Chapter 9 - Union Bound

Digital Communications
Instructor: Dr. Phan Van Ca

Lecture 08: The Union Bound
Kyung Hee
University
Modulation
Modulation is used to transmit digital data over a channel
Gramm-Schmidt procedure allows vector representation of

any signal constellation
Optimal receiver consists of a correlator, weighted to

adjust for signal energy and a priori probabilities
Receiver implementation can be simplified with reduced

correlations and matched filter
Receiver decision rule corresponds to decision regions in

signal space
Young S. Kim Wireless Communication Systems Lab. - 2 -
Kyung Hee
University
Digital Communications
Spring 2006
Instructor: Young Soo Kim

Lecture #8 - The Union Bound
Modulation
Modulation is used to transmit digital data over a channel
Gramm-Schmidt procedure allows vector representation of

any signal constellation
Optimal receiver consists of a correlator, weighted to

adjust for signal energy and a priori probabilities
Receiver implementation can be simplified with reduced

correlations and matched filter
Receiver decision rule corresponds to decision regions in

signal space
Performance Evaluation
Probability of error can be calculated by integrating

probability density function of received signal vector over
decision regions.
This integration can become extremely complicated
Today we explore a simpler method for error probability

calculations called the Union Bound
Kyung Hee
University
The Union Bound
In theory, we can compute any error probability by

integration over the appropriate regions.
In practice, even with appropriate rotations and

translations of the signal set, integration will become
tedious for large signal constellations
The Union Bound allows us to reduce error probability

calculations to a series of binary error calculations.

Kyung Hee
University
Performance Evaluation
Probability of error can be calculated by integrating

probability density function of received signal vector over
decision regions.
This integration can become extremely complicated
Today we explore a simpler method for error probability

calculations called the Union Bound
The Union Bound
In theory, we can compute any error probability by

integration over the appropriate regions.
In practice, even with appropriate rotations and

translations of the signal set, integration will become
tedious for large signal constellations
The Union Bound allows us to reduce error probability

calculations to a series of binary error calculations.
Derivation of Union Bound
Pr[s ≠ si s = si ] = ∫ p(r si )dr

Ri C
M
= ∑ ∫ p( r si )dr
j =1, j ≠i R j
[ ]
M
Pr[ s ≠ si s = si ] ≤ ∑ Pr Z j ≥ Zi
j =1, j ≠i
where N0 K 1 K
Zi = ln[ pi ] + ∑ rk si , k − ∑ si , k 2
2 k =1 2 k =1
Kyung Hee
University
Derivation of Union Bound (continued)
Assume ML case:
⎡ K ⎤
[ ] 1 K 1
2
Pr Z j ≥ Zi = Pr ⎢ ∑ rk s j ,k − s j ,k ≥ ∑ rk si ,k − si ,k ⎥ 2
⎣ k =1 2 k =1 2 ⎦
⎡ K K ⎤
= Pr ⎢ ∑ s j ,k − 2rk s j , k + rk ≤ ∑ si , k 2 − 2rk si , k + rk2 ⎥
2 2
⎣ k =1 k =1 ⎦
⎡ K 2⎤
( )
K
2
= Pr ⎢ ∑ s j ,k − rk ≤ ∑ si , k − rk ⎥ ( )
⎣ k =1 k =1 ⎦

Kyung Hee
University
Derivation of Union Bound
Pr[s ≠ si s = si ] = ∫ p(r si )dr

Ri C
M
= ∑ ∫ p( r si )dr
j =1, j ≠i R j
[ ]
M
Pr[ s ≠ si s = si ] ≤ ∑ Pr Z j ≥ Zi
j =1, j ≠i
where N0 K 1 K
Zi = ln[ pi ] + ∑ rk si , k − ∑ si , k 2
2 k =1 2 k =1
Derivation of Union Bound (continued)
Assume ML case:
⎡ K ⎤
[ ] 1 K 1
2
Pr Z j ≥ Zi = Pr ⎢ ∑ rk s j ,k − s j ,k ≥ ∑ rk si ,k − si ,k ⎥ 2
⎣ k =1 2 k =1 2 ⎦
⎡ K K ⎤
= Pr ⎢ ∑ s j ,k − 2rk s j , k + rk ≤ ∑ si , k 2 − 2rk si , k + rk2 ⎥
2 2
⎣ k =1 k =1 ⎦
⎡ K 2⎤
( )
K
2
= Pr ⎢ ∑ s j ,k − rk ≤ ∑ si , k − rk ⎥ ( )
⎣ k =1 k =1 ⎦
Expression of Decision Statistic
in terms of Distance Between Signals
⎡ K 2⎤
[ ] ( )
K

2
Pr Z j ≥ Zi = Pr ⎢ ∑ s j ,k − rk ≤ ∑ si ,k − rk ⎥ ( )
⎣ k =1 k =1 ⎦
[( )
= Pr d r , s j ≤ d (r , si ) ]
( )
where d r , s j = ∑ k =1 s j , k − rk
K
( ) 2
is the Euclidean
distance between the points r and s j .
This means the pairwise error probability between s j and si

is equal to the probability that the received signal vector r
is closer to s j than to si .
Kyung Hee
University
Computation of Pairwise Error Probability
By appropriate rotation and translation, we can always

express the pairwise decision problem in the form:
Rj Ri
′ di, j 0 ′ di, j
sj = − si =
2 2
( )
Where di, j = d si ,s j = ∑ k =1 si,k − s j ,k
K 2(is the )
Euclidean distance between the points si and s j .
⎛ di , j ⎞
[
This implies that Pr Z j ≥ Zi = Q⎜ ] ⎝ 2 N0 ⎠
⎟

Expression of Decision Statistic
Kyung Hee
University in terms of Distance Between Signals
⎡ K 2⎤
[ ] ( )
K

2
Pr Z j ≥ Zi = Pr ⎢ ∑ s j ,k − rk ≤ ∑ si ,k − rk ⎥ ( )
⎣ k =1 k =1 ⎦
[( )
= Pr d r , s j ≤ d (r , si ) ]
( )
where d r , s j = ∑ k =1 s j , k − rk
K
( ) 2
is the Euclidean
distance between the points r and s j .
This means the pairwise error probability between s j and si

is equal to the probability that the received signal vector r
is closer to s j than to si .
Computation of Pairwise Error Probability
By appropriate rotation and translation, we can always

express the pairwise decision problem in the form:
Rj Ri
′ di, j 0 ′ di, j
sj = − si =
2 2
( )
Where di, j = d si ,s j = ∑ k =1 si,k − s j ,k
K 2(is the )
Euclidean distance between the points si and s j .
⎛ di , j ⎞
[
This implies that Pr Z j ≥ Zi = Q⎜ ] ⎝ 2 N0 ⎠
⎟
The Union Bound (final form)
M ⎛ di , j ⎞
Pr[ s ≠ si s = si ] ≤ ∑ Q⎜ ⎟
j =1, j ≠i ⎝ 2 N 0⎠
M 1 M ⎛ di , j ⎞
Ps ( e) ≤ ∑ ∑ Q⎜ ⎟ (ML Assumption)
i =1 M j =1, j ≠i ⎝ 2 N 0⎠
An improved form of the Union Bound:
M 1 ⎛ di , j ⎞
Ps ( e) ≤ ∑ ∑ ⎜ Q ⎟
i =1 M j ∈Ai ⎝ 2 N 0⎠
where Ai is the set of signals with decision regions directly
adjacent to Ri
Kyung Hee
University
Application of Union Bound to QPSK
Distances between signals:

d1,2 = d1,4 = d2,3 = d3,4 = 2 E s = 4 Eb
d1,3 = d2,4 = 2 E s = 8 Eb
2
⎛ 2 Eb ⎞ ⎡ ⎛ 2 Eb ⎞ ⎤
Exact Calculation: Ps ( e) = 2Q⎜ ⎟ − ⎢Q ⎜ ⎟⎥
⎝ N0 ⎠ ⎣ ⎝ N0 ⎠ ⎦
⎛ 2 Eb ⎞ ⎡ ⎛ 4 Eb ⎞ ⎤
Union Bound: Ps ( e) ≤ 2Q⎜ ⎟ + ⎢Q⎜ ⎟⎥
⎝ N0 ⎠ ⎣ ⎝ N0 ⎠ ⎦
⎛ 2 Eb ⎞
Improved Union Bound: Ps ( e) ≤ 2Q⎜ ⎟
⎝ N0 ⎠
Kyung Hee
University
The Union Bound (final form)
M ⎛ di , j ⎞
Pr[ s ≠ si s = si ] ≤ ∑ Q⎜ ⎟
j =1, j ≠i ⎝ 2 N 0⎠
M 1 M ⎛ di , j ⎞
Ps ( e) ≤ ∑ ∑ Q⎜ ⎟ (ML Assumption)
i =1 M j =1, j ≠i ⎝ 2 N 0⎠
An improved form of the Union Bound:
M 1 ⎛ di , j ⎞
Ps ( e) ≤ ∑ ∑ ⎜ Q ⎟
i =1 M j ∈Ai ⎝ 2 N 0⎠
where Ai is the set of signals with decision regions directly
adjacent to Ri
Application of Union Bound to QPSK
Distances between signals:

d1,2 = d1,4 = d2,3 = d3,4 = 2 E s = 4 Eb
d1,3 = d2,4 = 2 E s = 8 Eb
2
⎛ 2 Eb ⎞ ⎡ ⎛ 2 Eb ⎞ ⎤
Exact Calculation: Ps ( e) = 2Q⎜ ⎟ − ⎢Q ⎜ ⎟⎥
⎝ N0 ⎠ ⎣ ⎝ N0 ⎠ ⎦
⎛ 2 Eb ⎞ ⎡ ⎛ 4 Eb ⎞ ⎤
Union Bound: Ps ( e) ≤ 2Q⎜ ⎟ + ⎢Q⎜ ⎟⎥
⎝ N0 ⎠ ⎣ ⎝ N0 ⎠ ⎦
⎛ 2 Eb ⎞
Improved Union Bound: Ps ( e) ≤ 2Q⎜ ⎟
⎝ N0 ⎠
The Accuracy of the Union Bound
0
S ym b ol E rro r P rob ab ility of QP S K Using 3 M ethod s
10
E xact
Unio n B o und
10
-1 Im p ro ved Unio n B o und
-2
10
Ps(e)
-3
10
-4
10
-5
10
-6
10
0 2 4 6 8 10
E b/No (d B )
The Union Bound is an upper bound because we may integrate

over some regions twice.
Union Bound is very accurate, expecially for high Eb N o
Kyung Hee
University
Union Bound for M-ary PSK
Signal Set: T
⎛ 2π ⎞⎛
sm ( t ) = 2P cos⎜ 2π fct + ( m−1) ⎟⎜ , m =1,…, M
⎝ M ⎠⎝0
Basis Functions:
T T
2 2
f1 ( t ) = cos(2 πf ct ) , f 2 ( t ) = sin(2 πf ct )
T 0 T 0
Signal Vectors:
⎡ ⎛ 2π (m − 1) ⎞ 2π (m − 1) ⎞⎤
sm = ⎢ Es cos⎜ ⎟ Es sin ⎛⎜ ⎟⎥,
⎣ ⎝ M ⎠ ⎝ M ⎠⎦
m = 1,…, M

Kyung Hee
University
The Accuracy of the Union Bound
0
S ym b ol E rro r P rob ab ility of QP S K Using 3 M ethod s
10
E xact
Unio n B o und
10
-1 Im p ro ved Unio n B o und
-2
10
Ps(e)
-3
10
-4
10
-5
10
-6
10
0 2 4 6 8 10
E b/No (d B )
The Union Bound is an upper bound because we may integrate

over some regions twice.
Union Bound is very accurate, expecially for high Eb N o
Union Bound for M-ary PSK
Signal Set: T
⎛ 2π ⎞⎛
sm ( t ) = 2P cos⎜ 2π fct + ( m−1) ⎟⎜ , m =1,…, M
⎝ M ⎠⎝0
Basis Functions:
T T
2 2
f1 ( t ) = cos(2 πf ct ) , f 2 ( t ) = sin(2 πf ct )
T 0 T 0
Signal Vectors:
⎡ ⎛ 2π (m − 1) ⎞ 2π (m − 1) ⎞⎤
sm = ⎢ Es cos⎜ ⎟ Es sin ⎛⎜ ⎟⎥,
⎣ ⎝ M ⎠ ⎝ M ⎠⎦
m = 1,…, M
8-ary PSK Signal Space
Signal Space and Decision Regions

1
0.8
0.6
0.4
0.2
Y
-0.2
-0.4
-0.6
-0.8
-1
-1 -0.5 0 0.5 1
X
Kyung Hee
University
Error Calculation for M-ary PSK
Each signal has two adjacent decision regions.

By symmetry, the distance di , j between all adjacent
signals is identical.
s2 R2
R1 Total Angle = 2π M
Half Angle = π M
s1 = [ Es 0]
di , j 2 = E s sin( π M ) = Eb log 2 M sin( π M )

Kyung Hee
University
8-ary PSK Signal Space
Signal Space and Decision Regions

1
0.8
0.6
0.4
0.2
Y
-0.2
-0.4
-0.6
-0.8
-1
-1 -0.5 0 0.5 1
X
Error Calculation for M-ary PSK
Each signal has two adjacent decision regions.

By symmetry, the distance di , j between all adjacent
signals is identical.
s2 R2
R1 Total Angle = 2π M
Half Angle = π M
s1 = [ Es 0]
di , j 2 = E s sin( π M ) = Eb log 2 M sin( π M )
Symbol Error Probability for M-ary PSK
Union Bound (M>2):
Ps ( e) = 2Q( 2 Eb log 2 M N 0 sin( π M ))
Kyung Hee
University
Performance Comparison for M-ary PSK
0
10
-1
10
-2
10
Ps(e)
-3
10
-4
M=2
10 M=4
M=8
M=16
-5 M=32
10
-6
10
0 5 10 15 20
Eb/No (dB)

Kyung Hee
University
Union Bound (M>2):
Ps ( e) = 2Q( 2 Eb log 2 M N 0 sin( π M ))
Performance Comparison for M-ary PSK
0
10
-1
10
-2
10
Ps(e)
-3
10
-4
M=2
10 M=4
M=8
M=16
-5 M=32
10
-6
10
0 5 10 15 20
Eb/No (dB)
Orthogonal Signal Sets
M Basis Functions: { f1(t ),… , f M (t )}
M Signals:
sm ( t ) = E s f m (t ) = Eb log 2 M f m ( t ), m = 1,… , M
Signal Space Representation:

⎧ Es , m = i
[
sm = sm,1 ]
sm, M , sm,i = ⎨
⎩ 0, m≠i
Example: M-ary FSK
sm ( t ) = 2 P cos(2 πf mt )
T
0
Kyung Hee
University
3-ary Orthogonal Signal Space

Kyung Hee
University
Orthogonal Signal Sets
M Basis Functions: { f1(t ),… , f M (t )}
M Signals:
sm ( t ) = E s f m (t ) = Eb log 2 M f m ( t ), m = 1,… , M
Signal Space Representation:

⎧ Es , m = i
[
sm = sm,1 ]
sm, M , sm,i = ⎨
⎩ 0, m≠i
Example: M-ary FSK
sm ( t ) = 2 P cos(2 πf mt )
T
0
3-ary Orthogonal Signal Space

Union Bound Calculation
for M-ary Orthogonal Signaling
di , j = 2 E s , i ≠ j
Ps ( e) = ( M − 1)Q( E s N 0 )
= ( M − 1)Q( Eb log 2 M N0 )
Performance Comparison
Kyung Hee
University for M-ary Orthogonal Signaling
0
Symbol Error Probability for Coherent M-ary FSK
10
M=2
-1
10 M=4
M=8
M=16
-2
10
Ps(e)
-3
10
-4
10
-5
10
-6
10
0 2 4 6 8 10 12
Eb/No (dB)

Union Bound Calculation
Kyung Hee
University for M-ary Orthogonal Signaling
di , j = 2 E s , i ≠ j
Ps ( e) = ( M − 1)Q( E s N 0 )
= ( M − 1)Q( Eb log 2 M N0 )
Performance Comparison
for M-ary Orthogonal Signaling
0
Symbol Error Probability for Coherent M-ary FSK
10
M=2
-1
10 M=4
M=8
M=16
-2
10
Ps(e)
-3
10
-4
10
-5
10
-6
10
0 2 4 6 8 10 12
Eb/No (dB)
Comments on Error Probability for
Orthogonal Signals
Performance improves as M increases
In the limit (as M → ∞ ), error probability can be made

arbitrarily small as long as Eb N 0 > −1.6dB
Most practical systems use noncoherent FSK rather than

coherent FSK. We will discuss noncoherent FSK soon.
Kyung Hee
University
Improvements on Orthogonal Signaling
Orthogonal signalling achieves optimum performance as

M → ∞ , but for finite M improvements are possible.
Biorthogonal Signaling:
z sm ( t ) are orthogonal for m = 1,… , M 2
z sm ( t ) = − sm− M 2 ( t ) for
m = 1 + M 2 ,… , M
Union Bound:
Ps ( e) = ( M − 2)Q( Eb log 2 M N0 )

Comments on Error Probability for
Kyung Hee
University Orthogonal Signals
Performance improves as M increases
In the limit (as M → ∞ ), error probability can be made

arbitrarily small as long as Eb N 0 > −1.6dB
Most practical systems use noncoherent FSK rather than

coherent FSK. We will discuss noncoherent FSK soon.
Improvements on Orthogonal Signaling
Orthogonal signalling achieves optimum performance as

M → ∞ , but for finite M improvements are possible.
Biorthogonal Signaling:
z sm ( t ) are orthogonal for m = 1,… , M 2
z sm ( t ) = − sm− M 2 ( t ) for
m = 1 + M 2 ,… , M
Union Bound:
Ps ( e) = ( M − 2)Q( Eb log 2 M N0 )
6-ary Biorthogonal Signal Constellation
Kyung Hee
University
Simplex Signal Constellation:
Note that the centroid of an orthogonal constellation is

[
located at: c = E s M Es M ]
A more energy efficient signal constellation can be
achieved by moving the centroid to the origin.
This can be accomplished by letting:

z sm′ = sm − c for m = 1,… , M
Simplex Conjecture: The Simplex signal constellation is

believed to be the most energy efficient signal
constellation for any value of M
Kyung Hee
University
6-ary Biorthogonal Signal Constellation
Simplex Signal Constellation:
Note that the centroid of an orthogonal constellation is

[
located at: c = E s M Es M ]
A more energy efficient signal constellation can be
achieved by moving the centroid to the origin.
This can be accomplished by letting:

z sm′ = sm − c for m = 1,… , M
Simplex Conjecture: The Simplex signal constellation is

believed to be the most energy efficient signal
constellation for any value of M
3-ary Simplex Signal Constellation
Note that simplex signal constellation reduces dimension

by one from orthogonal signaling
Kyung Hee
University
Summary of Union Bound
Union Bound allows evaluation of error probability for

arbitrary signal constellations
High dimensional signal constellations (such as FSK) can

become very energy efficient as M becomes large
Fixed dimensional signal constellations (such as PSK and

QAM) use energy inefficiently as M becomes large

Kyung Hee
University
3-ary Simplex Signal Constellation
Note that simplex signal constellation reduces dimension

by one from orthogonal signaling
Summary of Union Bound
Union Bound allows evaluation of error probability for

arbitrary signal constellations
High dimensional signal constellations (such as FSK) can

become very energy efficient as M becomes large
Fixed dimensional signal constellations (such as PSK and

QAM) use energy inefficiently as M becomes large

Chapter 9 - Union Bound

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Chapter 9 - Union Bound

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Digital Communications

Instructor: Dr. Phan Van Ca

 Modulation is used to transmit digital data over a channel

 Gramm-Schmidt procedure allows vector representation of

 Optimal receiver consists of a correlator, weighted to

 Receiver implementation can be simplified with reduced

 Receiver decision rule corresponds to decision regions in

Instructor: Young Soo Kim

Young S. Kim Wireless Communication Systems Lab. - 1 -

 Modulation is used to transmit digital data over a channel

 Gramm-Schmidt procedure allows vector representation of

 Optimal receiver consists of a correlator, weighted to

 Receiver implementation can be simplified with reduced

 Receiver decision rule corresponds to decision regions in

 Probability of error can be calculated by integrating

 This integration can become extremely complicated

 Today we explore a simpler method for error probability

 In theory, we can compute any error probability by

 In practice, even with appropriate rotations and

 The Union Bound allows us to reduce error probability

Young S. Kim Wireless Communication Systems Lab. - 4 -

 Probability of error can be calculated by integrating

 This integration can become extremely complicated

 Today we explore a simpler method for error probability

Young S. Kim Wireless Communication Systems Lab. - 3 -

The Union Bound

 In theory, we can compute any error probability by

 In practice, even with appropriate rotations and

 The Union Bound allows us to reduce error probability

Pr[s ≠ si s = si ] = ∫ p(r si )dr

Young S. Kim Wireless Communication Systems Lab. - 6 -

Pr[s ≠ si s = si ] = ∫ p(r si )dr

Young S. Kim Wireless Communication Systems Lab. - 5 -

Derivation of Union Bound (continued)

 This means the pairwise error probability between s j and si

 By appropriate rotation and translation, we can always

Young S. Kim Wireless Communication Systems Lab. - 8 -

 This means the pairwise error probability between s j and si

Young S. Kim Wireless Communication Systems Lab. - 7 -

Computation of Pairwise Error Probability

 By appropriate rotation and translation, we can always

 Distances between signals:

Young S. Kim Wireless Communication Systems Lab. - 9 -

Application of Union Bound to QPSK

 Distances between signals:

 The Union Bound is an upper bound because we may integrate

Young S. Kim Wireless Communication Systems Lab. - 12 -

 The Union Bound is an upper bound because we may integrate

Young S. Kim Wireless Communication Systems Lab. - 11 -

Union Bound for M-ary PSK

Signal Space and Decision Regions

 Each signal has two adjacent decision regions.

Young S. Kim Wireless Communication Systems Lab. - 14 -

Signal Space and Decision Regions

Young S. Kim Wireless Communication Systems Lab. - 13 -

Error Calculation for M-ary PSK

 Each signal has two adjacent decision regions.

 Union Bound (M>2):

Ps ( e) = 2Q( 2 Eb log 2 M N 0 sin( π M ))

Young S. Kim Wireless Communication Systems Lab. - 16 -

 Union Bound (M>2):

Ps ( e) = 2Q( 2 Eb log 2 M N 0 sin( π M ))

Young S. Kim Wireless Communication Systems Lab. - 15 -

Modulation is used to transmit digital data over a channel

Gramm-Schmidt procedure allows vector representation of

Optimal receiver consists of a correlator, weighted to

Receiver implementation can be simplified with reduced

Receiver decision rule corresponds to decision regions in

Modulation is used to transmit digital data over a channel

Gramm-Schmidt procedure allows vector representation of

Optimal receiver consists of a correlator, weighted to

Receiver implementation can be simplified with reduced

Receiver decision rule corresponds to decision regions in

Probability of error can be calculated by integrating

This integration can become extremely complicated

Today we explore a simpler method for error probability

In theory, we can compute any error probability by

In practice, even with appropriate rotations and

The Union Bound allows us to reduce error probability

Probability of error can be calculated by integrating

This integration can become extremely complicated

Today we explore a simpler method for error probability

In theory, we can compute any error probability by

In practice, even with appropriate rotations and

The Union Bound allows us to reduce error probability

This means the pairwise error probability between s j and si

By appropriate rotation and translation, we can always

This means the pairwise error probability between s j and si

By appropriate rotation and translation, we can always

Distances between signals:

Distances between signals:

The Union Bound is an upper bound because we may integrate

The Union Bound is an upper bound because we may integrate

Each signal has two adjacent decision regions.

Each signal has two adjacent decision regions.

Union Bound (M>2):

Union Bound (M>2):

M Basis Functions: { f1(t ),… , f M (t )}

Signal Space Representation:

M Basis Functions: { f1(t ),… , f M (t )}

Signal Space Representation:

In the limit (as M → ∞ ), error probability can be made

Most practical systems use noncoherent FSK rather than

Orthogonal signalling achieves optimum performance as

In the limit (as M → ∞ ), error probability can be made

Most practical systems use noncoherent FSK rather than

Orthogonal signalling achieves optimum performance as

Note that the centroid of an orthogonal constellation is

This can be accomplished by letting:

Simplex Conjecture: The Simplex signal constellation is

Note that the centroid of an orthogonal constellation is

This can be accomplished by letting:

Simplex Conjecture: The Simplex signal constellation is

Union Bound allows evaluation of error probability for

High dimensional signal constellations (such as FSK) can

Fixed dimensional signal constellations (such as PSK and

Union Bound allows evaluation of error probability for

High dimensional signal constellations (such as FSK) can

Fixed dimensional signal constellations (such as PSK and