Ergodic Capacity, Capacity Distribution and

Outage Capacity of MIMO Time-Varying and

Frequency-Selective Rayleigh Fading Channels
Chengshan Xiao

and

Yahong R. Zheng

Department of Electrical & Computer Engineering

University of Missouri, Columbia, MO 65211, USA
xiaoc@missouri.edu

yzheng@ee.missouri.edu

Abstract
The ergodic capacity, capacity distribution and outage capacity are investigated for
MIMO wireless systems under time-varying and frequency-selective Rayleigh fading
channels. Our theoretical results and Monte-Carlo simulations show that: (1) if the
frequency-selective Rayleigh fading channel impulse response has no inter-tap correlations, then its ergodic capacity is the same as that of the frequency flat Rayleigh
fading channel, otherwise, its ergodic capacity is less than that of the frequency flat
Rayleigh fading channel; (2) time variations have no influence on ergodic capacity but
have significant impact on the capacity distribution and outage capacity in the case of
finite coding length; (3) the maximum diversity level of a MIMO channel is quantified
as M N L NDPR , where M, N , and L are the number of receive antennas, the number
of transmit antennas, and the channel length, respectively. The fourth-dimensional
diversity is provided by time variations due to Doppler spread with the order being
NDPR = 1 + 2KFd Ts , where K is the coding length, Fd the maximum Doppler, and Ts
the symbol period.

Introduction

The ergodic capacity, capacity distribution and outage capacity are to be investigated for
MIMO wireless systems under time-varying and frequency-selective Rayleigh fading channels. Currently, the majority of the MIMO channel capacity analysis assumes quasi-static
channels, or block fading channels [1]-[12], where the channel remains a constant through
a transmission block (codeword), and varies randomly from one block to another. This assumption implies that the MIMO channels have no Doppler spread, which is not the case in
moderate and high user mobility wireless communication systems.
In this paper, we consider the MIMO channels with both time variations and frequency
selectivity. In other words, both the Doppler spread and the delay spread are included in the
fading channels. We assume that the channel state information is unknown to the transmitter
but perfectly known to the receiver. Theoretical formulas are derived for the ergodic capacity
and the probability density function (PDF) of the instantaneous capacity upper bound. It
is verified, through Monte-Carlo simulations on the PDFs of the true instantaneous capacity
and its upper bound, that the shapes of the upper bound PDFs are similar to the true
capacity PDFs except for their slightly higher mean values than the true capacity PDFs.

346

Moreover, three important findings are also presented. First, if the frequency-selective
Rayleigh fading channel impulse response has no inter-tap correlations, then its ergodic
capacity is the same as that of the frequency flat Rayleigh fading channel; otherwise, if
the frequency selective Rayleigh fading channel has inter-tap correlation, then its ergodic
capacity is less than that of the frequency flat Rayleigh fading channel. Second, a slow
time-varying channel and a fast time-varying channel have the same ergodic capacity but
different capacity distributions. The larger the time variations, the higher and narrower the
PDF curves, and the larger outage capacity at acceptably low outage probabilities. Therefore
time variations provide a dimension of diversity which is referred to as Doppler diversity in
this paper. The Doppler diversity order is quantified as NDPR = 1 + 2KFd Ts , where K is the
coding length, Fd the maximum Doppler, and Ts the symbol period. Increasing the Doppler
diversity order will significantly improve the outage capacity at low outage probabilities.
This is of particular interest in practical wireless communication systems with high data
rate and low error probability. Third, the maximum diversity level of a MIMO channel is
also quantified as M N L (1 + 2KFd Ts ), where, L is the channel length.

Channel Model and Preliminaries

Consider an M N MIMO Rayleigh fading channel described by the following discrete-time

model [13]
L1
X

y(k) =

H(l, k)x(k l)+v(k),

k = 0, 1, , ,

(1)

l=0

where x(k) = [x1 (k), x2 (k), , xN (k)]t , v(k) = [v1 (k), v2 (k), , vM (k)]t and y(k) = [y1 (k),
y2 (k), , yM (k)]t are the modulated signal input vector, the circularly symmetric complex additive white Gaussian noise vector with zero mean and variance 2 , and the output
signal vector at time instant k, respectively. The superscript ()t is the transpose. The
channel matrix H(l, k) is the lth-tap delayed channel impulse responses at time instant k.
Its (m, n)th element is the channel coefficient denoted hm,n (l, k). The channel coefficients
are zero-mean Gaussian random variables. The correlation function between the channel
coefficients hm,n (l, k) and hp,q (l, k) is given by [13]
h

E hm,n (l1 , k1 ) hp,q (l2 , k2 ) = RX (m, p) TX (n, q) ISI (l1 , l2 ) J0 [2Fd (k1 k2 )Ts ] , (2)
where J0 () is the zero-order Bessel function of the first kind, Fd is the maximum Doppler
frequency and Ts is the symbol period. The matrices RX , TX and ISI are the receive
correlation coefficient matrix, the transmit correlation coefficient matrix, and the intersymbol interference (ISI) inter-tap correlation coefficient matrix, respectively. They satisfy
tr (RX ) = M , tr (TX ) = N and tr (ISI ) = 1.
This MIMO channel model is a general model describing trebly selective MIMO channels.
It contains many existing channel models that are currently discussed in the literature. If
L = 1, and Fd = 0, then the channel model becomes the quasi-static, spatially correlated and
frequency flat model discussed in [5]. If L = 1, Fd = 0, TX = IN , and RX = IM , then the
model becomes the quasi-static, i.i.d., and frequency flat model [1]. If M = 1 and N = 1,
then our model becomes the doubly selective model for single-input single-output (SISO)
systems [14]. In the sequel, we concentrate our study in the time-varying and frequencyselective MIMO channel where TX = IN and RX = IM with IM being the M M identity
matrix.

347

Due to the intersymbol interference, the mutual information has to be calculated based
on a block of K output symbols {y(k + 1), y(k + 2), , y(k + K)} at the receiver. The
MIMO channel with ISI can be represented by
y(k+1)
H(L1, k+1)
H(0, k+1)
0
0

..
.
.
..
..

.
0

0
y(k+K)
0
0 H(L1, k+K) H(0, k+K)

v(k + 1)
x(k L + 1)

..
.
..

+
.
v(k + K)
x(k + K)

or more compactly

(3)

YK = H XK+L1 + VK ,

(4)

where the input vector XK+L1 is circularly symmetric complex Gaussian, and the noise
vector VK is the additive white complex Gaussian random vector whose entries are i.i.d.
and circularly symmetric.
When the channel matrix H is perfectly known to the receiver, the instantaneous mutual
information (per input symbol) is derived as
I(YK , XK+L1 ) =
h

1
log2 det IKM + 2 HQHh ,
K +L1

(5)

where Q = E XK+L1 XhK+L1 . For a large K L, the factor 1/(K + L 1) in (5) can be
approximated by 1/K.
When the transmitter does not know the channel, the equal power allocation scheme is
P
I(K+L1)N , where P is the total transmit power across
generally employed. Therefore, Q = N
the N antennas. In this case, the instantaneous capacity CK (k) is defined by
CK (k) =

1
P
log2 det IKM +
HHh
K
N 2

b/s/Hz.

(6)

Since the channel matrix H is random in nature, the channel capacity CK (k) is also a random
variable, especially when K is finite. We will investigate its statistic properties including the
ergodic capacity (the mean), the capacity distribution (the PDF) and the outage capacity.

Ergodic Capacity

This section presents an explicit formula for the ergodic (average) capacity of MIMO channels
under time-varying and frequency-selective Rayleigh fading senario. An asymptotic approximation for the MIMO channel ergodic capacity is obtained for large numbers of transmit
and receive antennas. Simplified exact solutions are also derived for SISO, SIMO, MISO
Rayleigh fading channels. All proofs of our new results are omitted for brevity.
Theorem 1: For a time-varying and frequency-selective MIMO Rayleigh fading channel,
if TX = IN and RX = IM , then the ergodic capacity is given by
av

CMIMO =

log2

1+
N ISI

m1
X
i=0

h
i2
i!
Lnm
nm e d
()
(i + n m)! i

(7)

where m = min{M, N }, n = max{M, N }, Lji is the associated Laguerre polynomial [1] of

order i , and = P/ 2 is the SNR, ISI is the SNR degradation factor due to the channel
ISI inter-tap correlations. It is determined by
ISI = (2

1)/

348

(8)

with
C =

1
2

2
0

log2 [1 + f ()] d,

f () = 1 + 2

L1
X

ai cos(i),

i=1

ai =

L1i
X

ISI (l, l + i). (9)

l=0

The formula of the ergodic capacity is somewhat complicated for the general MIMO
Rayleigh fading channel. However, when m is small, such as that in SISO, SIMO, MISO,
MI2O and 2IMO systems, much simpler formulas can be easily derived from (7). For a large
m, the ergodic capacity can also be approximated with high accuracy. These results are
presented in the following corollaries.
Corollary 1: When the numbers of transmit and receive antennas N and M are large,
the ergodic capacity of the MIMO time-varying and frequency-selective Rayleigh fading
channel is approximately
approx

av

CMIMO CMIMO

N
=
2

log2 (1+ ISI )

( a)(b )
d,

(10)

M/N 1 and b =
M/N + 1 .
where a =
Remark: Eqn. (10) implies that if the number of antennas increases with a fixed ratio
N
, then the ergodic capacity increases linearly with N (or M ).
M
Corollary 2: For a SISO time-varying and frequency-selective Rayleigh fading channel,
the ergodic capacity is given by
av

CSISO =

log2 (1 + ISI ) e d,

(11)

where ISI is given by (8).

Remark: If the ISI taps have no inter-tap correlation, then the SNR degradation factor
ISI = 1, which means that there is no SNR degradation. In such a case, the ergodic capacity
of the frequency-selective Rayleigh fading channel is the same as that of the frequency flat
Rayleigh fading channel1 . However, if the ISI taps have inter-tap correlations, which is
generally the case even if the physical channel is WSSUS [12], [13], then the ergodic capacity
of the frequency-selective Rayleigh fading will be always smaller than that of the frequency
flat Rayleigh fading. This degradation is quantized by the SNR degradation factor ISI 1.
Its value is dependent on the level of SNR. Meanwhile, it is discovered that the time variation
(due to Doppler spread) has no impact on the ergodic capacity, meaning that the fast timevarying and slow time-varying fading channels have the same ergodic capacity.
Corollary 3: For time-varying and frequency-selective MISO and SIMO Rayleigh fading
channels, if TX = IN and RX = IM , then the ergodic capacities are given by
av

CMISO =
av

CSIMO =

1
(N 1)!

1
(M 1)!

log2 1+

N 1

e d
N ISI

log2 (1+ ISI )

M 1

e d,

(12)
(13)

where ISI is given by (8).

1

It is noted that this special case has been discussed by Ozarow, Shamai and Wyner in [15] for quasi-static
Rayleigh fading channel. Our result is suitable for both quasi-static and symbol-wise time-varying Rayleigh
fading channels.

349

Capacity Distribution and Outage Capacity

It is mathematically intractable [3] to the derivation of the probability density function of

the instantaneous capacity CK (k) of a time-varying and frequency-selective MIMO channel.
However, based on the structure of H given by (3), we can prove that
ub

CK (k) M log2 [1 + R(k)] = CK (k),

(14)

ub

where CK (k) denotes the instantaneous upper bound of CK (k), and

R(k) =

N L1
M X
K X
X
1 X
|hm,n (l, k + i)|2 .
KM N i=1 m=1 n=1 l=0

(15)

Since the channel coefficients hm,n (l, k) are zero mean Gaussian random variables whose
cross-correlations are given by (2), we can prove that R(k) has the same PDF as the following
random variable
R=

N L1
M X
K X
X
X

k=1 m=1 n=1 l=0

TX,n RX,m DPR,i ISI,l hw

m,n (l, k) ,

(16)

where hw
m,n (l, k) are circularly symmetric complex zero mean unit variance white Gaussian
random variables which are white in the four dimensions (m, n, l, and k). And TX,n ,
RX,m , and ISI,l are, respectively, the nth singular value of TX /N , the mth singular value of
RX /M , and the lth singular value of ISI . The parameter DPR,k is the kth singular value
of the K K matrix K1 DPR whose (i, j)th element is given by
DPR (i, j) = J0 [2Fd Ts (i j)] .

(17)

It can be shown that the matrix DPR has about NDPR non-negligible positive singular values
compared to its largest singular value, where NDPR = 1 + 2KFd Ts .
The introduction of the intermediate random variable (16) leads to a tractable analysis
of the PDF of the instantaneous capacity upper bound as follows.
Theorem 2: For a time-varying and frequency-selective MIMO Rayleigh fading channel,
ub
when TX = IN and RX = IM , the PDF of the instantaneous capacity upper bound CK (k)
is given by
C/M

ln 2 2
p ub (C) =

C
M

pR

C/M

C 0,

(18)

with pR (R) given by

pR (R) =

(R/DPR,1 )
DPR,1

MNL

(R/1 )
MN
1

MN

MNL

(R/DPR,N

DPR,N
(R/LN
LN

DPR

DPR

for ISI = IL /L, R 0

DPR

DPR

(19)
for ISI,l 6= ISI,j , l, j, R 0,

where is the convolution with respect to R, and i = ISI,j DPR,k for j = 1, , L and
k = 1, , NDPR ; and
(M N L)

pMNL (R) =

(M N L)
M N L1 (M N L)R
R
e
,
(M N L 1)!

350

(M N )

pMN (R) =

(M N )
M N 1 (M N )R
R
e
. (20)
(M N 1)!

Remark: For any given M , N and L, if NDPR = 1 + 2KFd Ts approaches infinity, then
ub
ub
the PDF of CK approaches an impulse delta function. Therefore, CK becomes a constant.
In such a case, each individual random realization of H will lead to the same deterministic
ub
CK .
Although the PDF formulas are quite complicated, it is possible to calculate (18) and
(19) numerically. The results will be presented in Section 5. For the special cases of SISO
ub
channels, the PDF of CK (k) can be simplified to closed form formulas. These are presented
in the following two corollaries.
Corollary 4: For a time-varying, frequency flat SISO Rayleigh fading channel, the PDF
ub
of CK (k) is given by

ub
K

!
C
C

2
2 + 1

ln 2
exp
,

(C) =

where

for KFd Ts 1, C 0

(21)

C
C
NDPR

X DPR,n

2
2 + 1

exp
,

ln 2

n=1

DPR,n

for NDPR 2, C 0,

DPR,n

NDPR

DPR,n =

DPR,n
.
k=1,k6=n DPR,n DPR,k
Y

(22)

Corollary 5: For a time-varying, frequency-selective SISO Rayleigh fading channel, the

ub
PDF of CK (k) is given by

ub
K

(C) =

where

ln 2

ln 2

L
(L1)!

2 1

L1

exp L

2 1

, for KFd Ts 1, ISI,l =

1
L , l,

C0
(23)

LNDPR

C
!
X i
2 1

exp
,
i
i
i=1

ISI,l =

L
Y

ISI,l
,
k=1,k6=l ISI,l ISI,k

for NDPR 2, ISI,l 6= ISI,j , l, j, C 0,

LNDPR

i =

i
.
k=1,k6=i i k
Y

(24)

ub

With the PDF of CK (k) at hand, we can study the statistical behavior of the instantaneous capacity CK (k), and the outage capacity following the procedures in [12]. Details are
omitted for brevity.

Simulation Results

To verify the theoretical analysis presented in Section 3 and Section 4, the ergodic capacity,
ub
the instantaneous capacity CK (k) and the instantaneous capacity upper bound CK (k) were
simulated extensively using the discrete-time MIMO channel model described in Section 2.
All our simulation results are in excellent agreement with the theoretical results. To keep
the paper within the length limit, we only present some of the simulation results.

351

5.1

Ergodic Capacity

Figure 1 depicts the ergodic capacity for the SISO, 2 2, and 4 4 systems under three
fading channels. It is shown that every simulated curve is in excellent agreement with the
corresponding theoretical curve. Comparing the ergodic capacities of the three different
systems, we can see that the ergodic capacity increases as the number of antennas. The
inter-tap uncorrelated frequency-selective channel has the same ergodic capacity as that of
the frequency flat fading channel. However, when the frequency-selective Rayleigh fading
channel has inter-tap correlations, its ergodic capacity is smaller than that of the channel
with no inter-tap correlations.
35

25

Ergodic Capacity (b/s/Hz)

Ergodic Capacity (b/s/Hz)

30

10
Flat Fading, Simulation
Flat Fading, Theory
Twotap uncorrelated fading, Simulation
Twotap uncorrelated fading, Theory
Twotap correlated fading, Simulation
Twotap correlated fading, Theory
M=N=4

20

15
M=N=2

10

2KF T = 0.1
d s
2KF T = 1.0
d s
2KFdTs = 5.0

AWGN channel

AGWN channel

Frequency flat Rayleigh fading channel

2
5

0
0

Twotap correlated Rayleigh fading channel

M=N=1

10

15
SNR (dB)

20

25

30

0
0

10

15
SNR (dB)

20

25

30

Figure 1: Ergodic Capacity vs SNR for the SISO,

Figure 2: Time variation (or Doppler spread) effect

22 and 44 systems under: (1) frequency flat fading channel, (2) frequency-selective two-tap uncorrelated fading channel with ISI = [0.5 0; 0 0.5], (3)
frequency-selective two-tap correlated fading channel with ISI = [0.5 0.475; 0.475 0.5]. All fading
is Rayleigh distributed with 2KFd Ts = 1.

on ergodic capacity of SISO channels. Three maximum Dopplers are selected such that 2KFd TS = 0.1,
2KFd TS = 1.0 and 2KFd TS = 5.0. The fading
channels are the same as those in Fig. 1. Observation: the time variations do not have impact on
the ergodic capacity.

Figure 2 shows the time variation (or Doppler spread) effect on the ergodic capacity with
the example of the SISO system. The curves for the frequency-selective inter-tap uncorrelated
fading channel are omitted because they are the same as those of the frequency flat fading
channel, as shown in Fig. 1. All curves were obtained by simulations. It is clearly shown
that the time variations have almost no effect on the ergodic capacities, which agrees with
our theoretical analysis. The figure also indicates that the ergodic capacities of the fading
channels are smaller than that of the AWGN channel.

5.2

Capacity Distribution

Figure 3 shows the capacity distributions for the instantaneous capacity CK (k) and its upper
ub
bound CK (k) using the example of the 2 2 system. The instantaneous capacities CK (k)
ub
were obtained by simulations only. The upper bound capacities CK (k) were computed by
the theoretical formulas given in Section 4 and verified by simulations. The PDFs of the
frequency flat fading channel and the two-tap uncorrelated frequency-selective fading channel
are shown in Fig. 3a and Fig. 3b, respectively. Both slow and fast time-varying channels
were considered.
Upon careful examination of the figures, we can see that all PDF curves are (approximately) bell shaped with the center at their corresponding ergodic capacity (the mean value).

352

CK(k),
Cub(k),
K
C (k),
K
Cub(k),
K

SNR = 0 dB
1.5

2.5

2KFdTs = 0.1
2KFdTs = 0.1
2KF T = 5.0
d s
2KFdTs = 5.0

CK(k),
ub
CK (k),
C (k),
K
Cub(k),

SNR = 0 dB

2KFdTs = 0.1
2KFdTs = 0.1
2KFdTs = 5.0
2KF T = 5.0
d s

PDF

PDF

1.5

1
SNR = 10 dB
SNR = 20 dB

SNR = 10 dB
SNR = 20 dB

SNR = 30 dB

SNR = 30 dB

0.5
0.5

0
0

10
15
Capacity (bps/Hz)

20

25

(a) Frequency Flat Rayleigh fading channel

0
0

10
15
Capacity (bps/Hz)

20

25

(b) Frequency-selective Rayleigh fading channel

ub

Figure 3: PDFs of the instantaneous capacity CK (k) and its upper bound CK (k) with various
SNRs and Dopplers for the 2 2 MIMO system.
The higher the SNR, the larger the width of the bell. The instantaneous capacities C K (k)
u
have slightly lower mean values than their corresponding upper bounds CK b (k). The lower
the SNR, the tighter the bounds.
Comparing the PDFs obtained by slow and fast time-varying channels, we found that
the centers of the curves are the same for different time variations at a given SNR. This
confirms the conclusion drawn in Fig. 2 that the time variations have no effect on the
ergodic capacity. However, the height and width of the curves change dramatically with
the time variations. The PDF curves for the larger time variation are much higher and
narrower. This greatly affects their outage capacities as it is directly related with the PDF
curve through an integration operation [12]. This will be shown in Fig. 4.
Comparing Fig. 3(a) and Fig. 3(b), we found that the PDFs of the frequency selective
fading channel are higher and narrower than the corresponding ones of the frequency flat
fading channel although they have the same ergodic capacities. The larger the number of
fading taps L, the narrower the PDF shape. The narrow PDFs will lead to larger outage
capacities at low outage rate, which is similar to the cases of large time variations. It is
worthwhile to note that, although they do not have influence on the ergodic capacity, the
frequency selective fading and the time variations do improve the outage capacity at low
outage rates. This is of particular interest for high data rate and low error probability
communications in practical wireless communication systems.

5.3

Outage capacity

Figure 4 shows three-dimensional surfaces of the outage capacity vs SNR vs outage probability for both SISO and 2 2 frequency flat Rayleigh fading channels. Both block fading
(2KFd Ts = 0) and time-varying fading (2KFd Ts = 5) are included. These surfaces represent
the performance limit of the corresponding Rayleigh fading channels, assuming optimal coding and large enough coding length. Only the region underneath the surface is achievable
for practical wireless communication systems. The surface of 2 2 block fading channel,
as shown in Fig. 4b, was previously reported in [12, pp.242-243]. It was regarded as the
fundamental limit of the corresponding 2 2 fading channel. However, the surfaces of the
time-varying fading channels, shown in Fig. 4 (c) and (d), are much higher than those of
the block fading channels, especially at low outage probabilities. For example, at the outage

353

probability of 103 and SNR = 20 dB, the SISO time-varying channel can achieve the outage
capacity of 3.64 bps/Hz while that of the SISO block fading channel is only 0.15 bps/Hz.
Similarly, the outage capacity of the 2 2 time-varying channel is 9.07 bps/Hz while that of
the 2 2 block fading channel is only 5.46 bps/Hz.

20
Outage Capacity (bps/Hz)

Outage Capacity (bps/Hz)

12
10
8
6
4
2
0
30

15

10

0
30
20

20

10
2

10

10

10
2

10

10

10
0

SNR (dB)

10

10

(a) SISO block fading channel (2KFd Ts = 0)

10

Outage Probablity

(b) 22 block fading channel (2KFd Ts = 0)

20
Outage Capacity (bps/Hz)

12
Outage Capacity (bps/Hz)

SNR (dB)

Outage Probablity

10
8
6
4
2
0
30

15

10

0
30
20

10

20

10

10

10
2

10

10

10
SNR (dB)

10

10

SNR (dB)

Outage Probablity

(c) SISO time-varying fading (2KFd Ts = 5)

10

Outage Probablity

(d) 22 time-varying fading (2KFd Ts = 5)

Figure 4: The 3-D surface of the outage capacity vs SNR vs outage probability for frequency flat
Rayleigh fading channels. With optimal coding, the SNR can be traded for outage probability
at a given signaling rate, or traded for signaling rate at a given outage probability. The region
underneath the surface is the achievable region for practical wireless communication systems.

It is clear from Fig. 4 that time variations have significant impacts on the outage capacity, especially when the outage probability is small. In fact, time variations provide a
dimension of diversity in addition to the existing three major types of diversities (transmit
diversity, receive diversity, and frequency selective (path) diversity). We call it the Doppler
diversity. The Doppler diversity order is quantified as NDPR = 1 + 2KFd Ts . Increasing the
Doppler diversity order will significantly improve the outage capacity at acceptably low outage rate. When NDPR approaches infinity, the random instantaneous capacity will become a
deterministic constant which is equal to the ergodic capacity at the same SNR.

354

Conclusion

Theoretical formulas have been derived for the ergodic capacity and the probability distribution of the instantaneous capacity upper bound for MIMO wireless systems under timevarying and frequency-selective Rayleigh fading channels. It has been shown that: (1) if
the frequency selective Rayleigh fading channel has no inter-tap correlation, then its ergodic
capacity is the same as that of the frequency flat Rayleigh fading channel, otherwise, its
ergodic capacity is less than that of the frequency flat Rayleigh fading channel; (2) different
time variations lead to the same ergodic capacity but to different capacity distributions and
different outage capacities; (3) the maximum diversity level of a MIMO channel has been
quantified as M N L (1 + 2KFd Ts ).
Acknowledgment: the first author, C. Xiao, is grateful to Professor N.C. Beaulieu for
his helpful discussion at the early stage of the work.

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