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WIRELESS COMMUNICATIONS AND MOBILE COMPUTING

Wirel. Commun. Mob. Comput. 2002; 2:667 692 (DOI: 10.1002/wcm.81)

A moment generating function (MGF)-based approach for


performance evaluation of space-time coded communication
systems

Marvin K. Simon* Summary


A few years back, a generic analysis approach
referred to as the MGF method was introduced for
the purpose of simplifying the evaluation of the
performance of digital communication over fading
channels. A particular case of high interest that fell
under the umbrella of the methodology was the
evaluation of the average error probability
performance of systems that employ receive
diversity to combat multipath as well as the possible
inclusion of error-correcting coding/decoding for
improving power efficiency. In this paper, we
extend the methodology to space-time coded
systems. Illustrative examples are explicitly given
for space-time trellis coding. The emphasis of the
paper is on the performance analysis tools and their
application, as opposed to the design of the
space-time codes themselves. Copyright 2002
John Wiley & Sons, Ltd.

KEY WORDS
digital communications
fading channels
spacetime coding
error probability
performance analysis

1. Introduction the deleterious effects of multipath fading and in one


form or another can be found in many of the cur-
Diversity is a classic and well-known concept that rent and emerging wireless communication systems.
for the past half century has been used to combat For the most part, the most common applications of
diversity in practical systems occur in the receiver
portion of the overall communication system. From
Currently a Visiting Scholar in the Department of Electri-
cal Engineering at the University of California, Los Angeles an error probability standpoint, receive diversity has
(UCLA), U.S.A. the effect of steepening the rate of descent of the sym-

Invited Paper. bol error rate (SER) or bit error rate (BER) versus
Copyright 2002 John Wiley & Sons, Ltd.
668 MARVIN K. SIMON

the average signal-to-noise ratio (SNR) curve, while In this paper, we first introduce the notion of trans-
at the same time leaving the nature of the variation mit diversity, which shifts the complexity associated
of these error probabilities with the average SNR with the implementation of a diversity receiver to
unchanged. In this sense, the term diversity gain or the transmitter with the hope of accomplishing the
diversity order most commonly refers to the increase same purpose, that is, providing diversity gain, with
in the slope of the error probability versus the aver- as little compromise as possible in average SNR
age SNR curve. Equivalently, in the limit of a large performance. In the simplest of terms, we trans-
average SNR, whereupon the error probability ver- mit the same signal information (over a multitude
sus the average SNR in many cases approximately of symbol intervals and not necessarily in the same
behaves as PE  Gd , the exponent, Gd , repre- sequence) simultaneously from a multitude of anten-
sents the diversity gain. Furthermore, on the basis of nas and appropriately combine the faded versions of
such an asymptotic behavior, the difference in the these transmissions received in the multitude of sym-
average SNR at fixed error probability (i.e. the hori- bol intervals in such a way as to provide a diversity
zontal separation of the error probability performance gain. The most obvious application of such a con-
curves plotted on a loglog scale) between a sys- cept is in the forward link of a mobile communication
tem with no diversity (i.e. Gd D 1) and one with system in which the complexity associated with the
diversity order Gd > 1 continues to increase with diversity implementation has now been moved from
increasing SNR and, in the limit of infinite SNR, the mobile unit to the base station. Although it is
becomes unbounded. possible to achieve the same diversity gain using
Apart from the improvement in system perfor- transmit instead of receive diversity, the former incurs
mance attributed to receive diversity is the possibility an SNR loss (assuming a fixed total transmit power
of additional improvement brought about by the intro- for both schemes). Thus, the next logical step in
duction of error-correction coding at the transmitter improving system performance when transmit diver-
and its associated decoding at the receiver. In many sity is employed would be to apply error-correction
instances, coding affects the error probability ver- coding/decoding (but now in more than one dimen-
sus SNR curve in such a way that asymptotically, sion) so as to provide coding gain for recovering
in the limit of large SNR, the uncoded and coded this loss in SNR while maintaining the diversity gain
error probability performance curves become parallel achieved. Indeed, the combination of transmit diver-
and as such the difference in SNR (horizontal separa- sity in the form of multiple antennas coupled with
tion) between these curves approaches a fixed finite error-correction coding is what is generically referred
amount. This asymptotic SNR separation is what is to as space-time coding. For example, the joint
commonly referred to as coding gain. Mathemati- design of a trellis-coded modulation (TCM) in com-
cally speaking, if asymptotically the error probability bination with transmit and receive diversity would be
behaves as PE Gc Gd , then in the limit of referred to as space-time trellis-coded modulation.
large SNR, the coding gain Gc represents the horizon- It is interesting to note that while the origins of
receive diversity for combating multipath date back
tal shift in the error probability performance relative
to the classic work of Brennan [2], the notion of
to the benchmark curve PE  Gd .
transmit diversity is, relatively speaking, quite recent.
In addition to a horizontal shift in the error prob-
Perhaps the earliest traces of such an idea appear in
ability versus SNR curve, coding can also steepen
the rate of descent of this curve and as such can
contribute to diversity. Thus, a system that incor-
It is also possible to combine receive diversity with
porates both error-correction coding and multiple transmit diversity to increase the diversity gain still further.
receive antennas is capable of providing both diver- Such systems that employ multiple transmit antennas and
multiple receive antennas are generically referred to as
sity and coding gain and its asymptotic (large average
multiple-input multiple-output (MIMO) systems.
SNR) error probability performance would behave In the simplest of schemes, the multitude of transmitters
as PE Gc Gd where Gd now reflects the and the multitude of symbol intervals constitute the same
diversity contributions from both the coding and numeric value.
the antenna multiplicity. This notion of describing It should be noted that the term space-time coding is not
diversity and coding gain in terms of the asymp- meant to imply that both diversity and coding gains are
always achieved. For example, as we shall see in the case of
totic behavior of the error probability performance space-time block codes based on square orthogonal designs,
curve is nicely described and analytically quantified the code rate is unity and while a diversity gain is achieved
in Reference [1]. there is no coding gain.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 669

the work of Wittneben [3]jj and that of Seshadri and particular, the model assumed for the rate of variation
Winters [5], both reported in 1993, who suggested of the channel, that is, fast versus slow (often called
various delay transmit antenna diversity techniques quasistatic) fading. In the case of the former, the fad-
for application in base stations. (Wittneben also ing is assumed to vary independently from symbol to
refers to his particular scheme as modulation diver- symbol, whereas for the latter, the fading is assumed
sity since the same modulation method is used at all to be constant over the duration of a block of sym-
antennas, the distinction among them being differ- bols but varies from block to block. It is furthermore
ent modulation parameters.) These schemes focused important that we consider both cases in our discus-
on attempts to achieve the same diversity gain as sions, since not only do the differences between the
that obtained with receive diversity, sacrificing, how- two influence the system performance but also play a
ever, the effective gain in receive SNR by a factor significant role in the criteria used to design the opti-
equal to the number of antennas that is achieved by mum codes. However, in keeping with the spirit of
the latter. It was not until a number of years later the paper, we shall not discuss the means by which
that researchers thought of combining transmit diver- these designs are obtained but rather the tools used to
sity with error-correction coding (and possibly also analyze the performance of communication systems
receive diversity) [79]. Since that time, a large num- that employ the codes themselves.
ber of papers extending these principles and exploring The paper is intended to have a somewhat tutorial
their application in modem design have appeared in flavor and thus we begin our discussion by describ-
the literature, examples of which for block and trellis ing the basic idea of transmit diversity and its relation
coding can be found in References [1021]. to the more traditional concept of receive diversity.
To a large extent, the papers that deal with space- To keep matters simple, we shall make certain ideal-
time coding emphasize the design criteria and con- istic assumptions that allow for a quick comparison
struction of the two-dimensional codes and their between the two diversity concepts.
decoding algorithms rather than the methods by
which the error probability of the overall system is 2. Transmit Versus Receive
evaluated and the associated accuracy of these meth- DiversityBasic Concepts
ods. With regard to the latter, for the most part,
the standard analysis techniques previously applied The basic idea of transmit diversity is to create at the
to time coding alone have been extended to allow the input of a single receive antenna a multichannel signal
evaluation of pairwise error probability (PEP) (either that resembles in form that which would be received
exactly or by an upper bound) and upper bounds on by a multitude of antennas in a system having a sin-
(or approximations to) average bit error probability gle transmit antenna communicating over a multipath
(BEP) for space-time codes. In keeping with the title, channel. More specifically, a given information sig-
our goal in this paper will be to demonstrate that nal is redundantly transmitted from a multitude of
the MGF-based approach [22,23] that has been so transmit antennas over a set of flat-fading channels
successful in allowing evaluation of the more con- to create at the receiver a signal having the appear-
ventional single transmitter communication systems ance of one transmitted from a single antenna over
is equally as useful in the case of multichannel trans- a multipath-fading channel such as that discussed in
mission. Indeed, the approach will largely parallel that Chapter 9 of Reference [23]. The manner in which
in Chapter 12 of Reference [23] and as such we shall the various transmitted components are separated at
focus primarily on the trellis-coded application. the receiver to allow for transmit diversity is analo-
As we shall see in the technical presentation gous to the way in which the various multipath com-
that follows, whether one achieves transmit diversity ponents are resolved in a system employing receive
gain and/or coding gain with multiple antennas and diversity. Furthermore, the method used for creat-
space-time coding depends on a number of factors, in ing a set of transmitted signal replicas that allows for
separation at the receiver is what distinguishes one
transmit diversity scheme from another.
jj
To be chronologically precise, the scheme that was ana-
lyzed in Reference [3] was first reported by the same author
in Reference [4] for a SIMULCAST application.
Recall that in a receive diversity system, it is the appli-

Winters [6] also subsequently expanded upon and pro- cation of a pseudonoise direct sequence spread spectrum
vided an analytical basis for the Monte Carlo simulation modulation to the transmitted signal that allows resolution
results originally proposed in Reference [5]. of the various multipath components in the receiver.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
670 MARVIN K. SIMON

Spreading Spreading
P1 Code 1 a1 (a1 = W1)
2
Code 1 a1 (a12 = W1)

Spreading Spreading
Code 2 a2 (a2 = W2) a2 (a22 = W2)
2
P2 Code 2

n(t)
* To
Information ML
symbols detector

Spreading Spreading
PLt Code Lt aLt (a2Lt = WLt) Code Lt aLt (aLt = WLt)
2

Transmitter Fading AWGN channel Receiver


Fig. 1. Mathematical model of a basic transmit diversity scheme.

A simple way of achieving the above separation over a flat-fading channel, the collection of which
is to assign the transmitted signal replicas different for the purpose of our discussion will be assumed
code division multiple access (CDMA) codes (or dif- to be independent and identically distributed (i.i.d.),
ferent delays of the same code) in much the same way that is, 1 D 2 D . . . Lt D  in Figure 1. Since
as that discussed in Chapter 11 of Reference [23], the total available transmitted power, Pt , is a finite
for a multiuser communication system. The differ- resource, for the i.i.d. channel assumption, a good
ence here is that instead of trying to separate the strategy for power allocation to the Lt transmitted sig-
various communications from different users, we are nals would be to share the total power equally among
trying to separate the various transmitted components them, that is, each transmitted signal would have
from the same user to create a set of independent power Pi D Pt /Lt , i D 1, 2, . . . , Lt . The optimization
diversity channels. The basic transmit diversity sys- of transmitted power allocation for the non-i.i.d. (both
tem is illustrated in Figure 1. In each transmission correlated channels and nonidentical channel aver-
interval, an information symbol is spread by a set age powers) case has also been considered [24,25]
of Lt different CDMA code words (assumed here to but is not germane to our simple conceptual discus-
be orthogonal) producing a set of signals that char- sion here. The received signal is despread through
acterize the outputs of the Lt transmit antennas in an appropriate set of filters matched to the spreading
that interval. Each of these signals is transmitted codes thereby separating the various transmitted repli-
cas components. We note that whereas in a receive
diversity system the additive white Gaussian noise

Note that, depending on the number of transmit antennas, (AWGN) components that exist in each of the receiver
that is, the number of orthogonal code words required, the
narrowband information signal may or may not become
branches are independent of one another by virtue of
wideband. That is, for a small number of transmit antennas, the fact that they are associated with different anten-
the spreading sequences can be short and as such the nas, in the transmit diversity system, the noises at
channel created may not necessarily become frequency- the matched filter outputs are also mutually indepen-
selective. This is in contrast to an alternative transmit dent because of the projection of the single noise
diversity scheme suggested in Reference [5] in which the
intent is to create a frequency-selective fading channel source associated with the single receive antenna on
thereby necessitating the use of MLSE or alternatively a the multitude of orthogonal despreading codes. Next,
RAKE receiver. assuming, for simplicity, perfect knowledge of the
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 671

statistics of the channels, the outputs of the despread- the orthogonal designs can achieve exactly the same
ing matched filters are weighted by the complex con- performance at rate 1 symbol per channel use for real
jugate of the corresponding channel gain between the designs, or at least rate 1/2 symbol per channel use
appropriate transmit antenna and the receive antenna for complex designs [13].
and combined in the fashion of maximum ratio com-
bining (MRC). The output of the MRC is then used
to make a maximum-likelihood (ML) decision on the 3. Alamoutis Diversity Techniquea
transmitted symbol in the same manner as that dis- Simple Transmit Diversity Scheme Using
cussed in Chapter 9 of Reference [23]. Two Transmit Antennas
In view of the above description, it should be
apparent that from an ideal mathematical standpoint, Consider first the simple communication system illus-
the received signal can be modeled as a set of Lt trated in Figure 2 that employs two transmit antennas
independent slowly varying flat-fading components and a single receive antenna. Let xn D [x1n , x2n ]T
denote the column vector representing the joint sig-
analogous to that discussed in Section 9.1.2 of Ref-
nal information (a pair of complex symbols) to be
erence [23], and thus, one might anticipate that the
analysis techniques presented there for receive diver- transmitted in the nth transmission interval , nTs 
sity systems would also apply to the transmit diver- t  n C 2Ts , from the two transmit antennas where
sity case. In fact, a straightforward application of the the T superscript denotes the transpose operation.
For example, xn could consist of a pair of inde-
MGF-based approach to the above transmit diversity
pendently chosen M-PSK symbols or alternatively a
system would reveal a performance having a diver-
pair of such symbols chosen from a four-dimensional
sity gain equal to that of an MRC receive diversity
2 M-PSK constellation as might be the case if the
system with Lt receive antennas (a single transmit-
input data were first trellis-encoded [16]. In Alam-
ting antenna assumed) but an average SNR reduced
outis scheme [26], this joint information is sent
by a factor of Lt . For example, a plot of average BER
twice per transmission interval (hence the informa-
versus average SNR in dB for the transmit diversity
tion symbol rate remains unchanged) each time with
system would be parallel to that of the equivalent
a different assignment to the two transmit antennas.
receive diversity system but translated to the right
Thus, an Alamouti symbol consists of two infor-
by 10 log10 Lt . In an effort to recover this inherent
mation symbols and in our notation, a transmission
SNR loss, researchers then combined transmit diver-
interval corresponds to the duration of an Alamouti
sity with error-correction coding in an integrated fash-
symbol. Specifically, Antenna 1 and Antenna 2 first
ion, which is what has generically become referred to
transmit x1n and x2n , respectively, in the interval
as space-time coding.
nTs  t  n C 1Ts ; then they transmit x2n  and
Before launching into the more generic problem
x1n  in the interval n C 1Ts  t  n C 2Ts a
of evaluating the error probability performance for
simple space-time block code. Thus, for a block of
arbitrary space-time block and trellis codes transmit-
N successive information vectors x1 , x2 , . . . , xN , the
ted over generalized fading channels, we start our
transmitted sequences from each antenna would be a
discussion with a specific transmit diversity scheme
block of 2N complex symbols as follows: Antenna 1
proposed by Alamouti [26] that has the advantage
would transmit x11 , x21  , x12 , x22  , . . . , x1N ,
of not only being simple to implement (no spread-
x2N  , whereas Antenna 2 would transmit x21 ,
ing/despreading codes are required) but also of being
x11  , x22 , x12  , . . . , x2N , x1N  .
simple to comprehend in terms of its comparison
The channel during the nth transmission inter-
with the optimum receive diversity (MRC) technique. n
val is described by the Lr Lt matrix Cn D [cji ]
Indeed, Alamoutis technique laid the foundation for n
where cji denotes the complex channel gain (fading)
many of the contributions to the subject that fol-
between the ith transmit antenna and the jth receive
lowed in the literature, some of which can be viewed n
antenna and the cji s are assumed to be independent
as direct extensions of his work. The motivation for
of one another. For example, for a Rayleigh-fading
using Alamoutis technique and its later generaliza- n
channel, cji would be a complex Gaussian random
tions, namely, the so-called orthogonal designs (to be
discussed in Section 4), as opposed to the CDMA-
based transmitter diversity technique that was just We use the term transmission interval here to refer to
described, is that the latter loses ratethe rate of the time intervals needed to transmit information symbols
transmission is 1/Lt symbol per channel usewhile a pair at a time.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
672 MARVIN K. SIMON

(n)
c11

(n) (n ) (n) (n )
x1 ,(x 2 )* n1 , n 2

(n ) (n)
y1 , y2 (n ) (n) (n ) (n )
x1 , x 2 Maximum- x1 , x 2
(n ) Combiner likelihood
c12
detector

(n) (n ) (n) (n )
c11 , c12 c11 , c12
Channel
estimator
(n) (n)
x2 , (x 1 )*

Fig. 2. The two-branch Alamouti transmit diversity scheme with one receive antenna.

variable (RV) with average fading power  D jcj,i n 2


j vector xn D [x1n , x2n ]T corresponding to the nth
assumed to be independent of n. For the case cur- transmission interval. Substituting Equation (1)
rently under consideration, Cn is given by the row into Equation (2) gives
n n
vector [c11 c12 ]. Note that the above notation implies
xQ 1n D jc11
n 2 n 2 n
j C jc12 j x1
that the channel gains are assumed to be constant
over a transmission interval that corresponds to two n n n n
C c11  n1 C c12 n2 
symbol intervals. However, depending on the fast ver-
sus slow-fading assumption, the channel matrix either xQ 2n D jc11
n 2 n 2 n
j Cjc12 j x2 Cc12 n n
 n1 c11n n
n2 
varies as a function of n or is constant with respect 3
to n over a block of transmissions. Note that even though xQ 1n and xQ 2n both depend on the
Denoting by xn1 D [x1n , x2n ]T , xn2 D [x2n , same pair of noise components nn n
1 , n2 , the effective

x1n ]T the column vectors representing the two pairs Gaussian noise RVs N  n n n n n
1 D c11  n1 C c12 n2 
of symbols successively transmitted over the channel and N n n n n n
2 D c12  n1  c11 n2  are uncorrelated
in the nth transmission interval, then the correspond-
(and therefore independent), that is, EfN n  n
1 N2  g D
ing pair of successive signal samples at the receiver n n 2 n n 2
(matched filter outputs at times t D n C 1Ts and [c11  c12   c12 c11   ] D 0. In view of this
t D n C 2Ts ) is given by independence, one can view the two equations in
Equation (3) as representing the input-output relation-
y1n D Cn xn1 C nn n n n n n
1 D c11 x1 C c12 x2 C n1 ship of two parallel, independent channels, or, two
realizations of the same single-input/single-output
y2n D Cn xn2 C nn n n
2 D c11 x2  channel (since the two parallel channels have the
n n
C c12 x1  C nn
2 1 same SNR). This means that existing one-dimensional
(1-D) codes (e.g. 1-D TCM) could easily be combined
where nn n
1 and n2 comprise a pair of i.i.d. complex with, in general, orthogonal designs, by serial-to-
zero mean Gaussian noise samples each with variance parallel (one to Lt  converting the 1-D encoder output
 2 per dimension (i.e. Efjnn 2 2
i j g D 2 , i D 1, 2 and and then feeding it to the orthogonal design.
are assumed to be independent of the channel gains. On the basis of the observations in Equation (1),
Assuming perfect knowledge of the complex chan- the ML metric is given by
nel gains, that is, perfect channel state informa-
tion (CSI), the receiver uses the sequence y1n , y2n myn , xn  D jy1n  c11
n n n n 2
x1 C c12 x2 j
to construct C jy2n  c11
n
x2n  C c12
n n 2
x1  j 4
xQ 1n D n n
c11  y1 C n n
c12 y2 
2
xQ 2n D c12
n n n n
 y1  c11 y2  Note that the combining scheme as described by
Equation (2) is different from that of MRC. Nevertheless,
to be used in forming the ML metric for as we shall see shortly, the decision variables that result are
making a decision on the information signal precisely the same as those for MRC.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 673

which using Equation (2) can be written as Note that in Equation (10) knowledge of the channel
  appears not to be explicitly needed to implement the
myn , xn  D jy1n j2 C jy2n j2  2 Re xQ 1n x1n  decision rule. However, the reader is reminded that
  knowledge of the channel is needed to build the deci-
 2 Re xQ 2n x2n  C jc11 n 2 n 2
j C jc12 j jx1n j2 sion variables xQ 1n and xQ 2n from the received observ-
ables y1n and y2n in accordance with Equation (2).
n 2 n 2
C jc11 j C jc12 j jx2n j2 5 Furthermore, applying the ML principle directly to
the observables, it can formally be shown [27] that
or equivalently the optimal (in the sense of maximizing the joint
likelihood function py1n , y2n jx1n , x2n , c11
n n
, c12 )
myn , xn  D jy1n j2 C jy2n j2  jQx1n j2  jQx2n j2 receiver is indeed one that bases its decision on xQ 1n
n 2
C jc11 n 2
j C jc12 j  1jx1n j2 C jQx1n  x1n j2 and xQ 2n of Equation (2). Thus, for the perfectly known
n 2 n 2
channel, the Alamouti scheme is optimal. Note that
C jc11 j C jc12 j  1jx2n j2 C jQx2n  x2n j2 6 this optimality statement is independent of the statis-
tics of the channel since the proof of optimality is
Since a decision on x1n and x2n based on Equa- based on the conditional (on the channel gains) like-
tion (6) is independent of y1n , y2n , xQ 1n and xQ 2n , the lihood function. The performance of the Alamouti
metric simplifies to scheme, however, will be very much dependent on the
n 2 n 2 statistics [e.g. probability density functions (PDFs),
mxQ n , xn  D jc11 j C jc12 j  1jx1n j2 relative correlation] of the channel gains.
C jQx1n  x1n j2 C jc11
n 2 n 2
j C jc12 j  1jx2n j2 To compare the performance of the Alamouti trans-
mit diversity scheme with an equivalent two-branch
C jQx2n  x2n j2 7 MRC scheme, we note that the combined signals
in Equation (3) are identical in form (except for
Finally, assuming that the pair of information sig-
phase rotations of the noise components, which have
nals x1n and x2n to be transmitted are independently
no effect on the effective SNR) to what would be
chosen, an ML decision can be made separately on
obtained at the output of the MRC combiner for
each of them using the metricjjjj
the same pair of successively transmitted symbols.
Thus, from the standpoint of diversity gain, the two
mQxin , xin  D jc11
n 2 n 2
j C jc12 j  1jxin j2
schemes both achieve a diversity of order two. How-
C jQxin  xin j2 , i D 1, 2 8 ever, under the assumption of a fixed total amount
of power available at the transmitter, for the trans-
with corresponding decision rule: mit diversity scheme, in each symbol interval, the
Choose xin D xO in iff power is split equally between the two antennas, that
is, x1n and x2n each contain half the symbol energy
n 2 n 2
jc11 j C jc12 j  1jOxin j2 C jQxin  xO in j2 and the same is true for x2n  and x1n  . By con-
n 2
 jc11 n 2
j C jc12 j  1jxin j2 trast, in the MRC scheme, since only one transmit
antenna is employed, only one symbol is transmit-
C jQxin  xin j2 for all xin 6D xO in . 9 ted in each symbol interval and the total energy is
allocated to it. Thus, from the standpoint of SNR,
For equal energy signal constellations such as M- the power efficiency of the Alamouti transmit diver-
PSK, jxin j2 is constant and thus Equation (9) reduces sity scheme suffers a 3 dB loss with respect to that
to the minimum squared Euclidean distance rule: of the MRC receive diversity scheme. Stated another
Choose xin D xO in iff way, a curve of average BEP versus bit energy-to-
noise ratio in dB for the Alamouti transmit diversity
jQxin  xO in j2  jQxin  xin j2 for all xin 6D xO in scheme would be parallel to that of the equivalent
10 curve for MRC and shifted 3 dB to the right. This
analogy with the performance of MRC would hold
jjjj
A generalization of the metric in Equation (8) will also
for all channel scenarios including the possibility of
be used later on in Section 5 [see Equation (22)] when different statistical PDFs for the two channel gains as
discussing the TCM case. well as correlation between them.
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
674 MARVIN K. SIMON

   
In order to achieve higher orders of diversity, n
c11 x2n  C c12
n n
x1  nn
3
Alamouti [26] generalized his simple transmit diver- D n n n n C
c21 x2  C c22 x1  nn
4
sity scheme to allow for more than one receive
antenna (still, however, using two transmit anten- 12
nas). Specifically, he showed that for two transmit where again nn1 , n n
2 , n n
3 , nn
4 are i.i.d. complex
antennas and Lr receive antennas, it is possible to zero mean Gaussian noise samples each with vari-
achieve a diversity of order 2Lr , which would then ance  2 per dimension. Assuming as before perfect
be equivalent (from a diversity gain standpoint) to knowledge of the channel gains, the receiver uses the
an MRC system with 2Lr receive antennas. For the sequence y1n , y2n , y3n , y4n to construct the two
purpose of illustration, we present the details for decision variables needed for ML detection as
the special case of two transmit antennas and two
receive antennas as was done in Reference [26]. The xQ 1n D c11
n n n n
 y1 C c21  y2
appropriate communication system is illustrated in n n
C c12 n n
y3  C c22 y4 
Figure 3. The encoding of the pair of information
symbols at the transmitter is done the same way as xQ 2n D c12
n n n n
 y1 C c22  y2
previously described, that is, in the nth transmission n n
 c11 n n
y3   c21 y4  13
interval, xn1 D [x1n , x2n ]T is transmitted followed by
xn2 D [x2n , x1n ]T . Since the channel gain matrix is Substituting Equation (12) into Equation (13) gives
now described by
  xQ 1n D jc11
n 2 n 2
j C jc12 n 2
j C jc21 n 2 n
j C jc22 j x1
n n
c11 c12 n n
C c11 n n
 n1 C c21  n2
Cn D n n 11
c21 c22 n n n n
C c12 n3  C c22 n4 
analogous to Equation (1), the four received samples xQ 2n D jc11
n 2 n 2
j C jc12 n 2
j C jc21 n 2 n
j C jc22 j x2
are now n n n n
    C c12  n1 C c22  n2
y1n nn
1 n n n n
D Cn xn1 C  c11 n3   c21 n4  14
y2n nn
2
    Again it is straightforward to show that the
n n n n
c11 x1 C c12 x2 nn  n
effective Gaussian noise RVs N
n n
1 D c11  n1 C
1
D n n n n C
c21 x1 C c22 x2 nn
2 n n
c21 n n
 n2 C c12 n n
n3  C c22 n4  and  n
N 2 D

   
y3n nn
3
n n
c12 n n
 n1 C c22  n2  c11n n n n
n3   c21 n4 
n D Cn xn2 C
y4 nn
4 are uncorrelated and thus independent. Analogous to

Fig. 3. The two-branch Alamouti transmit diversity scheme with two receive antennas.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 675

Equation (9), the decisions on x1n and x2n can be space-time coding problem, we associate a column
made separately using the rule: of X with the Lt symbols transmitted from the Lt
Choose xin D xO in iff antennas in a given symbol interval (time slot).
Thus, for example, letting a D 1, b D 3, c D 4, d D 2
n 2 n 2 n 2 n 2
jc11 j C jc12 j C jc21 j C jc22 j  1jOxin j2 in Equation (17b), simultaneous transmission of the
C jQxin  xO in j2  jc11
n 2 n 2
j C jc12 n 2
j C jc21 j group of symbols x1 , x3 , x4 , x2 would be followed by
transmission of x3 , x1 , x2 , x4 , x4 , x2 , x1 , x3 and
n 2
C jc22 j  1jxin j2 C jQxin  xin j2 x2 , x4 , x3 , x1 . Since over a total of Lt time slots,
for all xin 6D xO in . 15 we are transmitting information from Lt symbols, the
information symbol rate is 1, or equivalently looking
or for equal energy signal constellations, at X as a block code, the code rate is 1. Using X to
Choose xin D xO in iff describe the symbol transmissions in the nth trans-
mission interval from Lt antennas to a single receiver
jQxin  xO in j2  jQxin  xin j2 for all xin 6D xO in . with a channel characterized in this same interval by
16 the channel matrix Cn D [cji n
], it is proved in Ref-
which is identical to Equation (10). erence [13] that such block code designs achieve a
Finally, comparing the Alamouti transmit diversity diversity of order Lt and have a simple ML decoding
scheme with two transmit and two receive antennas algorithm that is based only on linear processing.
to an equivalent MRC scheme with one transmit and
As pointed out above, the limitation of requir-
four receive antennas, we readily observe that both
ing that the elements of X be real, for example,
achieve a diversity order of four; however, using the
binary phase shift keying (BPSK) modulation in
same reasoning as previously discussed, for a fixed
the application to space-time coding, is that such
total transmitter power, the former would again suffer
a 3 dB loss relative to the latter. matrix designs can only be achieved for Lt D 2, 4
and 8. In terms of the space-time coding applica-
tion, this limitation is synonymous with limiting the
4. Generalization of Alamoutis Diversity number of transmit antennas, or equivalently, the
Technique to Space-Time Orthogonal Block diversity order, to 2, 4 and 8. To allow arbitrary
Code Designs
diversity orders to be achieved, Tarokh and his col-
Using the theory of orthogonal designs [28] studied laborators introduced the notion of generalized com-
by Hurwitz and Radon back in the 1920s, Alam- plex orthogonal designs [13] wherein the elements of
outis scheme can be generalized to a number of matrix X, now of dimension Lp Lt (i.e. X is non-
transmit antennas greater than two [13]. Specifically, square), are allowed to be complex and chosen from
consider an Lt Lt matrix X with real elements cho- 0, x1 , x1 , x2 , x2 , . . . , xk , xk in such a way
sen from x1 , x2 , . . . , xLt such that the rows or as to provide orthogonal rows and columns. Further-
more, whereas
 for the real orthogonal designs, XXT D
columns are orthogonal with each other. Such orthog- Lt 2 
onal matrices referred to as HurwitzRadon matrices iD1 xi I where I is the Lt Lt identity matrix,
were shown [28] to exist only for values of Lt D 2, for the generalized complex orthogonal  designs,  the
4 and 8. Examples of such matrices corresponding to analogous property is XXT D C k
jx i j2
I with
iD1
Lt D 2 and Lt D 4 are as follows: C as an integer constant. Applying such designs to
 
xa xb the space-time coding problem in which as before the
X2 D 17a number of columns, Lp , of X corresponds to the num-
xb xa
ber of symbols per transmission interval (code block)
xa xb xc xd and the number of rows, Lt , of X corresponds to the
xb xa xd xc
X4 D xc xd
17b number of transmit antennas, since there are now k
xa xb
symbols transmitted in a given transmission interval,
xd xc xb xa
the code rate is k/Lp .
In Equation (17a), the subscripts a, b can be either On the basis of the above description, it becomes
permutation of the indices 1, 2, whereas in Equa- immediately clear that the Alamouti scheme is a special
tion (17b), the subscripts a, b, c, d can be any per- case of a space-time complex orthogonal block code
mutation of the indices 1, 2, 3, 4. In terms of the corresponding to Lp D Lt D k D 2. Specifically, if we
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
676 MARVIN K. SIMON

define the complex orthogonal matrix X by existence of some recent work dealing with Alamouti-
  type systems for unknown channels. In particular,
x1 x2 assuming identically distributed (but not necessarily
XD 18
x2 x1 independent) Rayleigh statistics for the two channels
between the two transmitters and the single receiver,
then if we associate the first and second columns of the optimum (in the ML sense) receiver in the absence
X with the transmitted symbol column vectors xn1 D of absolute knowledge of the channel gains has been
[x1n , x2n ]T and xn2 D [x2n , x1n ]T previously de- determined and upper and lower bounds on its per-
fined above Equation (1), we immediately see the formance have been obtained [27]. As these results
association. are as yet unpublished, we respect the authors right
As an example of a complex orthogonal design that of privacy and proceed no further with this discus-
generates a space-time block code with diversity of sion. For additional information, the reader is free to
order 3 and can be applied, for example, to a system contact the author of Reference [27] or merely await
with three transmit and one receive antenna, consider the eventual public disclosure of his results.
the matrix X given by

xa xb xc xd xa xb xc xd 5. Alamoutis Diversity Technique
X D xb xa xd xc xb xa xd xc Combined with Multidimensional

xc xd xa
xb xc xd xa xb Trellis-Coded Modulation
19
As discussed in the previous section, while space-
where again the subscripts a, b, c, d can be any
time block codes achieve the maximum diversity gain
permutation of the indices 1, 2, 3, 4. The block
with simple decoding algorithms (as has been demon-
code generated from the code construction matrix
strated here for the Alamouti scheme), unfortunately
in Equation (19) has a block length of eight sym-
they are not accompanied by coding gain. Perhaps the
bols during which only four different complex sym-
simplest method of achieving both diversity and cod-
bols (and their complex conjugates) are transmitted.
ing gain is to combine multidimensional TCM with
Thus, the effective code rate is 4/8 D 1/2 resulting
Alamoutis scheme. One such method was investi-
in a reduction of data throughput by a factor of
gated in Reference [16] in which a four-dimensional
1/2 as compared to the square orthogonal designs.
trellis-coded 2 M-PSK modulation was employed.
Also note from examination of each row of X, that
Since this combination of trellis coding with the basic
a given transmitter sends each symbol and its com-
two transmit antenna Alamouti scheme is conceptu-
plex conjugate
 one and  only one time and therefore
4 ally the simplest form of space-time TCM, we discuss
XXT D 2 jx
iD1 i j2
I, that is, C D 2. its behavior here as a prelude to the presentation that
As was true for the square real orthogonal designs, follows in the next section dealing with the more
space-time block codes generated from generalized general type of space-time TCM having an arbitrary
complex orthogonal matrices have a simple ML number of transmit antennas.
decoding algorithm that is based only on linear pro- A block diagram of the system is illustrated in
cessing. Furthermore, it has been shown that for any Figure 4. In each transmission interval, b bits enter
number of rows in X (i.e. any number of trans- the trellis encoder and k D 2m are generated, which
mit antennas), there exists a construction that pro- are used to select a pair of M-PSK M D 2m  symbols
duces a code design with a code rate of at least 1/2. from a 2 M-PSK four-dimensional constellation.
Also, while in principle any diversity order is now The pair of symbols is transmitted from two anten-
achievable, the higher the diversity order the larger nas using the Alamouti encoding scheme described
the SNR loss when compared with the equivalent in the previous section. The channel matrix Cn
(same diversity order) single transmit antenna, multi- is now 2 Lr in size and the received symbols,
ple receive antenna system. Specifically, a space-time y1n , y2n , . . . , y2L
n
r
, corresponding to the nth trans-
block coded system with Lt transmit antennas (trans- mission interval defined by
mit diversity of order Lt  would suffer a 10 log10 Lt
dB SNR penalty when compared with the equivalent yln D cl1
n n n n
x1 C cl2 x2 C nn
l
order-Lt receive diversity system. n n
ylCL D cl1 x2n  C cl2
n n
x1  C nn
lCLr ,
Before moving on to a consideration of space-time r

trellis-coded systems, we wish to point out the l D 1, 2, . . . , Lr 20


Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 677

Fig. 4. The two-branch Alamouti transmit diversity scheme combined with multidimensional trellis-coded modulation.

are used to construct the decision variables or for equal energy constellations such as 2 M-

Lr 
Lr PSK
xQ 1n D n n
cl1  yl C n n
cl2 ylCLr  N  2
 X D
mX, jQxin  xin j2 23
lD1 lD1
L  nD1 iD1
 r
n 2 n 2
D [jcl1 j C jcl2 j ] x1n
 is defined accord-
where X D [x1 , x2 , . . . , xN ] and X
lD1
ingly.

Lr
n n n n
C [cl1  nl C cl2 nlCLr  ]
lD1
L  5.1. Evaluation of the Pairwise Error Probability
 r
Performance on Fast Rician-Fading Channels
D n 2
[jcl1 n 2
j C jcl2  n
j ] x1n C N 1
lD1
The first step in evaluating the average BEP of the

Lr 
Lr
system in Figure 4 is to compute the pairwise error
xQ 2n D n n
cl2  yl  n n
cl1 ylCLr  probability, that is, the probability of choosing the
lD1 lD1
space-time sequence X  when in fact the sequence
L 
 r
n 2 n 2
X was transmitted. Upper (Chernoff) bounds on this
D [jcl1 j C jcl2 j ] x2n probability were computed in Reference [16]. Here
lD1
we evaluate exact expressions for the PEP. Condi-

Lr
n n n n
tioned on a realization of the channel over the entire
C [cl2  nl  cl1 nlCLr  ] block of length N, this probability is given by
lD1
L 
 r

PX ! XjC  X mX,
D PrfmX,  XjCg

D n 2
[jcl1 j C n 2
jcl2 j ]  n
x2n C N 2 21
lD1  X  mX,
D PrfmX,  X
 0jCg 24
which is the generalization of Equation (13) to Lr
antennas. Since the transmitted symbols are trellis- Assuming the equal energy 2 M-PSK case, then
coded, the receiver must now perform ML sequence substituting Equation (21) into Equation (23) and
detection in space and time which for an observation simplifying gives
block of N transmission intervals uses the metric
 L   L 
 N  2  r 
N  r
 X D
mX, jc j C jc j   1 jxin j2
n 2 n 2 
PX ! XjC D Pr Z n 2
jcl1 j C n 2
jcl2 j 
l1 l2
nD1 iD1 lD1 nD1 lD1
 

2
C jQxin  xin j2 22 jxin  xO in j2 25
iD1

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
678 MARVIN K. SIMON

where Z is conditionally (on the channel fading) a Equation (2.17) of Reference [23], and evaluating it
zero mean Gaussian RV given by at s D 1/2 sin2 , we immediately obtain


N

ZD  n
2 ReOx1n  x1n  N 1
PX ! X
nD1
2lr
 n
C Ox2n  x2n  N
2  26

N

/2 ! 2
1 1 C K sin 
Recognizing that the variance of Z can be com- D
 0 nD1 2
1 C K sin 
puted as

 s  n
2
L  n 2

N  r C4 jxi  xO i j
n 2 n 2
Z2 D 4 2 jcl1 j C jcl2 j iD1

nD1 lD1

   n
2
2

jxin  xO in j2 27 2Lr K s jxi  xO in j2
4
iD1
iD1
exp  d
1 C K sin2


the conditional PEP can be expressed in terms of a
 s  n
2
Gaussian Q-function by n 2
C4 jxi  xO i j
iD1

PX ! XjC






 L 


 
N  r  
/2 ! N 2
 n 2 n 2 1 1 C K sin 
 jcl1 j C jcl2 j D
 nD1 lD1  0 1 C K sin2


D Q 28
nD1
  2
2

 n n
 jxin  xO in j2
C 4s jxi  xO i j2

iD1 iD1
4 2 2lr




s 2
n 2

Assuming that x1n and x2n are normalized M-PSK K jxi  xO i j
n

4 iD1

symbols such that Efjx1n j2 g D Efjx2n j2 g D 1, then
exp  d
 2 D N0 /2Es and Equation (28) becomes 1 C K sin2 




  n
2



PX ! XjC C 4s jxi  xO in j2


 L  iD1
r  
 E  N  30
 s n 2
jcl1 j C jcl2 n 2
j
 2N where, as always,  s D Es /N0 denotes the average
 0

D Q  nD1 lD1
29 symbol SNR. For the Rayleigh-fading case (K D 0,
 
2
 n n 2
jxi  xO i j Equation (30) reduces to
iD1

 D 1
Under the assumption of fast Rican-fading, the PX ! X
n 2 n 2 
squared-channel gain magnitudes jcl1 j and jcl2 j 2Lr
are i.i.d. noncentral chi-square RVs with parame-

ter K and mean-square value . Because of the
N
/2 !

resemblance of the right-hand side of Equation (29) sin  2
d
with that of an equivalent MRC system having 2Lr 2
nD1
0 sin 
antennas, the MGF-based approach can be used to
 s  n
2
obtain the unconditional PEP. Specifically, using the n 2
C4 jxi  xO i j
MGF for the SNR in a Rician channel as given in iD1

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 679

2Lr squared Euclidean distances [see Equation (32)] as is


N typical of the performance of trellis codes over fading
1 /2
!
sin2 
channels [29].
D d
 0 nD1  n
2 Finally, we note that the Chernoff bounds on PEP
sin2  C  s n 2
jxi  xO i j obtained in Reference [16] can be readily obtained
4 iD1
from Equations (30) and (31) by upper bounding
31 the integrands in these equations by their value at
Denoting the squared Euclidean distance between the  D /2. This follows immediately from the fact
transmitted and chosen 2 MPSK symbols in the that upper bounding the integrand of the alternative
nth symbol interval by representation of the Gaussian Q-function given in
Equation (4.2) of Reference [23], by its value at  D

d2n D jx1n  xO 1n j2 C jx2n  xO 2n j2 32 /2 results in the Chernoff bound on this function.

then the product on n in Equations (30) and (31) can


5.2. Evaluation of Pairwise Error Probability
be replaced by a product on in which is the set of
Performance on Slow Rician-Fading Channels
all n for which d2n 6D 0, that is, the cardinality of is
the multidimensional symbol-wise Hamming distance For the slow-fading case, the channel gains are
dH between X and X. 
assumed to be constant over the duration of the N-
Comparing the PEP of an analogous single transmit symbol block length, that is, a data frame. Notation-
/single receive antenna trellis-coded M-PSK system, wise, we replace jcl1 n 2 n 2
j by jcl1 j2 and jcl2 j by
which for a fast Rician-fading channel is given by jcl2 j2 . As such, the conditional PEP of Equation (25)
(see the combination of Equations (12.20) and (12.25) becomes
of Reference [23]).

PX ! XjC
 D 1
PX ! X   
 
Lr
D Pr Z 2
jcl1 j C jcl2 j  2
/2 !
N
1 C K sin2  lD1
s 
0 nD1
2
1 C K sin  C jxn  xO n j 2 
N 
2
4 jxin  xO in j2 34
nD1 iD1
s
K jxn  xO n j2
4
exp  d where Z is still defined as in Equation (26) with, how-

1 C K sin2  C s jxn  xO n j2 ever, the effective noise components now given by
4
33 
Lr
with the PEP of the trellis-coded 2 M-PSK Alam-  n
N 1 D [cl1  nn n
l C cl2 nlCLr ],
outi scheme as given in Equation (30), we observe lD1
that the latter implies a coding gain dependent on

Lr
the multidimensional distance properties of the trel-  n
N 2 D [cl2  nn n
l  cl1 nlCLr ] 35
lis code as well as the addition of a diversity gain lD1
equal to 2Lr . The total diversity gain of the trellis-
coded 2 M-PSK Alamouti scheme can be deter- Again the conditional PEP of Equation (34) can be
mined by explicitly examining the asymptotic (large expressed in terms of a Gaussian Q-function analo-
SNR) behavior of Equation (30), which becomes gous to Equation (29) by
PX ! X  C 2Lr dH . Thus, we conclude that, for
s
the fast-fading channel, in so far as the PEP is con- 
PX ! XjC
cerned, the combination of space-time transmit diver-  L 
sity offered by the Alamouti code, receive diversity  E  r

 s jcl1 j2 C jcl2 j2 
offered by MRC and trellis coding results in a multi-  2N0

plicative diversity of order 2Lr dH . It is also interest- D Q  lD1
36
 
N  2
ing to note that, for large SNR, the asymptotic coding  n n 2
jxi  xO i j
gain behaves inversely as the product of the branch nD1 iD1

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
680 MARVIN K. SIMON

which after averaging over the Rician slow-fading of the fact that the Alamouti scheme is an orthogonal
statistics gives block code design. Without orthogonality, other met-
rics become important.
 D 1
PX ! X

2Lr 6. Space-Time Trellis-Coded Modulation

The next step in the evolution of the theory pre-



sented in this paper is to consider the more gen-
/2 2
1 C K sin  eral space-time trellis-coding scenario in which the

1 C K sin2  number of transmit antennas, Lt , and the number of
0
receive antennas, Lr , are both arbitrary. Also, whereas
 s   n
N 2

C4 jxi  xO in j2 in the previous section the trellis code was designed
nD1 iD1 to act in combination with the 2 Lr block code
of the Alamouti transmit diversity scheme, here the
trellis code by itself attempts to accomplish both
  n
N 2
the transmit diversity and coding gain functions. In
2Lr K s jxi  xO in j2
4 what follows, we use the approach taken in Ref-
nD1 iD1
exp d erence [30] to evaluate the PEP and average BEP
1 C K sin 2

of such schemes. This approach closely follows the

 s  n
N 2
n 2 method presented in the previous section but in a
C4 jxi  xO i j
nD1 iD1 somewhat more general context.
Since now each information symbol available at
37
each antenna is transmitted only once, that is, the
or for the Rayleigh channel
transmission interval is now equal to the symbol
1 interval and of duration Ts , the received samples
 D
PX ! X
 (matched filter outputs) are given by
2Lr 
Lt

yjn D n n


cj,i xi C nn
j , j D 1, 2, . . . , Lr ,
/2
sin2  iD1
d
  n
N 2 n D 1, 2, . . . , N 40
0
sin2  C  s n 2
jxi  xO i j
4 nD1 iD1 where nn
j is a sample of a zero mean, variance
2 2 D N0 /Es complex Gaussian process representing
38 the additive thermal noise. As before, these noise
Since samples are i.i.d. and independent of the channel


N 
2
gains. Assuming as in the previous section that the
d2E D jxin  xO in j2 39
receiver has perfect knowledge of the channel state,
nD1 iD1
the appropriate ML metric to be minimized by the
represents the multidimensional squared Euclidean choice of X is
distance associated with the entire error event path,  N  Lr 
Lt
we see that, on slow-fading channels, the PEP de- mY, X D jyjn  n n 2
cj,i xi j 41
pends on this entire path distance rather than the nD1 jD1 iD1
individual branch distances and furthermore, the trel- and the corresponding conditional PEP is given by
lis code does not contribute to the diversity. At high 
average SNR, the performance is dominated by the  Es  N
) )
 n g D Q 
PX ! XjfC xn )
)Cn xn   2
error event path producing the smallest value of d2E , 2N0 nD1
namely, the squared free Euclidean distance, d2free , and
thus to obtain the maximum coding gain, one should 42
design the code to achieve the largest value of d2free .
This is the identical criterion used for designing opti-
A similar analysis is performed in Reference [31] using
mum trellis codes on the AWGN channel. It should an inverse Laplace transform approach together with a
also be noted that the importance of Euclidean dis- GaussChebychev numerical quadrature rule to approxi-
tance as a code design criterion comes about because mately evaluate the PEP.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 681

To compute the average PEP, we again apply the vector of variables) . Since for the Rician channel,
 Lt
MGF-based technique resulting in Zn
j D
n n
O in  is a complex Gaussian
iD1 cj,i xi  x
t

PX ! X RV with variance n2 D  LiD1 jxin  xO in j2 , which
/2 1 *
+ is independent of j, then defining the normalized RV
1
jn D Zn n
D exp p dd j /n , and noting that the j s are i.i.d.,
 0 0 2 sin2  Equation (46) can be rewritten in terms of this new
* + notation as
1 /2 1
D M  d 43
 0 2 sin2   D 1
PX ! X

where M s is the MGF of L
j n j r

Lt

Es  ) )2 jxin  xO in j2
N
N s
D xn ) .
)Cn xn   44 /2 !
exp  iD1
j n j2
2N0 nD1 4 sin2  d
0 nD1

and we define the squared norm of a matrix by the
sum of the magnitude squaredr  of all its elements,
47
for example, jjALr N jj2 D LlD1 N 2
iD1 jali j or equiv-
alently the trace of the matrix ALr N ALr N T . Note
that to the extent that the MGF can be evaluated in where, without loss in generality, we have dropped
the j subscript on jn . Finally, averaging over
closed form for a given fading-channel type, the rela-
the noncentral chi-square distributed random vari-
tion in Equation (43) is exact and can be evaluated
able j n j2 , equivalently making use of the MGF
as a single integral with finite limits.
of a Rician channel (Reference [23], Equation 2.17),
For the slow-fading model, we would have Cn D
gives the desired result
C independent of n in which case Equation (44)

Es ) )2
becomes
)
D )CX  X  )) 45






2N0

N
/2 ! 2
 D 1 1 C K sin 
PX ! X
6.1. Evaluation of Pairwise Error Probability  0 1 C K sin2

nD1


 s  n
Performance on Fast Rician-Fading Channels L
n 2
t

C jx  x
O j
4 i i
To evaluate the average BEP, we again make use of iD1
the assumed i.i.d. properties of the channel where- Lr


upon Equation (43) evaluates to


s 
Lt

K jxin  xO in j2


 D 1
PX ! X 4 iD1

 exp d
Cn 1 C K sin2 


Es

/2 !
 s  n
N  Lt
2 n 2
exp ) 4N0 sin  ) d C4 jxi  xO i j

xn )
)Cn xn  
2
0 nD1 iD1

1 48
D
 which for the Rayleigh channel simplifies to
cj,i
n
1
Es  D
PX ! X
/2 !
N !  
Lr
4N0 sin2  Lr

exp , Lt , d
, n n ,
2
N
,, cj,i xi  xO i ,,
0 nD1 jD1 n
/2 ! sin2 

iD1 d
 n
L t
46 0
nD1 sin2  C  s n 2
jxi  xO i j
4 iD1
where the notation denotes statistical expectation
with respect to the random quantity (single variable or 49
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
682 MARVIN K. SIMON

Comparing Equations (48) and (49) with Equations Note that X  XX 
X T is a real Lt Lt
(30) and (31), respectively, it is readily apparent matrix whose ij th element is the correlation of the ith
that the factor of two in diversity contributed by and the complex conjugate of the jth rows of the sym-
the Alamouti transmit diversity scheme is absent in bol error matrix X  X.  Thus, if the rows of X  X 
the latter and the number of transmit antennas acts are orthogonal (as can be the case for certain error
only to produce a coding gain dependent on the paths in the trellis), then X  XX 
X  T will be
multidimensional distance properties of the space- an Lt Lt diagonal matrix and the matrix ILt Lt 
time trellis code. 
sX  XX
X T f s /[21 C K]g will likewise
be 
diagonal with elements 1  fs s /[21 C K]g
6.2. Evaluation of Pairwise Error Probability n
N nD1 jxi  x O in j2 , i D 1, 2, . . . , Lt . For this case
Performance on Slow Rician-Fading Channels
then, we have
As required by Equation (43), we need to evaluate the  
  T s
MGF of , which for the slow-fading case is defined det ILt Lt  sX  XX X
in Equation  2 in 21 C K
L(45). We first rewrite jjCX  Xjj
  T T  
!  n
r
the form lD1 cl X  XX  X  cl  , where cl L t
s s
N
n 2
denotes the lth row of the constant channel gain D 1 jx  xO i j 53
21 C K nD1 i
matrix C. Then, for the Rician channel in which cl iD1
is a complex Gaussian vector, with mean cl , using a and
result from Turin [32], it can be shown that  
M s 
Tr ILt Lt  ILt Lt  sX  X
*  +Lr
  T s +1 
D det ILt Lt  sX  XX X s
21 C K
X  X  T
- * +  * 21 C K
1CK
exp Lr c ILt Lt  ILt Lt  n
N
 s s
+1    jx  xO in j2
s 
Lt 21 C K nD1 i

 sX  XX  T
X T
c  50 D 54
21 C K iD1 s s  nN
1 jx  xO in j2
Note that we have dropped the l subscript on cl 21 C K nD1 i
since, because of the i.i.d. assumption, all rows of the
channel gain matrix have identical means. Further- Substituting Equations (53) and (54) into Equation (51)
more, since the mean of any element of this matrix, gives the desired result
D Efcij g, has magnitude mean-square value j j2 D  1
!Lt
s  N
K/1 C K, Equation (50) can be rewritten as M s D 1 s n n
jx  xO i j 2
21 C K nD1 i
M s iD1
*  +Lr L r
  T s s s 
N
n 2
D det ILt Lt  sX  XX
X
n

21 C K

 jx
21 C K nD1 i
 x
O i j


- 
 exp K
 N
exp Lr K Tr ILt Lt  ILt Lt  sX  X

jxin  xO in j2
s

1 s

+1  21 C K nD1
 Ts
X  X  51 55
21 C K
where Tr[A] denotes the trace of the matrix A. For which for the Rayleigh channel reduces to
the Rayleigh channel, Equation (51) simplifies to L  Lr
! t
s s  n
N
n 2
M s M s D 1 jx  xO i j
*  +Lr iD1
2 nD1 i

D det ILt Lt  sX  XX  T  s
X  Lr
2 !Lt
s s  n
N
n 2
D 1 jx  xO i j 56
52 iD1
2 nD1 i
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 683

Finally, from Equation (43), the PEP for the slow for space-time trellis codes have also been per-
Rician- and Rayleigh-fading channels become formed by other researchers using a variety of tech-
niques. Specifically, in Reference [9] the PEP is

PX ! X upper bounded with the traditional Chernoff bound in
the same manner as that done in Reference [33] for



time coding, for example, TCM alone. More recently,



Aktas and Fitz [34] considered the distance spectrum
Lt
/2 ! 2
1 1 C K sin  of space-time trellis codes and along with that an
D
 0 1 C K sin 2
 upper bound on the PEP in combination with the

iD1

 s  n
N union bound to compute average BEP. In Refer-

n 2

C jx  xO j ence [35], a method for exactly evaluating PEP using
4 nD1 i i
an eigen-analysis based on Turins results [32] for
lr the characteristic function associated with a quadratic



form of a complex Gaussian vector is developed. This


 s  n
N

jxi  xO in j2
method also led to an upper bound on PEP that is
K

4 nD1 asymptotically tight at high SNR and tighter than the

exp  d Chernoff bound. Finally, in Reference [36], the char-
1 C K sin2 


acteristic function technique previously used in the
 s  n
N

n 2
jxi  xO i j
performance of TCM [37] is extended to the space-
C

4 nD1 time problem to allow for exact evaluation of PEP by
residue methods. The advantage of the MGF-based
57 method presented in this paper is that: (a) in cer-
tain cases, it can allow for evaluation of the PEP
and
(and therefore approximation to the average BEP) in
 a simple closed form and (b) it can allow for direct
PX ! X
Lr evaluation of the transfer function upper bound on
average BEP for the fast-fading case. The latter will
be demonstrated in a later section of the paper.



Lt
/2 !
6.3. An Example
1 2
sin 
D d
 0 iD1


At this point in our discussion, it is instructive to
sin2  C s
4 present an example of the evaluation of the PEP
 n
N
n 2
for space-time codes partially with the intent of val-
jxi  xO i j idating the row orthogonality of the symbol error
nD1 matrix assumed in the slow-fading case. For sim-
58 plicity, we shall consider the Rayleigh-fading case.
Consider the four-state quadrature phase shift key-
Recalling the form of Equations (48) and (49) for ing (QPSK) space-time code considered by Tarokh
the fast-fading case, we see that in so far as the et al. [8,9] (also in Reference [36]) with Lt D 2 trans-
evaluation of the PEP is concerned, the role of the mit antennas and illustrated here in Figure 5. The
number of transmitters and the length of the error labeling ii /kk along each branch of the trellis refers to
event path swap places for the two different fading the pair of input bits (ii ) and the corresponding pair
models, that is, for the slow-fading model, the number of output symbols (kk ) that result from the transition
of transmitters once again contributes a factor of Lt between the states at the beginning and at the end
to the total diversity. We hasten to remind the reader of the branch. The output symbol notation, k, refers
that the above statement is true only for those error to the integer multiple of /2 that characterizes the
event paths in which the symbol error matrix X  X  phase in the complex representation of the complex
has orthogonal rows. As we shall show in the example QPSK symbol, that is, ejk/2 . The QPSK symbols
that follows, this condition is one that can be satisfied are the elements of the X and X  matrices associated
and allows evaluation of the PEP in closed form. with the trellis.
Before proceeding, it is worth pointing out that Assuming that the correct path is the all zeros
exact evaluation as well as upper bounds on PEP sequence (zero phase for all symbols), then for the
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
684 MARVIN K. SIMON

00/00 00/00
00/00 01/01 10/02 11/03

00/10 01/11 10/12 11/13

0
10

/2
/0
00
2
00/20 01/21 10/22 11/23

00/30 01/31 10/32 11/33

1
QPSK signal point constellation

2 0

Fig. 5. Trellis diagram and signal point constellation for four-state QPSK space-time code.

shortest error event path of length N D 2 illustrated m D 2Lr . In particular,


by shading in Figure 5, we have
PX ! X
   
1 1  . 2Lr 1 * +* +k 
XD , X  D 1 1 . 59 1 s  1
1 1 1 1 2k
D 1 .
2 1 C  s kD0 k 41 C  s 
with corresponding symbol error matrix and complex
62
conjugate product
  The PEP of Equation (62) is plotted in Figure 6 for
XX D 0 2 , the case of Lr D 1 and is in exact agreement with
2 0
  Figure 2 of Reference [36] obtained by other means
  T 4 0 as previously mentioned.
X  XX  X  D . 60
0 4 For the slow-fading case, the result in Equa-
tion (56) gives the MGF
Note that the rows of X  X  are orthogonal
(as previously stated) and so are the rows of M s D 1  2s s 2Lr . 63

X  XX
X  T .
For the fast-fading case, substituting Equation (59) Finally, substituting Equation (63) in Equation (43)
in Equation (49) gives results in the identical PEP as for the fast-fading case
  given by Equation (61) or equivalently the closed
 D 1 /2
 s 2Lr form of Equation (62). The fact that the two results
PX ! X 1C d

0 sin2  are identical is somewhat a coincidence because of
 2Lr the particular choice of the system parameters char-
1 /2 sin2  acterizing the example chosen for illustration, that is,
D d 61
 0 sin2  C  s N D Lt D 2. The important point to note, however, is
that for the fast-fading case, the diversity factor of 2 in
The integral in Equation (61) can be found in closed the exponent of the integrand in Equation (61) comes
form using Equation (5.A.4a of Reference [23], with from the length of the error event path, N, whereas
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 685

1.0E 1

1.0E2
PEP

1.0E 3

1.0E 4

1.0E 5
0 2 4 6 8 10 12 14 16 18 20
Avg. symbol SNR (dB)
Fig. 6. PEP performance of four-state space-time code over i.i.d. Rayleigh-fading channel with two transmit antennas and
one receive antennaLength 2 error event.

the same factor for the slow-fading case comes from paths of Length 3. Of the three error event paths of
the number of transmitters, Lt . Length 2, two of them are of Type I and one is of
Type II, with corresponding PEPs
6.4. Approximate Evaluation of Average Bit
 2Lr
Error Probability /2
sin2 
 ID 1
PX ! X d,
In this section, we use the PEPs previously derived  0 sin2  C  s /2
to evaluate in closed form an approximation to the  2Lr
average BEP on the basis of accounting only for  1 /2 sin2 
PX ! XII D d.
error events of lengths less than or equal to H.  0 sin2  C  s
In the next section, we shall demonstrate the accu- 64
racy of this approximation by comparing it to the The two paths of Type I contribute a total of three bit
true upper bound obtained from the transfer func- errors, whereas the one path of type II contributes one
tion of the code that accounts for error events of all bit error. Thus, if we were to choose to approximate
lengths. For the purpose of illustration, we shall con- the average BEP by considering only error event
centrate our attention on the example discussed in paths of minimum length, that is, H D 2, we would
Section 6.3.
have the closed-form result

6.4.1. Fast-fading channel model


Pb E
 . 2Lr 1 * + * +k 
 s /2 

Assuming transmission of the all zeros sequence, 3 2k 1
then for the four-state code in Figure 5, there are three
D 1
4 1 C  s /2 kD0 k 41 C  s /2
error event paths of Length 2 and nine error event
 . 2Lr 1 * +* +k 
1 s  2k 1
C 1 .

We note that although space-time codes may, in general, 4 1 C  s kD0 k 41 C  s 


be nonuniform, that is, the average BEP can depend on the
transmitted sequence, we consider here only the case where 65
the transmitted path is the all zeros one as was done, for Similarly, the PEPs of the nine possible error event
example, in Reference [36]. paths of Length 3 can be grouped into three different
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
686 MARVIN K. SIMON

types. In particular, defining  V]


C 10PX ! X 67
 2Lr
 III D 1
/2
sin2  In Equation (67), the first two terms account for the
PX ! X 2
 0 sin  C  s /2 Length 2 error events as before [see Equation (65)],
  Lr whereas the last three terms account for the Length 3
sin2  error events as described above. As was the case for
d PX ! X  I and PX ! X  II , the PEPs PX ! X III
sin2  C  s
and PX ! X  IV can be evaluated in closed form
 2Lr
1 /2
sin2  using Equation (5A.58) of Reference [23]. However,
 IV
PX ! X D  V is thus far not avail-
 sin2  C  s the remaining term PX ! X
0
able in closed form thereby preventing a complete
  Lr
sin2  closed-form solution for average BEP. Nevertheless,
d evaluating this last term in Equation (67) by simple
sin2  C 2 s
numerical integration, the approximate average BEP
 Lr performances for Lr D 1 and Lr D 2 are plotted in
/2 2
 VD 1 sin 
PX ! X Figure 7 (also see Figures 3 and 4 of Reference [36]
 0 sin2  C  s /2 corresponding to the curves labeled H D 3. Also
  Lr  Lr shown in Figure 7, for comparison, are the analogous
sin2  sin2  results obtained from Equation (65) when only error
d66
sin2  C  s sin2  C 3 s /2 event paths of Length 2 are accounted for.
then noting that there are four Length 3 event paths
of Type III that contribute a total of 12 bit errors, 6.4.2. Slow-fading channel model
one Length 3 error event path of Type IV that con-
tributes 2 bit errors and four Length 3 error event Evaluating the symbol error matrix X  X  for
paths of Type V that contribute a total of 10 bit the three Length 2 paths, one finds that each
errors, the average BEP corresponding to H D 3 is matrix has orthogonal rows and thus the products
approximated by 
X  XX
X T are all diagonal. Hence, it is
straightforward to show that the PEPs accounting
1  I C PX ! X II
Pb E
D [3PX ! X only for Length 2 paths are of the two types given
2 in Equation (64) and the average BEP is once again
 III C 2PX ! X
C 12PX ! X  IV given by Equation (65).

1.0E + 0

Length 2 and 3 error events


1.0E 1
Length 2 error events
Lr = 1
Transfer function bound
1.0E 2
Average BEP

Lr = 2

1.0E 3

1.0E 4

1.0E 5

1.0E 6
4 6 8 10 12 14 16 18
Avg. symbol SNR (dB)
Fig. 7. Average BEP performance of four-state space-time code over i.i.d. Rayleigh-fading channel with two transmit
antennas; fast-fading.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 687

Extending now the analysis to the case in Unfortunately, the form of the integrals in Equ-
which Length 3 error event paths are considered, ation (68) does not have a readily available closed
it can be shown that for none of the nine form and thus one must evaluate these numerically.
events of such length does the X  X  matrix have Illustrated in Figure 8 are the approximated average
orthogonal rows. However, the determinants of the BEP performances as computed from Equation (67)

X  XX
X  T matrices can still be easily together with Equation (68) for Lr D 1 and Lr D 2.
evaluated and fall into three different types. After Also shown for comparison, are the analogous results
some effort it can be shown, interestingly enough, obtained from Equation (65) in which only error
that the form of the average BEP that accounts for event paths of Length 2 are accounted for. Compar-
both Length 2 and Length 3 error event paths is ing Figures 7 and 8 we observe that the convergence
once again given by Equation (67), where, however, to the true upper bound (that takes into account error
PX ! X  III , PX ! X IV and PX ! X V are now event paths of all lengths) on BEP is slower for the
given by slow-fading case than it is for the fast-fading case.
Equivalently, to obtain an upper bound that asymp-
 III
PX ! X totically approaches the true BEP performance, one
2Lr must consider larger values of H for the slow-fading
1 /2 sin2  case than for the fast-fading case. To demonstrate this
D / d point, the 27 error event paths of Length 4 were eval-
 0 2 2 2
sin  C  s    s /4 uated for the slow-fading case. Of the 27 possible
PEPs associated with these paths, it was found that
 IV
PX ! X there are only 10 different ones, all of which are of
2Lr
/2 2 the form
1 / sin  d
D
 0 2
sin  C 2 s 2   2s  D 1
PX ! X

 V 2Lr
PX ! X
2Lr
/2
/ sin2 
d 69
1 /2 sin2  d.
0 2 2 2
sin  C a s   b s
D /
 0
sin2  C 3 s /22   2s /2
with appropriately chosen values of a and b. Table I
68 summarizes the values of a and b for these 10

1.0E+0

Length 2 and 3 error events


1.0E 1 Length 2 error events

1.0E 2
Lr = 1
Average BEP

1.0E 3

1.0E 4
Lr = 2

1.0E 5

1.0E 6
4 6 8 10 12 14 16 18
Avg. symbol SNR (dB)
Fig. 8. Average BEP performance of four-state space-time code over i.i.d. Rayleigh-fading channel with two transmit
antennas; slow-fading.

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
688 MARVIN K. SIMON

Table I. PEP Parameters and Combined Number of the true union bound (TUB), the correct sequence
of Bit Errors for Error Events of Length 4.
x can always be chosen as the all zeros sequence, thus
avoiding the necessity of averaging over all possible
a b Combined No. of Bit Errors transmitted code sequences. Codes of this type are
3/2 1 9 referred to as uniform error probability UEP) codes.
2 5/4 16 Only this type of code will be considered in this paper
2 1 8 although the generic methods to be discussed also,
5/2 5/2 14
2 2 8 in principle, apply when the UEP criterion is not
3/2 0 9 valid. Thus, for UEP TCM schemes, Equation (70)
2 1/4 16 simplifies to
3/2 1/2 18
5/2 1 7  
1 /2
1 ,
TD, I,ID1 d
3 4 3
Pb E  71
 0 nc I

different PEPs along with the combined number of For those who are unfamiliar with Equation (70) or
bit errors associated with the paths that produce each (71) and its associated terminology or simply desire
of them. Using the results of this table combined with more detailed information regarding its derivation,
the previous results obtained for Length 2 and 3 error Chapter 12 of Reference [23] provides an excellent
event paths, the approximate average BEP for H D 4 source for such material.
was computed and the results are superimposed on For the space-time code in the presence of fast-
Figure 8. We observe that even with H D 4, the upper fading, matters become a bit more complicated
bound still has not reached its asymptotic behavior. since one must now keep track of the D and
I labeling on a per branch basis. In particular,
2
6.5. Evaluation of the Transfer Function Upper the label Djxn Oxn j on each branch of the
Bound on Average Bit Error Probability trellis
0 in the AWGN case is now replaced
1Lr
2 2 Lt
by sin / sin  C  s /4 iD1 jxi,n  xO i,n j2 in
In this section, we use the previously computed PEPs
accordance with Equation (49). This branch label
in combination with the transfer functionbound
can only be evaluated in a finite number of
method (Reference [23], Section 13.1.3) to upper
ways
Lt corresponding to the possible values for
bound the average BEP. Again, for simplicity, we 2
jx
iD1 i,n  x
O i,n j , which depend on the modulation
consider only the Rayleigh case.
assumed. For example, for the case at hand
in which Lt D 2 and the modulation is QPSK,

6.5.1. Fast-fading channel model Lt
O i,n j2 can only assume values of 2, 4,
iD1 jxi,n  x
For the AWGN channel, the upper bound on BEP is 6 and 8 (see the QPSK constellation in Figure 5).
computed from Equation (12.47) of Reference [23]. Thus, for this case, we define the branch labels
  Lr
1  1 /2 2
Pb E  Px TD, IjID1 d sin 
Dk  D
s
nc x  0 I , k D 2, 4, 6, 8 72
70 2
sin  C k
where TD, I is the transfer function of the rate 4
nc /nc C 1 trellis code, D D expEs /4N0  is the and use these on the trellis of Figure 5 as appropri-
Bhattacharyya parameter, which in Equation (70) is ate (see Figure 9) in which we have also included
replaced by D D exp[Es /4N0 sin2 ], and I is the I labeling. (For completeness of notation, we
an indicator variable whose exponent reflects the also define D0  D 1 corresponding to xn D xO n .
number of bit errors per branch in the associated With this labeling, one computes the transfer func-
error state diagram. In general, TD, I depends on tion, which will now be a ratio of polynomials in
the transmitted symbol sequence x and thus, as we see D2 , D4 , D6 , D8  and I, from which the
in Equation (70), one must average over all possible analogous result to Equation (71) for AWGN chan-
transmitted sequences (Px denotes the probability nel becomes
that sequence x is transmitted).
/2
For a large class of trellis codes, a symmetry 1 1
Pb E  TfDk g, IjID1 d. 73
property exists such that for the purpose of evaluation  0 nc I
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
PERFORMANCE EVALUATION OF ST CODED SYSTEMS 689

D0(q), I 0 D2(q), I 1 D4(q), I 1 D2(q), I 2


Thus, letting nc D 2, we get the approximation
/2
1 1
Pb E
D [3D22  C D42 ] d
D2(q), I 0 D4(q), I 1 D6(q), I 1 D4(q), I 2
 0 2
 2Lr
1 /2 1 sin2 
D 3
D4(q), I 0 D6(q), I 1 D8(q), I 1 D6(q), I 2
 0 2 sin2  C  s /2
 2Lr
sin2  d
D2(q), I 0 D4(q), I 1 D6(q), I 1 D4(q), I 2
C 77
sin2  C  s
Fig. 9. Trellis diagram for four-state space-time code for
QPSK with relabeled branches. which when evaluated using Equation (5.A.4a of
Reference [23], gives the result in Equation (65).
Similarly, for H D 3, expanding the denominator
Here the notation fDk g, I implies that the trans- polynomial of Equation (75), taking its reciprocal,
fer function is computed with the above replace- and then keeping the leading terms in the numerator
ment labeling. up to order three, we would get
For the four-state code trellis in Figure 5, the
transfer function bound can be evaluated (with some
TfDk g, IjID1
D 3D22  C D42 
effort) as I
C 12D22 D4  C 2D42 D8 
TfDk g, I
C 10D2 D4 D6  78
I C I2 D22  C ID42   I2 C I3 
[D22 D8  C D43   2D2 D4 D6 ] which when substituted in Equation (71) gives the
D identical result to Equation (67) combined with Equ-
1  I C I2 D4   ID8 
CI2 C I3 [D4 D8   D62 ] ation (66). The transfer function upper bound on
average BEP computed from the above is superim-
74 posed on the results of Figure 7. We observe that at
from which average symbol SNRs greater than about 10 dB, the
three-term approximation of average BEP as given
TfDk g, IjID1 in Equation (67) is sufficient to achieve the transfer
I
function upper bound.
3D22  C D42   6D22 D8  Finally, we note from a comparison of Equations
4D43  C 10D2 D4 D6  (49) and (31) that, for the fast-fading case, the trans-
D
[1  2D4   D8  fer functionbound approach applies equally well
C2D4 D8   2D62 ]2 for upper bounding the average BEP of the multi-
dimensional trellis-coded Alamouti diversity scheme
4D44   8D2 D42 D6  C 3D22 
discussed in Section 3.
D82   6D2 D4 D6 D8 
C
[1  2D4   D8 
6.5.2. Slow-fading channel model
C2D4 D8   2D62 ]2
4D22 D62  C 3D42 D62  For the fast-fading channel model, we saw that the
C 75 integrand of each PEP (i.e. the MGF) correspond-
[1  2D4   D8 
ing to an error event path of length N was com-
C2D4 D8   2D62 ]2
posed of a product of N factors of the type Dk 
As a simple check on our previous result based on defined in Equation (72). Because of this product
H D 2, we observe that for large SNR, the first two form over the trellis branches that constitute the error
terms in the numerator of Equation (75) dominate, event path for each PEP, the transfer functionbound
approach was directly applicable to evaluating an
that is,
upper bound on average BEP. Unfortunately, for the
slow-fading channel, such a product form (over the
TfDk g, IjID1
D 3D22  C D42  76 number of trellis branches in the error event paths) is
I
Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692
690 MARVIN K. SIMON

not immediately evident from the form of the MGF in complexity and have recently been discussed in Ref-
Equation (52) and thus the transfer functionbound erences [3942]. Finally, along the lines of anal-
approach is not directly applicable for evaluating ysis techniques, a unified approach to the asymp-
average BEP in this manner. To obtain a tight upper totic (high SNR) performance characterization (i.e.
bound on the average BEP, one would resort to a in terms of PEP) of coherent, noncoherent and differ-
continuation of the method described in Section 6.4 entially coherent space-time quadratic receivers for
for larger values of H, which is best performed by a Rayleigh-fading channels was presented in Refer-
computer search method. ence [43]. The approach, which is based on the recog-
Finally, we note from the form of Equation (38), nition of a common eigenvalue structure to all these
that, for the slow-fading case, the transfer function analyses, broadened the scope of the results described
bound approach is also not applicable for upper in Reference [7].
bounding the average BEP of the multidimensional
trellis-coded Alamouti diversity scheme discussed in
Section 3. Acknowledgment

The author wishes to thank Prof. Michael Fitz of the


7. Disclaimer and Further Discussion University of California, Los Angeles for his careful
reading of the manuscript and many fine suggestions
for improving the quality of the manuscript including
Even though from a time perspective, the subject
the suggestion of additional material as well as a
of space-time coding could still be considered in its
number of significant pertinent references. The author
infancy, from a contribution standpoint, one would
is also indebted to the fine comments of Dr. Zhengdao
have to conclude that it has already reached a high
Wang of the University of Minnesota, who reviewed
level of accomplishment. Indeed in the space allo-
the paper for publication in the journal.
cated to a single paper such as this one, it is not
possible to cover the myriad of advancements to the
basic idea that has been put forth since its incep- References
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692 MARVIN K. SIMON

Authors Biography appointment with the Electrical Engineering Department


at Caltech.
He has published more than 170 papers and 10 textbooks
Dr. Marvin K. Simon is a Principal
on the above subjects. His work has also appeared as
Scientist at the Jet Propulsion
chapters in several other textbooks. He is the corecipient
Laboratory, California Institute of
of the 1988 Prize Paper Award in Communications of
Technology, Pasadena, California
the IEEE Transactions on Vehicular Technology for his
where for the last 33 years he has
work on trellis-coded differential detection systems and also
performed research as applied to the
the 1999 Prize Paper of the IEEE Vehicular Technology
design of NASAs deep-space and
Conference for his work on switched diversity. He is a
near-earth missions resulting in the
Fellow of the IEEE and a Fellow of the IAE. Among his
issuance of 9 patents and 23 NASA
awards are the NASA Exceptional Service Medal, NASA
Tech Briefs. His research interests
Exceptional Engineering Achievement Medal, IEEE Edwin
are modulation and demodulation,
H. Armstrong Achievement Award and most recently the
synchronization techniques for space, satellite and radio
IEEE Millennium Medal all in recognition of outstanding
communications, trellis-coded modulation, spread spectrum
contributions to the field of digital communications and
and multiple access communications and communication
leadership in advancing this discipline.
over fading channels. In the past, Dr. Simon also held a joint

Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692