Dynamic User Clustering and Power Allocation for Uplink and Downlink Non-Orthogonal Multiple Access (NOMA) Systems

In this paper, first we briefly describe the differences in the working principles of uplink and downlink NOMA transmissions. Then, for both uplink and downlink NOMA, we formulate a sum-throughput maximization problem in a cell such that the user clustering (i.e., grouping users into a single cluster or multiple clusters) and power allocations in NOMA cluster(s) can be optimized under transmission power constraints, minimum rate requirements of the users, and SIC constraints. Due to the combinatorial nature of the formulated mixed integer non-linear programming (MINLP) problem, we solve the problem in two steps, i.e., by first grouping users into clusters and then optimizing their respective power allocations. In particular, we propose a low-complexity sub-optimal user grouping scheme. The proposed scheme exploits the channel gain differences among users in a NOMA cluster and group them into a single cluster or multiple clusters in order to enhance the sum-throughput of the system. For a given set of NOMA clusters, we then derive the optimal power allocation policy that maximizes the sum throughput per NOMA cluster and in turn maximizes the overall system throughput. Using KKT optimality conditions, closed-form solutions for optimal power allocations are derived for any cluster size, considering both uplink and downlink NOMA systems. Numerical results compare the performance of NOMA over orthogonal multiple access (OMA) and illustrate the significance of NOMA in various network scenarios.