Performance Evaluation of Non-orthogonal Multiple
Access Combined with Opportunistic Beamforming
Anxin Li†, Anass Benjebbour‡, Atsushi Harada†
†
DOCOMO Beijing Communications Laboratories Co., Ltd.
‡
Radio Access Network Development Department, NTT DOCOMO, INC.
Email: {liax, harada}@docomolabs-beijing.com.cn, anass@nttdocomo.co.jp
Abstract—Non-orthogonal multiple access (NOMA) utilizing
power domain and advanced receiver is a promising technique
for future radio access. Multi-antenna techniques have been
deeply studied during the past decade to boost system
performance by virtue of spatial multiplexing and/or spatial
diversity. It is of great interest to study how to efficiently and
effectively combine the two techniques together for further
system performance improvement. This paper investigates on the
combination of NOMA with opportunistic beamforming (OBF),
which has been proposed as a practical multi-antenna
transmission scheme with good performance and very limited
feedback. The key design issues of NOMA with OBF are
investigated including precoding, transmission power assignment,
user feedback and scheduling. Furthermore, a method to
improve the system performance with OBF is proposed by
utilizing historical information. The performance of NOMA with
OBF is investigated by system-level simulations with very
practical assumptions and parameters in order to provide
insights into the suitability of combining OBF with NOMA for
future radio access. Simulation results show the proposed method
is effective and NOMA with OBF is a promising scheme for
future wireless communication systems.
I. INTRODUCTION
Non-orthogonal multiple access (NOMA) utilizing power
domain and advanced receiver has been considered recently as
a candidate multiple access (MA) technology for beyond the
long term evolution (LTE) system [1-12]. NOMA can improve
resource utilization efficiency by exploiting channel quality
differences among users and successive interference
cancellation (SIC) receiver, and maintains a good backward
compatibility when combined with orthogonal frequency-
division multiple access (OFDMA). In the downlink of
NOMA, the base station (BS) broadcasts a superposed signal
with different transmission power being allocated to different
users. When a user performs signal detection, the signals of
users whose power assignment ratios are larger than that of
this user, i.e. higher signal to interference plus noise ratio
(SINR), are detected first and then removed by interference
cancellation. After the interference cancellation, the desired
signal is detected with an improved SINR.
Multiple input multiple output (MIMO) technology has
been deeply studied during the past decade to boost system
performance by virtue of spatial multiplexing and/or spatial
diversity, and has been adopted in commercial systems, such
as the LTE system [13]. Therefore, it is of great interest to
study how to efficiently and effectively combine NOMA and
978-1-4799-4482-8/14/$31.00 ©2014 IEEE
MIMO technology to further improve spectrum efficiency so
as to fulfill requirements of future wireless communication
systems where traffic explosion is envisioned. Most of
existing papers about NOMA focuses on single transmit
antenna systems, such as [1-10]. Until very recently, the
papers [11,12] look at efficient combination methods of
NOMA and MIMO technology, where opportunistic
beamforming (OBF) [14,15] is proposed to combine with
NOMA for system performance improvement. For such a
combination, OBF is used to create random beams in spatial
domain and NOMA is applied in each beam to exploit power
domain. Therefore, both spatial and power domain are
efficiently utilized.
This paper investigates design issues of NOMA with
OBF such as precoding, transmission power assignment, user
feedback and scheduling. Moreover, a method to further
improve performance of system with OBF is proposed by
utilizing historical information. With the proposed OBF
method, performance of NOMA is investigated by system-
level simulations with very practical assumptions, such as
precoding based on periodic channel quality indicator (CQI)
feedback with feedback delay. The main contributions of the
paper lie in two aspects: 1) An enhanced OBF scheme, which
achieves better performance than existing OBF method
[11,12]. 2) Downlink performance evaluation and comparison
of NOMA with OBF and OFDMA with OBF by system-level
simulations with practical assumptions. Although such
evaluation and comparison has been conducted in [11,12], the
assumptions and parameters are not very practical, such as
Shannon-formula based sum rate analysis rather than adaptive
modulation and coding (AMC), ideal uncorrelated MIMO
channel, and ideal feedback without feedback delay.
The rest of this paper is organized as follows. Section II
introduces system model and elaborates on signal transmission
and reception. Section III presents design issues of OBF for
combination with NOMA and section IV shows our proposed
enhanced OBF scheme. Simulation assumptions, performance
evaluation results and analysis are shown in section V. Section
VI, the last section, concludes the paper.
II. SYSTEM MODEL
A. NOMA with OBF for Downlink Transmission
We assume there are M users in the cell and the downlink
bandwidth is divided into multiple subbands as shown in Fig.1.
In each subband, BS performs downlink transmission to
multiple users simultaneously with different transmission The user1 conducts MRC (with weight VMRC) to its received
power for different users. In contrast to OFDMA where only signals and detects data signal of the user2 as
one user can be scheduled in a subband in a beam, in NOMA ( )
VMRC ⋅ Y1 = VMRC ⋅ H 1 ⋅ W ⋅ P1 ⋅ s1 + P2 ⋅ s 2 + VMRC ⋅ N 1 (5)
more than one user can be scheduled in a subband in a beam.
To be more specific, MIMO technology is utilized to create VMRC ⋅ Y1 (6)
sˆ2 =
multiple beams in spatial domain and NOMA is applied inside VMRC ⋅ H 1 ⋅ W ⋅ P2
each beam to exploit power domain. The interference among After then, the user1 conducts SIC to remove the data signal of
users in different beams are eliminated by proper precoding at the user2 and detects its own data signal as
the BS and spatial filtering at the users. The interference among
users inside a beam is handled by SIC processing. The number VMRC ⋅ Y1 − VMRC H 1 ⋅W ⋅ P2 sˆ2 (7)
sˆ1 =
of simultaneously multiplexed users, denoted as N, can be VMRC ⋅ H 1 ⋅W ⋅ P1
different in different subbands. We define Nmax to denote the 2) Two beam case
maximum number of simultaneously multiplexed users in a Without loss of generality, we assume user1 has higher SINR
subband in a beam. In scheduling, N should be less than or while user2 has lower SINR in one beam and user3 has higher
equal to Nmax, for example, Nmax=3 and N equals to 2, 3 and 1 in SINR while user4 has lower SINR in the other beam. The
different subbands in a beam as shown in Fig. 1. received signal Yn at the usern (n=1,2,3,4) can be described by
⎛ P ⋅ s + P2 ⋅ s2 ⎞ (8)
Yn = H n × W × ⎜ 1 1 ⎟ + Nn
⎜ P ⋅s + P ⋅s ⎟
⎝ 3 3 4 4⎠

⎛ y n1 ⎞ ⎛ h n h12n ⎞ ⎛w w12 ⎞ (9)

Yn = ⎜ 2 ⎟, H n = ⎜⎜ 11n n ⎟
⎟, W = ⎜⎜ 11 ⎟⎟
⎜y ⎟ h h w w
⎝ n⎠ ⎝ 21 22 ⎠ ⎝ 21 22 ⎠
The user2 conducts minimize mean square error (MMSE)
detection to separate signals of first and second beam as
⎛ P ⋅ s + P2 ⋅ s 2 ⎞
WMMSE ⋅ Y2 = WMMSE ⋅ H 2 ⋅W ⋅ ⎜ 1 1 ⎟ + WMMSE ⋅ N 2 (10)
⎜ P ⋅s + P ⋅s ⎟
⎝ 3 3 4 4 ⎠
Where WMMSE denotes MMSE weight at the user2. The (10)
Figure 1. NOMA with oppotunistic beamforming. can be rewritten to (11) with simplified notation as
B. Signal transmission and reception ⎛~y1 ⎞ ⎛u u12 ⎞ ⎛ P1 ⋅ s1 + P2 ⋅ s 2 ⎞
⎜ 22 ⎟ = ⎜⎜ 11 ⎟⎟ ⋅ ⎜ ⎟ + WMMSE ⋅ N 2 (11)
⎜~ ⎟ u u ⎜ P4 ⋅ s4 ⎟⎠
We assume two transmit antennas at BS and two receive ⎝ y 2 ⎠ ⎝ 21 22 ⎠ ⎝ P3 ⋅ s3 +
antennas at the users for description simplicity. For each beam, The user2 conducts data detection regarding data signal of
two users are non-orthogonally multiplexed. Extensions to the user1 as interference, i.e.
other antenna configuration or user multiplexing number in a ~
y 21 (12)
beam are straightforward. sˆ2 =
1) One beam case u11 ⋅ P2
Without loss of generality, we assume user1 has higher SINR The user1 conducts MMSE detection to its received signal
while user2 has lower SINR. The received signal Yn at the usern as
(n=1, 2) can be described by ⎛ P ⋅ s + P2 ⋅ s2 ⎞
VMMSE ⋅ Y1 = VMMSE ⋅ H 1 ⋅ W ⋅ ⎜ 1 1 ⎟ +V ⋅ N (13)
( )
Yn = H n × W × P1 ⋅ s1 + P2 ⋅ s 2 + N n (1) ⎜ P ⋅ s + P ⋅ s ⎟ MMSE 1
⎝ 3 3 4 4⎠
⎛y ⎞
1
⎛h h ⎞
n n
⎛w ⎞ (2) Where VMMSE denotes the MMSE weight at the user1. The (13)
Yn = ⎜ 2 ⎟, H n = ⎜⎜ ⎟, W = ⎜⎜ 1 ⎟⎟
n 11 12
⎜y ⎟ n ⎟n can be rewritten to (14) with simplified notation as
⎝ n⎠ ⎝h h ⎠
21 22 ⎝ w2 ⎠
Where Hn denotes channel response matrix with each element ⎛~y1 ⎞ ⎛t t ⎞ ⎛ P ⋅ s + P2 ⋅ s 2 ⎞
⎜ 12 ⎟ = ⎜⎜ 11 12 ⎟⎟ ⋅ ⎜ 1 1 ⎟ + VMMSE ⋅ N1 (14)
hij denotes channel response from receive antenna i to transmit ⎜~ ⎟ ⎜ ⎟
⎝ y1 ⎠ ⎝ t 21 t 22 ⎠ ⎝ P3 ⋅ s3 + P4 ⋅ s 4 ⎠
antenna j, W denotes precoding, sn denotes data symbol
transmitted for usern, Pn denotes transmission power assigned The user 1 conducts detection of data signal of user2 as
for the usern (sum of all Pn equals to transmission power of BS), ~
y11
sˆ2 = (15)
and Nn denotes inter-cell interference plus additive white t11 ⋅ P2
Gaussian noise observed usern, respectively.
The user2 conducts maximum ratio combining (MRC) to After then, the user1 conducts SIC to remove the data signal of
combine the received signals of the two receive antennas as the user2 and detects its own data signal as
( )
WMRC ⋅ Y2 = WMRC ⋅ H 2 ⋅W ⋅ P1 ⋅ s1 + P2 ⋅ s 2 + WMRC ⋅ N 2 (3)
~
y 1 − t P ⋅ sˆ
sˆ1 = 1 11 2 2 (16)
Where WMRC denotes MRC weight at the user2. After then, the t11 ⋅ P1
user2 conducts data detection regarding data signal of the user1 The detections at user3 and user4 follow the same procedure
as interference, i.e. as that of the user1 and the user 2, respectively.
WMRC ⋅ Y2 (4)
sˆ2 = III. NOMA WITH OPPOTUNISTIC BEAMFORMING
WMRC ⋅ H 2 ⋅ W ⋅ P2
In this section, the overall transmission and receiving
Where ⋅ denotes hard-decision. procedure of NOMA with OBF are presented first. Then, the
key design issues are elaborated.
 TABLE I. OVERALL TRANSMISSION AND RECEIVING PROCEDURE FOR
NOMAWITH OBF
NOMA with OBF: overall transmission and receiving
procedure
Step 1: (BS: Reference signal transmission)
-BS determines precoding matrix to be used for reference signal.
-BS conducts precoding to reference signals.
-BS broadcasts the precoded reference signals to users.
Step 2: (User: channel measurement and feedback)
-User estimates equivalent channel response (including precoding
vector) on the basis of the precoded reference signal for each beam.
-User feeds back channel quality indicator (CQI) to BS for each beam.
Step 3: (BS: user scheduling)
-BS conducts NOMA scheduling for each beam jointly or independently
on the basis of the reported CQIs.
Step 4: (BS: data transmission)
-BS conducts data transmission according to the scheduling results.
-BS inserts dedicated reference signal in data channel to enable channel
estimation of scheduled users for data detection.
-BS uses the same precoding matrix/vector for data transmission and
dedicated reference signal as that used for reference signal and user
feedback.
Step 5: (User: data reception)
-User conducts receiving processing (e.g. spatial filtering, SIC) to detect
its desired data signal.
-User feeds back data detection result to BS.
A. Precoding
1) Codebook: Several codebooks can be considered for
NOMA with OBF.
z Non-constant amplitude with infinite codebook size
[11][12].
z Constant amplitude with infinite codebook size
z Constant amplitude with finite codebook size
From performance point of view, the first one is desirable
while from implementation point of view, the third one is
desirable.
2) Precoding Granularity: For precoding to reference
signal, wideband beamforming (i.e. same precoding vector/
matrix for all subbands) can be used to enable CQI measure
and feedback at users. In case of finite codebook size,
precoding vector/matrix can be used in round-robin manner or
random manner in each TTI. For precoding to data, subband
beamforming (i.e. independent precoding vector/ matrix for
each subband) is desirable in order to achieve large
beamforming gain.
B. Transmission Power Assignment (TPA)
1) Optimal TPA Scheme: The optimal TPA scheme assigns
transmission power with an aim to maximize sum of
proportional fairness (PF) metrics of all the multiplexed users
in the subband in all beams. The power assignment of OBF and
NOMA is jointly optimized. Exhaustive search based approach
can be used to find the solution. Although having good
performance, the optimal TPA scheme has a very high
computational complexity.
2) Suboptimal TPA Scheme: In order to reduce the
computational complexity of TPA, one way is to decouple the
joint optimization into individual optimizations. For TPA of
OBF, equal power assignment can be applied among beams.
For TPA of NOMA, the schemes developed for single transmit
antenna systems, such as schemes in [4][8], can be applied.
Through such a way, the computational complexity of TPA can
be greatly reduced at cost of certain performance degradation.
C. User Feedback
1) Channel Quality Information: User measures the
(precoded) reference signals and feedbacks CQI for each beam.
The user is not aware of which precoding vector/matrix is used
by BS for reference signals.
2) Channel Direction information: User does not need to
feed back channel direction information, such as precoding
matrix indicator (PMI).
D. Scheduling
1) Optimal Scheme: The optimal scheduling scheme adopts
the optimal TPA scheme. Firstly, the scheduling scheme
determines all possible candidate user sets for NOMA with
OBF. Secondly, optimal TPA scheme is applied to each
candidate user set to get the power assignment ratios for the
users in the candidate user set and the corresponding
scheduling metric (e.g., the sum of PF metrics of all users in
the candidate user set). Thirdly, the scheduler selects the
candidate user set having the largest scheduling metric for data
transmission.
2) Suboptimal Scheme: One suboptimal scheme is to
conduct NOMA scheduling independently for each beam. The
NOMA scheduling schemes developed for single transmit
antenna system can be directly utilized, such as [4][8]. In order
to achieve good performance, dynamic multiplexing order can
be utilized, i.e. the number of multiplexed users in a subband
and a beam can be dynamically changed.
IV. ENHANCED OBF SCHEME
In existing OBF scheme [11][12], the precoding matrix
used for data transmission is pre-determined to be the same as
that used for reference signal and CQI feedback. The precoding
gain is achieved by scheduling suitable users which can
achieve good performance corresponding to the precoding
matrix. Therefore, the precoding gain becomes limited when
the number of users is limited. In the proposed scheme, BS
memorizes P precoding matrices which achieve the highest
total user throughput in a sliding window including the past. In
the scheduling, BS tries not only the predetermined precoding
matrix but also the P memorized precoding matrices. The best
precoding matrix and corresponding users is selected for data
transmission. Therefore, the precoding gain of the proposed
scheme is achieved by selecting both suitable precoding matrix
and suitable users. As a result, the performance of OBF
transmission can be improved. Figure 3 illustrates the proposed
OBF scheme, where Wt denotes precoding matrix applied to
reference signal at time t .
(a) Existing OBF scheme in [11][12]
(b) Proposed OBF scheme
Figure 2. Enhanced opportunistic beamforming scheme.
 V. PERFORMANCE EVALUATION AND ANALYSIS Cell-edge throughput 1.092 1.205 +10.35
Overall cell
25.898 26.999 +4.25
A. Simulation Assumption and Parameters 10 throughput
Cell-edge throughput 0.646 0.706 +9.29
The major simulation parameters used in system-level
simulations are shown in Table II. The parameters are well Figure 3 shows the cumulative distribution function (CDF)
aligned with existing LTE/LTE-Advanced standards [16, 17] of user throughput when the number of users in each cell is set
in order to have an accurate performance gain estimation of to 20 and Nmax equals two. In Fig.3, B denotes the number
NOMA for practical environments. For the propagation beams. The power assignment method in [8] is used for
model, we take into account distance-dependent pathloss, NOMA system. It can be seen that: the user throughput is
shadowing variation with lognormal distribution, and improved in NOMA systems for the whole region compared
instantaneous multipath Rayleigh fading. The locations of the with their OFDMA counterparts. As we know, the user
users are randomly generated with a uniform distribution throughput is mainly determined by two factors: one is the
within each cell. Channel quality indicator (CQI) is reported to user’s SINR which determines the throughput of a user when
BS by each user with a periodic report interval. Feedback this user is granted the chance to be scheduled. The other is
delay is modeled that CQI is not available for scheduling until the user’s scheduling probability, i.e. how many times the user
is scheduled. Due to the sophisticated power assignment, the
4 subframes after the report. For NOMA, the number of
SINRs of users in NOMA systems do not decrease too much
simultaneously multiplexed users in each subband in a beam is while the scheduling probabilities of the users in NOMA
dynamically determined and changes in each subframe. The systems are almost doubled compared with that in OFDMA
maximum multiplexing order, i.e. Nmax, is set to 2. The same systems. Therefore, there is a large user throughput
MCSs are used for both OFDMA and NOMA in the improvement when NOMA is applied.
simulations. For simplicity, ideal interference cancellation is
assumed in SIC detection in the simulations.
TABLE II. SIMULATION PARAMETERS
Parameter Value Range
Cell layout Hexagonal grid, 19-cell sites,
3cells per site, wrap-around
Inter-site distance 500 m
Carrier frequency 2.0 GHz
Overall transmission bandwidth 10 MHz
Resource block bandwidth 180 kHz
Number of resource blocks 48
Number of users per cell 10, 20
Minimum distance between UE and cell 35 m
BS transmit Number of antennas 2
antenna Antenna gain 14 dBi
User receive Number of antennas 2
antenna Antenna gain 0 dBi
Maximum transmission power 46 dBm
Distance dependent path loss 128.1 + 37.6log10(r),
r. kilometers (dB)
Shadowing standard deviation 8 dB Figure 3. CDF of user throughput: 20 users, Nmax=2.
Shadowing correlation 0.5(inter-site)/1.0(intra-site)
Channel model SCM Figures 4 show performance gain of overall cell
Receiver noise density -174 dBm/Hz throughput from exploiting spatial domain, power domain and
Penetration loss 20dB both spatial domain and power domain. In Fig.4, the “MIMO
User speed 3km/h gain” is defined as performance improvement of “B=2,
Noise figure 9dB Nmax=1” over “B=1, Nmax=1”. The “NOMA gain” is
Subframe length 1 msec defined as performance improvement of “B=1, Nmax=2” over
Subcarrier space 15kHz
“B=1, Nmax=1”. The “MIMO+NOMA gain” is defined as
Feedback delay 4 msec
CQI feedback internal 2 msec performance improvement of “B=2, Nmax=2” over “B=1,
Traffic model Full buffer Nmax=1”. From the simulation results, it can be seen that: 1)
the “NOMA gain” is comparable to the “MIMO gain”. When
B. Simulation Results and Analysis user number is 10, the “NOMA gain” is about 24.71% and the
Table III illustrates performances of OFDMA system with “MIMO gain” is about 29.74% .When user number is 20, the
the existing OBF [11][12] and the proposed OBF scheme. It “NOMA gain” is about 30.43% and the “MIMO gain” is about
can be seen that the proposed OBF scheme can improve both 35.23%. 2) The “MIMO+NOMA gain” is close to the
overall cell throughput and cell-edge throughput. The “NOMA gain” plus the “MIMO gain”, which is about 48.08%
performance gain is about 5% for overall cell throughput and and 60.63% when user number is 10 and 20, respectively.
about 10% for cell-edge throughput. Therefore, NOMA with OBF is a very efficient and effective
combination method especially when user number is large.
TABLE III. PERFORMANCE OF ENHANCED OBF
Number Performance Existing Enhanced Because such large performance gains are achieved with very
Gain(%) practical assumptions and parameters, it indicates that NOMA
of users (Mbps) OBF OBF
Overall cell with OBF is a promising radio access technique.
5 23.703 24.903 +5.06
throughput

Figure 4. Performance gain of overall cell throughput (Nmax=2).
Figure 5 shows the distribution of the number of
simultaneously multiplexed users when Nmax=2 and 10 users in
each cell. It can be seen that: 1) NOMA can effectively
increase the number of simultaneously multiplexed users. In
other words, the user scheduling probability can be greatly
increased.
Figure 5. Distribution of the number of multiplexed users (10 users, Nmax=2).
VI. CONCLUSION
Multiple access technology is of vital importance to future
wideband wireless communication systems beyond LTE. In
this paper, we investigated the suitability of combining NOMA
with MIMO by using opportunistic beamforming. Firstly the
key design issues of precoding, transmission power assignment,
user feedback and scheduling for NOMA with OBF are
investigated. Secondly, an enhanced scheme is proposed for
system with OBF to further enlarge the precoding gain. Finally,
the performance of NOMA with OBF is evaluated by system-
level simulations. The simulation assumptions and parameters
are well aligned with the existing LTE/LTE-Advanced
standards in order to have a good assessment of the achievable
performance gain and derive insights about the combination of
NOMA and OBF. From the simulation results, NOMA with
OBF can achieve large performance gain compared to the
OFDMA counterpart and thus is a promising approach for
future wireless communication systems.
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