects as the preferred base
in the base station or not, making them complexity level A or station the one with the highest RBSE value. On the downside,
B respectively. In the two latter algorithms a comparison of this work considers different frequency bands for base stations
the measurements is needed giving a complexity level 2. of different types. As it has been observed by previously
In [17] it is claimed that simple performance thresholds, reviewed work, the inter-cell interference handling is of major
such as minimum SINR or service outage among others, are importance for the performance of the HetNet together with
not adequate for the analysis of the energy efficiency of a net- ABS. However, the results show a significant improvement in
work when spatially- and temporally- varying traffic demands the number of handovers and the end-to-end delay compared
are considered. Therefore, a joint base station sleeping and with two 3GPP reference handover algorithms. Assuming that
user association algorithm has been developed for minimizing the user requirement incurs additional communication delay
energy consumption in a HetNet. The user association is since it is not available already in the LTE measurements,
decided based on the location of the base stations, since the and that additional processing is needed for the algorithm,
algorithm decides which base stations should serve a particular complexity level 2B is obtained.
location. This work captures the spatio-temporal variations of Since there is a difference in transmission power in HetNets
the traffic demands and the internal hardware components of due to the different base station types, the optimal association
the base stations, which are claimed to be important factors of a UE may differ for UL and DL. This stems from the
greatly affecting the actual energy consumption in the network. fact that the UL and DL channel gain may differ and so
Furthermore, it was identified that small cells play a key role in does the load. In [20], a recent user association study gives
both capacity and energy efficiency in a HetNet by consuming insights on how to achieve power efficiency with power control
a little more than two thirds of the energy while handling taking into account the interference level due to power control
three quarters of the traffic. Contrary to previous results where as well as the traffic delay. The RSRP that is available in
small cells always are the most energy efficient solution, it the LTE measurement is used as criterion and due to the
was shown that larger cells have an important role in energy additional processing for the power control, complexity level
efficiency during low and medium network load periods if the 2A is obtained.
small cells are turned off. Given that the UE location needs to VI. C ONCLUSIONS
be obtained and additional heavy processing is needed due to
the optimization problem that should be solved, the complexity In this survey, we have categorized different types of
level is 3AB. user association algorithms based on their criteria for cell
In [8], a new design framework of cooperative green association. Special focus was given on the complexity of
HetNets is proposed aiming at spectrum efficiency, energy the algorithms, which also reflects their applicability in a 5G
efficiency and Quality of Service (QoS). The architecture HetNet environment.
under study consists of separate base band and radio heads Our survey stressed the need for low-complexity user
and the cell selection criteria is based on long term channel association algorithms for 5G HetNets. Moreover, context-
information, i.e., path loss and shadowing. A proportional awareness was shown to play a key role in the design of
fair algorithm is used for the cell selection and sum log- low complexity energy and spectrum efficient user association
scaled throughput has been maximized to achieve proportional solutions.
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