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Signaling { Part II

Gerd Beyer, Karin Engdahl (Student Member, IEEE),

Kamil Sh. Zigangirov (Fellow, IEEE)y

April 23, 2001

Abstract{ In this, the second part of the paper we analyze a multilevel coded

modulation system using PSK signaling and transmitting over the AWGN

channel. We reduce the analysis of the overall system to the analysis of each

decoding level, considering them as a set of related channels. The concept of

a \genie aided communication system" is introduced to simplify the analysis.

A comparison with the conventional coded modulation system, studied in the

rst part of this work, and some results concerning the synthesis and analysis

of practical multilevel modulation schemes concludes the paper.

PSK-signaling.

The material of this paper was presented in part at ISIT 2000, Sorrento, Italy, June

25-30 2000.

y The authors are with the Dept. of Information Technology, Lund University, Box 118,

SE { 221 00 Lund, Sweden.

1

I Introduction

In the rst part of this paper [1] we studied conventional coded transmission

over the AWGN channel with q-PSK signaling, q = 2L, L = 1; 2; :::. We

constructed codes (block or convolutional) over the integer ring Zq modulo

q, and then we mapped the q-ary code symbols onto symbols of the alphabet

S (I.1) .

1

introduced independently by Ungerbck [2] and Imai and Hirakawa [3].

The multilevel scheme enables the usage of the multistage decoder, which

demonstrates performance/complexity advantage over the maximal likeli-

hood decoder of the corresponding conventional coded modulation scheme.

An asymptotical analysis of the multilevel modulation system with multi-

stage decoding and a comparison of this system to the conventional system,

is performed in this part of the paper.

Following Huber and Wachsmann [4],[5] we consider the multilevel sys-

tem as a set of related channels and analyze each channel separately. The

most critical part of this paper is the analysis of decoding error propagation

between the levels. This problem is usually solved by introducing ideal in-

terleaver/deinterleaver pairs at each decoding level [6], or by estimation of

the conditional probabilities of decoding error, given that the decoding on

the previous levels was correct [7]. Our solution to the problem is related to

the second way, but, since the calculation of a conditional error probability,

given that the decoding on previous levels was correct is impossible in most

cases, we operate with conditional probabilities of decoding error at each

level, given that the transmitted sequences at the previous levels are known

to the receiver. Introducing the concept of a \genie aided multilevel sys-

tem" permits us to get asymptotically rigorous bounds for the overall error

1We will refer to the formulas from the rst part of this paper by adding the Roman

number I.

2

probability.

To construct a multilevel rate R = K=N (bits per channel use) length N

block code for the AWGN channel with q-PSK signaling, we rst partition a

binary information sequence of length K

u = u ; u ; :::; uK ;

0 1 1 uk 2 GF(2) (1)

into L subsequences u ; u ; :::; u L of lengths K ; K ; :::; K L , such that

(1) (2) ( ) (1) (2) ( )

(1) (2) ( ) ( )

( ) ( )

Figure 1. Let

v l = v l ; v l ; :::; vNl ;

( ) ( )

0

( )

1

( )

1

l = 1; 2; :::; L ; (2)

be the code sequence of the l-th component code. The set of L bits

v L ; v L ; :::; v ;

( ) ( 1) (1)

n n n

( ) ( 1) (1)

s = s ; s ; :::; sN ;

0 1 1 sn 2 S ;

is transmitted over an AWGN channel with q-PSK signaling. The trans-

P

mission rate (in bits/channel use) is equal to R = Ll R l . The received ( )

=1

of complex Gaussian noise components.

The optimal multistage decoder, Figure 1, consists of a set of L decoders

matched to the codes, used at the corresponding levels of encoding. Each

decoding stage includes a calculation of distances (metrics) to the received

sequence r = s + e from all possible code words on this decoding level. The

3

side information from the previous stages determines, according to the set

partitioning structure, illustrated in Figure 2 for L = 3, the signal set upon

which the metrics are calculated.

To calculate the metrics, knowledge of the apriori distribution of the code

symbols vnl and, correspondingly, the apriori distribution of sn is needed.

( )

As we noted in the rst part of this paper, the capacity C of the AWGN

channel with q-PSK signaling (I.5) is reached for uniform distribution of the

transmitted symbols over the input alphabet S . The symbols of the code

word should also be independent. Analogously, the Gallager function of the

AWGN channel with q-PSK signaling, dened by formula (I.9), is maximized

for a uniform distribution over S . Consequently, the symbols vnl of the code ( )

( )

of L related channels. The channel corresponding to the rst level can be

treated as a memoryless channel with binary inputs vn 2 f0; 1g, and con- (1)

0

(1)

1

(1) (1)

(2) (3) ( )

symbols, the conditional distribution of sn, given vn = 0 (or vn = 1), is (1) (1)

(1)

0

(1)

1

(1)

2 X d (r ; s )

E n n

f (rn j vn ) = N q

(1) (1)

exp N ; (3)

sn 2 Svn

0 0

(1)

(1)

where dE (rn; sn) is the squared Euclidean distance between rn and sn. The

conditional probability density function of r ;N = r ; r ; :::; rN , given that [0 ) 0 1 1

(1)

[0 )

(1)

0

(1)

1

(1)

1

Y

N 1

f (r

(1)

[0 ;N ) jv [0;N ) ) =

(1)

f (rn j vn ) :

(1) (1)

(4)

n=0

4

Let

u^ = u^ ; u^ ; :::; u^N

(1) (1)

0

(1)

1

(1)

1 (5)

and

v^ = v^ ; v^ ; :::; v^N

(1) (1)

0

(1)

1

(1)

1 (6)

be the decoded information and code sequences at the rst level. The se-

quence v^ determines a sequence of subsets Sv^ = Sv ; Sv ; :::; Sv , to

(1) (1)

(1)

def (1)

(1)

^0

(1)

(1)

^1

(1)

^

(1)

N 1

the rst level was correct, i.e. if v^ = v . The set Svn of the sequence Sv^ (1) (1) (1)

^

(1)

(1)

(1)

(2)

0

(2)

1

(2)

(2)

v^ = v^ ; v^ ; :::; v^N

(2) (2)

0

(2)

1

(2)

1

(7)

determines, together with v^ , a sequence of subsets Sv^ = Sv ; Sv ; :::;

(1) (2)

(2)

def (2)

(2)

^0

(2)

(2)

^1

(2)

^

(2)

N

coding at the rst two levels was correct, i.e. if v^ = v and v^ = v .

1

(1) (1) (2) (2)

subsets Sv^l l = Svl l ; Svl l ; :::; Svl l , to which the symbols of the transmitted

( )

( )

def ( )

( )

^0

( )

^1

( )

^

( )

( )

N

signal belong, if the decoding at the l rst levels was correct. (Strictly speak-

1

ing, the subsets Svlnl are functions not only of v^nl , but also of the symbols

( )

^

( )

( )

v^nl ; v^nl ; :::; v^n , decoded at the previous levels. We omit the correspond-

( 1) ( 2) (1)

Analogously to (3) we have the following expression for the conditional

probability density function for rn, given that vnl was transmitted (if we ( )

omit the conditions that the transmitted symbols at the previous levels are

vnl ; :::; vn ).

( 1) (1)

l X d (r ; s )

f l

( )

(rn j vnl ( )

)= 2 exp E n n

(8)

N q N

sn 2 Svlnl

0 0

( )

( )

5

The conditional probability density function of r [0;N ) given v l ;N ; v l ;N ; :::;

( )

[0 )

(

[0

1)

)

v ;n is

(1)

Y

[0 ]

N 1

f (r l

( )

[0;N ) )jvl ( )

[0 ;N ) ) = f l (rn j vnl ) :

( ) ( )

(9)

n=0

The logarithm of the probability density function (9) denes an optimal

metric for the decoding at the l-th decoding level for the path labeled by the

code sequence v l ;N . It is convenient to normalize it and dene the distance

( )

[0 )

( )

[0 )

X

N 1

l (r

( )

0 [0 )

l

;N ; v ;N ) =

( )

[0 )

l (rn; vnl ) ;

( )

0

( )

(10)

n=0

where

X d (r ; s )

E n n

l

( )

0 (rn; vnl ( )

) = log 2 exp : N (11)

sn 2 Svlnl

0

( )

( )

The maximum likelihood decoder outputs the sequence that has the minimal

metric.

Given the transmitted sequences at the (l 1)-th, (l 2)-th,... and rst

levels, the channel at the l-th level can be treated as a memoryless channel

with binary input and continuous output. The conditional probability to

receive rn given vnl is given by (8). The value

( )

Z

C = 2 f l r j v l = 0 log f l (r j v 2l f = (0)r j+v f l=(r0)j v l = 1)

1 l l

~

( ) ( )

l ( ) ( ) ( )

2

( ) ( ) ( ) ( )

r

2 f l (r j v l = 1)

+ f r j v = 1 log f l (r j v l = 0) + f l (r j v l = 1) dr ;(12)

l( ) l ( )

( ) ( )

2 ( ) ( ) ( ) ( )

where the integration is over the entire complex plane, can be treated as

the eective capacity of the l-th decoding level of the multilevel system. It

can also be called the maximal achievable rate of the l-th level. The dier-

ence compared to the Shannon capacity consists in that the denition of the

Shannon capacity includes optimization of the probability distribution of the

transmitted signal over the channel input alphabet. In multilevel modulation

6

schemes the probability distribution of the transmitted signal is usually xed

and chosen to be uniform over the channel input alphabet. In the PSK case

the uniform distribution is optimal, but this is not the case, for example, for

QAM signaling. Therefore the eective capacity with uniform distribution

over the input alphabet can be less than the Shannon capacity per level. We

will also use the term \eective capacity" when not only the distribution of

the input signal is xed, but when also the decoding metric is dierent from

the optimal.

The eective capacity of a multilevel modulation system is dened as the

sum of the eective capacities of all levels:

X

L

C~ = ~l C : ( )

(13)

l=1

It can be proved that C~ has the same sense as the Shannon capacity, i.e. for

R < C~ it is possible to achieve reliable communication by letting the code

memory go to innity and for R > C~ reliable communication is impossible.

We will discuss the proof later. From (I.5), (12) and (13) it follows that for

PSK signaling, see also [4],

C~ = C ; (14)

i.e. the eective capacity of a multilevel PSK modulation system with opti-

mal multistage decoding coincides with the Shannon capacity of the channel.

To analyze multistage decoding performances of multilevel block codes,

we introduce the concept of a \genie aided communication system" . We 2

will assume that there is a kind genie, that informs the decoder at the l-th

level, which sequences v ; v ; :::; v l were sent on the previous levels.

(1) (2) ( 1)

Actually, we suppose that the genie steps into the decoding process only if

the decoding at the previous levels was erroneous. Then the l-th level channel

output has the conditional probability density function (8). We emphasize

The ideology of a \genie aided communication system" was popular in the 60s, see for

2

example [8]. Now it is practically forgotten.

7

that we operate with conditional probability density functions of the received

signal, given the transmitted sequences at the previous levels, not given that

the decoding at the previous levels was correct. To calculate the last one is

a complicated, if not hopeless problem. We introduce the genie to avoid the

calculation of the conditional density function, given that the decoding was

correct. In this way we reduce the problem of the analysis of the transmission

at the l-th level to the analysis of a conventional binary transmission with a

slightly exotic, symmetrically distributed, continuous output (8).

Obviously, a lower bound for the decoding error probability of the genie

aided communication system is a lower bound also for the decoding error

probability of the original system. This is because the decoder may or may

not use the information from a genie, and hence the system with a genie

can not be worse than a system without it. More surprising is, that the

genie aided communication system has exactly the same probability of block

decoding error (i.e. the probability that the block will have at least one

decoding error) as the system without a genie. The explanation of this is

that if no errors are made, the genie never steps in with its information, and

therefore the system is the same as without a genie. If, on the other hand, an

error is made and the genie steps in, it only helps the decoding on the next

level. The decoding error is already made and the block will be erroneous,

just as it should have been in the case without a genie. I.e. the probability

Pe of a block decoding error is unaected by the presence or absence of the

genie. (The bit error probability Pb is not unaected of course, but it doesn't

matter for asymptotical considerations.)

Similar arguments can be used for nding the eective capacity of a mul-

tilevel system. Since the genie aided multilevel system has the same decoding

error probability as the original multilevel system, these two systems have

the same eective capacity, i.e. it is sucient to calculate the level eective

capacities for the genie aided system. These eective capacities are given

by (12), and the overall system capacity is equal to the sum of the level

8

capacities (13).

Let Pe l be the probability of a decoding error at the l-th decoding level

( )

for a genie aided system, and let Pb l be the bit error probability at the l-th

( )

Pe l P l P l ;

( )

l = 1; 2; :::; L ;

( ) ( )

(15)

Kl b ( ) e

( ) ( )

log P l log P l ( ) ( )

e

EBl

= Nlim

( ) def

!1 N = Nlim

!1 N

b : 2

(16) 2

Let P~e be the block error probability for the multilevel system, i.e. the

probability of at least one decoding error among all L levels. Then

X

L

max

l

Pe P~e ( ) l Pe l L max

( )

l

Pe l : ( )

(17)

l=1

From (17) follows that

E~B = Nlim log P~e = min E l :

def

(18)

2 ( )

!1 N l B

Since the problem of maximizing E~B for a given overall transmission rate R,

is equivalent to the problem of maximizing R for a given E~B , we choose R l , ( )

(1) (1) (2) (2) ( ) ( )

P

Then R = Ll R l is the overall transmission rate.

( )

=1

denitions [9]. The Gallager function for the l-th level is (comp. with (I.9))

Z 1 1

s 1+

l

G (s) = log f (r j 0) s + 2 f (r j 1) s dr ; (19)

l l 1 1

( ) ( ) 1+ ( ) 1+

r 2

2

0 s<1;

where f l (r j ) is dened by (8) and the integration is over the entire complex

( )

(1 + z l

o )

( )

Rl ( )

0 =Gl ( )

(1) = log 2 ; 2 (20)

9

where Z

zol = f l (r j 0)f l (r j 1) dr ;

1

( ) ( ) ( ) 2

(21)

r

is the Cherno bounding parameter for optimal decoding at the l-th level. As

a counterpart to the denition (I.26) we introduce the expurgation function

for optimal decoding at the l-th level

n h io ;

Gexl (s) = s 1 log 1 + zol 1<s<1;

1

( ) def

2

( ) s

(22)

and the expurgated error exponent evaluated at R l = 0 ( )

( )

G l (s) = 1 log z l : ( ) ( )

(23)

!1 ex 2 o 2

The following theorems are counterparts of Theorems 1{4 in the rst part of

the paper. We omit the proofs since they are simple reformulations of known

theorems for the channel with binary input and continuous output [10],[11].

Theorem 1 (Sphere-Packing Bound) Consider multilevel transmission

over the AWGN channel with q-PSK signaling. For any block code of rate

R(l) and length N that is used to communicate at the l-th level of a genie

aided system, the decoding error probability is lowerbounded by

n o

EB(l;)sp (R(l) o1 (1))+o2 (1) N

Pe 2 l

( )

; (24)

where

EBl;sp (R l ) = sup G l (s) sR l

( ) ( )

( ) ( )

(25)

s

and G(l) (s) is given by (19). The quantities o1 (1) and o2 (1) go to zero

with increasing N and can be taken as o1 (1) = O1 (log2 N=N ) and o2 (1) =

p

O2(1= N ). 2

10

l can be parametrically repre-

The block sphere-packing error exponent EB;sp ( )

(El s[G l (s)]0

B;sp = G (s)

( ) (l) ( )

R(l) = [G(l) (s)]0

Let RBl be the R l at which a straight line in the (R l ; E l )-plane through

( ) ( ) ( ) ( )

( ) l (R l ). ( ) ( )

level transmission over the AWGN channel with q-PSK signaling. For any

block code of rate R(l) and length N that is used to communicate at the l-th

level of a genie aided multilevel system, let

l (R(l) ) = E (l) (0) Eexl (0) EB;l sp (RBl ) l

( ) ( ) ( )

EB;sl

( )

ex R : ( )

(27)

RBl ( )

0 R l < RBl ;

( ) ( )

(28)

the decoding error probability Pe(l) is lowerbounded by the inequality

h i

EB;sl

(l)

(R(l) )+o(1) N

Pe l 2

( )

; (29)

where o(1) ! 0, when N ! 1. 2

Theorem 3 (Random Coding Bound for Block Codes) Consider mul-

tilevel transmission over the AWGN channel with q-PSK signaling. For the

l-th level of a genie aided system, there exists a rate R(l) block code of length

N , whose error probability is upperbounded by the inequality

h i

EB;rc

(l)

(R(l) )+o(1) N

Pe < 2 ; (30)

where

l (R l ) = sup G l (s) sR l :

EB;rc

( ) ( )

( ) ( )

(31)

0s1

G l (s) is given by (19) and o(1) ! 0 if N ! 0.

( )

2

11

The random coding error exponent can be represented as (compare with

(I.25))

8 l l

l (R ) =

<R R ; ( ) ( )

0Rl <Rl ; ( ) ( )

EB;rc (32)

( ) 0 0

: EB;sp

l (R l ) ;( ) ( )

R l R l < C~ l :

( )

0

( ) ( )

transmission over the AWGN channel with q-PSK signaling. For the l-th level

of a genie aided system, there exists a rate R(l) block code of length N , whose

error probability is upperbounded by the inequality

Pe l < 2 EB;ex (R(l) )N

0 R l < Rexl + o(1) ;

(l)

( )

; ( ) ( )

(33)

where the expurgated block error exponent for the l-th level is dened by the

parametrical equation

l

EB;ex

( )

= Gexl (s) s Gexl (s) 0 ;

( )

( )

(34)

R l = Gexl (s) 0 + o(1) ;

( ) ( )

(l)

and the expurgation rate Rex is dened by the equation

( )

Rexl = Gexl (s) 0 s ;

( )

(35)

=1

o(1) ! 0, when N ! 1. 2

We introduce the following notation for the upper bound of the l-th level

block error exponent

8 l l

< EB;sl(R ) ;

( ) ( )

0 R l < RBl ;

( ) ( )

E Bl (R l ) = : l

( ) ( )

(36)

EB;sp(R l ) ;

( ) ( )

RBl R l < C~ l

( ) ( ) ( )

Then the upper bound for the overall block error exponent is

l

E~ B (R) = max

l

E B (R l ) ; ( ) ( )

(37)

12

where

X

L

R= Rl ; ( )

(38)

l=1

and R l satises (36). Analogously, the lower bound of the l-th level block

( )

error exponent is

8 l l

l l

< EB;ex(R ) ;

( ) ( )

0 R l < Rexl ;

( ) ( )

E B (R ) = : l

( ) ( )

(39)

EB;rc(R l ) ;

( ) ( )

Rexl R l < C~ l ;

( ) ( ) ( )

E~ B (R) = min

l

E Bl (R l ) : ( ) ( )

(40)

The upper and lower bounds (37) and (40) are optimized, when E Bl (R l ) ( ) ( )

( ) ( )

To nd the upper bound for the multilevel block error exponent E~ B (R)

we use the following method. First, for any given value E~ B , nd R l , l = ( )

( ) ( )

P

1; 2; :::; L, such that E~ B = E Bl (R l ). Then Ll R l is equal to the overall

( )

=1

for the multilevel block error exponent E~ B (R) analogously. In Figure 3 the

upper and lower bounds of the block exponents, E Bl (R l ) and E Bl (R l ), are

( ) ( ) ( ) ( )

given for each level, in the case when q = 32, Es=N = 10dB. (We show only 0

(1) (2)

levels.)

In Figure 4 the corresponding bounds E~ B (R) and E~ B (R) for the overall

block error exponent of the multilevel system are given. For comparison

we also present in Figure 4 the upper and lower bounds E B (R) and E B (R),

calculated in the rst part of this paper, for the conventional q-PSK signaling

scheme. One can see that the multilevel block coded modulation scheme with

multistage decoding performs better than the corresponding conventional

scheme.

13

IV Multilevel Trellis-Coded PSK Signaling

In the rst part of this paper we considered conventional trellis coded trans-

mission with q-PSK signaling, where the q-ary information sequence u is

rst divided into subblocks of b symbols in each, then the sequence of q-ary

b-tuples is encoded by a rate R = log (q)b=c (bits per channel use) memory 2

m trellis encoder into the code sequence s = s ; s ; :::; si; :::, where si 2 S . 0 1

nary information sequence u is rst partitioned into L binary subsequences

u ; u ; :::; u L . The l-th subsequence u l consists of subblocks of length

(1) (2) ( ) ( )

( ) ( )

(1) (2) ( ) (1) (1)

(2) (2)

( ) ( )

0

( )

1

( ) ( )

0

( )

1

( )

l = 1; 2; :::; L ; (41)

where

unl = unbl ; unbl

( ) ( )

(l)

( )

(l) +1 ; :::; u nl ( )

( +1) (l) b 1

; uil 2 GF (2)

( )

(42)

are encoded by independent binary component trellis codes, of rates R l = ( )

b l =c l (in bits per code symbol) and memories m l , analogously to the block

( ) ( ) ( )

v l = v l ; v l ; :::; vnl ; ::: = v l ; v l ; :::; vi l ; ::: ;

( ) ( )

0

( )

1

( ) ( )

0

( )

1

( )

(43)

where

vnl = vncl ; vncl

( ) ( )

(l)

( )

(l) +1 ; :::; v nl ( )

( +1) (l) c 1

; vi l 2 GF (2);

( )

(44)

such that

vnl = f (unl ; unl ; :::; unl m)

( ) ( ) ( )

1

( )

(45)

be the code sequence at the output of the l-th encoder. The set of L bits

n o

vi ; vi L

L

( ) ( 1)

; :::; vi (1)

; (46)

14

is synchronously mapped onto the signal point si 2 S . The sequence

s = s ; s ; :::; si; :::

0 1 (47)

is transmitted over the channel. The transmission rate (in bits per channel

P

use) is equal to R = Ll R l . The optimal multistage decoder is analogous

( )

=1

to the block coding case, Figure 1, except that at each level a Viterbi decoder

is used. An optimal metric is dened by (10).

As in the block coding case, we will use the ideology of a genie aided sys-

tem for analysis of the trellis-coded multilevel system with multistage decod-

ing. The l-th level of the genie aided system, l = 1; 2; :::; L, is characterized

by the burst error probability P l (burst ), the bit error probability P l (bit )

( ) ( )

ECl dened as

( )

ECl (R l ) = lim

( ) ( ) def log P l (burst ) = lim log P l (bit ) : (48)

2

( )

2

( )

m l !1 ( )clml m l !1

( )

clml

( ) ( ) ( ) ( )

the overall burst and bit error probabilities for a nonterminated multilevel

trellis code. This is because of the propagation of errors from other levels.

Therefore, we consider terminated transmission to simplify the analysis of

the error probability, analogously to the case of conventional trellis coding

considered in the rst part of this paper. Then the error propagation is

limited by the frame length. Let us choose the integer N as the frame length

and the integers ; ; :::; L , such that

(1) (2) ( )

( + m )c = ( + m )c = ::: = ( L + m L )c L = N :

(1) (1) (1) (2) (2) (2) ( ) ( ) ( )

(49)

The encoder of the terminated trellis code divides the information sequence

of the l-th level into frames of l b l -tuples, each frame is followed by a

( ) ( )

m l dummy zero b l -tuple and is encoded into a code word of length N (in

( ) ( )

binary symbols). Then the set (46) of L bits is mapped onto a symbol si . The

value N is chosen such that l m l , l = 1; 2; :::; L. Particularly, we can

( ) ( )

15

( )

choose N = maxl m l =R l . Then the transmission rate R Ll R l , is

( ) 2

P ( )

=1

The multistage decoder decodes the received sequence framewise. The

Viterbi decoder of the rst level decodes the j -th frame u j ; j , re- (1)

[ (1) ( +1) (1) )

[ (1) ( +1) (1) )

transmitted code word at the rst level v^ j ; j l . Then the Viterbi de- (1)

[ (1) ( +1) ( ) )

coder of the second level uses the side information Sv^ to output (1)

(1)

[j (1) ;(j +1) (1) )

u^ j

(2)

[

and v^ j ; j and so on. The decoding delay at the l-th

;j

(2) ( +1) (2) ) [

(2)

(2) ( +1) (2) ]

symbols). The frame error probability at the l-th level is Pe l , and the bit ( )

( )

log P l log

( )

P l log P l (burst ) = E l :( ) ( )

e b

lim = lim

2

= lim 2

C

2 ( )

m l !1 c l m l

( ) ( )

m l !1 c l m l

( )

m l !1

( ) clml ( ) ( ) ( ) ( ) ( )

(50)

The asymptotical complexity of the decoding at the l-th level is equal to

l (the number of states in the Viterbi decoder), the probability of error

( )

l

is Pe l = l
o , where o(1) ! 0 if l ! 1 and
l is the state-

( ) ( )

( ) + (1)

( ) ( )

The asymptotical overall decoding complexity ~ is dened as the total

number of states in the Viterbi decoders at all decoding levels, i.e.

X

L

~ = l:

( )

(51)

l=1

Since

max

l

l < ~ L max

( )

l

l ( )

(52)

the overall complexity is asymptotically dened by the maximal complexity of

the decoders of the dierent levels, i.e. ~ maxl l . The overall frame error ( )

probability P~e is dened as the probability that at least one of the L decoders

makes an error. Since (17) is valid also for the trellis transmission case, the

overall frame error probability is asymptotically equal to the maximal frame

16

error probability of the levels, i.e. P~e maxl Pe l . Let us dene the l- ( )

( ) ( ) ( ) ( )

error exponents of the dierent levels are the same, i.e.

l = 2b l m l = ~

( ) ( ) ( )

o

1+ (1)

; l = 1; 2; :::L ; (53)

l = ~ ;

( )

l = 1; 2; :::; L : (54)

nent

The two following theorems establish lower bounds for the l-th level burst

error probability P l (burst ) for a genie aided communication system using

( )

Theorem 5 (Viterbi-Type Lower Bound) Consider multilevel transmis-

sion over the AWGN channel with q-PSK signaling. For any trellis code of

rate R(l) = b(l) =c(l) and memory m(l) , that is used to communicate at the

l-th level of a genie aided multilevel system, the burst error probability is

lowerbounded by the inequality

h i

EC;sp (R(l) )+o(1) c(l) m(l)

0 R l < C~ l ;

(l)

l

P (burst ) > 2

( )

; ( ) ( )

(55)

(l)

where EC;sp (R(l)) is the convolutional sphere-packing exponent, dened by the

parametric equation

l = G l (s)

EC;sp ( ) ( )

0<s<1: (56)

R l = G l (s)=s

( ) ( )

( ) ( )

2

17

Let RCl be the rate at which EC;sp

( ) l (R l ) = E l (0).

ex

( ) ( ) ( )

level transmission over the AWGN channel with q-PSK signaling. For any

trellis code of rate R(l) = b(l) =c(l) and memory m(l) , 0 R(l) < RC(l) , that is

used to communicate at the l-th level of a genie aided system, the burst error

probability is lowerbounded by the inequality

h i

Eex

( l)

(0)+o(1) c(l) m(l)

P l (burst ) 2

( )

; (57)

(l)

where Eex (0) is the zero rate expurgated error exponent (23) and o(1) ! 0 if

m ! 1. 2

The two following theorems establish upper bounds for the l-th level burst

error probability P l (burst ) of a genie aided communication system with

( )

trellis codes [9]. The construction of codes consists of two phases. First, we

construct at each level a periodically time-varying binary convolutional code,

and then we map the L-tuples (46) onto the signal point si 2 S . We assume

that the period T l of the l-th level code increases faster than the memory

( )

( )

( ) ( ) 2

2

multilevel transmission over the AWGN channel with q-PSK signaling. For

the l-th level of a genie aided multilevel system, there exists a rate R(l) =

b(l) =c(l) trellis code of memory m(l) , whose burst error probability is upper-

bounded by the inequality

8

>

<2

h i

R(0l) +o(1) c(l) m(l)

; 0Rl <Rl ( ) ( )

l

P (burst ) < >

( )

0

(58)

:2 h

EC;sp

(l)

i

(R(l) )+o(1) c(l) m(l)

; Rl

( )

0 R < C~ l ;

( )

where R0(l) is the computational cuto rate of the l-th level (20), EC;sp

(l)

(R(l) )

is the convolutional sphere-packing error exponent (56), and o(1) ! 0, if

m(l) ! 1. 2

18

Theorem 8 (Expurgated Bound for Trellis Codes) Consider multi-

level transmission over the AWGN channel with q-PSK signaling. For the

l-th level of a genie aided multilevel system, there exists a rate R(l) = b(l) =c(l),

0 R(l) < R0(l) , trellis code of memory m(l) , whose burst error probability is

upperbounded by the inequality

P l (burst ) < 2

( ) EC;ex

( l)

(R(l) )c(l) m(l)

; (59)

where the expurgated convolutional error exponent is dened by the paramet-

rical equation

(l) (l)

EC;ex = Gex (s) + o1(1) ;

(l)

1<s<1: (60)

R = Gex (s)=s + o2(1) ;

(l)

(l)

Here Gex (s) is the expurgation function (22) of the l-th level, o1(1) ! 0,

o2 (1) ! 0 when m(l) ! 1. 2

We introduce the following notations for the upper and lower bounds of

the l-th level convolutional error exponent

8 l

l l

< Eex (0) ; 0 R l < RCl ; ( ) ( ) ( )

E C (R ) = : l

( ) ( )

(61)

EC;sp(R l ) ; RCl R l < C~ l ; ( ) ( ) ( ) ( ) ( )

8 l l

< EC;ex(R ) ; 0 R l < R l ;

( ) ( ) ( ) ( )

E Cl (R(l) )

0

( )

= : EC;sp

l (R l ) ; R l R l < C~ l :

( ) ( )

(62)

( ) ( ) ( )

0

From (50) and Theorems 5 { 8 follows that the frame error probability

and the bit error probability asymptotically satisfy the bounds

E Cl (R l ) lim

( ) ( ) Pe l = lim Pb l = E l (R l ) E l (R l ); l = 1; 2; :::; L:

( ) ( )

( ) ( ) ( ) ( )

clml clml

( ) C ( ) C ( ) ( )

(63)

From (53){(62) also follows that

8E

l l l l l

< R (l)

ex (0)

; 0 R l < RCl ;

( ) ( )

(R ) = E C (R )=R = :

( l)

( ) ( ) def ( ) ( ) ( )

(64)

sl ( )

; RCl R l < C~ l ;

( ) ( ) ( )

19

where s l satises the equality R l = G l (s l )=s l and

( ) ( ) ( ) ( ) ( )

l (R l ) = E Cl (R l )=R l = s l ;

( ) ( ) def ( ) ( ) ( ) ( )

(65)

where s l satises the equality R l = Gexl (s l )=s l for 0 R l < R l and

( ) ( ) ( ) ( ) ( ) ( ) ( )

0

( ) ( ) ( ) ( )

0

( ) ( )

the same method, as we used for nding the bounds for the overall block

error exponent. To fulll conditions (53) and (54) we choose R l and m l ( ) ( )

such that

b m = b m = ::: = b L m L ;

(1) (1) (2)

(66) (2) ( ) ( )

E C (R )c m = E C (R )c m = ::: = E CL (R L )c L m L ;

(1) (1) (1) (1) (2) (2) (2) (2) ( ) ( ) ( ) ( )

(67)

if we are interested in the upper bound of the overall state-complexity error

exponent ~ or

E C (R )c m = E C (R )c m = ::: = E CL (R L )c L m L ;

(1) (1) (1) (1) (2) (2) (2) (2) ( ) ( ) ( ) ( )

(68)

if we are interested in the lower bound. From (64), (66) and (67) we have

(R ) = (R l ) = ::: = L (R L ) = ~ :

(1) (1) (2) ( ) ( ) ( ) def

(69)

The sum of the rates R l , that satisfy (69), gives the overall transmission

( )

exponent ~. Analogously, from (65), (66) and (68) we have

(R ) = (R ) = L (R L ) = ~ :

(1) (1) (2) (2) ( ) ( ) def

(70)

The sum of the rates R l , that satisfy (70), gives the overall transmission rate

( )

~.

In Figure 5 the curves l (R l ) and l (R l ), l = 2; 3; 4; 5, for q = 32 and

( ) ( ) ( ) ( )

Es=N = 10dB are given (for l = 1, R 0). Using the principle described

0

(1)

20

above, we get upper and lower bounds for the overall state-complexity error

exponent from these curves, and overall transmission rate R = Ll R l .

P ( )

=1

The result
~ =
~(R) and
~ =
~(R) is presented in Figure 6, where the bounds

(R) and
(R) for conventional transmission over the AWGN channel with

q-PSK signaling are also given for comparison.

In the previous section, we analyzed the multistage decoder which uses a

Viterbi decoder with optimal decoding metric at each decoding level. In this

section we will analyze a suboptimal (Viterbi type) decoder that uses the

following suboptimal nearest neighbor metric (compare with (10))

X

n

nnl (r[0;n]; v[0(l);n]) =

( )

nnl (ri; vi l ) ;

( ) ( )

(71)

i=0

where

nnl (ri; vi l ) = min l dE (ri; si):

( ) ( )

(72)

si 2 Sv l ( )

( )

i

In all other aspects the decoder is analogous to the multistage Viterbi de-

coder, that uses the optimal metric. The nearest neighbor metric is often used

in multistage decoding of multilevel modulation schemes (see [6], [12]{[14]).

In [13] we proved that the eective capacity of multistage decoding with this

metric practically coincides with the channel capacity. In this section we will

limit our analysis to the practically most interesting range of transmission

rates, up to the computational cuto rate. Our goal is to present a lower

bound
nn for the overall state-complexity error exponent
of the multilevel

Viterbi decoder with nearest neighbor metric.

Let us analyze the Viterbi decoder on the l-th level, using the suboptimal

nearest neighbor metric (71). We assume again that a kind genie informs the

decoder which sequences v ; v ; :::; v l were sent at the previous levels, if

(1) (2) ( 1)

the decoding on at least one level was erroneous. In Appendix A the Cherno

21

bounding parameter znnl for l-th nearest neighbor decoding is described. The

( )

values of zol and znnl are given in the Table I, and since they depend only on

( ) ( )

1

( ) ( ) ( )

Viterbi decoding with nearest neighbor metric at the l-th level is equal to

l

Rnnl = log 1 +2znn ;

( )

( )

2 (73)

the expurgation function is

n h io ;

Gnnl (s) = s 1 log 1 + znnl 1<s<1;

1

( ) def

2

( ) s

(74)

and the convolutional expurgated error exponent is dened by the paramet-

rical equation (comp. with (60))

Ennl = Gnnl (s) + o (1) ;

( ) ( )

1<s<1:

1

(75)

Rl

( )

= Gnnl (s)=s + o2 (1) ;

( )

Codes) Consider multilevel transmission over the AWGN channel with q-

PSK signaling. For the l-th level of a genie aided multilevel system using

Viterbi decoding with nearest neighbor metric, there exists a rate R(l) =

b(l) =c(l) trellis code of memory m(l) , whose burst error probability is upper-

bounded by

Pnnl (burst ) 2 Enn c m R l Rnnl ;

(l) (l) (l)

( )

; ( ) ( )

(76)

(l)

where Enn (R) is dened by (75). 2

From (76) follows, analogously to (50){(54), that

Pb;nn < l

( ) nn

( l)

+o(1)

; (77)

22

where l = 2b l m l is the decoding complexity on the l-th level, o(1) ! 0

( ) ( ) ( )

when l ! 1, and

( )

(78)

where snnl satises the equality

( )

( ) ( ) ( ) ( )

(79)

Then, analogously to (69), we get the lower bound of the overall state-

complexity error exponent nn that corresponds to the overall transmission

P

rate R = Ll R l , when R l , l = 1; 2; :::; L satises the equalities

( ) ( )

=1

nn (R ) =
nn (R ) = ::: =
nnL (R L ) =
nn :

(1) (1) (2) (2) ( ) ( )

(80)

The overall computational cuto rate is dened by the equality

X

L

Rnn = Rnnl :( )

(81)

l=1

Since znnl zol , the function
nn(R), 0 R Rnn, practically coincides

( ) ( )

The main goal of this paper is the comparison of two transmission schemes

over the AWGN channel with q-PSK signaling: the conventional coded mod-

ulation system and the multilevel coded modulation system with multistage

decoding. In this section we will compare performances of these two systems

when both are using trellis codes with Viterbi decoding. We assume that

both systems have the same asymptotical state-complexity and the same

bit error probability Pb , and consequently the same state-complexity error

exponent . We compare rst the relative asymptotic gain (for ! 1) in

signal-to-noise ratio Es=N (in dB) of the multilevel system compared to the

0

conventional one. (Since the transmission rates of the systems are the same

the coding gain in signal-to-noise ratio per bit Eb =N is the same.) 0

23

To compare these two systems we rst calculate the upper
~ =
~(R)

and the lower
~ =
~(R) bounds for the state-complexity error exponent

~ =
~(R) of the multilevel system for a given signal-to-noise ratio Es=N , 0

q = 32 and Es=N = 10dB is presented in Figure 6. Then for any given value

0

Now consider the conventional trellis coded modulation system, and cal-

culate for which signal-to-noise ratio (E s=N ) we have ^ = (R). Then we

0

0

0 0

The dierence (in dB) between (E s=N ) and Es=N gives an upper (opti-

0 0

mistic) bound for the coding gain of the multilevel system corresponding

to transmission rate R. The dierence between (E s=N ) and Es=N gives0 0

sion rate R. In addition to the lower and upper bounds for the coding gain

we calculate a realistic estimation of the coding gain, the dierence between

(E s=N ) and Es=N , corresponding to transmission rate R. The realistic es-

0 0

timation corresponds to the coding gain of the multilevel system over the

conventional system, given that their decoding error probabilities satisfy the

expurgated bounds.

In Figure 7 our results are presented for Es=N = 10dB and q = 32. We

0

note that for rates R = 0 and R = R~ the upper bound, the lower bound and

0

the realistic estimation coincide. The corresponding gains are 1:83 dB and

0:35 dB. For all rates 0 R < 0:9R~ the realistic estimation gives more than

0

1dB gain for the multilevel system. In Table II the gains are presented for

dierent signal-to-noise ratios Es=N at rate R = 0 and at the computational

0

cuto rate R = R = R~ .

0 0

( )

guaranteed by the expurgated bound. Suppose that we would like to con-

24

struct a system whose state-complexity error exponent is asymptotically not

less than ^. Choosing R l , l = 1; 2; :::; L, such that ^ = l (R l ), we nd

( ) ( ) ( )

( ) ( ) ( )

b m = b m = ::: = b L m L

(1) (1) (2) (2) ( ) ( )

(82)

If the components codes satisfy the expurgated bound (59), the constructed

code have a guaranteed asymptotically quasioptimal complexity-reliability

tradeo. This construction method of asymptotically quasioptimal multi-

level systems can be used for construction of practical systems with mod-

erate complexity. In Appendix B we give an example in which we use this

construction method.

VIII Conclusion

In this paper we compared a conventional coded modulation system with a

multilevel coded modulation system both for block and trellis coding. We also

compared multilevel systems in the case of optimal and suboptimal decoding

and proved that they have practically the same performances. An example

of the energy gain of the multilevel systems as a function of the transmission

rate is presented in Figure 7 for the AWGN channel with 32-PSK input. In

Table II the energy gain (in dB) for zero transmission rate (R = 0) and for

the computational cuto rate R are presented.

0

vides asymptotically rigorous bounds on the decoding error probabilities.

To synthesize the multilevel coding system we have developed a method of

asymptotically quasioptimal choice (maximizing the overall rate for a given

guaranteed decoding error probability and a given decoding complexity) of

code parameters (transmission rates and block length / code memory) for

dierent levels. Surprisingly enough, the same principle of synthesis of mul-

tilevel systems, that was used in the asymptotical case, when the code length

25

/ code memory goes to innity, can also be applied for the synthesis of prac-

tically interesting codes of reasonable code memory size.

It was proven in [13] that the Cherno bounding parameter znnl for l-th ( )

znnl = min

( )

' l () ;0

( )

(83)

where ' l () is the generating function of the random variable

( )

( ) def ( ) ( )

(84)

where r = x + | y. We have [13] in the q-PSK case that

rE

(r) = 2 2 Ns x + x cos l + y sin l ;

l ( )

(85) ( ) ( )

( ) 1

p

to receive x + | y given that the transmitted symbol is s = Es and that

0 y x tan l , 0 x 1 is

( )

q0

8 rE !

1X 2

1

< 1 2

l

fq0 (x; y) =

( )

exp : 2 x 2 Ns cos 2 l i ( )

i=0

!9

0

1

rE = 2

2 y 2 Ns sin 2 l i ; : ( )

( )

Z1 x Z tan (l)

' l () =

( )

exp l (r) fq0l (x; y) dy dx :

( ) ( )

(86)

x=0 y=0

From (86) follows [13] that

0 1

E B r2 X0

Z

A () C

q

2

1

( l)

2

( )

0

i=0 =0

(87)

26

where

rE rE rE

A() = 2 N cos(2 i )+2 2 N cos( ) 2 2 Ns cos ; (88)

s l ( ) s l ( )

0 0 0

R1 p

and Q(x) = exp ( t =2) = 2dt.

2

Multilevel Code

Here we give an example where we use the construction method described in

Section VII.

Example: Suppose that we would like to construct a multilevel system for

q = 8, Es=N = 10dB. Let us choose ~ = 2:3. In Figure 5 the functions

0

(3) (3) (2) (2) (1) (1)

(1) (2) (3)

(1) (2) (3)

(uncoded transmission), the overall rate of the system R = 2:05 and m = 4, (1)

m = 1.

(2)

We chose the following codes: for the rst level the code with genera-

tor polynomials (in octal representation) (46; 52; 66; 76) and for the second

level the punctured rate 1=2 code with generator polynomials (23; 35) of the

mother code and punctuation matrix

1 0 1 0

P= 1 1 0 1 : (89)

Simulation results of this system for Es=N ranging from 3dB to 10dB

0

are presented in Figure 8. For comparison simulation results for the rst two

levels of the genie aided system are given. We also given the exact value of

the bit error probability for the last level. We can see, that for Es=N = 10dB 0

the overall bit error probability and the bit error probabilities for the levels of

the genie aided system are very close. This was our goal in the construction

27

of the multilevel system. Since the parameters of the system were optimized

only for signal-to-noise ratio Es=N = 10dB, the system naturally has worse

0

Since simulations at higher signal-to-noise ratios becomes more and more

time consuming, we have used the Viterbi owchart diagram [9],[11], to get

an upper bound for the bit error probabilities Pb at each level:

Pb < 1b @T (W; L; I )

@I W z ; (90)

LI

= o

= 1

= 1

and zo is the Cherno bounding parameter for Viterbi decoding with optimal

metric (21). (For W = znn the bounds practically coincide with those given

in Figure 8.) In Figure 8 these upper bounds of Pb for the rst two levels in

the range of signal-to-noise ratios Es=N from 10dB to 13dB are presented.

0

The result of the calculation of Pb for the last level is also presented. 2

28

References

[1] G. Beyer, K. Engdahl, and K. Sh. Zigangirov, "Asymptotical analysis of

two coded modulation schemes using PSK signaling, Part I," submitted

to IEEE Transactions on Information Theory, Jun. 1999.

[2] G. Ungerbck, "Channel coding with multilevel/phase signals," IEEE

Transactions on Information Theory, vol. IT-28, pp. 55{67, Jan. 1982.

[3] H. Imai and S. Hirakawa, "A new multilevel coding method using error-

correcting codes," IEEE Transaction on Information Theory, vol. IT-23,

pp. 371{377, May 1977.

[4] J. Huber, "Multilevel codes: Distance proles and channel capacity," in

ITG-Fachbereicht 130 (conf. rec.), 1994, pp. 305{319.

[5] J. Huber and U. Wachsmann, "Capacities of equivalent channels in mul-

tilevel coding schemes," Electronics Letters, vol. 30, pp. 557{558, no. 7

Mar. 1994.

[6] Y. Kofman, E. Zehavi, and S. Shamai, "Performance analysis of a mul-

tilevel coded modulation system," IEEE Transactions on Communica-

tions, vol. 42, pp. 299{312, Feb./Mar./Apr. 1994.

[7] H. Herzberg, "On the spectrum of distances of a multilevel code, decoded

by a multistage decoder," IEEE Transactions on Information Theory,

vol. IT-43, pp. 1736{1739, Sep. 1997.

[8] J. M. Wozencraft and I. M. Jacobs, Principles of Communication Engi-

neering, Wiley, 1965.

[9] R. Johannesson and K. Sh. Zigangirov, Fundamentals of Convolutional

Coding, IEEE Press, Piscataway N.J., 1999.

29

[10] R. G. Gallager, Information Theory and Reliable Communication, Wi-

ley, New York, 1968.

[11] A. J. Viterbi and J. K. Omura, Principles of Digital Communication

and Coding, McGraw Hill, 1979.

[12] K. Engdahl and K. Sh. Zigangirov, "On the calculation of the error

probability for a multilevel modulation scheme using QAM-signaling,"

IEEE Transactions on Information Theory, vol. IT-44, pp. 1612{1620,

Jul. 1998.

[13] K. Engdahl and K. Sh. Zigangirov, "The Cherno bounding parameter

for a multilevel modulation scheme using PSK-signaling," International

Journal of Electronics and Communication (AEU) , pp. 18{24, no. 1

1999.

[14] K. Engdahl and K. Sh. Zigangirov, "A comparison analysis of hexago-

nal multilevel QAM and rectangular multilevel QAM," Probl. Peredach.

Inform., vol. 34, pp. 39{50, no. 4 Oct./Nov./Dec. 1998.

30

LIST OF FIGURE CAPTIONS

Fig. 1: System description of the L-level coded modulation scheme using

2L-PSK signaling.

Fig. 2: Set partitioning of 8-PSK signal constellation.

Fig. 3: Upper E Bl (R l ) (solid lines) and lower E Bl (R l ) (dashed lines)

( ) ( ) ( ) ( )

tem; q = 32, Es=N = 10dB. The enumeration of the levels l = 3; 4; 5

0

Fig. 4: Comparison of upper E B (R) (correspondingly E~ B (R)) and lower

E B (R) (correspondingly E~ B (R)) bounds for the overall block error ex-

ponent for conventional and multilevel modulation; q = 32, Es=N = 0

10dB.

Fig. 5: The upper
l (R l ) and lower
l (R l ) bounds for the l-th level

( ) ( ) ( ) ( )

(correspondingly ~(R)) bounds of the overall state-complexity error

exponents for conventional and multilevel modulation schemes; q = 32,

Es=N = 10dB.

0

of the coding gain of multilevel modulation scheme compared to the

conventional modulation scheme.

Fig. 8: Study of bit error probability for a three-level modulation system,

whose parameters are optimized for Es=N = 10dB, see example. The

0

range of Es=N from 3 to 10 dB. The dashed curve corresponds to

0

the rst level of the system { simulation results in the range 3{10dB of

31

Es=N , and upper bound for Pb in the range 10{13dB. The dash-dotted

0

results in the range 3{10dB of Es=N and upper bound for Pb in the

0

of Pb for the third (uncoded) level of the genie aided system.

32

LIST OF TABLE CAPTIONS

Tab. I: Values of the Cherno bounding parameters zo and znn as functions

of the signal-to-noise ratio Es=N .

0

ison to conventional 32-PSK signaling for R = 0 and R = R~ as a

0

0

33

LIST OF FOOTNOTES

1 We will refer to the formulas from the rst part of this paper by adding

the Roman number I.

2 The ideology of a \genie aided communication system" was popular in the

60s, see for example [8]. Now it is practically forgotten.

34

BIOGRAPHIES

Gerd Beyer was born in Aalen, Germany, in 1973. He received the M.Sc.

degree in computer science from the University of Ulm, Germany, in

1999. Working at his master thesis, during 1998-1999, he spent six

months at the Department of Information Technology at Lund Univer-

sity, Sweden. Since November 1999 he has been working as consultant

at Beck et al. in Munich, Germany.

Karin Engdahl (S'96) was born in Sweden in 1971. She received her

M.Sc. degree in Electrical Engineering from Lund University, Sweden,

in 1995. Since then she is with the Dept. of Information Technology,

Lund University, where she is working towards a Ph.D.

Kamil Sh. Zigangirov (M'95-SM'99-F'2001) was born in the USSR in

1938. He received the M.S. degree in 1962 from the Moscow Institute

for Physics and Technology and the Ph.D. degree in 1966 from the

Institute of Radio Engineering and Electronics of the USSR Academy

of Sciences, Moscow.

From 1965 to 1991 he held various research positions at the Institute

for Problems of Information Transmission of the USSR Academy of

Sciences, Moscow, rst as a Junior Scientist, and later as a Main Sci-

entist. During this period he visited several universities in the United

States, Sweden, Italy, and Switzerland as a guest researcher. He orga-

nized several symposia on information theory in the USSR. In 1994 he

received the Chair of Telecommunication Theory at Lund University,

Lund, Sweden. His scientic interests include information theory, cod-

ing theory, detection theory, and mathematical statistics. In addition

to papers in these areas he has published a book on sequential decoding

of convolutional codes. With R. Johannesson he coauthored the text-

book "Fundamentals of Convolutional Coding" (Piscataway, NJ: IEEE

35

Press, 1999).

36

u Encoder 1 v

(1) (1)

u Encoder 2 v

(2) (2)

u Partition

of

2L-PSK s AWGN r Multistage u^

information p mapper decoder

p

p

u L Encoder L v L

( ) ( )

Figure 1:

uuu

u u

v = 0

(1) uuu

HHvH = 1

(1)

HHHj

eue ueu

u u e e

eue ueu

v =0

(2)

@ v =1(2)

v =0(2)

@v = 1

(2)

@@

R e @@R

eue e e uee e

e u

e e u u e e e e

eue eee eeu uee

Figure 2:

37

8

upper bounds

lower bounds

7

5

EB (R )

(l)

4

(l)

0

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

(l)

R

Figure 3:

38

12

conventional modulation

multilevel modudation

10

8

EB(R)

0

0 0.5 1 1.5 2 2.5 3

R

Figure 4:

39

10

6

γ(l)(R(l))

0

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

(l)

R

Figure 5:

40

10

5

γ

multilevel modulation

1

conventional modulation

0

0 0.5 1 1.5 2 2.5 3

R

Figure 6:

41

5

2

gain [dB]

realistic estimation

−1

lower bound

upper bound

−2

0 0.5 1 1.5 2 2.5 3

R

Figure 7:

42

0

10

−1

10

−2

10

−3

10

−4

10

−5

Pb

10

−6

10

−7

10

10

−8 simulated overall performance

level 1

level 2 of genie aided sys.

10

−9 level 3 of genie aided sys.

−10

10

3 4 5 6 7 8 9 10 11 12 13

Es/N0 in [dB]

Figure 8:

43

Es=N

0 q optimal zo suboptimal znn znn=zo

1 2 0.284 0.284 1.000

1 4 0.743 0.745 1.003

1 8 0.988 0.989 1.001

1 16 1.000 1.000 1.000

1 32 1.000 1.000 1.000

1 64 1.000 1.000 1.000

3 2 0.136 0.136 1.000

3 4 0.564 0.566 1.003

3 8 0.962 0.964 1.002

3 16 1.000 1.000 1.000

3 32 1.000 1.000 1.000

3 64 1.000 1.000 1.000

5 2 0.042 0.042 1.000

5 4 0.345 0.346 1.002

5 8 0.896 0.898 1.003

5 16 0.999 1.000 1.000

5 32 1.000 1.000 1.000

5 64 1.000 1.000 1.000

8 2 0.002 0.002 1.000

8 4 0.080 0.080 1.000

8 8 0.661 0.662 1.002

8 16 0.989 0.990 1.001

8 32 1.000 1.000 1.000

8 64 1.000 1.000 1.000

10 2 0.000 0.000 1.000

10 4 0.013 0.013 1.000

10 8 0.420 0.420 1.001

10 16 0.952 0.953 1.001

10 32 1.000 1.000 1.000

10 64 1.000 1.000 1.000

Table I:

44

Es=N [dB] gainjR [dB] R~ gainjR R [dB]

0 =0 0 = ~0

1 0:95 0:85 0:51

3 1:16 1:20 0:5

5 1:37 1:59 0:47

8 1:66 2; 16 0:41

10 1:83 2:51 0:35

15 1:7 3:37 0:3

Table II:

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