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We assume a narrowband signal, which means that the bandwidths of the

communication signals are narrow compared to the coherence bandwidth of

the channel. a narrowband channel a channel where the channel coefficient
between each transmitter and each receiver is a complex scalar
Our theoretical results and Monte-Carlo simulations show that: (1) if the
frequency-selective Rayleigh fading channel impulse response has no inter-tap
corre-lations, then its ergodic capacity is the same as that of the frequency at
Rayleigh fading channel. 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. Research on the capacity of MIMO systems with frequency selective
fading typically takes the approach of dividing the channel bandwidth into
parallel flat fading channels.When the channel is time-varying channel
capacity has multiple definitions, depending on what is known about the
channel state or its distribution at the transmitter and/or receiver. These
definitions have different operational meanings. Specifically, when the
instantaneous channel gains, also called the channel state information (CSI),
are known perfectly at both transmitter and receiver, the transmitter can
adapt its transmission strategy (rate and/or power) relative to the
instantaneous channel state. In this case the Shannon (ergodic) capacity is the
maximum mutual information averaged over all channel states.
Ergodic capacity is an appropriate capacity metric for channels that vary
quickly, where the channel is ergodic over the duration of one codeword. In
this case rates approaching ergodic capacity can be achieved with each
codeword transmission. Ergodic capacity is typically achieved using an
adaptive transmission policy where the power and data rate vary relative to
the channel state variations [35]. Alternatively, this ergodic capacity can be
achieved when only transmit power is varied .
MIMO capacity under the CSIR assumption
The information available about the channel is called Channel State
information (CSI) .Performance depends on the knowledge that the
transmitter and the receiver have about the channel. the receiver is assumed
to track perfectly the channel variations.
The channel state information at the transmitter (CSIT) is the information
about the channel available at the transmitter while the channel state
information at the receiver (CSIR) is the information about the channel
available at the receiver.
CSI at the receiver (CSIR) includes all the channel coefficients of the links
going from the transmitter to the receiver. This information is necessary so
that the optimal ML decoding can be performed. The receiver is assumed to
perfectly track the CSI. In LTE Rel 8, the channel and noise variance are
typically estimated by using pilot symbols embedded in the signal sent from
the transmitter. The mechanisms for CSIT acquisition rely mainly on feedback.
For LTE FDD, only feedback can be used and not channel reciprocity as the
direct link and inverse link do not use the same frequencies.

In this thesis, capacity is given for the following two cases.

1. The receiver knows the instantaneous value of the CSIR. The
transmitter knows the instantaneous value of the CSIT.This is called
Closed loop MIMO used for low and medium speed users.
2. The receiver knows the instantaneous value of the CSIR. The
transmitter does not know the instantaneous value of the CSIT but
knows its distribution.This is called opened loop MIMO and used for
high speed users

The coding scheme can be adjusted according to the available knowledge at

the transmitter about the channel to achieve a reliable communication.
Since the capacity, C, of a MIMO system is a function of H, if H is random, so is
C. Therefore, when the channel varies randomly C is a random variable that
can be characterized in terms of all the various statistics that are applicable to
any random variable. The simplest statistic is the mean of the capacity. In
MIMO and information theory literature, the mean value of the capacity is
called the ergodic capacity.we can derive the ergodic capacity from
determenstic channel .
Therefore first let us discuss about the capacity of deterministic channel

Tim brown
Deterministic(Time-Invariant) MIMO Channel

1.opened loop MIMO

Under the CSIR only assumption, the transmitter does not have knowledge
about the communications channel, so there is no basis for transmitting
signals in any sort of preferential way on different antennas. This fact has two
1. There is no reason to transmit more energy on one antenna than
another; thus, the average signal power should be the same on each
transmit antenna.
2. There is no reason to introduce correlation or dependence between
In summary: under the CSIR only assumption, transmitted signals on each of
the Nt transmit antennas are equi-power, independent, and uncorrelated.

Time-Invariant MIMO Channel: A Set of Parallel Independent

AWGN Channels
When multiple antennas are present simultaneously at both the transmitter
and receiver, the capacity achieving scheme consists of sending multiple
symbols per transmission period. The transmission and reception of each
symbol relies on pre- and post-processing that is matched to the underlying
structure of the channel based on its singular value decomposition (SVD).
This pre- and post-processing allows for the extraction of a spatial route for
communication (simply a SISO channel) for each transmitted symbol. Multiple
pairs of pre- and post-processing create multiple spatial routes. Those
multiple spatial routes are independent and the MIMO system becomes
equivalent to a set of independent SISO channels. Hence the capacity becomes
the sum of the capacity of each SISO channel.

Singular Value Decomposition of H

The SVD decomposition of the channel matrix is fundamental in
understanding MIMO systems:
(a) it extracts the equivalent independent AWGN channel structure,
(b) it gives the maximum number of streams that can be multiplexed
(c) it provides a very simple way to compute the capacity which becomes the
sum of AWGN channel capacity.
The SVD of the channel matrix H is:

H = U_VH
Both MRMR matrix U and MTMT matrix V are unitary matrices. _ is a
MRMT diagonal matrix with nonnegative singular values k, k = 1, . . . , Mmin,
where Mmin =min(MT,MR). For convenience, the singular values are ordered
decreasingly: 1 2 Mmin . The ks are called the eigenmodes of the
Singular Values and Channel Energy: The following relationship between
channel energy and singular values will be useful.
. Using the relationships HHH = U_2UH and tr HHH_=tr_HHH_
, the following result is obtained: tr_HHH_= _rH
k=1 2
k. To summarise:
tr_HHH_=_MTi=1 _MR j=1 |hji|2 = _rH k=1 2 i
Each output k, k = 1, . . . , MR of the equivalent system (2.33) can be written as:
yk = k xk + nk, for k = 1, . . . , rH
yk = nk, for k = rH + 1, . . . , MR, when rH <MR.
Each independent channel is also called an eigenchannel as the associated
channel coefficient is an eigenvalue of the channel matrix. Alternatively it is
sometimes referred to as a subchannel. The entire MIMO channel is equivalent
to the set of all the eigenchannels, each of which has a different SNR.
Looking at Equation (2.34), each inputoutput relationship yk = k xk + nk
describes an AWGN channel as described in Section 2.5.1: see Figure 2.10.
Furthermore, as the additive noises nk are all independent from each other,
those AWGN subchannels are all independent from each other, forming a set of
parallel AWGN channels. This means that an optimal coding can be done
independently for each AWGN subchannel. Thus, the capacity of the MIMO
system is the sum of the individual capacities.

Waterfilling and Capacity

Let us introduce the following quantities defined for each eigenchannel as:
Let Pk be the transmit power of eigenchannel k (the power in xk). Pkk can be
seen as the SNR of the kth eigenchannel. The capacity of each eigenchannel
with transmit power Pk is the capacity of an AWGNchannel with SNR = Pkk: it
is equal to log2(1 + Pkk). Pk is adjusted to maximise the capacity of the MIMO
system while complying with the overall transmit power constraint:
_rH i=1 Pk P . In general, Pk depends on all nonzero singular values, through
the power constraint.
The capacity of the MIMO system is the sum of the individual capacities with
optimized transmit power per eigenchannel:

The optimisation problem in (2.36) can be solved using the method of

Lagrangian multipliers. The results on capacity can be summarised as follows.

Reformulating the Capacity for the Time-Invariant MIMO Channel

Let us nowrevisit the time-invariant MIMO channel of Section 2.5.4. For a fixed
covariance matrix, the maximal achievable rate for reliable communication is
(2.46). To find thebcapacity, one needs to find the optimal covariance matrix
that maximises (2.46). The capacity is then also defined as:

The capacity of aMIMO channel with only CSIR can be interpreted as the sum
of r SISO channels, each having power gain, i, i = 1, . . . , r, where the effective
transmit power of a SISO channel is 1/Nt times the total actual transmit power.

This result shows that in principle it is possible to transmit up to r data streams over a
MIMO channel, which demonstrates the importance of having large channel rank.
because the gains of the SISO channels are given by the eigenvalues, this
result also shows the importance of having large eigenvalues, or put negatively, the
adverse effect of small eigenvalues. Channel rank is a quantitative way to characterize
the scattering richness of a MIMO channel.
We will see that it is possible for the capacity to exceed
the values given in this expression when both CSIT and CSIR are present. Under those
assumptions, the transmitter has knowledge of the communications channel matrix, so it
will be found that equi-power and uncorrelated transmitted signals are not optimal and
that by using the transmitters knowledge of the channelIn this principle, more power is allocated
to the channel that is in a good condition and less power or none to the bad channels.

1. Set the iteration count p to 1 and compute by solving the following equation:

1 + 1


2. Using the value of obtained above, solve for the power, Popt
i , for the ith eigen-channel using
the following equation:
. i = 1, . . . , (r p + 1)

3. If the power is allocated to the channel with the lowest gain (i.e., if Popt rp+1 < 0
), discard that
channel by setting Popt rp+1 = 0 and rerun the algorithm with the iteration count p incremented
by 1.
4. Repeat steps 13 until all channels have been allocated power.
Capacity for a General MIMO Channel
For an optimal transmission, the covariance of the input signalsRxx should be adapted to
channel distribution. When the covariance matrix of the input signal is fixed, we have
that the maximal achievable rate over a given channel fadeH is log2 det[I + HRxxHH/2
It is achieved when the channel is known at the transmitter. The ergodic capacity is the
average of the maximal achievable rate over the channel fades.


Channel Capacity when CSI is Known to the Transmitter Side

Performance comparison
In general, we find that the relative performance of these techniques
depends on the signal-to-noise ratio and the relative values of Nt and Nr. It is clear that the
capacity is always higher when the channel is known than when it is unknown. This advantage reduces at
high SNR values, because at high SNR values, all the channels perform equally well.

Capacity of random channels

In our discussions so far, we have assumed that the channel matrix is fixed. Of course, in
the real world H is time-varying, and so, too, is the capacity. In this section we consider
the capacity of randomly-varying channels and introduce the concepts of ergodic and
outage capacities

we show that when there is no direct path between the transmitter

and receiver, the magnitude of the elements of H is Rayleigh distributed. This means
that Re{hij} and Im{hij} are N(0, 2 h ).
Let the magnitude of the elements of H be Rayleigh distributed with2h= 1/2, which
implies that E{|hij|2}
= 1. Furthermore, assume that the channel is spatially white, which means that
E{hijhmn}== imjn. When these conditions hold, the channel matrix is denoted by Hw.

Ergodic capacity
Since the capacity, C, of a MIMO system is a function of H, if H is random, so is
C. Therefore, when the channel varies randomly C is a random variable that can be
characterized in terms of all the various statistics that are applicable to any random
variable. The simplest statistic is the mean of the capacity. In MIMO and information
theory literature, the mean value of the capacity is called the ergodic capacity.

Introduction to
MIMO Communications
The Johns Hopkins University
_c Cambridge University Press 2014

Capacity of the Time-Invariant Channel

In this section, the channel is assumed time invariant (TI) and known at the transmitter
the receiver. First, we examine the fundamental case of a time-invariant SISO channel,
called Additive White Gaussian Noise (AWGN), followed by the case of multiple antennas

Main assumptions for the time-invariant MIMO channel

_ Acodeword spans over an asymptotic long data block, thus averaging out the noise.
_ The channel is time-invariant.
_ CSIT and CSIR are known.

[34]Capacity Limits of MIMO Systems

Andrea Goldsmith, Syed Ali Jafar, Nihar Jindal, and Sriram Vishwanath