KEY WORDS
digital communications
fading channels
spacetime coding
error probability
performance analysis
Invited Paper. bol error rate (SER) or bit error rate (BER) versus
Copyright 2002 John Wiley & Sons, Ltd.
668 MARVIN K. SIMON
the average signaltonoise 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 errorcorrection 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 errorcorrection
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 errorcorrection coding is what is generically referred
amount. This asymptotic SNR separation is what is to as spacetime coding. For example, the joint
commonly referred to as coding gain. Mathemati design of a trelliscoded 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 spacetime trelliscoded 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 errorcorrection 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
multipleinput multipleoutput (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 spacetime 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 spacetime 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 errorcorrection 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 twodimensional 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 spacetime 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 MGFbased approach [22,23] that has been so transmit antennas over a set of flatfading 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 multipathfading 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 trelliscoded 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
spacetime 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
A simple way of achieving the above separation over a flatfading 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 noni.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 frequencyselective 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 maximumlikelihood (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 flatfading 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
MGFbased approach to the above transmit diversity
pendently chosen MPSK symbols or alternatively a
system would reveal a performance having a diver
pair of such symbols chosen from a fourdimensional
sity gain equal to that of an MRC receive diversity
2 MPSK constellation as might be the case if the
system with Lt receive antennas (a single transmit
input data were first trellisencoded [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 errorcorrection 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 spacetime 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 spacetime block code. Thus, for a block of
arbitrary spacetime 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 Rayleighfading
using Alamoutis technique and its later generaliza n
channel, cji would be a complex Gaussian random
tions, namely, the socalled 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 twobranch Alamouti transmit diversity scheme with one receive antenna.
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 inputoutput 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 singleinput/singleoutput
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 onedimensional
(1D) codes (e.g. 1D 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 serialto
zero mean Gaussian noise samples each with variance parallel (one to Lt converting the 1D 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 twobranch
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 energyto
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 twobranch 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 spacetime 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 spacetime 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 spacetime coding applica
tion, this limitation is synonymous with limiting the
4. Generalization of Alamoutis Diversity number of transmit antennas, or equivalently, the
Technique to SpaceTime 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 spacetime 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 spacetime 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 spacetime 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 TrellisCoded 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 fourdimensional
1/2 as compared to the square orthogonal designs.
trelliscoded 2 MPSK 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 spacetime 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
spacetime block codes generated from generalized general type of spacetime 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 MPSK M D 2m symbols
duces a code design with a code rate of at least 1/2. from a 2 MPSK fourdimensional 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 spacetime 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
orderLt receive diversity system. n n
ylCL D cl1 x2n C cl2
n n
x1 C nn
lCLr ,
Before moving on to a consideration of spacetime r
Fig. 4. The twobranch Alamouti transmit diversity scheme combined with multidimensional trelliscoded 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 RicianFading 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
spacetime 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 MPSK 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 Qfunction 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 MPSK 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 Rayleighfading case (K D 0,
2
n n 2
jxi xO i j Equation (30) reduces to
iD1
D 1
Under the assumption of fast Ricanfading, the PX ! X
n 2 n 2
squaredchannel gain magnitudes jcl1 j and jcl2 j 2Lr
are i.i.d. noncentral chisquare RVs with parame
ter K and meansquare value . Because of the
N
/2 !
resemblance of the righthand side of Equation (29) sin 2
d
with that of an equivalent MRC system having 2Lr 2
nD1
0 sin
antennas, the MGFbased 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
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 slowfading 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. SpaceTime TrellisCoded Modulation
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
MGFbased 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
jn 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 fadingchannel type, the rela
the noncentral chisquare 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 slowfading 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 RicianFading 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 RicianFading Channels
then, we have
As required by Equation (43), we need to evaluate the
T s
MGF of , which for the slowfading 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 meansquare 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 spacetime trellis codes have also been per
Rician and Rayleighfading 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 spacetime 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 eigenanalysis 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 MGFbased
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 fastfading 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 spacetime codes partially with the intent of val
jxi xO i j idating the row orthogonality of the symbol error
nD1 matrix assumed in the slowfading case. For sim
58 plicity, we shall consider the Rayleighfading case.
Consider the fourstate quadrature phase shift key
Recalling the form of Equations (48) and (49) for ing (QPSK) spacetime code considered by Tarokh
the fastfading 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 slowfading 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
0
10
/2
/0
00
2
00/20 01/21 10/22 11/23
1
QPSK signal point constellation
2 0
Fig. 5. Trellis diagram and signal point constellation for fourstate QPSK spacetime code.
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 fourstate spacetime code over i.i.d. Rayleighfading channel with two transmit antennas and
one receive antennaLength 2 error event.
the same factor for the slowfading 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 closedform result
1.0E + 0
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 fourstate spacetime code over i.i.d. Rayleighfading channel with two transmit
antennas; fastfading.
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 slowfading case than it is for the fastfading 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 slowfading
1 /2 sin2 case than for the fastfading 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 slowfading 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
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 fourstate spacetime code over i.i.d. Rayleighfading channel with two transmit
antennas; slowfading.
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 spacetime 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. Fastfading 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
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 spacetime quadratic receivers for
for larger values of H, which is best performed by a Rayleighfading 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 slowfading 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
trelliscoded Alamouti diversity scheme discussed in
Section 3. Acknowledgment
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PERFORMANCE EVALUATION OF ST CODED SYSTEMS 691
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Copyright 2002 John Wiley & Sons, Ltd. Wirel. Commun. Mob. Comput. 2002; 2:667 692