Achievable Performance Over Fading Channels
with Antenna Diversity
Walid K. M. Ahmed and Peter J. McLane
AMmct - In recent years, there has been much in-
terest in Wireless Communications and thus it is
ap]propriate to determine the Shannon Limit for
such systems. There have been a number of pa-
pers that consider channel capacity and also the
random coding error exponent for various scenar-
ios. In this paper, we consider Gallager’s random
coding error exponent for flat fading channels with
antenna (or space) diversity employed at the re-
ceiver. Receiver antenna diversity is well known to
be a fundamental technique for combating fading
in wireless communications. The random coding
error exponent is also well known to be a key quan-
tity in assessing the ultimate, or achievable, perfor-
mance over communications channels. We derive
the random coding error exponent for various fad-
ing scenarios for which diversity combining is used.
The cases we consider include memoryless fading
channels with complete channel state information
(CSI) at the receiver as well as time-correlated fad-
ing channels wit h complete CSI at the receiver.
We ako present results for time-correlated chan-
nelk with partial CSI at the receiver via some prac-
tical channel estimation technique. The results we
present in this paper shed light on the achievable
performance over fading channels with receiver di-
versity combining and provide insight regarding the
aII’IIOUd, of coding complexity required for reliable
communications over such channels.
Keywords: Fading Channels, Random Coding Error Ex-
ponent, Reliability Function, Average Power Constraints,
Antenna Diversity, Space Diversity, Channel Capacity.
I. INTRODUCTION
Diversity combining is often used in mobile communica-
tion systems in order to reduce the possibility of outage
or loss of channel. This is usually accomplished by means
of ~spacediversity, where L antennas are used to receive a
given transmitted signal. If one of the antennas should ex-
perience a deep fade in signal level, then the likelihood that
Thasresearch has been performed at the ECE Dept., Queen’s Unt-
vemtty at Kingston. It has ken partially supported by the Telecom-
munzcatmns Research Instatute of ontarto (TRIO) and the Natural
ScLznces and Erujmeermg Research Councd of Canada (NSERC).
Wahd Ahmed is with Bell Laboratories, Lucent Technologies, 101
Crzwfords Cornex Road, Holmdel, NJ 07733, U.S.A. E-mail: wali-
dak,med@ucent .com.
Peter McLane is with the Electrical and Computer Engineering
Department, Queen’s University at Kingston, Ontario, Canada K7L
3N6. E-mail: mclanep~qucdnee. ee.queensu.ca.
0-7803-5669-1/$10.00 (c) 1998 IEEE
all of the antennas experience a deep fade at the same time
will diminish as L increases. Receiver antenna diversity is
well known to be a fundamental technique for combating
fading in wireless communications. Thus, it is crucial to
determine the effect of diversity combining on improving
the achievable performance of communication over fading
channels.
In fact, there has been a considerable interest in wireless
communications over the past few years. As such, there
also have been a large amount of work on the Shannon
Channel Capacity [I] for various wireless communication
channel models. The recent papers [2], [3] and [4] contain
most of the relevant references and more can be found in [5]
and [6]. Channel capacity may not be sufficient to answer
the question on the fundamental limits to wireless commu-
nications. The random coding error exponent [1] [7] (also
known as the channel reliability function) provides a mea-
sure of the complexity to have transmission rates close to
channel capacity. We derive this error exponent for vari-
ous wireless models with antenna diversity by following the
procedure given in [I]. References [5] (see also [8] and ~9]),
[10], [II], [12], [13], [14] and [15] have considered finding
the random coding error exponent for various types of fad-
ing channels. In this paper, we treat receiver diversity for
time-varying fading channels. The channel models consid-
ered here are all frequency non-select ive.
The structure of this paper is as follows. The next sec-
tion contains a brief theoretical introduction. Then, Sec-
tion III considers memoryless channels with complete CSI
at the receiver. Next, Sections IV and V consider time-
correlated fading channels with complete and partial CSI
at the receiver, respectively. Finally, Section VI contains
the conclusions for this paper.
II. BACKGROUND
Let a discrete memoryless channel have transition prob-
abilityy p (g l%), where the channel is assumed to have
the same transition probability for each input-output pair
(X, Y). For any positive integer N and positive number R,
consider the ensemble of (IV, R) block codes in which each
letter of each code word is independently selected with the
probability assignment Q (z). Then, for each message m;
1< m ~ [e~~l, and all p; O < p <1, the ensemble average
probabdity of decoding error using maximum-likelihood de-
coding satisfies (see [1], Theorem 5.6.2)
P. < exp (–N [1%(Q (z), p) – pR]) , (1)
 2

A lq~x)a)
where y = [Vi,...,yL] and v = [Vi,...,WL].
It has been shown in [5] and [9] that the random coding
error exponent for the multiple diversity channel is equal to
E. ..
that for a single diversity ideal fading channel for which the
received symbol is equal to the maximal ratio combining of
~slope = -1 the symbols received over the diversity branches. Using the
\
aforementioned result, it has been possible to show that for
Y an average power constraint of the form EP(Z) { lZ/2} < 2n,
\ slope=p and transmitted symbol X with Gaussian pdf of variance q,
E.,
\./
“. the error exponent for the channel can be computed using
---.,,
the following parametric equations
% ‘-ix;? h

Fig. 1. The random coding exponent

where (5)
l+p

Eo (Q (z) ,p) = –ln

([ ~
Yz
~Q(z) P(glx)l’(l+o)

‘(2)
1)
. where

E. (p, /3,q) = E. (p, q (z) , r)

Since p and Q (z) are arbitrary in (1), the tightest
bound is obtained by choosing p and Q (x) to maximize = (l+p)(l -@)+ln@ -lnh(p, /?, q) ,
Eo (Q (x) , p) – pR in (1). This leads to the definition of (6)
the random coding exponent, Er (R), as follows

E. (R) = mpyl ~n {Eo (Q (z) , p) – pR} . (3)

——
Properties of the random coding exponent can be
found in Gallager [1], Chapter 5. The general shape of
Er (Q (z) , R) is shown in Fig. 1. As seen, for R in the
range O 5 R < Rc,, the exponent is a straight-line with
slope = – 1. After that, the slope of the curve is equal to
(7)
–p. Finally, the exponent reaches zero at R = I (X; Y).
The quantity Eo = E. (Q (z) ,1) is equal to the cut-off where IZ12= ~~=1 \W~ 12if the noise is assumed to be in-
rate of the channel. Also, RCTis called the critical rate anddependent with respect to the diversity br~nches, i.e., Cw
EC. = E. – Rev. is equal to the unit matrix. The quantity /3 is the solution
III. MEMORYLESSCHAiN~ELSWITH PERFEGT CHANNEL for the equation Oh (p, ~, q) /d~ = O.
STATE INFORMATION (C S1) AT RECEIVER Our focus will be on the case for which the fading vec-
tor T is Gaussian with zero mean and a covariance ma-
trix equal to CT, which corresponds to the Rayleigh chan-
Let Y = [Yl , .... YL] denote the set of random vari-
nel (thus, SNR = q). In fact, using (7), it easy to see
ables [Yl, ..., YL] representing the received symbols at the
that [5] for a Nakagami channel with integer Nakagami pa-
antennas, where the value of a received symbol Y~ is
rameter m, the ideal Nakagami channel with L diversity
yk=UkX+Wk; k=l L. Also, let the random vector
,...,
branches is equivalent to a Rayleigh channel with mL di-
T := [Tl,..., TL] denote the set of random fading variables
versity branches. Thus, the following analysis can easily be
and W = [Wl, ..., WL] denote the set of addkive random
applied to the Nakagami channel with integer m.
noise variables. For an ideal fading channel with additive
For the Rayleigh channel with an arbitrary number of
zero-mean complex-valued Gaussian noise with a L x L
space diversity branches L, it is possible to show that (a
covariance matrix Cw, the conditional pdf of the received
detailed derivation is given in [5])
vector Y knowing the transmitted symbol X and the fading
vector T is
1
P(Yl~,~) =
(27r)Ldet {C’LV} x

(4) (8)

0-7803-5669-1/$10.00 (c) 1998 IEEE

where c = q/ (1 + p) and )4(x, y) = – ,[_~ e–t/tv dt, The
quantities Aj; j = J <
1, ..., lj are the ‘eigenvalues of the
potiitive definite matrix c-r and the coefficients Phj are
defined as

J –Kj ~:Kj

Pkj =
(I-Ij=~ 2
)
(Kj - k): x

,_
,:-
[’2++L+)K’P(.)]] ~ (nats/symbol)
(9)
:=2-=1 (Rayleipjl-””’~--=–i=r– L=3 L=4 AW@J
Equations (5) to (9) can then be used to solve for E. (R).
I.et us first investigate the case for when all the fading Fig. 2. Exponent-rate curves for ideal Rayleigh Channel with space
variables associated with the diversity branches are uncor- diversity (independent and balanced branches) at SNR= 10.OdB.
related and of equal powers (i.e., independent and balanced
bra,nches). Fig. 2 shows examples of the exponent-rate
curves at SNR = 10,0 dB for a flat Rayleigh channel and
for different levels of diversity. As seen from the figure,
most of the gain is obtained by the dual diversity channel.
Also, the gains available in going from 1 to 1+ 1 antennas
are less than those available in going from 1 – 1 to 1 an-
tennas. A clearer understanding is obtained by referring
to Table I. The table compares the maximum code lengths
required for the Rayleigh channel with independent and
balanced diversity branches in order to achieve a block de-
cocling error probability P. < 10–6 (P. as defined in (l))
at a transmission rate R = 2.0 bits/symbol. As seen from
the table, most of the improvement in the required code
lengths is obtained with two diversity branches (L = 2)
Fig. 3, Exponent-rate curves for ideal dual diversity Rayleigh Chan-
and the amount of improvement decreases as L increases. nel with correlated and balanced branches at SNR=10.OdB.
Moreover, at SNR >15.0 dB, the code lengths required for
L ==3 and L = 4 are close to those required for the AWGN
channel. For example, the reduction in coding complexity, Rayleigh channel has been examined. The dual diversity
relative to the single diversity channel, due to the use of example has been considered in order to concentrate on
two diversity branches ranges from 53% at SNR = 10.0 dB the effects of fading space correlation only. Fig. 3 shows
to 36’11oat SNR = 20.0 dB. For three diversity branches, examples of the exponent-rate curves at SNR = 10.0 dB
such a reduction ranges from 61% at SNR = 10.0 dB to for a Rayleigh channel and for different levels of correla-
36’% at SNR = 20.0 dB. tion, i.e., Ipl 2. Also, Table II compares the maximum code
lengths required to achieve a block decoding error proba-

I
t
SNR

Inn

12.5
(dB)

-.. . 1
L=l
175
61
+
2

82169152
;
32
3

25
4

23
(AW@GN)
34
18
bility P. < 10–6 at a rate R = 2.0 bits/symbol. Notice
that IP12= 1.0 corresponds to the single diversity Rayleigh
channel and IPI2 = 0.0 corresponds to the dual diversity
Rayleigh channel with balanced and independent fading.
I 15.0 ! 32 1181151141 12 I
In fact, it is interesting to see that even with a high corre-

E
17.5 20 12 11 I 10 9
lation coefficient such as lp12= 0.9, diversity is still capa-
20.0 14 91918 7
ble of attaining a noticeable reduction in the required code
TABLE I lengths as seen from Table II. For example, the reduction
MAXIMUM CODE LENGTHS FOR RAYLEIGH CHANNEL WITH in code lengths, relative to the single diversity channel, for
INDEPENDENT AND BALANCED DIVERSITY BRANCHES AT RATE 2.0 IK12= 0.6 ranges from 49% at SNR = 10.0 dB to 36% at
BITS/SYMBOL. SNR = 20.0 dB.
In order to demomtrate the effect of unbalanced diver-
sity branches on the error exponent, the ideal dual diver-
In order to demonstrate the effects of correlation among sity Rayleigh channel has been examined. Again, the dual
the fading processes experienced by the individual antennas diversity example has been considered in order to concen-
on the error exponent, the case of an ideal dual diversity trate on the effects of fading space correlation only. It has

0-7803-5669-1/$10.00 (c) 1998 IEEE

 4

SNR (dB) lplJ = 1.0 0.9 0.6 0.3 0.0

10.0 175 116 90 75 82 10.0 175 129 97 82
12.5 61 44 35 30 32 12.5 61 41 37 32
, I I I

15.0
1
32
I
23119118117
1 I 1
I 15,0 32 25 20 18
17.5 20 15113112112 t 17.5
1
20 1
16113112
1 1
1
i_ 200 i 14 illi9i9i9 20.0 14 11 I1OI9 1
I t I 1 t 1 1

TABLE II TABLE III

MAxIMUM CODE LENGTHS FOR THE CORRELATED DUAL DIVERSITY MAXIMUM CODE LENGTHS FOR THE UNBALANCED DUAL DIvERsITY
CHANNEL AT RATE 2,0 BITS/SYMBOL RAYLEIGH CHANNEL AT R.4TE 20 BITS/SYMBOL.

R (nats/symbol)
~—–.—
I –.—a=o.o Ct=o.ol CY=o.1 ~=l.ol
Fig. 4. Exponent-rate curves for ideal dual diversity Rayleigh Chan-
nel with independent and unbalanced branches at SNR= 10.OdB.
been assumed that the fading variables received over the
two diversity antennas have variances of relative ratio that
is equal to a. Fig. 4 shows examples of the exponent-rate
curves at SNR = 10.0 dB. As seen from the Fig. 4, the
balanced branch case is the best as expected. Table III
compares the maximum code lengths required to achieve
a block decoding error probability P. < 10–6 at a rate
R = 2.0 bits/symbol. Notice that a = 0.0 corresponds
to the single diversity Rayleigh channel and a = 1.0 cor-
responds to the dual diversity Rayleigh channel with bal-
an;:ed and independent As seen from the table, a
fading.
small amount of diversity such as Q = 0.1 is still capable
of attaining a considerable reduction in the required code
lengths, particularly at small SNR. For example, the reduc-
tion in code lengths, relative to the single diversity channel,
for a = 0.01 ranges from 26% at SNR = 10.0 dB to 21% at
SNR = 20.0 dB. For o = 0.1, the reduction in code lengths
ranges from 45’ZOat SNR = 10.0 dB to 2970 at SNR = 20.0
dB.
The results presented in this section, in fact, lead to the
conclusion that diversity is an excellent way to combat fad-
ing.
IV. TIME-CORRELATEDFADINGCHANNELSWITH
PERFECT CSI AT RECEIVER
If long interleavers can not be used due to delay limita-
tions, fading time correlation can not be ignored and has to
be taken into account. We assume a Jake’s model [16] for
the fading time correlation. In fact, due to the poor reliabil-
ity
y achieved over the mobile channel over a time-correlated
fading channel [5], it has been of interest to determine how
much gain could be obtained by using space diversity. Due
to space limitations, the analysis and the derivations are
omitted in this section. The reader is referred to [5] for
details and additional results.
Fig. 5 shows examples of the cut-off rate versus SNR
curves for different diversity levels and different Doppler
spreads for a Rayleigh channel. It has been assumed that
the fading levels associated with the diversity branches are
i.i.d w.r.t. to the branches. However, the fading variables
are correlated w.r.t. time. As seen from Fig. 5, the use
of space diversity has considerably improved the error ex-
ponent for the time-correlated channel, the degradation in
the error exponent due to fading time correlation has been
so severe such that even three branches of diversity has not
been good enough to bring the exponent close to the single
diversity time-independent case except for large Doppler
spreads.
V. TIME-CORRELATED FADING CHANNELS WITH
PARTIAL C S1 AT RECEIVER
Again, due to space limitations, the analysis and the
derivations are omitted in this section. The reader is re-
ferred to [5] for details and additional results. Fig. 6 shows
an example of the cut-off rate of the Rayleigh channel with
pilot tone estimation and equiprobable BPSK input signal
for fDT = 0.03 and for differentdiversity levels. The diver-
sity branches have been assumed to be space uncorrelated.
Similar behavior has been found for other values of Doppler
spread and for QPSK input signal ??. Fig. 6 also cent ains
the result for the channel with ideal CSI and ideal interleav-
ing, i.e., time-independent fading for comparison. As seen
from the figure, a significant improvement has occurred due
to the use of space diversity. lkw~ver ~ the de~rada+ion in
the error exponent due to non-ideal interleaving, or fading
time correlation, has been so severe such that even three
branches has not been good enough to bring
of diversity
the exponent close to the single diversity case, with ideal

0-7803-5669-1/$10.00 (c) 1998 IEEE

 ,.-. ~.T.–.._.7 ..__

1.2- 1
[
‘—-77 ‘Zr—m ~ ‘q /,.,
,
,,,.;,,=--------
-
~
s
1
0.6
1 ,“//
“,(:’ j.hT~
M’
[- ....1
1

,5 0.5: ,,’
,,’
, i
~ ; ,’:’,’
1,,,,
a 0.4 /j’

1
,,,, -- II&IcsIL=l
L8 ‘“
0.3‘:)’ —- -N &F@J, L=l 1
:
L. J f
0.2
NI&Fc31>L=2 1
N &FcsI,L=3 ./
81 [! a–.–—-–L.— A
0510 15 20 25 30

SNR (dB)
~ ICSI=Ideal
@ - FCWl%tialCSIviapifot
tonemtlmd
I II=Ickd
InterleavingNI=NOInterkaVinE

Fig. 6. Cut-off rate of time-correlated R.ayleigb fading channel with

space diversity and CSI via single pilot tone extraction

~OOL—-L—A J
246810
SNR (dB)
Fifl. 5. Cut-off rate vs. SNR curves for multiple diversity channel
(mobile channel). Upper lef: ~DT = 0.01, Upper right: fDT =
0.03, Lower: jDT = 0.06.
interleaving, except for largeSNRl. This is obviously be-
cause of the detrimental effect of fading time correlation
plus the additional degradation due to non-ideal CSI.
VI. CONCLUSION
In this paper, the random coding error exponent for flat
fading channels with antenna diversity has been considered.
It has been shown that the amount of degradation in reli-
ability is considerable for the memoryless Rayleigh fading
channel in comparison with the AWGN channel, which has
resulted in a significantly larger coding complexity require-
ment for the fading channel. It has been demonstrated that
an excellent solution to combat fading is to use space diver-
sity. Also, it has been shown that a significant reduction
in coding complexity can be obtained by using two anten-
nas only. Time-correlated fading channels have also been
addressed and it has been shown that fading time corre-
lation causes a severe degradation in the error exponent,
relative to the uncorrelated channel, and reliability may
be difficult to achieve. It has also been demonstrated that
diversity combining improves the error exponent consider-
ably. However, the degradation in the error exponent due
to non-ideal interleaving, or fading time correlation, has
been so severe such that even three branches of diversity
have not been good enough to bring the exponent close to
the single diversity case, with ideal interleaving.
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[16] W. C. Jakes, Microwave Mobile Communications. IEEE Press
(reprinted with permission of AT and T), 1974.

1Although not shown in Fig. 6, the same observation has been

noted for large Doppler spreads.

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