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[12] , “Space–time block codes for high data rate wireless communica- have shown that, with the simultaneous use of multiple transmit and re-

tion: Performance results,” IEEE J. Select. Areas Commun., vol. 17, pp. ceive antennas, very large capacity increases can be unleashed [1]–[4].

451–460, Mar. 1999. At the same time, it is reasonable to expect that terminals supportive of

[13] V. Tarokh, A. Naguib, N. Seshadri, and A. R. Calderbank, “Space–time

codes for high data rates wireless communications: Performance cri- progressively higher data rates will tend to be naturally larger in size

teria in the presence of channel estimation errors, mobility and multiple and, consequently, they will be able to accommodate multiple closely

paths,” IEEE Trans. Commun., vol. 47, pp. 199–207, Feb. 1999. spaced antennas. Hence, the deployment of arrays at both base stations

[14] A. Wittneben, “Base station modulation diversity for digital SIMUL- and terminals appears as an attractive scenario for the evolution of mo-

CAST,” in Proc. IEEE Vehicular Technology Conf. (VTC’91), May 1991,

pp. 848–853.

bile data access.

[15] , “A new bandwidth efficient transmit antenna modulation diversity Great progress has been made toward understanding the informa-

scheme for linear digital modulation,” in Proc. IEEE Int. Communica- tion-theoretical capacity and the performance of multiple-antenna ar-

tions Conf. (ICC’93), 1993, pp. 1630–1634. chitectures with thermal noise as the only impairment (see [5]–[16]).

[16] L. Zheng and D. N. C. Tse, “Communication on the Granssmann Within the context of a wireless system, however, the dominant impair-

manifold: A geometric approach to the noncoherent multiple-antenna

channel,” IEEE Trans. Inform. Theory, vol. 48, pp. 359–383, Feb. 2002. ment is typically not thermal noise, but rather cochannel interference.

Thus, the objective of the present work is to extend this understanding

to the realm of spatially colored interference. We invoke, as central tool,

recent results on the asymptotic distribution of the singular values of

random matrices and their application to randomly spread code-divi-

sion multiple access (CDMA) [17]–[19]. Although these distributions

Capacity of Multiple-Transmit Multiple-Receive Antenna pertain asymptotically in the number of antennas, the results we derive

Architectures therefrom become virtually universal under ergodic conditions.

Since the focus is on mobile systems, we consider only “open-loop”

Angel Lozano, Senior Member, IEEE, and architectures wherein the transmitter does not have access to the instan-

Antonia Maria Tulino, Member, IEEE taneous state of the channel. Only large-scale information—defined as

information that varies slowly with respect to the fading rate—is avail-

able to the transmitter.

Abstract—The capacity of wireless communication architectures This correspondence is organized as follows. In Section II, the met-

equipped with multiple transmit and receive antennas and impaired by rics and models are introduced. In Section III, the noise-limited ca-

both noise and cochannel interference is studied. We find a closed-form

solution for the capacity in the limit of a large number of antennas. This

pacity is reviewed using the tools of asymptotic analysis. Such anal-

asymptotic solution, which is a sole function of the relative number of ysis is generalized, in Section IV, to environments containing spatially

transmit and receive antennas and the signal-to-noise and signal-to-inter- colored interference. The main result therein is an expression of the

ference ratios (SNR and SIR), is then particularized to a number of cases asymptotic capacity in the presence of both noise and interference. Fi-

of interest. By verifying that antenna diversity can substitute for time nally, Section V concludes the correspondence.

and/or frequency diversity at providing ergodicity, we show that these

asymptotic solutions approximate the ergodic capacity very closely even

when the number of antennas is very small. II. DEFINITIONS AND MODELS

Index Terms—Adaptive antennas, antenna arrays, asymptotic analysis, A. Propagation Model

M N

channel capacity, diversity, fading channels, multiantenna communication,

multiuser detection. With transmit and receive antennas, the channel responses

from every transmit antenna to every receive antenna can be assembled

I. INTRODUCTION

into an 2N M random matrix G

whose underlying random process

is presumed zero-mean and ergodic. The propagation scenario and the

With the explosive growth of both the wireless industry and the In- spatial arrangement of the antennas determine the correlation among

ternet, the demand for mobile data access is expected to increase dra- G

the entries of . The scenario we consider, typical of a mobile system,

matically in the near future. As a result, the ability to support higher is based on the existence of an area of local scattering around each ter-

capacities will be paramount. Capacity can be pushed by exploiting minal. Accordingly, the power angular spread is expected to be very

the space dimension inherent to any wireless communication system. large—possibly as large as 360 —at the terminals rendering the an-

Nonetheless, due to economical and environmental aspects, it is highly tennas therein basically uncorrelated. At the base station, the angular

desirable not to increase the density of base stations. Under such con- spread tends to be small [20], [21] but the antennas can be also decor-

straint, antenna arrays are the tools that enable spatial processing on a related by spacing them sufficiently apart [22]–[25]. Consequently, we

per-base-station basis. Recognizing this potential, the use of arrays at focus on channel matrices containing only independent entries.

base-station sites is becoming universal. Array-equipped terminals, on G

Since the elements of are identically distributed, it is possible to

H

=p .

define a normalized channel matrix with unit-variance entries such

gH

the other hand, had not been contemplated in the past because of size

and cost considerations. However, recent results in information theory that G

B. “Open-Loop” Capacity

Manuscript received May 3, 2001; revised April 8, 2002. Perfect channel estimation at the receiver [26]–[28] is presumed.1

A. Lozano is with the Wireless Communications Research Department, Bell The impairment comprises additive white Gaussian noise (AWGN) as

Laboratories, Lucent Technologies, Holmdel, NJ 07733 USA (e-mail: aloz@lu-

cent.com).

A. M. Tulino is with the Department of Electrical Engineering, Princeton

University, Princeton, NJ 08540 USA (e-mail: atulino@princeton.edu). 1The penalty associated with channel estimation is small as long as the coher-

Communicated by D. N. C. Tse, Associate Editor for Communications. ence time of the channel—measured in symbols—is large enough with respect

Digital Object Identifier 10.1109/TIT.2002.805084 to the number of transmit antennas [27].

3118 IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002

ERGODIC (AND ASYMPTOTIC) CAPACITIES PER RECEIVE ANTENNA WITH

sumed Gaussian.2 As a consequence, we are interested in the spatial

covariance of the impairment conditioned on the fading of the inter-

=

SNR 10 dB. THE ERGODIC VALUES CORRESPOND TO THE AVERAGE OF

Q

ference. Such spatial covariance, which we define as , is also pre-

10 000 INDEPENDENT RAYLEIGH CHANNEL REALIZATIONS

Q

transmitter). Notice that, since depends on the random fading of the

interference, it can be viewed as a random variable itself. Furthermore,

Q

given that is—in general—not proportional to the identity, it follows

that the interference is spatially colored.

When the entries of Gare independent and unknown to the trans-

mitter, the mutual information is maximized by transmitting a Gaussian by the spreading factor, corresponds in our case to the number of re-

signal with spatial covariance ceive antennas, while the number of users corresponds to the number

8 = MP IM (1) of transmit antennas. There are, nonetheless, significant differences.

• The spatial signatures for the different transmit antennas are not

given a total radiated power P [2]. Since the channel is time varying in

chosen by the system designer, as in CDMA, but rather imposed

nature, such mutual information fluctuates with it. With a sufficiently

by nature. Moreover, their distribution depends on the type of

long coding horizon, it is possible to code over the short-term channel

fading being experienced. Remarkably, though, the distribution

fluctuations and approach the ergodic capacity given by [11]

of the eigenvalues of y converges to the same exact function

HH

C =E IN + MP gHHy Q01

log2 det (2) regardless of the distribution of its entries so long as those are

independent and identically distributed [17].

with expectation over the distributions of H and Q. It is also possible to

• Because of the total power constraint imposed at the transmitter,

code over the short-term channel randomness in the frequency domain,

the SNR typically used in CDMA has to be normalized by the

whereby the ergodic capacity is approached as the signal bandwidth

dimensionality ratio .

increases [30].

If it is not possible to code over the short-term channel variations, • The transmit antennas are colocated and part of a single trans-

one must resort to the idea of outage capacity, wherein the capacity ceiver whereas, in CDMA, the multiple users are geographically

itself is regarded as a random variable that fluctuates with the channel. dispersed. Hence, joint coding of the transmit signals is feasible

As we shall see, nonetheless, the outage capacity hardens around its in our problem, but not in CDMA.

average as the number of antennas increases and thus the outage and

With these considerations, the asymptotic capacity per dimension

ergodic capacities coincide asymptotically.

derived in [17] and [32] for synchronous CDMA can be modified to

express the noise-limited asymptotic capacity per receive antenna as

III. NOISE-LIMITED CAPACITY

A. Nonasymptotic Noise-Limited Capacity C (; SNR) = log2 1 + SNR 0 F ;

SNR

When the impairment consists exclusively of AWGN, we have

Q = 2 IN (3)

+ log2 1 +

SNR

0F ;

SNR

where 2 is the noise power per receive antenna. Defining 2 (e) F

def P

0 logSNR ;

SNR

(8)

SNR = g (4)

2 with

as the average signal-to-noise ratio (SNR), we can write

F (x; y) def

= 4

1

1+y 1+

px 2 0 1+y 1 0 px 2

2

: (9)

C = E log2 det IN + SNR

M

HHy : (5)

The asymptotic capacity is solely a function of and the SNR. Fur-

thermore, it yields an extremely accurate approximation to the ergodic

B. Asymptotic Noise-Limited Capacity capacity even when the number of antennas is very small (see Table I).

As the number of antennas increases, the empirical distribution of the Next, we particularize C for a number of special cases and study

eigenvalues of the random matrix y converges to a deterministic

HH in detail its dependence on both and SNR.

function [31]. Defining the ratio of transmit and receive antennas as 1) Dependence on : C is maximized by letting ! 1.

Hence, the capacity with an optimal receiver3 increases monotonically

M

def

= (6) with , as seen in Fig. 1. Although additional antennas thus increase

N capacity regardless of whether they are added to the transmitter or to

and the capacity per receive antenna as the receiver, they add different value depending on where they are de-

C

C def

=

N

(7) ployed. Such difference stems from the fact that the total radiated power

is bounded whereas the total captured power increases with additional

we now look into finding C as the number of antennas is driven to receive antennas. Therefore, the capacities corresponding to and to

infinity with a constant ratio . 1= are different.4 Additionally, Fig. 1 hints that there is little incen-

Fundamentally, we are faced with a multiple-input multiple-output tive in increasing beyond unity. This result is formalized in the next

problem that is akin to that of a synchronous CDMA channel with section.

random spreading. The dimensionality of such a channel, represented

3This is not necessarily true if a suboptimal receiver is utilized [6].

2Ifthe interference is not Gaussian, the capacities we derive serve as lower 4In “closed-loop” architectures, wherein the channel realization is known at

bounds [29]. the transmitter, these capacities coincide [2].

IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002 3119

Fig. 1. Asymptotic noise-limited capacity per receive antenna as a function of for various levels of SNR.

Of particular interest is C with = 1, which can be expressed 2) Dependence on SNR: Insightful expressions can be obtained by

[14] as particularizing C at high SNR, wherein a series expansion of (8)

p yields

C (1; SNR) = 2 log2

1+ 1 + 4 SNR log2

SNR

e 0 ( 0 1)

2

p 1 log2 1 0 1 + O SNR 1 ; 1

0 log 2 (e) 01

2

: (10) C (; SNR) =

log2 e 0 (1 0 )

1 + 4 SNR SNR

4 SNR

On the other hand, if N is kept fixed while M ! 1, the capacity per 1 log2 (1 0 ) + O SNR

1

; 1

(15)

receive antenna becomes

which, for = 1, particularize to

!1 C C SNR 1

lim (; SNR) = log2 (1 + SNR) (11) (1; SNR) = log2 +O (16)

e SNR

as derived in [1]. Therefore, the high-SNR capacity is proportional to

which can be obtained by taking the limit on (8) or, alternatively, by

min(M; N ) and grows logarithmically with the SNR. As shown in

observing [2] that the channel decouples asymptotically

Fig. 2, this trend sets in very fast.

y

!1 M HH = IN :

1 For an in-depth study of the low-SNR capacity, the reader is referred

lim (12) to [36], [37].

M

Notice that, for N = 1, this configuration reverts to that of transmit C. How Many Antennas Should be Used?

diversity, which has been actively researched in recent times [33]–[35].

Conversely, if M is kept fixed while N ! 1, the capacity per

The asymptotic expressions derived thus far can be used to quantify

the benefit of pushing beyond unity. The largest gain, which occurs

receive antenna behaves as for SNR ! 1 is

C (; SNR) = log2

SNR

+ O ( ) (13) !1

lim

SNR

C (1; SNR) 0 C (1; SNR) = log2 (e) (17)

or merely the equivalent of a 4.34-dB increase in SNR (Fig. 2), a van-

and the channel again decouples ishingly small improvement in capacity per receive antenna as the SNR

grows.

y

!1 N H H = IM :

1

lim (14) Given the cost associated with deploying multiple antennas with sep-

N arate radio-frequency chains, it is important to ensure that those an-

Interestingly, this decoupling also implies that the capacity would not tennas are as effective as possible. Ineffective antennas raise the cost

increase if the channel realization H

were known at the transmitter and add unnecessary complexity.

[11]. Hence, the “open-loop” and “closed-loop” capacities coincide for In “open-loop” noise-limited conditions, the following applies.

! 0. Intuitively, as the number of channel dimensions becomes • Given a number of receive antennas, at most as many transmit

much larger than the number of modes, none of these gets favored over

antennas should be used.

the others. Moreover, as can be inferred from [19] for the corresponding

multiuser problem, capacity can be approached for small with scalar • Given a number of transmit antennas, at least as many receive

coding at every transmit antenna and a simple linear receiver. antenna should be used. Additional receive antennas are always

3120 IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002

Fig. 2. Asymptotic noise-limited capacity per receive antenna as a function of SNR for various levels of .

advantageous. However, if we denote by R the highest rate that In the presence of outside interference, the covariance of the impair-

can be supported with a realizable constellation by each transmit ment conditioned on the fading of the interference can be expressed as

antenna, there is little point in further increasing the number of K Pg

Q= k k Hk Hy + 2 IN

receive antennas once

k (19)

C k=1 Mk

> R: (18)

with K the number of outside interferers (assumed mutually indepen-

dent) and with Pk and Mk the total radiated power and number of

As we will see next, these conclusions vary in the presence of

transmit antennas for the k th interferer, respectively. In the downlink,

colored interference.

each interferer would correspond to a neighboring base station; in the

uplink, it would correspond to a terminal in a neighboring cell. Each

IV. CAPACITY IN THE PRESENCE OF INTERFERENCE G

N 2 Mk channel matrix k contains the transfer coefficients between

every transmit antenna of interferer k and every receive antenna at the

A. Nonasymptotic Capacity

H

desired user. We denote by k the normalized counterpart of each

Within the context of a mature system, the dominant impairment is

usually not thermal noise, but rather cochannel interference. Further-

G p

H

channel matrix so that k = gk k . Defining the signal-to-inter-

ference ratio (SIR) with respect to each interferer as

more, most emerging data systems feature time-multiplexed downlink

channels, certainly those evolving from time-division multiple access SIRk = PPk ggk (20)

(TDMA) [38], but also those evolving from CDMA [39]–[41]. Hence,

same-cell users are mutually orthogonal and thus the downlink interfer- we can rewrite the capacity as

ence arises exclusively from other cells. This holds also for a code-mul-

tiplexed downlink in frequency-flat fading channels5 and, of course, for

a time-multiplexed uplink.

C = E log2 det IN + HHy

In order to simplify the analyses, it is not unusual that such outside

K 01

interference be regarded as additional AWGN [44]. In single-antenna

1

M

Hk Hky + SNR

M

IN (21)

k=1 Mk SIRk

systems, this approximation assumes the interference to be Gaussian. In

multiple-antenna systems, it has a second—and more profound—im-

plication: it assumes the interference to be spatially white and it thus with expectation over the distribution of the various channels and with

neglects the fact that interference does have a spatial structure, or color, the aggregate SIR and signal-to-interference-and-noise ratio (SINR)

that can be exploited by a multiple-antenna receiver. This structure being

1 = K

tends to be particularly strong in the downlink, wherein the entire in-

terference contribution of every cell emanates from the base station, a 1 (22)

SIRk

single localized source. SIR

k=1

1 = 1 + 1 :

SINR SNR SIR

5In frequency-selective channels, same-cell interference can be suppressed The performance of receive antenna arrays in interference-limited

by preceding the receiver with a chip-level equalizer [42]. Alternatively, well- conditions has been thoroughly studied, but mostly for single-antenna

established multiuser detection principles can be applied [43]. transmitters [45]–[47]. With the addition of transmit arrays, the

IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002 3121

problem becomes much more complex (see [11] as well as [48]–[51] how the detection (by a linear MMSE receiver) of each of the

for related work). In general, the individual channel matrices k H transmit signals is impaired by the presence of the other transmit

cannot be estimated, but only the aggregate covariance , and thus Q antennas plus the outside interference.

the receiver can only perform linear processing against the outside in-

• 2 represents the asymptotic ratio between i) the SNR at the

terferers while optimally detecting the desired signals [52]. Hence, we

output of a linear MMSE receiver detecting the signal transmitted

find it convenient to distinguish between two classes of interference.

from any outside antenna in the presence of the rest of outside an-

• The mutual interference among the transmit antennas of the de- tennas (excluding the desired user), and ii) the SNR at the output

sired user, which we shall refer to as multiantenna interference. of a matched filter detecting that same antenna without any in-

terference. Although it may seem intriguing that 2 plays a role

• The outside interference that those antennas suffer from the K

interferers within .Q in the computation of the capacity given that the actual receiver

does not make any attempt to decode the outside interference, a

justification is given in the Appendix.

B. Asymptotic Capacity

The asymptotic capacity in the presence of both AWGN and outside Clearly, both 1 and 2 are bound to lie within [0; 1].

interference (derived in the Appendix) constitutes the main result of 1) Limiting Cases: Solving for the asymptotic efficiencies be-

the correspondence. Although we present it next for a homogeneous comes trivial in some limiting cases. For growing

system, wherein the number of transmit antennas is the same for the 1

user of interest as well as each of the outside interferers, the solution in

lim

!1 1 = 1 + SNR 1+ 1

SIR

its most general form is included in the Appendix. In a homogeneous

system, the asymptotic capacity per receive antenna is given by SINR

lim

!1 2 = SNR (26)

+K (; SNR; fSIRk g) =

K SIRk + SNR

C log2

SIRk + SNR

indicating that both efficiencies become independent of the composi-

k=1 tion of the outside interference; they become a function of only the

1 aggregate SIR and SINR. These efficiencies, in turn, yield

+ log2 1 + SNR

+K (; SNR; fSIRk g) = log

+ log2

2

+ (1 0 2 ) log2 (e)

lim

!1 C 2 (1 + SINR) (27)

1

(23) which has the exact same form of the asymptotic noise-limited capacity

obtained in (11) for ! 1. Hence, as the number of interfering an-

with 1 and 2 the positive solutions to tennas grows much larger than the number of receive antennas, the pro-

K gressively fine color of the interference cannot be discerned and it thus

SNR 1 SNR 1 appears white to the receiver. The capacity depends only on the total

1 + + =1

SNR + 1 SNR + SIRk

k=1 impairment power, irrespective of how it breaks down into noise and

outside interference.

K

SNR 2 On the other hand, for diminishing and finite K

2 + = 1: (24)

SNR + SIRk

k=1

1 = 1 + O( )

Because of the implicit nature of these equations, obtaining explicit

2 = 1 + O( ) (28)

expressions therefrom requires solving for 1 and 2 in equations of

order K + 2 and K + 1, respectively. Hence, the complexity of the

confirming that the penalty due to a fixed number of interfering

solution is directly determined by the number of outside interferers.

antennas vanishes as the number of receive antennas grows without

Fortunately, the equations containing 1 and 2 are decoupled and thus, +K behaves as

bound. With that, C

as we shall see, it is possible to obtain meaningful expressions for a

large number of cases. If the number of outside interferers is set to

C +K (; SNR; fSIRk g) = log SNR + O( )

K = 0, it is rather straightforward to solve for 1 and 2 as 2 (29)

1 = 1 0 F SNR

; and becomes determined only by the underlying AWGN, irrespective

SNR of the SIR.

2 = 1 (25) Finally, as the SNR grows

SNR!1 1

lim

capacity per receive antenna of (8). Therefore, the above solution is a

generalization of the one presented in Section III. = [1 0 K ]+ :

SNR!1 2

lim (30)

The roles of 1 and 2 can be interpreted by relating them to the

multiuser efficiency, a quantity commonly used in multiuser detection

In this regime, the receiver operates in zero-forcing mode against the

problems [19], [43]. Specifically, the following holds.

interference and thus the loss in 1 is given exactly by the total number

• 1 represents the asymptotic ratio between i) the SNR at the of transmit antennas (desired plus outside interference) per receive an-

output of a linear minimum mean-square error (MMSE) receiver tenna. If that total number of transmit antennas exceeds the number of

detecting the signal transmitted from any of the desired antennas receive antennas, then 1 = 0. The loss in 2 , on the other hand, is

in the presence of multiple-antenna as well as outside interfer- exactly the total number of outside interfering antennas per receive an-

ence, and ii) the SNR at the output of a matched filter detecting tenna. Again, if the number of outside interfering antennas exceeds the

that same antenna without any interference. Hence, it quantifies number of receive antennas, then 2 = 0.

3122 IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002

Fig. 3. Asymptotic capacity per receive antenna as a function of for K = 1 and various combinations of SIR and SNR that correspond to SINR = 10 dB.

Homogeneous system.

2) Low-SNR Behavior: The behavior of the asymptotic efficiencies At high SNR, the asymptotic efficiencies can be found to be

at low SNR is given by O 1

SNR

; > 1

2

1 = 1 0 SNR

1

+ O (SNR )

2

1+

SIR 1 = 1

2

1+SIR

SNR

+O 1

SNR

; = 1

2

(35)

2 = 1 0

SNR

+ O (SNR ):

2

(31)

1 0 2 + O 1

SNR

; < 1

2

SIR and

Analogous to ! 1, a low SNR renders both efficiencies indepen- (

SIR

01)SNR + O

1

SNR

; >1

dent of the composition of the outside interference; only the aggregate

SIR becomes relevant. With the above efficiencies, C +K

becomes 2 = SIR

SNR

+O 1

SNR

; =1 (36)

C +K

(; SNR; fSIRk g) = log2 (e) SNR2 1 0+O 1

SNR

; <1

SINR

1 0 2 1 + + O(SNR ): (32)

1 1 1 3

with the first-order coefficient of 1 for > a convoluted function 1

2

of and SIR. For = 1, this coefficient admits a simple form

3) Interference-Limited Behavior: Single Outside Interferer: p

SIR 1

High-capacity wireless systems are typically designed to operate in in- 1 = +O : (37)

terference-limited conditions [53]. In the remainder, we concentrate, SNR SNR

therefore, on studying the asymptotic capacity at high SNR. We begin In terms of asymptotic capacity, the above efficiencies yield

by evaluating the capacity in the presence of a single outside interferer. log2 SNR 102 0 (1 0 )

With K = 1, the asymptotic capacity becomes e

1 1 2 0 +O 1

; < 1

C +1

(; SNR; SIR)

log2 1 0 SNR 2

1

log2 SNR

+O pSNR

1

; = 1

SIR + SNR 1 C +1

=

2 e 2

= log2 + log2 1 + SNR

0 ) log

SIR + SNR + O (1); <<1

SNR 1

(1 2 e

p

2

1

; =1

+ log2

1

+ (1 0 ) log (e)

2 2 (33)

log2 (1 + SIR) + O 1

SNR

; ! 1.

given

(38)

SNR 1 SNR 1

1 + + =1

SNR + 1 SNR + SIR We observe the following.

• As the SNR grows, C +1

becomes independent of the SIR for

SNR 2

2 + =1 (34) 12 . Hence, while the combined number of desired plus out-

SNR + SIR side transmit antennas does not exceed the number of receive an-

which requires solving cubic and quadratic equations for 1 and 2 , tennas, the receiver approaches capacity by suppressing—purely

respectively. Fig. 3 depicts C +1

as function of for various levels through linear processing—the outside interference while simul-

of SNR and SIR corresponding to SINR = 10 dB. taneously detecting the desired signals. Once that interference

IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002 3123

Fig. 4. Asymptotic noise- and interference-limited capacity per receive antenna with = 1 and K = 1 as a function of SINR. Homogeneous system.

is suppressed, capacity becomes limited only by the underlying corresponding, to first order, to the equivalent of a 4.34-dB im-

noise. provement in SINR. Hence, as illustrated in Fig. 4, operating over

• For 12 < 1, the number of receive antennas exceeds the

colored impairment is noticeably beneficial even when the re-

ceiver has no spare degrees of freedom. Interestingly, the advan-

number of desired antennas, but not the combined number of

tage appears to hold throughout the entire range of SINR levels.

desired plus outside interfering antennas. Therefore, the receiver

must compromise between assigning its degrees of freedom to • Unlike in the noise-limited case, the interference-limited

interference suppression and to signal detection. As the SNR C +1 does not increase monotonically with . It grows with +1

increases without bound, such compromise favors sacrificing a up to = 12 and it diminishes thereafter. Hence, C

fraction of the receive antennas for interference suppression. is maximized—in these conditions—by having the number of

For = 12 , the capacity becomes exactly half that of an transmit antennas equal half the number of receive antennas just

architecture with = 1 operating, free of outside interference, so the receiver has enough spare antennas to suppress the outside

at the same SNR. That is, interference in its entirety while decoding the desired signals.

Notice that this holds only if the SNR is sufficiently large with

C +1 1

; SNR; SIR 1C (1; SNR):

SNR!1 SNR!1 2

lim = lim respect to the SIR (Fig. 3), specifically—from (16) and (40)—if

2

(39) SNR p 2

> 1+ SIR : (42)

• For 1, the dependence on the SNR becomes weak. Once the e

number of outside interfering antennas has exceeded the number If this condition is not met, the underlying noise influences the

of receive antennas, the receiver can no longer suppress the to- capacity sufficiently to render it monotonic in . Hence, (42) can

tality of that interference and thus even the high-SNR perfor- be used as a criterion to assess whether the system is effectively

mance is determined mostly by the SIR. Nonetheless, the col- interference-limited when the interference arises from a single

ored interference renders the capacity higher than in equivalent outside transmitter.

noise-limited conditions. Only as ! 1 does this advantage In the presence of colored interference, the capacity clearly depends

dissipate (Fig. 3). not only on the number of transmit and receive antennas and the SINR,

• Particularly revealing is C +1 at = 1 which, in interference- but also on the degrees of freedom of the interference. Specifically, a

limited high-SIR conditions, becomes given amount of interference is more benign if it occupies fewer de-

grees of freedom.

C +1 (1; SNR; SIR)

4) Interference-Limited Behavior: Multiple Outside Interferers: In

the presence of K > 1 outside interferers, the high-SNR asymptotic

= log2 SIR + O p1 +O p1 (40)

efficiencies of the previous section generalize to

SIR SNR

1 ;

O SNR > K1+1

indicating an advantage over its high-SNR noise-limited counter-

part—see (16)—of

+1 (1; SNR; SIR) 0 C 1+ SIR

C (1; SINR) 1 = 1 +O

1 = K1+1

(43)

K +1 SNR SNR ;

= log2 e + O p1 +O p1 (41)

0 (K + 1) + O 1 < K1+1

SIR SNR 1 SNR ;

3124 IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002

and

O 1

SNR

; > K1

2 = SIR

(44)

1

K SNR

+O 1

SNR

; = K1

1 0 K + O 1

SNR

; < K1 .

Unfortunately, the first-order coefficients for both 1 at > K1+1 and

2 at > K1 do not amend themselves to simplification and thus we

obtain a more restricted set of explicit expressions for the asymptotic

capacity

e

0(1 0 K ) log 0 0KK 2

1

1

( +1)

+O 1

SNR

; < K1+1

C + K= 1

2

log2 SNR

+ K1+1

1+ SIR

1+ SIR

5 dB and SIR = 8 dB, respectively.

1 log 2 e +O pSNR

1

; = K1+1

log2 (1 + SIR) + O 1

; ! 1. indicating that an increasing number of equal-strength outside inter-

SNR

ferers will progressively whiten the impairment. Hence, C can also

For other values of , obtaining tractable expressions does not appear serve as a lower bound, but it is never as tight as C +K

for finite K .

feasible. However, it is possible to show that the multiple-interferer An example corresponding to a simple downlink scenario with two

capacity can always be bounded by outside interferers is illustrated in Fig. 5. A multiantenna terminal is

C +K

C +K

C +K

(45)

illuminated by its serving base as well as two nearby interfering bases,

all of them equipped with the same number of transmit antennas. Ac-

with the bounds obtained by replacing the K outside interferer by a counting for different range and shadow fading to every base, a typical

single “equivalent” interferer generating the same exact aggregate SIR set of SIR and SNR levels are chosen. The corresponding asymptotic

with the highest and lowest possible levels of structure. capacity appears in Fig. 6 along with its upper and lower bounds. Also

• The upper bound corresponds to concentrating the aggregate in- shown is the corresponding noise-limited capacity at the same aggre-

terference contribution of all K outside interferers into a single gate SINR.

one and thus Note how neglecting the fact that the interference is colored can

lead to gross miscalculations of the actual capacity or, conversely, of

C +K

(; SNR; SIR) = C +1

(; SNR; SIR): (46) the SINR required to achieve a certain level of capacity. This con-

• The lower bound corresponds to forcing the K outside interferer verse look is provided in Fig. 7, which displays curves of constant

capacity on a SNR–SIR plane. Specifically, the curves shown corre-

spond to C

to be of equal strength while preserving the aggregate SIR. Since +K

= 2.5 b/s/Hz per receive antenna with = 0:5,

K equal-power interferers are equivalent to a single interferer

with K times as many antennas, C +K

can be derived from = 1, and = 2. For each configuration, the SNR–SIR combinations

the Appendix to be that achieve such capacity are depicted as a function of the number of

equal-strength outside interferers.

SIR + SNR K

C +K

(; SNR; SIR) = K log2

SIR + SNR K C. How Many Antennas Should be Used?

1 It was shown in Section III that, in noise-limited conditions, there is

+ log2 1+ SNR little incentive in pushing beyond unity. From the results presented

throughout this section, it is clear that the presence of interference can

2

+log2

1

+ (1 0 ) log (e)

2 2 (47) only lessen that incentive, at least in homogeneous systems wherein all

transmitters are equipped with the same number of active antennas. In

with such conditions, the presence of a dominant outside interferer can ac-

SNR 1 SNR 1 tually render the capacity for > 1 smaller than for = 1 (Fig. 3).

1 + + + SIR = 1

SNR + 1 SNR K On the other hand, the capacity with K outside interferers increases

monotonically for < K1+1 . The best choice for will thus usually

SNR 2 lie somewhere within [ K1+1 ; 1] depending on the structure of the inter-

2 + = 1: (48)

SNR + SIR ference and, therefore, on the geometry and propagation environment

In general, the tightness of both bounds depend on the specific set of the corresponding system. The following applies.

of fSIRk g. The upper bound becomes tight in the presence of a domi-

nating interferer whereas the lower bound, in turn, tightens in the pres- • If each transmitter is interfered by a small number of dominant

ence of comparable-strength interferers. Furthermore outside interferers, the best will lie around K1+1 with no ad-

vantage—or even possibly a loss—in pushing it any further. A

lim

K !1

C +K

(; SNR; SIR) = C (; SINR) (49) similar conclusion is reached in [54].

IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002 3125

=

Fig. 6. Asymptotic capacity per receive antenna (solid line) as a function of with K 2, SIR = 5 dB, SIR = 8 dB, and SNR = 12 dB. Upper and lower

bounds (dashed lines) and the corresponding noise-limited capacity at the same aggregate SINR (circles) are also shown. Homogeneous system.

Fig. 7. Combination of SNR and SIR levels required to attain an asymptotic capacity of C = 2.5 b/s/Hz per receive antenna with = 0:5, = 1, and

= 2 as a function of the number of equal-strength outside interferers. Homogeneous system.

the best will lie close to = 1.

The main result of the correspondence is the asymptotic capacity of

As in the noise-limited case, practical considerations preclude multiple-transmit multiple-receive antenna architectures impaired by

making so small that AWGN as well as spatially colored interference. From the asymptotic

capacity, we gathered insight on how the capacity behaves. Although

C +K the derivation of the asymptotic capacity requires driving the number

>R (50) of transmit and/or receive antennas to infinity, the asymptotic solution

applies to virtually any number of antennas under ergodic conditions.

While in noise-limited conditions, the asymptotic capacity depends

with R the highest realizable rate per transmit antenna. only on the number of antennas and the SNR, the capacity in the pres-

3126 IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002

ence of interference depends also on the color thereof. At any given into our problem with a simple SNR normalization to yield the fol-

SINR, the capacity increases with such color. The lowest capacity at lowing asymptotic results:

any SINR is attained in the presence of AWGN exclusively.

1

C1 = + k E log2 1 + SNR

1

B

APPENDIX k

The starting point for our derivation is (21), which can be manipu- + log2

1

1

+ (1 0 1) log2 (e)

lated into

2

C =E log2 det IN + SNR HHy C2 = k E log2 1 + SNR

2

B

M k

K

+

SNR

Hk Hky + log2

1

2

+ (2 0 1) log2 (e) (54)

i=k

Mk SIRk

K where the expectation is with respect to the nonnegative random vari-

0 log2 det IN + SNR

Hk Hky : ables B1 and B2 whose distribution is identical to the asymptotic em-

i=k

Mk SIRk

(51)

pirical distribution of the diagonal elements of 1 and 2 , respec- B B

tively. The efficiencies 1 and 2 are the solutions to

Defining some block matrices

SNR1 B1

H2 = [ H1 H2 1 1 1 HK ] 1 + + k E

SNR1 B1 +

=1

H1 = [ H H2 ] (52)

k

SNR2 B2

and 2 + k E = 1: (55)

SNR2 B2 +

M

M

SIR IM O 111 0 k

With (54) and (55), we can now calculate the asymptotic capacity per

receive antenna, in its most general form, as C +K = C1 –C2 .

B2 = 0 M

M

SIR IM 111 0 We note here that the above result holds even if the columns of as H

..

.

..

.

..

. 0 H

well as of k (k = 1; . . . ; K ) are correlated, that is, if the transmit

0 0 IM

arrays of the user of interest and the interferers exhibit antenna corre-

111 M

M

SIR B B

lation. In this case, the matrices 1 and 2 would be given by

IM O SIR 21 O 111 0

M

B1 = 0 B2

M

B2 = 0 M SIR 22 1 1 1

M 0

the capacity can be further manipulated into C = C1 –C2 given ..

.

..

.

..

. 0

C1 = E log2 det IN + SNR

M

H1 B1H1 y

0 0 111 M

M

SIR 2K

C2 = E log2 det IN + SNR H B Hy

M 2 2 2

(53) B1 = 20 BO

2

B B

with 1 and 2 diagonal matrices. Notice that—provided the desired 2

where the M 2 M matrix contains the transmit antenna correlation

user and the various outside interferers are mutually independent—the at the desired user and the Mk 2 Mk matrices k contain the transmit 2

block matrices H 1 and H 2 are composed by independent and identi- antenna correlations at each of the interferers. The expectation in (54)

H

cally distributed entries if only the individual and k matrices are.H and (55) would, in this case, be with respect to the asymptotic empirical

Both C1 and C2 have meaningful interpretations. B B

distribution of the eigenvalues of 1 and 2 If, on the other hand, we

wanted to take into account antenna correlation at the receiver as well,

• C1 corresponds to the capacity of the entire set of desired plus

we would have to resort to more sophisticated tools [55], but that is

outside transmit antennas and the receiver. Hence, it regards the

beyond the scope of this correspondence.

outside interfering antennas as additional desired signals that

In most instances, the number of transmit antennas is the same for the

could be decoded with proper knowledge of their corresponding

user of interest as well as for every outside interferer (that is, k =

channel matrices.

8 k), in which case C +K simplifies to

• C2 corresponds to the capacity of the outside transmit antennas

+K

K SIRk + SNR 1

and the receiver, excluding the desired user transmit antennas. C = log2

SIRk + SNR

+ log2 1+ SNR

k=1

The difference between both terms yields the actual capacity for the

2

desired user in the presence of outside interferers of which only the + log2

1

+ (1 0 2 ) log2 (e) (56)

aggregate covariance is known.

In order to obtain the asymptotic value of C1 and C2 as the dimen- given

sions of H 1 and H 2 are driven to infinity, we apply [19, Theorem IV.1]. K

SNR 1 SNR 1

With this result, derived within the context of randomly spread CDMA 1 + + =1

SNR + 1 SNR + SIRk

in fading channels, Shamai and Verdú obtained the asymptotic capacity k=1

of an optimum receiver using the Tse–Hanly equation [18] whose solu- K

SNR 2

tion is the asymptotic SNR at the output of an MMSE receiver. Defining 2 + = 1:

C1 = CN , C2 = CN , and k = MN , the above theorem can be mapped

(57)

k=1

SNR + SIRk

IEEE TRANSACTIONS ON INFORMATION THEORY, VOL. 48, NO. 12, DECEMBER 2002 3127

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[51] R. S. Blum, J. H. Winters, and N. R. Sollenberger, “On the capacity allows for an adaptive implementation [3]. Hence, the MMSE detector

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Academic, 1990. of users (K ) and the processing gain (N ) tend to infinity with the ratio

K=N approaching a constant. The limitation of the analysis in [5], [6]

is that it is restricted to the situation where the users are symbol-syn-

chronous. In [7], the SIR analysis of [5] was extended to the case where

the users are symbol-asynchronous but chip-synchronous, i.e., the de-

lays of all the users are aligned to the chip timing.

MMSE Detection in Asynchronous CDMA Systems: An While it allows for accurate large-system analysis, the synchronous

Equivalence Result or chip-synchronous assumption is not realistic for the received signal

on the reverse link of a cellular CDMA system, especially with user

Ashok Mantravadi, Student Member, IEEE, and mobility and the resulting variations in the delay. Thus, we would

Venugopal V. Veeravalli, Senior Member, IEEE like to allow the users to be completely asynchronous, i.e., symbol-

as well as chip-asynchronous. Analysis of the MMSE detector with

random spreading sequences and completely asynchronous users was

Abstract—The analysis of linear minimum mean-square error (MMSE)

considered in [8]. However, the performance measure was the average

detection in a band-limited code-division multiple-access (CDMA) system

that employs random spreading sequences is considered. The key features near–far resistance of the detector and bounds were obtained on this

of the analysis are that the users are allowed to be completely asynchronous, quantity for finite K and N . Furthermore, the analysis relied on the

and that the chip waveform is assumed to be the ideal Nyquist sinc function. assumption that the chip waveform was limited to a chip interval.

It is shown that the asymptotic signal-to-interference ratio (SIR) at the de- In this correspondence, we allow the users to be completely asyn-

tector output is the same as that in an equivalent chip-synchronous system.

It is hence been established that synchronous analyses of linear MMSE de- chronous and consider SIR at the detector output as the performance

tection can provide useful guidelines for the performance in asynchronous metric. We also assume that the system employs the ideal band-limited

band-limited systems. (and hence, of infinite duration) sinc chip waveform. For single-user

Index Terms—Asymptotic analysis, asynchronous systems, band-limited narrow-band systems, the sinc waveform maximizes the signaling rate

communication, code-division multiple access (CDMA), least mean squares when the symbol waveforms are constrained to have a given bandwidth

methods, matched filters (MFs), minimum mean-square error (MMSE) de- and to have no intersymbol interference [9]. In spread-spectrum sys-

tection, sinc function. tems, we have an additional degree of freedom, since the processing

gain of the system can be varied with the excess bandwidth of the

chip waveform to keep the symbol rate and occupied bandwidth fixed.

I. INTRODUCTION

In such a framework, the sinc waveform maximizes the processing

Multiuser detection in code-division multiple-access (CDMA) sys- gain since it has zero excess bandwidth. For the matched-filter (MF)

tems has been a topic of intense research for more than a decade [1]. detector, the maximum processing gain also results in the maximum

Several criteria have been used for designing multiuser detectors, and output SIR across all waveforms [10], [11]. Hence, practical CDMA

a particularly appealing one is to minimize the mean-squared error systems (e.g., [12]) employ waveforms that have an approximately flat

(MSE) of the symbol estimates at the output of the detector. When the spectrum over the band of operation. Similar observations hold for the

detector is further constrained to be linear we obtain the linear min- MMSE detector as well, although a formal proof of the optimality of the

imum mean-squared error (LMMSE or simply, MMSE) detector [2]. sinc waveform appears to be open [13]. Based on the above remarks,

Equivalently, the MMSE detector also maximizes the output signal-to- the sinc waveform can be considered to be a benchmark for band-lim-

interference ratio (SIR) over the class of linear detectors. In addition, it ited systems. Hence, analysis of the MMSE detector when the users are

completely asynchronous and employ the sinc waveform is of much in-

terest, from a theoretical as well as a practical viewpoint.

Manuscript received August 14, 2001; revised July 22, 2002. This

work was supported by the National Science Foundation under Grant II. SYSTEM MODEL AND MF DETECTION

CCR-9980616, through a subcontract with Cornell University, and by the NSF

We consider a direct-sequence CDMA (DS/CDMA) model with K +

CAREER/PECASE Award CCR-0049089. The material in this correspondence

was presented in part at the IEEE International Symposium on Information 1 users, where the received complex baseband signal is given by

Theory, Washington, DC, June 2001.

K

0 k Tc )ei 2 [01; 1]

A. Mantravadi was with the School of Electrical Engineering, Cornell Uni-

versity, Ithaca, NY 14853 USA. He is now with Qualcomm, Inc., San Diego, r(t) = sk (t + w (t); t (1)

CA (e-mail: am77@ee.cornell.edu). k=0

V. V. Veeravalli is with the Department of Electrical and Computer Engi-

neering and the Coordinated Science Laboratory, University of Illinois at Ur- where sk (t) is the signal transmitted by user k

bana-Champaign, 128 Computer and Systems Research Laboratory, Urbana, IL

61801 USA (e-mail: vvv@uiuc.edu). 1 p

Communicated by D. N. C. Tse, Associate Editor for Communications. sk (t) = Ek bkm ckm (t):

( ) ( )

(2)

Digital Object Identifier 10.1109/TIT.2002.805078 m=01

0018-9448/02$17.00 © 2002 IEEE

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