MIMO Channel Capacity

MIMO System Model

E{x i } = 0,

X : nt 1, transmit vector

xi : independent identicaly distributed Gaussian Variable R xx = E x x P = tr ( R xx )

2

P : total transmitted power

 Assume the signals transmitted from individual antenna elements have equal powers of P n
T

P R xx = I nT nT
Assume that the channel is narrowband and memoryless and denoted by an nR nT complex matrix, H Assume that the received power for each element is equal to the total transmitted power

h
j =1

nT

ij

= nT ,

i =1, 2 ,......nR

 Assume that the channel matrix H is known to the receiver, but not always at the transmitter.
R nn = E n n H = 2 I nR r : nR 1, receiving vector Pr : average power at each receiving antenna

: average SNR
Pr P = 2= 2 r = Hx + n R rr = H R xx H + 2 I nR The total received power = tr ( R rr )
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 MIMO System Capacity Derivation

H = U DV UU VV
H H H

= I nR = I nT

D : nR nT non negative and orthognal matrix

The diagonal entries of D are the non-negative square H roots of the eigenvalues of matrix H H
H H y = y , y 0 y : eigenvector d ii = i , d i : singular value of H
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 The columns of U are the eigenvectors of The columns of V are the eigenvectors of

HH
H

H H

r = U DV X + n Define r = U r X =V H X n = U n r = DX + n
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 For the nR nT matrix H , the rank is at most m = min(nR , nT ) H Let r: the number of nonzero eigenvalues of H H

ri = i xi + ni ri = ni

i = 1,......, r i = r + 1, r + 2,......, nR

 The equivalent MIMO Channel can be considered as r uncoupled parallel subchannels The channel power gain is equal to the eigenvalue of
HH
H

R r r = U R rr U R xx = V R xx V R nn = U R nn U tr ( R r r ) = tr ( R rr ) tr ( R xx ) = tr ( R xx ) tr ( R nn ) = tr ( R nn )
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 In the equivalent MIMO channel model, the subchannels are uncoupled and their capacities add up.

C = W log 2 (1 +
i =1

Pri
2

Pri =

i P
nT
r

i P C = W log 2 (1 + ) 2 nT i =1 r i P = W log 2 (1 + ) 2 i =1 nT
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m = min(nR , nT ) Define ( I m Q) y = 0 Q = HH
H H

y0

nR < nT nR nT

H H

det ( I m Q) = 0 P ( ) = det( I m Q)
i =1 m

( i ) = 0
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i =1 r

( i ) = det( I m Q)
2 2

nT nT I m Q) ( i ) = det( i =1 P P r i P P Q) (1 + ) = det( I m + 2 2 i =1 nT nT C = W log 2 det( I m + P nT

2

Q)
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MIMO Channel Capacity for Adaptive Transmit Power Allocation

When the channel parameters are known at the transmitter, the power to various antennas can be distributed by the water-filling rule. The power allocated to channel i is given by

2 + Pi = ( ) , i = 1,2,......, r i

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2 + 2 ( ) = max( ,0) i i is determined by Pi = P

i =1 r

Pri = (i 2 ) + C = W log 2 (1 +

Pri
2

1 2 + = W log 2 1 + 2 (i ) R xx = V diag ( P , P2 ,......PnT )V 1

H

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MIMO capacity examples for channel with fixed coefficients

Example 1. Single Antenna Channel
nT = nR = 1 H = h = 1 C = w log 2 (1 + P

) W = log 2 (1 + 100) = 6.658 bits / S / Hz

if SNR = 20dB, C

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Example 2: A MIMO Channel with Unity Channel Matrix Entries

hij = 1, i = 1,......nR , j = 1,2,......nT

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Case 1. Coherent combinining

1 2+ 1 = h , From2+ 2( ) j C=W=1log iu i
2 r

2 2 = + u + u P , =P, =P
2

P CW 2(+ h 2) = log 1 j
2

nP h 1 = log Ifj =, CW 2(+T2) 1

2

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Example 3. A MIMO Channel with Orthogonal Transmission Assume nR = nT = n

H = nIn HH
H

= nI n

nP C = W log 2 det( I n + I ) 2 n n P = W log 2 det diag (1 + 2 ) P n = W log 2 (1 + 2 )

= nW log 2 (1 + P

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Example 4: Receive diversity

nT = 1, H = (h1 , h2,......hnR )T
H P C = W log 2 det( I nT + H H ) 2 nT

H H = hi
i =1

nR

C = W log 2 (1 + hi
i =1

nR

)
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This corresponds to linear maximum ratio combining. If h 2 = 1 i = 1,......, n

i R

C = W log 2 (1 + nR

For selection diversity P 2 C = max W log 2 (1 + 2 hi ) P 2 = W log 2 (1 + 2 max hi )

{ }

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Example 1.5 Transmit Diversity

nR = 1 H = (h1 , h2 ,......, hnR ) HH
H 2

= hj
j =1

nR

C = W log 2 (1 + h j = W log 2 (1 + P

P nT
2 2

) j = 1,......, nT

) if h j = 1

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 The above applies to the case when the transmitter does not know the channel For coordinated transmissions,

= hj ,
2

1 2 + From C = W log 2 1 + 2 (i u ) i =1
r

2 = P+ ,

u = P + 2 , u 2 = P
2

C = W log 2 (1 + h j
2

) nT P

If h j = 1, C = W log 2 (1 +

)
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Capacity of MIMO Systems with Random Channel Coefficients

Assumptions: 1. Channel coefficients are perfectly estimated at the receiver but unknown at the transmitter. 2. hij are zero mean Gaussian complex random variables.
3. Real { hi , j }and imag {hi , j } are independent zero mean Gaussian i.i.d random variables, each with variance of 1 / 2.

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4. hi , j are Rayleigh distributed, uniform phase distribution E hi , j

[ ]= 1
2

2 Z = Z12 + Z 2 , Z1 , Z 2 are independent Gaussian r.v.

P( Z ) =

r2

Z2 2 2 r

r2 = 1 2

The antenna spacing is large enough to ensure uncorrelated channel matrix entries.
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Capacity of MIMO Fast and Block Rayleigh Fading Channels

For single antenna link, is chi-squared distributed with two degrees of freedom, denoted by 22
h
2

y= =Z +Z ,
2 2 1 1 2 2

Z1 , Z 2 : N (0, )
2 r

P( y ) =

1 2
2 r

2 2 r

2 P C = E W log 2 (1 + 2 2 )
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Let r = rank ( H ) min (nT , nR ) r P C = E W log 2 (1 + i ) 2 nT i =1 P C = E W log 2 det ( I r + 2 Q) nT Q =HH

H H

nR < nT nR nT
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H H

Example: A fast and block fading channel with receive diversity

H = (h1 , h2 ,......, hnR )T For maximum ratio combining P 2 C = E Wlog 2 (1 + 2 2 nR )

2 2 nR

= hi
i =1 2 2 nR

nR

y=

= Z
i =1

2 nR

2 i
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Where Z i are i.i.d . N (0, )

2 r

2 ( nR ) ( ) : gamma function For selective combining

2 nR r nR

P( y ) =

n R 1

2 2 r

P 2 C = E W log 2 1 + 2 max( hi )
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Example: A fast and block fading channel with transmit diversity

H = (h1 , h2 ,......, hnT ) For uncoordinated transmission P 2 2 nT ) C = E W log 2 (1 + 2 nT

2 2 nT

= hj
j =1

nT

lim C = W log 2 (1 +
nT

)
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 The system behaves as if the total power is transmitted over a single unfaded channel. The transmit diversity is able to remove the effect of fading for a large number of antennas.

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 For coordinated transmissions, when all transmitted signals are the same and synchronous.
P 2 C = E W log 2 (1 + 2 2 nT )

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Example: A MIMO fast and block fading channel with transmit-receive diversity
Assume m=n=nR=nT Assume channel parameters are known at the receiver but not at the transmitter.

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1 C = lim n Wn

1 1 0 log 2 (1 + 2 v) v 4 dv 1 + 4P 2 1 1 P 1 = log 2 2 1 + + 2 tanh 2P 2 1 + 4P

4

Q log(1 + x) log x 1 C lim n Wn 1 1 0 log 2 ( 2 v) v 4 dv P = log 2 2 1

4

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 There is a multiplexing gain of n, as there are n-independent sub-channel, which can be identified by their coefficients, perfectly estimated at the receiver.

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Example: A MIMO fast and block fading channel with transmit-receive diversity and adaptive transmitter power allocation The average capacity for an ergodic channel can be obtained by averaging over all realizations of the cannel coefficients.

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 With adaptive power allocation, the power is allocated according to water-filling principle, without adaptive power allocation, the powers from all antennas are all the same. When nT nR , there is almost no gain in adaptive power allocation. If nT > nR , there is a significant potential gain with power distribution. The benefit obtained by adaptive power distribution is higher for a lower SNR and diminishes at high SNR.
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Capacity of MIMO Slow Rayleigh Fading Channels

is chosen randomly, according to a Rayleigh distribution, at the beginning and held constant for a transmission block, e.g. WLAN. Assume that the channel is perfectly estimated at the receiver and unknown at the transmitter. In this system, the capacity is a random variable. The complementary cumulative distribution function (ccdf) defines the probability that a specified capacity level is provided, denoted by Pc . The outage capacity probability, Pout , specifies the probability of not achieving a certain level of capacity. Pout=1- Pc .
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Capacity Examples for MIMO Slow Rayleigh Fading Channels

Example : Single antenna link nT = nR = 1 P 2 C = W log 2 (1 + 2 2 )

Example : Receive Diversity nT = 1, nR = nR P 2 C = W log 2 (1 + 2 2 nR )

Example : Transmit Diversity nR = 1, nT = nT P 2 2 nT ) C = W log 2 (1 + nT 2

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Example: Combined Transmit-Receive Diversity

Assume nT nR . The lower bound C>W
2 2 i i = n T ( nR 1)

nT

log 2 (1 +

P nT

2 ( 2 )i ) 2

( ) is a chi squared random variable with 2 degrees of freedom.

The upper bound n

C < W log 2 (1 +
i =1
T

P nT 2

2 ( 2 nR ) i )

2 ( 2 nR ) i is a chi squared random variable with

2n R degrees of freedom.

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 This case corresponds to a system of uncoupled parallel transmissions, where each of nT transmit antennas is received by a separate set of nR receive antennas, so that there is no interference.

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 In MIMO channels with a large number of antennas, the capacity grows linearly with the number of antennas.

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