2013 IEEE Military Communications Conference

Non-orthogonal Multiple Access in a Downlink

Multiuser Beamforming System
Beomju Kim , Sungmook Lim, Hyungjong Kim, Sangwook Suh$ , Jonghyung Kwun$ ,
Sooyong Choi, Chungyong Lee, Sanghoon Lee and Daesik Hong
Information Telecommunication Lab.(B715), School of Electrical and Electronic Engin., Yonsei Univ.,
134 Shinchondong, Seodaemungu, Seoul, Korea, 120-749.
$
Samsung Electronics Co., 416, Maetan 3-dong, Yeongtong-gu, Suwon, Gyeonggi-do, Korea.
E-mail: kimbj320@yonsei.ac.kr and daesikh@yonsei.ac.kr

AbstractIn this paper, we propose a non-orthogonal multiple access-based multiuser beamforming (NOMA-BF) system
designed to enhance the sum capacity. In the proposed NOMABF system, a single BF vector is shared by two users, so that the
number of supportable users can be increased. However, sharing
a BF vector leads to interference from other beams as well as
from the other user sharing the BF vector. Therefore, to reduce
interference and improve the sum capacity, we additionally propose a clustering and power allocation algorithm. This clustering
algorithm, which selects two users with high correlation and
a large gain-difference between their channels, can reduce the
interference from other beams and from the other user as well.
Furthermore, power allocation ensures that each users transmit
power is allocated so as to maximize the sum capacity. Numerical
results verify that the proposed NOMA-BF system improves the
sum capacity, compared to the conventional multiuser BF system.
Index Termsnon-orthogonal multiple access, multiuser beamforming, user clustering.

Building on these advantages inherent in NOMA and multiuser BF systems, we propose a NOMA-based multiuser BF
(NOMA-BF) system to enhance the sum capacity. Since the
proposed NOMA-BF system involves designing a single BF
vector to support multiple users, per the basic concept of
NOMA, the number of supportable users can be increased,
thus enhancing the sum capacity.
However, implementing the proposed NOMA-BF system
gives rise to an unavoidable obstacle. Because multiple users
are sharing a single BF vector, the sum capacity is susceptible to degradation by interference from other BF vectors.
Therefore, we also propose a clustering and power allocation
algorithm for the proposed NOMA-BF system as a way of
reducing this interference and guaranteeing improved sum
capacity, compared to what is possible with conventional
multiuser BF systems1 .

I. I NTRODUCTION

II. S YSTEM M ODEL

Given the prediction of a 1000-fold data traffic increase by

the year 2020, overall sum capacity enhancement has become
one of the key issues in handling this explosive data traffic increase in 5th generation (5G) mobile communication systems
[1]. Non-orthogonal multiple access (NOMA) is considered to
be one of several promising technologies that could improve
the sum capacity [2][3]. Because the communication resources
(time and frequency) in a NOMA system are shared by all the
users, the sum capacity can be enhanced over what is possible,
with orthogonal multiple access (OMA) [4][5].
In addition, multiuser beamforming (BF) in multiple-input,
multiple-output (MIMO) systems has also been studied as a
technology for potentially enhancing the sum capacity. In a
conventional multiuser BF system, each user is supported by
a single BF vector, which is orthogonal to the other supported
users channels. As a result, interference from other users is
eliminated completely and the maximum sum capacity can be
achieved [6]-[11].
This work was supported in part by the National Research Foundation of Korea(NRF) grant funded by the Korea government(MEST) (No.
2012R1A2A1A05026315), in part by Seoul R&BD Program(WR080951), and
in part by Samsung Electronics Co.

978-0-7695-5124-1/13 $31.00 2013 IEEE

DOI 10.1109/MILCOM.2013.218

Let us consider a downlink BF system, as shown in Fig. 1.

The transmitter is equipped with N antennas for BF. The total
number of users in a cell is K (K 2N ) and each receiver
is equipped with a single antenna. The NOMA-BF system
proposed here has N transmit BF vectors that are generated
in the same manner as in conventional multiuser BF systems.
However, each one of the N transmit BF vectors can support
a group of two or more users, rather than one single user. This
grouping of multiple users supported by a NOMA-BF vector
is defined as a cluster.
The number of users in a cluster can be more than two, but
we will assume here that each cluster has two users for the
sake of simplicity. In this case, 2N users can be supported by
N clusters and N BF vectors in K users. Among two users
in a cluster, the user having a larger (or smaller) channel gain
is defined as a strong (or weak) user. In the n-th cluster (1
n N ), yn,1 and yn,2 are the received signals of the strong
user and the weak user, respectively, and they are expressed
1 In this paper, conventional multiuser BF systems are defined as systems
that support users orthogonally via BF vectors.

1278

as follows:
yn,i = hn,i

wk xk + nn,i

(1)

k=1

for i = 1, 2 and n = 1, , N,
where xk consists of the transmitted signals of the strong and

weak users, i.e. xk = k,1 sk,1 + k,2 sk,2 . sk,1 and sk,2
are the signals for the strong and weak users, respectively,
k,1 and k,2 are the power allocation factors for the strong
and weak users, respectively, and k,1 + k,2 = 1. hn,1 and
hn,2 denote the channel vectors of the strong and weak users
in the n-th cluster, respectively. The channel is assumed to be
the product of path loss and Rayleigh fading with zero mean
and unit variance. wk is the corresponding BF vector of the
k-th cluster. nn,1 and nn,2 are i.i.d. additive white complex
Gaussian noise(AWGN) vectors with zero mean and variances
of n2 .
As seen in (1), xk is the sum of the signals of two users
transmitted simultaneously by one NOMA-BF vector. Each
user in a cluster thus receives interference from the other user.
The strong user can remove the interference from the weak
user by successive interference cancelation (SIC), while the
weak user decodes the received signal directly without SIC,
as is done in the normal downlink NOMA system [4][5].

In a multiuser MIMO system, the maximum capacity is

ideally achieved by dirty paper coding (DPC) [6]-[8]. However, the DPC is difficult to implement in practice because
it employs brute-force searching. As a simple and practical
alternative, zero-forcing beamforming (ZFBF) has been used
to achieve maximum capacity under perfect channel state
information at the transmitter (CSIT) [6]-[9]. In ZFBF with
N transmit antennas, the BF vector, wn , is generated based
on the users channel, hm , satisfying the following condition
[6]-[11]:
{
hm
0 for m = n,
wn =
(2)
1 for m = n,
|hm |

Cluster 1
w1
1,1

s1,1
s1,2

1,2

h1,1

y1,1

2,1

2,2

y1,2

x1

s2,1
s2,2

h1,2

Cluster 2
y2,1

h 2,1

x2

w2

h 2,2

y2,2

N ,1

s N ,1
s N ,2

N ,2

xN

h N ,1

y N ,1

wN

h N ,2

W = [w1 wN ]

(
)1
= (H) = (H) (H) (H)
,

(3)

where () denotes the pseudo-inverse of matrix and wn is the

N 1 ZFBF vector for the n-th cluster.

A. Zero-Forcing BF in the Proposed NOMA-BF system

Transmitter

where 1 n, m N . This means that there are no

interference signals between the beams.
In the proposed NOMA-BF system, the ZFBF vector is also
generated while satisfying (2), but the transmitter needs to
determine which channel of the two users in the cluster to
be used to generate the BF vector. In Fig. 1, the transmitter
can use hn,1 or hn,2 to generate the BF vector for the n-th
cluster, wn . In this case, the user using the BF vector based
on the users own channel does not receive any interference
from the other beams, i.e. inter-cluster interference, based on
(2). However, the other user in the same cluster does receive
the inter-cluster interference and also reduce its own signal
strength because it does not satisfy (2). This inter-cluster
interference and loss of signal strength negatively affect the
process for correctly decoding the received signal making, it
unhelpful when the strong users perform SIC. Thus, in order
to perform SIC correctly, we generate the BF vectors based
on the channels of the strong users, H = [ h1,1 T hN,1 T ]T
T
where () denotes the transpose of matrix and hn,1 is the
1 N channel vector of the strong user in the n-th cluster, as
follows:

y N ,2

Cluster N
Fig. 1. Proposed NOMA-BF downlink system with N transmit antennas.

B. Received SINR
Based on (1) and (3) above, we can now proceed to
investigate the signal to interference plus noise ratio (SINR)
of the strong and weak users. From (1), the received signal of
a strong user in the n-th cluster is
yn,1 =hn,1 wn xn + hn,1

wk xk + nn,1

k=1,k=n

=hn,1 wn
+

(
)

n,1 sn,1 + n,2 sn,2

(4)

hn,1 wk xk + nn,1 .

k=1,k=n

N
In (4), k=1 , k=n hn,1 wk xk is the inter-cluster interference

from other clusters and hn,1 wn n,2 sn,2 is the inter-user

interference from the weak user in the same cluster. However,
because the BF vector is generated by the channel of the
strong user, hn,1 wk = 0 for 1 k N, k = n according to
(2). Therefore, the inter-cluster interference can be removed.
In addition, the strong user can also remove the inter-user
interference by employing perfect SIC. Thus, yn,1 can be
expressed as
(
)
yn,1 = hn,1 wn
n,1 sn,1 + nn,1 .
(5)
The received SINR is then

(
)
2
hn,1 wn n,1 sn,1 2
|hn,1 | n,1 Pn,1
SIN Rn,1 =
=
,
2
n
n2
(6)

1279

where |hn,1 wn | = |hn,1 | and Pn,1 = |sn,1 | is the transmit

power. Note that there is no interference in the received SINR
of the strong user.
On the other hand, the received signal of a weak user in the
n-th cluster is
(
)

yn,2 =hn,2 wn
n,1 sn,1 + n,2 sn,2
N

+ hn,2

wk xk + nn,2 .

TABLE I
P ROPOSED C LUSTERING A LGORITHM

Step 1) Total of K users give their own channel state

information (CSI) feedback to the transmitter and the
transmitter makes the set of CSI feedback, S.
Some parameters are initialized and go to Step 2).
S = {h1 , , hK }, i = 1, c = 0, T = ,
where i and c are the user indices and the number of
selected clusters respectively, and T is the set of all candidates which can be selected as the cluster.
Step 2) The transmitter calculates the correlation between
the i-th user and the j-th user, Corr(i,j) , for j {i + 1,
, K}. If Corr(i,j) > which is a correlation threshold
as a predefined real value (0 1), the transmitter calculates d(i,j) , defined as the channel gain-difference between the
{ i-th user and the j-th user.
}

(7)

k=1,k=n

Unlike with the strong user, the ZFBF vector does not satisfy
(2) for the weak user channel, and the weak user does not
perform SIC. Therefore, the received SINR is
SIN Rn,2
2

|hn,2 wn | n,2 Pn,2

, (8)

2


N



2
|hn,2 wn | n,1 Pn,1 + hn,2
wk xk  + n2


k=1,k=n

|h h |

i = d(i,j) = ||hi | |hj || | Corr(i,j) = |hii||hjj | > ,

T = T i & i i + 1,
where i is the set of channel gain -differences between
the i-th user and all j-th users. If i K, repeat Step 2).
When i = K, T will contain all user-pairs having a correlation higher than in S, and then go to Step 3).
Step 3) For T , the transmitter selects the user-pair having
the maximum channel gain-difference.
{
}

(i, j) = arg max d(i,j) ,

(i,j)T
{
}
T = T d(i,j)
& c c + 1,
(i, j)c = (i, j) .
If c < N , repeat Step 3). When c = N , stop Step 3) and
then go to Step 4). However, if c < N , there are N c
BF vectors remaining. Each remaining BF vector will support a single user as in conventional BF. To maximize the
sum capacity, the transmitter selects the users with the
largest channel gain among the residual users other than
the selected users, and then go to Step 4).
Step 4) For all (i, j)n where n {1, , c} and c N ,
the strong and weak users
{ are defined.
(hi , hj ) if |hi | |hj | ,
(hn,1 , hn,2 ) =
(hj , hi ) if |hi | < |hj | .

where Pn,2 = |sn,2 | is the transmit power. In this paper, we

assume Pn,1 = Pn,2 = Pn .
As demonstrated in (8), the weak user is affected by the
interferences from the other clusters and the strong user in
the same cluster, which causes the capacity of the weak
user to degrade. To address this, we will need to use a
clustering algorithm and power allocation to minimize these
interferences, which we will propose in Section III.
III. C LUSTERING AND P OWER A LLOCATION FOR THE
NOMA-BF S YSTEM
In this section, we propose a clustering algorithm to minimize inter-cluster and inter-user interference and also propose
a power allocation scheme that maximizes the sum capacity
while guaranteeing the weak users capacity.
A. Clustering Algorithm
The power of the inter-cluster and inter-user interferences
affecting the weak user in NOMA-BF depends on which users
are selected in a cluster. Hence, the interference can be reduced
by properly selecting two users being served in a cluster from
among K total users.
The best way to maximize the sum capacity by reducing
the interference is to select the users via an exhaustive search.
With an exhaustive search, the transmitter selects the best case
with the maximum sum capacity from among all possible
cases. However, this approach is too complex to be feasible
in practice.
We propose an alternative clustering algorithm designed to
reduce the interference but with a low level of complexity.
Two factors affect interference: correlation and gain-difference
between the channels of users in a cluster. First, if the channels
of the strong and weak users in the n-th cluster, hn,1 and hn,2 ,
are highly correlated, hn,2 wm 0 for m = n where wm is
the BF vector of the m-th cluster (1 m N ). This means
that the higher the correlation between the two user channels,

the more the inter-cluster interference of the weak user can be

reduced.
Second, if the channel gain-difference between the two users
is large, the power-difference between the two users received
signals becomes large. In this case, the general downlink
SIC system allocates the low power to the strong user and
the high power to the weak user. Allowing the strong users
to perform SIC is helpful in this case because the powerdifference between the users signals needs to be as large as
possible when performing SIC in the downlink. Furthermore,
the inter-user interference experienced by the weak user is also
reduced because the power of strong users signal decreases.
As a result, the proposed clustering algorithm must select

1280

Because n 0 in (11), the following condition needs to

be satisfied.
{
}
(
)
2
2
= |hn,2 wn |
1 + |hn,2 | 1

two users that have a high correlation and a large channel gain
-difference in each cluster. The proposed clustering algorithm
is described in Table I.
B. Power Allocation
Since a BF vector simultaneously supports two users selected by the clustering algorithm in a cluster, the total transmit
power of a BF vector should be divided among two users.
In this case, the capacities of the users can be changed by
the power allocation scheme. We propose a power allocation
scheme which maximizes the sum capacity while keeping
the weak users capacity is equal to or greater than that of
a conventional multiuser BF system. The formulation is as
follows:

(9)
1
R2,convBF , 0 n 1,
2

where n and 1n are the strong and the weak users power
fractions in the n-th cluster, respectively. R1 and R2 are the
capacities of the strong and the weak users in the n-th cluster,
defined as log (1 + SIN Rn,1 ) and log (1 + SIN Rn,2 ) using
(6) and (8), respectively. R2,convBF is the capacity of the
weak user if the weak user would be supported by conventional
BF. The definition is as follows:
(
)
2
|hn,2 wn,2 | Pn,2
R2,convBF = log 1 +
,
(10)
n2
subject to R2

|hn,2 wn | n

k=1,k=n
2

1 + |hn,2 | n

> 0.

280

Sum capacity gain

when

260

Sum capacity [Mbps]

240

220

Sum capacity gain

when
200

Sum capacity is increased

by multiuser diversity
180
NOMA-BF (=0.75)
NOMA-BF (=0.95)
Conventional BF (=0.75)
Conventional BF (=0.95)

160

(11)
where n is the ratio of the total transmit power of the n-th
cluster over the noise power. In this paper, we assume that all
clusters have the same transmit power and noise density, so
n = for all n. Proof of (11) is provided in Appendix A.

IV. N UMERICAL R ESULTS

|hn,2 wl | + 1

k=1,k=n

(12)

This section presents the numerical results for the proposed

NOMA-BF system. The cell radius is 500m and the users
in the cell are randomly located with uniform distribution.
The system bandwidth is 4.32MHz. The maximum transmission power per cluster is 43dBm and the noise density
at the receiver is -169dBm/Hz. The path loss model used
is 128.1 + 37.6log10 (r) dB, where r [km] is the distance
between the transmitter and the receiver [4][5].
Figure 2 shows the sum capacities of the NOMA-BF (solid
line) and the conventional multiuser BF (dash line) systems.
In both correlation threshold cases, = 0.75 and 0.95, the
NOMA-BF system improves the sum capacity compared to the
conventional multiuser BF system. In addition, as increases,
the sum capacity of the NOMA-BF system is enhanced more
than in the conventional multiuser BF system. This is because,

where wn,2 is the BF vector satisfying (2) for the channel of

the weak user. Eventually, 1 n means the fraction of power
allocated to the weak user so that the weak users capacity is
equal to R2,convBF . The remaining power fraction, n , is
allocated to the strong user for maximizing the sum capacity
of the two users, R1 + R2 .
In (9), R2,convBF is multiplied by the term 1/2. This is
because a conventional multiuser BF system with N transmit
antennas requires two time slots to support 2N users, while
the proposed NOMA-BF system with N transmit antennas can
support 2N users during a single time slot.
Solving the optimization problem (9) by the KKT condition,
the optimal power fraction of the strong user, n , can be
obtained.
1
n = (
)
2
1 + |hn,2 | n
}
{(
}{ N
)

2
2
1 + |hn,2 | n 1
|hn,2 wk | n + 1
(

In the case where < 0, even though the total transmit power
of a cluster is allocated to the weak user, R2 cannot be larger
than R2,convBF . Therefore, (12) must be satisfied before the
proposed power allocation scheme can be applied.
If two users selected by the clustering algorithm satisfy (12),
the power will be allocated to the two users according to the
proposed scheme, so that these two users will be supported
by a single BF vector. Otherwise, only the strong user of the
two users will be supported by a BF vector.

n = arg max (R1 + R2 )

140

20

40

60
80
Number of users

100

120

Fig. 2. Sum capacity of the proposed NOMA-BF and conventional multiuser

BF systems vs. the number of users ( = 0.75 and 0.95, N = 2).

1281

when is high, users having a high channel correlation from a

cluster per the proposed clustering algorithm. The high correlation between the users channels can reduce the inter-cluster
interference of the weak user by satisfying (2). Furthermore,
as the number of users increases, the sum capacities of both
the NOMA-BF and the conventional multiuser BF systems
increase because of multiuser diversity gain.
In Figure 3, the weak user capacity is the same for the
NOMA-BF system as for the conventional multiuser BF system. This means that the weak user capacity is guaranteed by
the proposed power allocation scheme. In addition, when is
high, the inter-cluster interference is reduced, thus enhancing
the weak users capacity.
Figure 4 compares the sum capacities for three schemes:
exhaustive search, random selection and the proposed clustering algorithm. Random selection involves randomly choosing
two users from among all the users in the cell. Exhaustive
search is the best way to maximize the sum capacity but has a
high level of complexity. On the other hand, random selection
is the simplest method of the three schemes, but results
in a degraded sum capacity because the users are selected
randomly without considering interference. The figure shows
that the proposed clustering algorithm has a sum capacity that
is similar to that achieved with exhaustive search, but with
low complexity. Therefore, the proposed clustering algorithm
represent a feasible option for ensuring that the NOMA-BF
system achieves improved sum capacity.
V. C ONCLUSIONS
In this paper, we proposed a NOMA-BF system designed
to improve sum capacity. The proposed NOMA-BF system increases the number of supportable users, because two users can
share a single BF vector. In addition, by applying the proposed
clustering algorithm and effective power allocation, we were
able to reduce the inter-cluster and inter-user interferences,

so that the sum capacity of the proposed NOMA-BF was

enhanced compared with that of the conventional multiuser
BF system, while guaranteeing the weak user capacity.
A PPENDIX
A. Proof of optimal power fraction
Solving (9), we use the KKT conditions as follows:
i) 0 ,
ii) D f () + D g () = 0,

(13)

iii) g () = 0, iv) g () 0,
where f () = R1 + R2 and g () = 12 R2,convBF R2 0
in (9). We assume equal transmit power of cluster P and equal
noise density per each user 02 , the optimal is derived from
condition ii) using differentiation and fundamental calculation.
)
(

2
|hn,2 wk | + 1

k=1,k=n
1
(1 + )

,
=

2
2

|hn,2 wn |
|hn,1 wn |

(14)
where = P/02 . If = 0, the optimal power fraction
goes to infinite. However, since needs to satisfy the
condition 0 1 in (9), > 0 from condition i) and
g ( ) need to be zero from conditions iii) & iv), where
g () = 12 R2,convBF R2 . Thus,
g ( ) = 0 &

1
R2,convBF = R2 .
2

(15)

250

Exhaustive search and proposed algorithm

have similar sum capacity

11
10.5

Weak user capacity [Mbps]

10

Sum capacity of NOMA-BF [Mbps]

NOMA-BF (=0.95)
Conventional BF (=0.95)
NOMA-BF (=0.75)
Conventional BF (=0.75)

9.5
9
8.5

Sum capacity is improved

by reducing interference

200

150

Exhaustive search
Proposed algorithm (=0.75)
Random selection

7.5
7
6.5

20

40

60
80
Number of users

100

100

120

Fig. 3. Weak user capacity with the proposed NOMA-BF and conventional
multiuser BF systems vs. the number of users ( = 0.75 and 0.95, N = 2).

10

20

30
40
Number of users

50

60

Fig. 4. Comparison of sum capacity between user selection schemes for

NOMA-BF system vs. the number of users ( = 0.75, N = 2).

1282

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Feb. 2010.

|hn,2 wn | (1 ) P

log2 1 +

2
2

|hn,2 wn | () P +
|hn,2 wk | P + N0

1
log
2 2

1+

|hn,2 | P
N0

k=1,
k=n

)
,

(16)
2

1 +

|hn,2 wn | (1 ) P
N

2
2
|hn,2 wn | () P +
|hn,2 wk | P + N0
k=1,k=n

v(
)
u
2
u
|hn,2 | P
t
=
1+
,
N0
= (

1
2

1 + |hn,2 |

{(

(17)

}{
1 + |hn,2 | 1
2

|hn,2 wn |

}
2

|hn,2 wk | + 1

k=1,k=n
2

1 + |hn,2 |

,
(18)

From (18), we derive the desired result, (11). The in (13)

can be obtained from (13) and (11).
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