17.5 APPLICATIONS OF CONVOLUTIONAL CODES IN ARQ SYSTEMS In Chapter 15 we discussed the application of block codes to ARQ systems. Block codes are a natural choice for many ARQ systems which require high-rate codes used for error detection only. However, in a hybrid-ARQ system which combines error correction with error detection, thereby requiring lower code rates, convolutional codes can also be used. In this section we present several examples of the application of convolutional codes to hybrid-ARQ systems. In the late 1970s, the Linkabit Corporation developed a hybrid-ARQ system for a packet radio application of the Defense Advanced Research Projects Agency (DARPA) [29]. The system uses convolutional codes with a Fano sequential decoder, and is capable of operation at data rates up to 300 Kbps. Flexibility is achieved with multiple code rates (1/4, 1/2, 3/4, 7/8) and the ability to handle hard-quantized, hard- quantized with erasures, or 2-bit (Q ~ 4) soft-quantized demodulator outputs. The retransmission strategy employed by this system is quite simple. If the decoding of a packet of data exceeds some prespecified time limit, an erasure is declared and a retransmission of the packet is requested. This strategy is referred to as the time-out (TO) algorithm. Some advantages of the TO algorithm are as follows: |. The undetected error probability can be made very low with almost no increase in decoding time by choosing a long-constraint-length code. The basic system is designed to work with any (2, I, 23) code, such as those discussed in Section 17.2. For packet lengths on the order of 1000 data bits, the fractional rate loss incurred by adding a 23-bit tail to each data packet is negligible. 2. High throughput can be achieved because most packets are decoded quickly. 3. Design flexibility can be obtained by varying the decoder time limit, the code rate, and the demodulator quantization. A larger time limit will result in a. longer average decoding time per received packet, but fewer retransmissions. A smaller time limit, on the other hand, will result in a shorter average decoding time per received packet, but more retransmissions. The code rate options make the system adaptable to a variety of channel conditions. The demodulator is designed to operate in two basic modes: hard quantization or 2-bit (Q = 2) soft quantization. In the hard-decision mode, a retransmitted packet presents the decoder with two separate versions of the received sequence. Those positions that do not agree are then treated as erasures, and the decoder switches to a hard-decision with erasures mode, thereby reducing the probability of another decoding failure. This hybrid-ARQ system can be used with any of the standard ARQ protocols: stop-and-wait (SW), go-back-N (GBN), or selective repeat (SR). Depending on the protocol employed and the round-trip delay, the TO algorithm deseribed above has an optimum time limit T to achieve the highest throughput efficiency for a given choice of code and demodulator quantization. Drukarev and Costello [30] have performed a random coding analysis of the TO algorithm and determined the optimum Sec. 17.8 Applications of Convolutional Codes in ARQ Systems 851Tas a function of packet length, decoder speed (average number of computations per second), E,/No, and code rate. They also performed computer simulations and determined the optimum T experimentally for code rates of 1/2, hard demodulator decisions (a BSC), and an SR protocol (no delays). The results of these simulations for three different packet lengths are shown in Figure 17.12. The code used was an ODP (2, 1, 8) code with optimum free distance (OFD). The BSC transition probability was p = 0.045. The time limit T was expressed in terms of computations per bit, which is equivalent to an absolute time limit for a given decoder speed and packet length. ‘xs computations (bit 25 Packet length = 5 10 100 Ticomputations/bit) Figure 17.12 Determining an optimum time limit T for the TO algorithm. The throughput efficiency is then given by 1 wm) 1 a (17.13) where C,, is the average number of computations per decoded information bit. Note that in each case a definite minimum for C,, is achieved, since if T is too low, too many retransmissions are requested, and if T is too high, the average time to decode a packet is too large. In Figure 17.13, 7 is plotted as a function of undetected error probability P,(E) with T as a parameter for several different code constraint lengths. By connecting the points of maximum throughput on each curve, we see that un- detected error probability can be reduced sharply with almost no decrease in throughput by using longer code lengths! This property makes sequential decoding of convo- 552 Practical Applications of Convolutional Codes Chap. 17103 PuEY $ 2.1.9) code eo ees I, yrs Ws 03 04 05 06 07 . Figure 17.13 7 versus P3(E) for the TO algorithm. lutional codes a very attractive option in hybrid-ARQ systems requiring very low undetected error probabilities. Drukarev and Costello [30] have proposed a more efficient retransmission strategy for the hybrid-ARQ system described above. Their strategy is based on the stack algorithm, and is designed to predict the occurrence of a time-out in advance by monitoring the metric of the path on top of the stack. In particular, if the metric of the best path has fallen by an amount more than some (negative) threshold I’ over the last W branches (i.., if its slope over the last W branches is less than T/17), this is taken as an indication that the packet is noisy, and a retransmission is requested immediately. This results in less wasted time trying to decode noisy packets before the Sec. 17.8 Applications of Convolutional Codes in ARQ Systems 553time limit is reached, and hence yields improved throughput, particularly on noisy channels, This strategy is called the slope control algorithm (SCA). ‘A random coding analysis was also performed for the SCA to obtain optimum values of P and W [30]. It was found that an optimum value for I exists, but that 97 is relatively insensitive to W. In other words, itis the slope F'/W which determines the efficiency of the algorithm, The results of computer simulations for an ODP, OFD (2, 1, 10) code on a BSC with p = 0.045 and an SR protocol are shown in Figure 17.14. Note that, as in the TO algorithm, a definite minimum in C,,, and hence a maximum ‘mis achieved for a certain value of I. The throughput advantage of the SCA com- pared to the TO algorithm is illustrated in Figure 17.15 for a (2, 1, 6) code, where the TO curve has Tas a parameter and the SCA curve has F as a parameter. The through- put advantage of the SCA becomes more pronounced on noisier channels. Viterbi decoding can also be used in a hybrid-ARQ mode. Yamamoto and 3.0 s=240 Packet length = 5 S120 Figure 17.14 Determining an optimum threshold I’ for the SCA algorithm, 554 Practical Applications of Convolutional Codes Chap. 17+S) code 1, Neode 104 — sca - To Figure 17.15 7 versus Px(E) curves for the TO and SCA algorithms, Itoh [31] have described a system, similar in concept to the one described above for sequential decoding, which uses the Viterbi algorithm. A retransmission request is generated according to the following strategy. If the difference in the metrics of the survivor and the next best path is less than some prespecified value A, the survivor is Iabeled with an X. The X label remains on that path as long as it continues to be a survivor. If, at any level of the trellis, all survivors are labeled with an X, a retrans- mission is requested. In other words, a survivor is considered “unreliable” if, in any one of its comparisons, some other path had a metric close to it. When all survivors are considered “unreliable,” a retransmission request is generated The performance of this system was analyzed using both random coding argu- ments and the code-generating-function approach, and computer simulations were also performed [31]. Ata error rate of 10°, the hybrid-ARQ system was able to achieve a savings of about 1.0 to 1.54B in E,/N, compared to ordinary Viterbi decoding, with only a minor loss in throughput, Compared to the sequential decoding ‘Sec. 17.8 Applications of Convolutional Codes in ARQ Systems 555system described above, the Viterbi ARQ system achieves a higher throughput for moderate error rates (short constraint lengths), but the sequential decoding system achieves a higher throughput for low error rates (long constraint lengths). This is because in order to achieve a low error rate, the Viterbi ARQ system must use a large K, and therefore requires a long time to decode each packet, resulting ina low through- put, The decoding time of a sequential decoder is relatively insensitive to K, however, and hence most packets are decoded quickly even for large X, and a high throughput is maintained, A qualitative comparison of the undetected error probability versus throughput characteristics of both ARQ systems is shown in Figure 17.16, Hence for high-performance hybrid-ARQ systems using convolutional codes, sequential de- coding appears to be the best choice. PED Viterbi ARQ— Sequential ARQ Figure 17.16 Comparison of hybrid-ARQ systems using sequential and Viterbi decoding. PROBLEMS 1. Consider the two NASA Planetary Standard Codes described in Section 17.1. (a) Draw a block diagram of the encoding circuits. (0) Find the asymptotic coding gains for a hard-quantized and an unquantized demodulator output 556 Practical Applications of Convolutional Codes. Chap. 17