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IN/COSTELLO SHU LIN / DANIEL J. COSTELLO, Jr.
Error Control
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PRENTICE-HALL SERIES IN COMPUTER APPLICATIONS IN ELECTRICAL ENGINEERING
eae ag
ee ad ERROR CONTROL CODING
Fundamentals and Applications PRENTICE-HALL COMPUTER APPLICATIONS
IN ELECTRICAL ENGINEERING SERIES
FRANKLIN F. KUO, editor
ApkaMsoN and Kuo, Computer-Communication Networks
Bowens and Sepore, Sceptre: A Computer Program for Circuit and Systems Anal
Canzow, Discrete Time Systems: An Introduction with Interdisciplinary Applications
Capzow and Martens, Discrete-Time and Computer Control Systems
Davis, Computer Data Displays
FRIEDMAN and MExoN, Fault Detection in Digital Circuits
HueLsMan, Basic Circuit Theory
Jensen and LieveRMaN, IBM Circuit Analysis Program: Techniques and Applications
‘Jensen and WATKINS, Network Analysis: Theory and Computer Methods
KLINE, Digital Computer Design
Kocnennurcer, Computer Simulation of Dynamic Systems
Kuo, (ed.) Protocols and Techniques for Data Communication Networks
Kvo and MaGNuson, Computer Oriented Circuit Design
Lin, An Introduction to Error-Correcting Codes
LIN and CosreLto, Error Control Coding: Fundamentals and Applications
NAGLE, CanRoLt, and InwiN, An Introduction to Computer Logic
Ruyye, Fundamentals of Digitals Systems Design
SUFFERLEN and VARTANIAN, Digital Electronics with Engineering Applications
‘StAupHAMMER, Circuit Analysis by Digital Computer
Srourewver, PL/I Programming for Engineering and Science ERROR CONTROL CODING
Fundamentals and Applications
SHU LIN
University of Hawaii
Texas A&M University
DANIEL J. COSTELLO, JR.
Illinois Institute of Technology
Prentice-Hall, Inc. Englewood Cliffs, New Jersey 07632 Liar of Const Cattoing in Pulcton Das
Lb tecicaensineson srs)
Tnsldes biographical references nd inden
1 Erorcorrecting code (Information these)
Qa26sLss poise s2nss
ISBN O-D28796% AKcRa
uitoral/production supervision and interior design by Anne Simpson
Cover design by Marvin Warshaw
Manufacturing buyer: Joyce Levatino
© 1985 by Prentice-Hall, Inc, Englewood Cliffs, N.. 07632
All rights reserved. No part ofthis book
may be reproduced in any form or
by any means without permission in writing
from the publisher,
Printed in the United States of America
10987
ISBN 0-13-283794-x
PRENTICE-HALL INTERNATIONAL, INC,, London
PRENTICE-HALL OF AUSTRALIA PIY. LIMITED, Sydney
EDITORA PRENTICE-HALL DO BRAZIL, LTDA, Rio de Jonero
PRENTICEHALL CANADA INC, Toronto
PRENTICE-HALL OF INDIA PRIVATE LIMITED, New Dethi
PRENTICE-HALL OF JAPAN, INC. Tokyo
SRENTICE-ALL OF SOUTHEAST ASIA PTE. LTD., Singepore
WHITEHALL BOOKS LIMITED, Wellington, New Zeclond With Love and Affection for
Ivy,
Julian, Patrick, and Michelle Lin
and
Lucretia,
Kevin, Nick, Daniel, and Anthony Costello Contents
CHAPTER 1
CHAPTER 2
PREFACE xiii
CODING FOR RELIABLE DIGITAL TRANSMISSION
AND STORAGE i
1.1 Introduction 1
1.2 Types of Codes 3
1,3 Modulation and Demodulation 5
1.4 Maximum Likelihood Decoding 8
1.5 Types of Errors ”
1.6 Error Control Strategies 12
References 14
INTRODUCTION TO ALGEBRA 15
241 Groups 15
22 Fields 19
2.3 Binary Field Arithmetic 24
2.4 Construction of Galois Field GF(2") 29
2.5 Basic Properties of Galois Field GF") 34
2.6 Computations Using Galois Field GF(2*) Arithmetic 39
2.7 Vector Spaces 40
28 Matrices 46
Problems 48
References 50 CHAPTER 3
CHAPTER 4
CHAPTER 5
CHAPTER 6
LINEAR BLOCK CODES 51
3.1 Introduction to Linear Block Codes ‘1
3.2 Syndrome and Error Detection 58
3.3 Minimum Distance of a Block Code 63.
3.4 Error-Detecting and Error-Correcting Capabilities
ofa Block Code 65
3.5 Standard Array and Syndrome Decoding 68
3.6 Probability of an Undetected Error for Linear Codes
overaBSC 76
3.7 Hamming Codes 79
Problems 82
References 84
CYCLIC CODES 8s
4.1 Description of Cyclic Codes as
4.2 Generator and Parity-Check Matrices of Cyclic Codes 92
43 Encoding of Cyclic Codes 95
4.4 Syndrome Computation and Error Detection 98
4.5 Decoding of Cyelic Codes 103
46 Cyclic Hamming Codes =m
4.7 Shortened Cyclic Codes 116
Problems 121
References 128
ERROR-TRAPPING DECODING FOR CYCLIC
CODES — 125
5.1 Error-Trapping Decoding 125
5.2 Improved Error-Trapping Decoding 131
53 The Golay Code 134
Problems 139
References 139
BCH CODES 14
6.1 Description of the Codes 142
6.2 Decoding of the BCH Codes 151
6.3 Implementation of Galois Field Arithmetic 161
64 Implementation of Error Correction 167
6.5 Nonbinary BCH Codes and Reed-Solomon Codes 70
6.6 Weight Distribution and Error Detection of Binary
BCH Codes 177
Problems 180
References 182
Contents CHAPTER 7 MAJORITY-LOGIC DECODING FOR CYCLIC
CODES = 184
7.1 One-Step Majority-Logic Decoding 184
7.2 Class of One-Step Majority-Logic Decodable Codes 194
73 Other One-Step Majority-Logic Decodable Codes 201
74 Multiple-Step Majority-Logic Decoding 209
Problems 219
References 221
CHAPTER 8 FINITE GEOMETRY CODES = 223
8.1 Euclidean Geometry 223,
8.2. Majority-Logic Decodable Cyclic Codes Based
on Euclidean Geometry 227
8.3 Projective Geometry and Projective Geometry Codes 240
8.4 Modifications of Majority-Logic Decoding 245
Problems 253.
References 255
CHAPTER 9 BURST-ERROR-CORRECTING CODES =—257
9.1 Introduction 257
9.2 Decoding of Single-Burst-Error-Correcting Cyclic Codes 259
9,3 Single-Burst-Error-Correcting Codes 267
9.4 Interleaved Codes 277
9.5 Phased-Burst-Error-Correcting Codes 272
9.6 Burst-and-Random-Error-Correcting Codes 24
9.7 Modified Fire Codes for Simultaneous Correction
of Burst and Random Errors 280
Problems 282
References 284
CHAPTER 10 CONVOLUTIONAL CODES =— 287
10.1 Encoding of Convolutional Codes 288
10.2 Structural Properties of Convolutional Codes 295
10.3 Distance Properties of Convolutional Codes 308
Problems 312
References 313
CHAPTER 11 MAXIMUM LIKELIHOOD DECODING
OF CONVOLUTIONAL CODES — 315
ILI The Viterbi Algorithm 315
11.2 Performance Bounds for Convolutional Codes 322
Contents x CHAPTER 12
CHAPTER 13
CHAPTER 14
CHAPTER 15
11.3 Construction of Good Convolutional Codes 329
11.4 Implementation of the Viterbi Algorithm 337
11.5 Modifications of the Viterbi Algorithm 345
Problems 346
References 348
SEQUENTIAL DECODING OF CONVOLUTIONAL
CODES = 350
12.1 The Stack Algorithm 351
12.2 The Fano Algorithm 360
12.3 Performance Characteristics of Sequential Decoding 364
12.4 Code Construction for Sequential Decoding 374
12.5 Other Approaches to Sequential Decoding 380.
Problems 384
References 386
MAJORITY-LOGIC DECODING OF CONVOLUTIONAL
CODES — 388
13.1 Feedback Decoding 389
13.2 Error Propagation and Definite Decoding 406
133 Distance Properties and Code Performance 408
13.4 Code Construction for Majority-Logic Decoding a4
13.5 Comparison with Probabilistic Decoding 424
Problems 426
References 428
BURST-ERROR-CORRECTING CONVOLUTIONAL
CODES = 429
14.1 Bounds on Burst-Error-Correcting Capability 430
14.2 Burst-Error-Correcting Convolutional Codes 430
14.3 Interleaved Convolutional Codes 441
14.4 Burst-and-Random-Error-Correcting Convolutional Codes 442
Problems. 455
References 456
AUTOMATIC-REPEAT-REQUEST STRATEGIES = 458
15.1 Basic ARQ Schemes 459
15.2 Sclective-Repeat ARQ System with Finite Receiver Buffer 465
15.3 ARQ Schemes with Mixed Modes of Retransmission 474
15.4 Hybrid ARQ Schemes 477
15.5 Class of Half-Rate Invertible Codes 481
Contents 15.6 Type II Hybrid Selective-Repeat ARQ
with Finite Receiver Buffer 483
Problems 494
References 495
CHAPTER 16 APPLICATIONS OF BLOCK CODES FOR ERROR
CONTROL IN DATA STORAGE SYSTEMS = 498
16.1 Error Control for Computer Main Processor
and Control Storages 498
16.2 Error Control for Magnetic Tapes 503
16.3 Error Control in IBM 3850 Mass Storage System 516
164 Error Control for Magnetic Disks 525
16.5 Error Control in Other Data Storage Systems $37
Problems $92
References 532
CHAPTER 17 PRACTICAL APPLICATIONS OF CONVOLUTIONAL
CODES = 533
17.1 Applications of Viterbi Decoding $33
17.2 Applications of Sequential Decoding 539
17.3 Applications of Majority-Logic Decoding $43
174 Applications to Burst-Etror Correction 347
175 Applications of Convolutional Codes in ARQ Systems 551
Problems 556
References 557
Appendix A Tables of Galois Fields 561
Appendix B Minimal Polynomials of Elements in GF(2") 579
Appendix C Generator Polynomials of Binary Primitive BCH
Codes of Length up to 2'°—1 583
INDEX 599
Contents xi Preface
This book owes its beginnings to the pioneering work of Claude Shannon in 1948
on achieving reliable communication over a noisy transmission channel. Shannon's
central theme was that if the signaling rate of the system is less than the channel
capacity, reliable communication can be achieved if one chooses proper encoding
and decoding techniques. The design of good codes and of efficient decoding methods,
initiated by Hamming, Slepian, and others in the early 1950s, has occupied the
energies of many researchers since then. Much of this work is highly mathematical
in nature, and requires an extensive background in modern algebra and probability
theory to understand. This has acted as an impediment to many practicing engineers
land computer scientists, who are interested in applying these techniques to real sys-
tems. One of the purposes of this book is to present the essentials of this highly
complex material in such a manner that it can be understood and applied with only
‘4 minimum of mathematical background.
‘Work on coding in the 1950s and 1960s was devoted primarily to developing the
theory of efficient encoders and decoders. In 1970, the first author published a book
entitled An Introduction to Error.Correcting Codes, which presented the fundamentals
of the previous two decades of work covering both block and convolutional codes.
The approach was to explain the material in an casily understood manner, with a
minimum of mathematical rigor. The present book takes the same approach to cover-
ing the fundamentals of coding. However, the entire manuscript has been rewritten
and much new material has been added. In particular, during the 1970s the emphasis
in coding research shifted from theory to practical applications. Consequently, three
completely new chapters on the applications of coding to digital transmission and
storage systems have been added. Other major additions include a comprehensive
treatment of the error-detecting capabilities of block codes, and an emphasis on
probabilistic decoding methods for convolutional codes. A brief description of each
chapter follows.
Chapter | presents an overview of coding for error control in data transmission and storage systems, A brief discussion of modulation and demodulation serves to
place coding in the context of a complete system. Chapter 2 develops those concepts
from modern algebra that are necessary to an understanding of the material in later
chapters. The presentation is at a level that can be understood by students in the
senior year as well as by practicing engineers and computer scientists.
Chapters 3 through 8 cover in detail block codes for random-error correction.
The fundamentals of linear codes are presented in Chapter 3. Also included is an
extensive section on error detection with linear codes, an important topic which is
discussed only briefly in most other books on coding. Most linear codes used in
practice are cyclic codes. The basic structure and properties of eyclic codes are pre-
sented in Chapter 4. A simple way of decoding some cyclic codes, known as error-
trapping decoding, is covered in Chapter 5. The important class of BCH codes for
multiple-error correction is presented in detail in Chapter 6. A discussion of hardware
and software implementation of BCH decoders is included, as well as the use of
BCH codes for error detection. Chapters 7 and 8 provide detailed coverage of majority-
logic decoding and majority-logic decodable codes. The material on fundamentals of
block codes concludes with Chapter 9 on bursterror correction, This discussion
includes codes for correcting a combination of burst and random errors.
Chapters 10 through 14 are devoted to the presentation of the fundamentals of
convolutional codes. Convolutional codes are introduced in Chapter 10, with the
encoder state diagram serving as the basis for studying code structure and distance
Properties. The Viterbi decoding algorithm for both hard and soft demodulator deci-
sions is covered in Chapter 11. A detailed performance analysis based on code dis-
tance properties is also included. Chapter 12 presents the basics of sequential decoding
using both the stack and Fano algorithms. The difficult problem of the computational
performance of sequential decoding is discussed without including detailed proofs.
Chapter 13 covers majority-logic decoding of convolutional codes. The chapter con-
cludes with a comparison of the three primary decoding methods for convolutional
codes, Burst-error-correcting convolutional codes are presented in Chapter 14. A
section is included on convolutional codes that correct a combination of burst and
random errors. Burst-trapping codes, which embed a block code in a convolutional
code, are also covered here.
Chapters 15 through 17 cover a variety of applications of coding to modern
day data communication and storage systems, Although they are not intended to
bbe comprehensive, they are representative of the many different ways in which coding
is used as a method of error control. This emphasis on practical applications makes
the book unique in the coding literature. Chapter 15 is devoted to automatic-repeat-
request (ARQ) error control schemes used for data communications. Both pure ARQ
(error detection with retransmission) and hybrid ARQ (a combination of error cor-
ection and error detection with retransmission) are discussed. Chapter 16 covers
the application of block codes for error control in data storage systems, Coding tech-
niques for computer memories, magnetic tape, magnetic disk, and optical storage
systems are included, Finally, Chapter 17 presents a wide range of applications of
convolutional codes to digital communication systems. Codes actually used on many
space and satellite systems are included, as well as a section on using convolutional
codes in a hybrid ARQ system
Preface Protace
Several additional features are included to make the book useful both as a
classroom text and as a comprehensive reference for engineers and computer scientists
involved in the design of error control systems. Three appendices are given which
include details of algebraic structure used in the construction of block codes. Many
tables of the best known codes for a given decoding structure are presented through-
ut the book. These should prove valuable to designers looking for the best code for
a particular application, A set of problems is given at the end of each chapter. Most
of the problems are relatively straightforward applications of material covered in
the text, although some more advanced problems are also included. There are a total
of over 250 problems. A solutions manual will be made available to instructors using
the text, Over 300 references are also included. Although no attempt was made to
compile a complete bibliography on coding, the references listed serve to provide
additional detail on topics covered in the book.
“The book can be used as a text for an introductory course on error-correcting
codes and their applications at the senior or beginning graduate level. It can also be
used as a self-study guide for engineers and computer scientists in industry who want
to learn the fundamentals of coding and how they can be applied to the design of
error control systems,
[Asa text, the book can be used as the basis for a two-semester sequence in cod-
ing theory and applications, with Chapters 1 through 9 on block codes covered in
fone semester and Chapters 10 through 17 on convolutional codes and applications
in a second semester. Alternatively, portions of the book can be covered in a one-
semester course. One possibility is to cover Chapters 1 through 6 and 10 through 12,
Which include the basic fundamentals of both block and convolutional codes. A
course on block codes and applications can be comprised of Chapters | through 6,
9, 15, and 16, whereas Chapters | through 3, 10 through 14, and 17 include convolu-
tional codes and applications as well as the rudiments of block codes. Preliminary
Versions of the notes on which the book is based have been classroom tested by both
‘authors for university courses and for short courses in industry, with very gratifying
results
It is difficult to identify the many individuals who have influenced this work
over the years. Naturally, we both owe a great deal of thanks to our thesis advisors,
Professors Paul E. Pfeiffer and James L. Massey. Without their stimulating our
interest in this exciting field and their constant encouragement and guidance through
the early years of our rescarch, this book would not have been possible.
‘Much of the material in the first half of the book on block codes owes a great
deal to Professors W. Wesley Peterson and Tadao Kasami. Their pioneering work in
flgebraic coding and their valuable discussions and suggestions had a major impact
‘on the writing of this material, The second half of the book on convolutional codes
‘was greatly influenced by Professor James L. Massey. His style of clarifying the basic
Clements in highly complex subject matter was instrumental throughout the prepara-
tion of this material, In particular, most of Chapter 14 was based on a set of notes
that he prepared.
We are grateful to the National Science Foundation, and to Mr. Elias Schutz~
‘man, for their continuing support of our research in the coding field, Without this
dssistance, our interest in coding could never have developed to the point of writing this book. We thank the University of Hawaii and Illinois Institute of Technology
for their support of our efforts in writing this book and for providing facilities. We
also owe thanks to Professor Franklin F. Kuo for suggesting that we write this book,
and for his constant encouragement and guidance during the preparation of the
‘manuscript. Another major source of stimulation for ths effort came from our graduate
students, who have provided a continuing stream of new ideas and insights. Those
who have made contributions directly reflected in this book include Drs. Pierre
Chevillat, Farhad Hemmati, Alexander Drukarev, and Michael J. Miller.
We would like to express our special appreciation to Professors Tadao Kasami,
Michael J. Millet, and Yu-ming Wang, who read the first draft very carefully and
made numerous corrections and suggestions for improvements. We also wish to
thank our secretaries for their dedication and patience in typing this manuscript
Deborah Waddy and Michelle Masumoto deserve much credit for their perseverence
in preparing drafts and redrafts of this work.
Finally, we would like to give special thanks to our parents, wives, and children
for their continuing love and affection throughout this project.
Siu Lin
Daniel J. Costello, Jr.
Preface ERROR CONTROL CODING
Fundamentals and Applications Coding for Reliable Digital
Transmission and Storage
1.1 INTRODUCTION
In recent years, there has been an increasing demand for efficient and reliable digital
data transmission and storage systems. This demand has been accelerated by the
‘emergence of large-scale, high-speed data networks for the exchange, processing,
and storage of digital information in the military, governmental, and private spheres.
‘A merging of communications and computer technology is required in the design of
these systems. A major concern of the designer is the control of errors so that reliable
reproduction of data can be obtained.
in 1948, Shannon [I] demonstrated in a landmark paper that, by proper encoding
of the information, errors induced by a noisy channel or storage medium can be
Feduced to any desired level without sacrificing the rate of information transmission
br storage. Since Shannon's work, a great deal of effort has been expended on the
problem of devising efficient encoding and decoding methods for error control in
Roisy environment. Recent developments have contributed toward achieving the
reliability required by today's high-speed digital systems, and the use of coding for
error control has become an integral part in the design of modern communication
systems and digital computers.
‘The transmission and storage of digital information have much in common.
‘They both transfer data from an information source to a destination (or user). A
typical transmission (or storage) system may be represented by the block diagram
shown in Figure 1.1. The information source can be either a person or a machine
(ex., a digital computer). The source output, which is to be communicated to the
destination, can be either a continuous waveform or a sequence of discrete symbols.
1 - f
= souse [_# .{ chamet L» [ wosautr
sour encoder sncoder (oeting unit)
Ghana
Noie——e] tora
Source S| Channet £_} Demodulator
Destination dsvoder ‘coder (reading vit)
Figure 1.1. Block diagram of a typical data transmission or storage system
The source encoder transforms the source output into a sequence of binary digits
(its) called the information sequence u. In the case of a continuous source, this
involves analog-to-digital (A/D) conversion. The source encoder is ideally designed
so that (1) the number of bits per unit time required to represent the source output is.
minimized, and (2) the source output can be reconstructed from the information
sequence u without ambiguity, The subject of source coding is not discussed in this
book. For a thorough treatment of this important topic, see References 2 and 3.
The channel encoder transforms the information sequence w into a discrete
encoded sequence ¥ called a code word. In most instances v is also a binary sequence,
although in some applications nonbinary codes have been used. The design and
implementation of channel encoders to combat the noisy environment in which code
words must be transmitted or stored is one of the major topics of this book.
Discrete symbols are not suitable for transmission over a physical channel or
recording on a digital storage medium. The modulator (ot writing unit) transforms
each output symbol of the channel encoder into a waveform of duration T seconds
which is suitable for transmission (or recording). This waveform enters the channel
(or storage medium) and is corrupted by noise. Typical transmission channels include
telephone lines, high-frequency radio links, telemetry links, microwave links, satelite
links, and so on. Typical storage media include core and semiconductor memories,
‘magnetic tapes, drums, disk files, optical memory units, and so on. Each of these
examples is subject to various types of noise disturbances. On a telephone line, the
disturbance may come from switching impulse noise, thermal noise, crosstalk from
other lines, or lightning. On magnetic tape, surface defects are regarded as a noise
disturbance. The demodulator (or reading unit) processes each received waveform of
duration 7 and produces an output that may be discrete (quantized) or continuous
(unquantized). The sequence of demodulator outputs corresponding to the encoded
sequence ¥ is called the received sequence r.
The channel decoder transforms the received sequence r into a binary sequence
A called the estimated sequence. The decoding strategy is based on the rules of channel
encoding and the noise characteristics of the channel (or storage medium). Ideally, &
2 Coding for Reliable Digital Transmission and Storage Chap. 1 will be a replica of the information sequence uw, although the noise may cause some
decoding errors. Another major topic of this book is the design and implementation
of channel decoders that minimize the probability of decoding error.
The source decoder transforms the estimated sequence @ into an estimate of the
source output and delivers this estimate to the destination. When the source is
continuous, this involves digital-to-analog (D/A) conversion. In a well-designed
system, the estimate will be a faithful reproduction of the source output except when
the channel (oF storage medium) is very noisy.
To focus attention on the channel encoder and channel decoder, (1) the infor-
mation source and source encoder are combined into a digital source with output w:
@) the modulator (or writing unit), the channel (or storage medium), and the demodu-
Jator (or reading unit) are combined into a coding channel with input v and output
‘and (3) the source decoder and destination are combined into a digital sink with input
4. A simplified block diagram is shown in Figure 1.2.
nove——e] Gong
Sr
Digital a r
ne Decoder
Figure 1.2. Simplified model of a coded system.
‘The major engineering problem that is addressed in this book is to design and
implement the channel encoder/decoder pair such that (1) information can be trans-
mitted (or recorded) in a noisy environment as fast as possible, (2) reliable reproduce
tion of the information can be obtained at the output of the channel decoder, and (3)
the cost of implementing the encoder and decoder falls within acceptable limits
1.2 TYPES OF CODES
‘There are two different types of codes in common use today, block codes and convolu~
tional codes, The encoder for a block code divides the information sequence into
message blocks of k information bits each. A message block is represented by the
binary k-tuple w= (us, a, -,24) called a message. (In block coding, the symbol
tis used to denote a k-bit message rather than the entire information sequence.)
‘There are a total of 2 different possible messages. The encoder transforms each
message w independently into an n-tuple Y= (b, %2++-+%) of discrete symbols
called a code word. (In block coding, the symbol v is used to denote an ssymbol
block rather than the entire encoded sequence.) Therefore, corresponding to the 2
different possible messages, there are 2* different possible code words at the encoder
Sec. 1.2 Types of Codes 3 output. This set of 2* code words of length mis called an (1, k) block code. The ratio
R = kinis called the code rate, and can be interpreted as the number of information
bits entering the encoder per transmitted symbol. Since the n-symbol output code
word depends only on the corresponding k-bit input message, the encoder is memory-
less, and can be implemented with a combinational logic circuit
Ina binary code, each code word ¥ is also binary. Hence, for a binary code to
be useful (ic., to have a different code word assigned to each message), k 0. as)
When binary coding is used, the modulator has only binary inputs (M = 2).
Similarly, when binary demodulator output quantization is used (Q = 2), the decoder
has only binary inputs. In this case, the demodulator is said to make hard decisions.
Most coded digital communication systems, whether block or convolutional, use
binary coding with hard-decision decoding, owing to the resulting simplicity of
Sec. 1.3 Modulation and Demodulation 7 implementation compared to nonbinary systems. However, some binary coded systems
do not use hard decisions at the demodulator output. When Q > 2 (or the output is
left unquantized) the demodulator is said to make soft decisions. In this case the
decoder must accept multilevel (or analog) inputs. Although this makes the decoder
more difficult to implement, soft-decision decoding offers significant performance
improvement over hard-decision decoding, as discussed in Chapter 11. A transition
Probability diagram for a soft-decision DMC with M = 2 and Q > 2 is shown in
Figure 1.5(b). This is the appropriate model for a binary-input AWGN channel with
finite output quantization. The transition probabilities can be calculated from a know!-
edge of the signals used, the probability distribution of the noise, and the output
quantization thresholds of the demodulator in a manner similar to the calculation of
the BSC transition probability p. For a more thorough treatment of the calculation of
DMC transition probabilities, see References 4 and 5,
If the detector output in a given interval depends on the transmitted signal in
previous intervals as well as the transmitted signal in the present interval, the channel
is said to have memory. A fading channel isa good example of a channel with memory,
since the multipath transmissio# destroys the independence from interval to interval,
Appropriate models for channels with memory are difficult to construct, and coding
for these channels is normally done on an ad hoc basis,
‘Two important and related parameters in any digital communication system are
the speed of information transmission and the bandwidth of the channel. Since one
encoded symbol is transmitted every T seconds, the symbol transmission rate (baud
rate) is 1/7. In a coded system, if the code rate is R = k/n, k information bits corre-
spond to the transmission of n symbols, and the information transmission rate (data
rate) is R/T bits per second (bps). In addition to signal modification due to the effects
of noise, all communication channels are subject to signal distortion due to band-
Width limitations. To minimize the effect of this distortion on the detection process,
the channel should have a bandwidth W of roughly 1/27 hertz (Hz).' In an uncoded
system (R ~ 1), the data rate is 1/7 = 2, and is limited by the channel bandwidth,
In a binary-coded system, with a code rate R <1, the data rate is R/T = 2RW, and
is reduced by the factor R compared to an uncoded system, Hence, to maintain the
same data rate as the uncoded system, the coded system requires a bandwidth expansion
by a factor of 1/R. This is characteristic of binary-coded systems: they require some
bandwidth expansion to maintain a constant data rate. If no additional bandwidth
is available without undergoing severe signal distortion, binary coding is not feasible,
and other means of reliable communication must be sought,?
1.4 MAXIMUM LIKELIHOOD DECODING
A block diagram of a coded system on an AWGN channel with finite output quantiza-
tion is shown in Figure 1.6. In a block-coded system, the source output u represents
‘a k-bit message, the encoder output v represents an n-symbol code word, the demodu-
‘The exact bandwidth required depends on the shape of the signal waveform, the acceptable
limits of distortion, and the definition of bandwidth.
*This does not preclude the use of coding, but requires only that a larger set of signals be
found. See References 4 10 6.
8 Coding for Reliable Digital Transmission and Storage Chap. 1 AWGN
nd >} Sane
t
wwatt LE pecter feet iret Le oe | ir
sink detector
_----!
Hl
1
i
i
Figure 1.6 Coded system on an additive white Gaussian noise channel.
lator output r represents the corresponding Q-ary received n-tuple, and the decoder
output @ represents the k-bit estimate of the encoded message. In a convolutional coded
system, u represents a sequence of KL information bits and v represents a code word
containing N & nL + nm = n(L + m) symbols, where KL is the length of the infor-
mation sequence and NV is the length of the code word. The additional nm encoded
symbols are produced after the last block of information bits has entered the encoder.
This is due to the m time unit memory of the encoder, and is discussed more fully in
Chapter 10. The demodulator output r is a Q-ary received N-tuple, and the decoder
output @ is a kL-bit estimate of the information sequence.
The decoder must produce an estimate di of the information sequence u based
on the received sequence r. Equivalently, since there is a one-to-one correspondence
betweéi the information sequence u and the code word v, the decoder ean produce an
estimate 9 of the code word ¥. Clearly, = wif and only if # = v. A decoding rule isa
strategy for choosing an estimated code word 9 for each possible received sequence r.
Ifthe code word v was transmitted, a decoding error occurs if and only if # ¥. Given
that ris received, the conditional error probability of the decoder is defined as
P(E|n) 2 PO #10). a6
The error probability of the decoder is then given by
PE)= EPEWPO. an
P(9) is independent of the decoding rule used since r is produced prior to decoding.
Hence, an optimum decoding rule [i.e., one that minimizes P(E)] must minimize
P(E|x) = P(@ # vit) for all, Since minimizing P(9 # v|r) is equivalent to maximiz-
Sec. 1.4 Maximum Likelihood Decoding 9 ing P(@ = v|x), P(E|r) is minimized for a given r by choosing # as the code word ¥
Which maximizes
_ PIP)
Pe”
that is, is chosen as the most likely code word given that ris received. If all infor-
mation sequences, and hence all code words, are equally likely [.¢., P(s) is the same
for aly}, maximizing (1.8) is equivalent to maximizing P(e|¥). For a DMC
Mules. Pel) =P (le. )
since for a memoryless channel each received symbol depends only on the corre-
sponding transmitted symbol. A decoder that chooses its estimate to maximize (1.9)
is called a maximum likelihood decoder (MLD). Since log x is a monotone increasing,
function of x, maximizing (1.9) is equivalent to maximizing the log-likelihood function
2p log P(elv) = 5 log P(r|2). (1.10)
‘An MLD for a DMC then chooses ¢ as the code word v that maximizes the sum in
(1.10). If the code words are not equally likely, an MLD is not necessarily optimum,
since the conditional probabilities P(r|v) must be weighted by the code word proba-
bilities P(e) to determine which code word maximizes P(y|x). However, in many sys-
tems, the code word probabilities are not known exactly at the receiver, making
optimum decoding impossible, and an MLD then becomes the best feasible decoding
rule
Now consider specializing the MLD decoding rule to the BSC. In this case r is
a binary sequence which may differ from the transmitted code word v in some positions
‘because of the channel noise. When r, # 0, P(r|0,) = p,and when r,
1p. Let d(r, v), be the distance between r and v (i.e., the number of positions in
which r and v differ). For a block code of length n, (1.10) becomes
B52, 2-2 WEP EI) = de, ¥)lonp + la ~ dy) 108 (1 — p)
= ate, logy P5 + nlog (1 — p). ca
[For a convolutional code, 7 in (1.11) is replaced by N.] Since log [p/(1 — p)] <0 for
p <4 and log (1 — p) is a constant for all v, the MLD decoding rule for the BSC
chooses ¥ as the code word v which minimizes the distance d(r, v) between and v; that is,
it chooses the code word that differs from the received sequence in the fewest number of
positions. Hence, an MLD for the BSC is sometimes called a minimum distance decoder.
The capability of a noisy channel to transmit information reliably was deter-
mined by Shannon [1] in his original work. This result, called the noisy channel coding
theorem, states that every channel has a channel capacity C, and that for any rate R <
, there exists codes of rate R which, with maximum likelihood decoding, have an
arbitrarily small decoding error probability P(E). In particular, for any R < C, there
exists block codes of length 7 such that
Povin) as)
P(E) cen, 2)
and there exists convolutional codes of memory order m such that
P(E) < Dt pont, 13)
10 Coding for Reliable Digital Transmission and Storage Chap. 1 where n & (m-+ I)nis called the code constraint length, E,(R) and E,(R) are positive
functions of R for R < Cand are completely determined by the channel characteristics.
‘The bound of (1.12) implies that arbitrarily small error probabilities are achievable
with block coding for any fixed R < C by increasing the block length » while holding
the ratio k/n constant. The bound of (1.13) implies that arbitrarily small error proba-
bilities are achievable with convolutional coding for any fixed ® < C by increasing
the constraint length ng (ie., by increasing the memory order m while holding k and
n constant).
The noisy channel coding theorem is based on an argument called random coding.
The bound obtained is actually on the average error probability of the ensemble of
all codes. Since some codes must perform better than the average, the noisy channel
coding theorem guarantees the existence of codes satisfying (1.12) and (1.13), but does
not indicate how to construct these codes. Furthermore, to achieve very low error
probabilities for block codes of fixed rate R < C, long block lengths are needed. This
requires that the number of code words 2* = 2** must be very large. Since a MLD
must compute log P(r|¥) for each code word, and then choose the code word that
gives the maximum, the number of computations that must be performed by a MLD
becomes excessively large. For convolutional codes, low error probabilities require a
large memory order m. As will be seen in Chapter 11, a MLD for convolutional codes
requires approximately 2'" computations to decode each block of k information bits.
This, too, becomes excessively large as m increases. Hence, it is impractical to achieve
very low error probabilities with maximum likelihood decoding, Therefore, wo
‘major problems are encountered when designing a coded system to achieve low error
probabilities: (1) to construct good long codes whose performance with maximum
likelihood decoding would satisfy (1.12) and (1.13), and (2) to find easily implement-
able methods of encoding and decoding these codes such that their actual performance
is close to what could be achieved with maximum likelihood decoding, The remainder
of this book is devoted to finding solutions to these two problems.
1.6 TYPES OF ERRORS
(On memoryless channels, the noise affects each transmitted symbol independently.
As an example, consider the BSC whose transition diagram is shown in Figure 1.5(a).
Each transmitted bit has a probability p of being received incorrectly and a probability
1 —p of being received correctly, independently of other transmitted bits. Hence
‘transmission errors occur randomly in the received sequence, and memoryless channels
are called random-orror channels. Good examples of random-error channels are the
deep-space channel and many satellite channels. Most line-of-sight transmission
facilities, as well, are affected primarily by random errors. The codes devised for
correcting random errors are called random-error-correcting codes. Most of the codes
presented in this book are random-error-correcting codes, In particular, Chapters 3
through 8 and 10 through 13 are devoted to codes of this type.
On channels with memory, the noise is not independent from transmission to
transmission. A simplified model of a channel with memory is shown in Figure 1.7.
This model contains two states, a “good state,” in which transmission errors occur
infrequently, p, = 0, and a “bad state,” in which transmission errors are highly
See. 1.5 Types of Errors " a
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