Convolutional Codes

Coding Techniques[1, 2, 3, 4, 5]
Manjunatha. P
manjup.jnnce@gmail.com
Professor
Dept. of ECE
J.N.N. College of Engineering, Shimoga
Overview
1
2
3
4
5
6
7
Convolutional Encoding
Convolutional Encoder Representation
Formulation of the Convolutional Decoding Problem
Properties of Convolutional Codes: Distance property of convolutional
codes
Systematic and Nonsystematic Convolutional Codes
Performance Bounds for Convolutional Codes, Coding Gain
Other Convolutional Decoding Algorithms:
Sequential Decoding:
Feedback Decoding:
Turbo Codes
Manjunatha. P
(JNNCE)
2 / 83
Encoding of Convolutional Codes
Manjunatha. P
(JNNCE)
3 / 83
Transmission through noisy channel causes errors in data.

Transmission errors can occur, 1s become 0s and 0s become 1s.
To correct the errors, some redundancy bits are added to the
information sequence, at the receiver the correlation is exploited to
locate transmission errors.
Here, only binary transmission is considered.
Manjunatha. P
(JNNCE)
4 / 83
Type of Errors Single-bit error

Only 1 bit in the data unit (packet, frame, cell) has changed.
Either 1 to 0, or 0 to 1.
Burst error
2 or more bits in the data unit have changed.
More likely to occur than the single-bit error because the duration of
noise is normally longer than the duration of 1 bit
Manjunatha. P
(JNNCE)
5 / 83
Convolutional codes are commonly specified by three parameters:

(n,k,K) where
n = Total number of bits in the output codeword of the encoder.
k = Number of input bits
K = Constraint length, it represents the number of k tuple stages in
the encoding shift register.
The constraint length K represents the number of k bit shifts over
which a single information bit can influence the encoder output.
The quantity k/n called the code rate, is a measure of the efficiency
of the code commonly k and n parameters range from 1 to 8 and K
from 2 to 10.
Manjunatha. P
(JNNCE)
6 / 83
A block diagram of a binary rate R=1/2 nonsystematic feedforward convolutional encoder

with memory order m=3 (n,k,K i.e., 2,1,3) is as shown in Figure.
The encoder consists of an K= 3-stage shift register together with n=2 modulo-2 adders
and a multiplexer for serializing the encoder outputs.
The mod-2 adder can be implemented as EXCLUSIVE-OR gate.
Since mod-2 addition is a linear operation, the encoder is a linear feedforward shift
register.
All convolutional encoders can be implemented using a linear feedforward shift register of
this type.
First code
symbol
u1
Input bit
m
Output
branch word
u2
second code
symbol
Figure 1: Convolutional Encoder(rate=1/2, K=3)

Manjunatha. P
(JNNCE)
7 / 83
Constraint length K=3, k=1 input, n=2 modulo-2 adders i.e., k/n=1/2
At each input bit, a bit is shifted to the leftmost stage and the bits in the registers are
shifted one position to the right.
Connection vector for the encoder is as follows:
g1
111
g2
101
where a 1 in the ith position indicates the connection in the shift register, and 0
indicates no connection in the shift register and the modulo-2 adder.
First code
symbol
u1
Input bit
m
Output
branch word
u2
second code
symbol
Figure 2: Convolutional Encoder(rate=1/2, K=3)

Manjunatha. P
(JNNCE)
8 / 83
Consider a message vector m=1

0 1 are inputted one at time in
the instants t1 ,t2 , and t3
K-1=2 zeros are inputted at
times t4 and t5 to flush the
register
u1=1
t1
u1=1
t4
u1=1
u1=0
The output sequence of the

encoder is 1 1, 1 0, 0 0, 1
0, 1 1
u1=1
t2
0
u1=0
u1=1
t5
1
u1=1
u1=0
t3
u1=0
t6
u1=0
u1=0
Figure 3: Convolutionally encoded message

Manjunatha. P
(JNNCE)
9 / 83
Impulse Response of the Encoder
Impulse Response of the Encoder

The impulse response is the response of the encoder to a single one bit that moves
through the encoder.
The output sequence for the input one is called the impulse response of the encoder.
Register
contents
100
010
001
Branch word
u1
1
1
1
Input sequence:
Output sequence:
u2
1
0
1
1
11
0
10
0
11
The output for the input sequence m=1 0 1 can be found by the superposition or the
linear addition of the time-shifted input impulses.
Input bit m
1
0
1
Modulo-2 sum
Manjunatha. P
(JNNCE)
11
11
output
10
00
10
1
0
1
0
1
0
1
0
00
10
10
11
11
10 / 83
Polynomial Representation
Encoding of Convolutional Codes: Polynomial Representation

In any linear system, time-domain operations involving convolution
can be replaced by more convenient transform-domain operations
involving polynomial multiplication.
Since a convolutional encoder is a linear system, each sequence in the
encoding equations can be replaced by corresponding polynomial, and
the convolution operation replaced by polynomial multiplication.
In the polynomial representation of a binary sequence, the sequence
itself is represented by the coefficients of the polynomial
Manjunatha. P
(JNNCE)
11 / 83
First code
symbol
u1
Input bit
m
Output
branch word
For the given encoder g1 (X )

represents upper connection and
g2 (X ) represents lower connection.
u2
g1 (X )
1 + X + X2
second code
symbol
g2 (X )
1 + X2
The estimation of output sequence is as follows:

U(X ) = m(X )g1 (X ) interlaced with m(X )g2 (X )
m(X )g1 (X )=
m(X )g2 (X )=
m(X )g1 (X )=
m(X )g2 (X )=
U(X )=
U(X )=
Manjunatha. P
(JNNCE)
(1 + X 2 )(1 + X + X 2 )=
(1 + X 2 )(1 + X 2 ) =
1 + X + 0X 2 + X 3 + X 4
1 + 0X + 0X 2 + 0X 3 + X 4
(1,1)+(1,0)X+(0,0)X 2 +(1,0)X 3 +(1,1)X 4
(1 1) (1 0) (0,0) (1 0) (1 1)
1 + X + X3 + X4
1 + X4
12 / 83
Graphically, there are three ways to represent convolution encoder, in

which we can gain better understanding of its operation. These are:
1
2
3
State Diagram
Tree Diagram
Trellis Diagram
Manjunatha. P
(JNNCE)
13 / 83
State Representation and the State diagram

The state diagram is a graph of the possible states of the encoder and the possible
transitions from one state to another.
The diagram shows the possible state transitions.
Each circle in the state diagram represents a state.
At any one time, the encoder resides in one of these states.
The lines to and from it shows the state transition that are possible as bits arrive.
Assuming that the encoder is initially in state S0 (all-zero state), the code word
corresponding to any given information sequence can be obtained by following the path
through the state diagram and noting the corresponding outputs on the branch labels.
Following the last nonzero information block, the encoder is return to state S0 by a
sequence of m all-zero blocks appended to the information sequence.
Manjunatha. P
(JNNCE)
14 / 83

Table 1: State transition table (rate=1/2, K=3)
Input
0
1
0
1
0
1
0
1
First code
symbol
u1
Input bit
m
Output
branch word
u2
second code
symbol
Present State
00
00
01
01
10
10
11
11
Output bit
The output in the table is X-OR of input and

present state content
1(11)
Next State
00
10
00
10
01
11
01
11
Output
00
11
11
00
10
01
01
10
0(00)
a=00
0(11)
Input bit
States represent possible contents of the

rightmost K-1 register content.
1(00)
For this example there are only two transitions

from each state corresponding to two possible
input bits.
c=01
b=10
0(10)
Solid line denotes for input bit zero, and dashed

line denotes for input bit one.
0(01)
d=11
1(01)
Tuple
00
10
01
11
Manjunatha. P
State
a
b
c
d
(JNNCE)
1(10)
Figure 4: State diagram for rate=1/2 and

Coding Techniques[1,
2, 3, 4, 5]
K=3
15 / 83
First code
symbol
u1
Input bit
m
Output
branch word
u2
second code
symbol
The encoder output for the input 1101100 is

Output sequence: U= 11 01 01 00 01 01 11
Input
bit
1
1
0
1
1
0
0
Manjunatha. P
(JNNCE)
Register
contents
000
100
110
011
101
110
011
001
State at
time ti
00
00
10
11
01
10
11
01
State at
time ti+1
00
10
11
01
10
11
01
00
Branch
word
time ti
u1
u2
1
1
0
1
0
1
0
0
0
1
0
1
1
1
16 / 83
Tree diagram
The Tree diagram

00
00
State diagram does not represent the time history to

track encoder transition as a function of time.
a
00
a
11
11
10
b
Tree diagram provides time history.
01
00
11
10
Encoding is described by traversing from left to right.
11
b
If the input bit is zero its branch word is found by

moving to the next rightmost branch in the upward
direction, and if the input bit is one its branch word is
found by moving to the next rightmost branch in the
downward direction
00
01
01
d
10
00
00
11
a
10
c
11
00
10
b
01
11
Assuming initially the contents of register are zero, if

the input bit is zero, its corresponding output is 00
otherwise if the first input bit is one its corresponding
output is 11.
11
01
c
01
0
10
a
1
0
1
0
1
0
1
0
1
11
11
a
11
10
b
01
10
11
10
c
00
b
Next
State
00
10
00
10
01
11
01
11
10
00
00
Present
State
00
00
01
01
10
10
11
11
01
d
The limitation of tree diagram is that the number of

branches increases as a function of 2L , where L is the
number of branch words.
Input
00
Output
00
01
01
d
11
10
00
b
11
00
11
11
00
10
01
01
10
a
01
c
11
00
10
b
01
d
01
11
01
c
10
d
00
10
01
d
t1
t2
t3
t4
10
t5
Figure 5: Tree representation

Manjunatha. P
(JNNCE)
17 / 83
Trellis Diagram
Trellis Diagram
It looks like a tree structure with emerging branches hence it is called a trellis.
A trellis is more instructive than a tree in that it brings out explicitly the fact that the
associated convolutional encoder is finite state machine.
The convention used in Figure to distinguish between input symbol 0 and 1 is as follows.
A code branch produced by an input 0 is drawn as a solid line, whereas a code branch
produced by an input 1 is drawn as a dashed line.
Each input sequence corresponds to a specific path through the trellis.
The trellis contains (L+K) levels, where L is the length of the incoming message
sequence, and K is the constraint length of the code.
The levels of the trellis are labeled as j=0, 1, 2L+K-1. The first (K-1) levels corresponds
to the encoders departure from the initial state a, and the last (K-1) levels corresponds to
the encoders return to the state a.
Not all these state can be reached in these two portions of the trellis.
After the initial transient, the trellis contains four nodes at each stage, corresponding to
the four states.
After the second stage, each node in the trellis has two incoming paths and two outgoing
paths.
Of the two outgoing paths, corresponds to the input bit 0 and the other corresponds input
bit 1.
Manjunatha. P
(JNNCE)
18 / 83
The Trellis diagram
The Trellis diagram

Solid line denotes for input bit zero,
and dashed line denotes for input bit
one.
Nodes represent the encoder states,
First row represents state a=00
subsequent rows correspond to state
b=10, c=01 and d=11.
At each unit of time, the trellis
requires 2K 1 nodes to represent the
2K 1 .
Input
0
1
0
1
0
1
0
1
Present
State
00
00
01
01
10
10
11
11
Manjunatha. P
Next
State
00
10
00
10
01
11
01
11
(JNNCE)
t1
a=00
00
t2
11
00
t3
11
00
t4
11
00
t6
11
11
00
00
10
t5
11
11
b=10
00
11
00
10
10
c=01
Output
01
01
01
01
01
01
01
d=11
00
11
11
00
10
01
01
10
10
10
10
Steady State
Figure 6: Trellis diagram for rate=1/2 and

K=3
19 / 83
Encoding of Convolutional Codes: Transform Domain

In any linear system, time-domain operations involving convolution
can be replaced by more convenient transform-domain operations
involving polynomial multiplication.
Since a convolutional encoder is a linear system, each sequence in the
encoding equations can be replaced by corresponding polynomial, and
the convolution operation replaced by polynomial multiplication.
In the polynomial representation of a binary sequence, the sequence
itself is represented by the coefficients of the polynomial
Manjunatha. P
(JNNCE)
20 / 83
For example, for a (2, 1, m) code, the encoding equations become

V (0) (D)
V
(1)
(D)
u(D)g (0) (D)
u(D)g (1) (D)
where u(D) = u0 + u1 (D) + u2 (D 2 ) . . .

The encoded sequences are
(0)
+ v1 D + v2 D 2 + . . .
(1)
+ v1 D + v2 D 2 + . . .
V (0) (D)
v0
V (1) (D)
v0
(0)
(0)
(1)
(1)
The generator polynomials of the code are

(0)
+ g1 D + . . . + gm D m
g0
(1)
+ g1 D + . . . + gm D m
[v (0) (D), v (1) (D)]
g (0) (D)
g0
g (1) (D)
V (D)
(0)
(0)
(1)
(1)
After multiplexing, the code word become

V (D)
v (0) (D 2 ) + Dv (1) (D 2 )
D is a delay operator, and the power of D denoting the number of time units a bit is
delayed with respect to the initial bit.
The general formula after multiplexing (n=numbr of output):
V (D)
Manjunatha. P
(JNNCE)
v (0) (D n ) + Dv (1) (D n ) + . . . + D (n1) v (n1) (D n )

21 / 83
Example 11.1
For (2,1,3) convolutional code,g (0) = [1 0 1 1] and g (1) = [1 1 1 1] the generator
polynomials are
g (0) (D)
1 + D2 + D3
g (1) (D)
1 + D + D2 + D3
For the information sequence u(D) = 1 + D 2 + D 3 + D 4 , then

v (0) (D)
(1 + D 2 + D 3 + D 4 )(1 + D 2 + D 3 )
(D)
(1 + D 2 + D 3 + D 4 + D 2 + D 4 + D 5 + D 6 + D 3 + D 5 + D 6 + D 7 )
v (0) (D)
(1 + D 2 + D 2 + D 3 + D 3 + D 4 + D 4 + D 5 + D 5 + D 6 + D 6 + D 7 )
(D)
(1 + D 7 )
v (1) (D)
(1 + D 2 + D 3 + D 4 )(1 + D + D 2 + D 3 )
(1 + D 2 + D 3 + D 4 + D + D 3 + D 4 + D 5 + D 2 + D 4 + D 5 + D 6
+D 3 + D 5 + D 6 + D 7 )
1 + D + D3 + D4 + D5 + D7
(0)
(0)
(1)
(D)
v (1) (D)
and the code word is

v (D) = [1 + D 7 , 1 + D + D 3 + D 4 + D 5 + D 7 ].
Manjunatha. P
(JNNCE)
22 / 83
Example 11.1
and the code word is
v (D) = [1 + D 7 , 1 + D + D 3 + D 4 + D 5 + D 7 ].
After multiplexing, the code word become
v (D) = v (0) (D 2 ) + Dv (1) (D 2 )
v (0) (D 2 )
v
(1)
(1)
(1 + D 14 )
Dv (1) (D 2 ) = D(1 + D 2 + D 6 + D 8 + D 10 + +D 14 )
Dv (1) (D 2 ) = D + D 3 + D 7 + D 9 + D 11 + +D 15
(D )
(D )
v (D)
v (0) (D 2 ) + Dv (1) (D 2 )
v (D)
1 + D + D 3 + D 7 + D 9 + D 11 + D 14 + D 15
The result is the same as convolution and matrix multiplication.
Manjunatha. P
(JNNCE)
23 / 83
Decoding of Convolutional Codes
Manjunatha. P
(JNNCE)
24 / 83
There are several different approaches to decoding of convolutional codes.

These are grouped in two basic categories.
1
Maximum likely-hood decoding

Viterbi decoding
Sequential Decoding
i) Stack Algorithm
ii) Fano Algorithm
Manjunatha. P
(JNNCE)
25 / 83
The Viterbi Decoding Algorithm
Manjunatha. P
(JNNCE)
26 / 83
In 1967, Viterbi introduced a decoding algorithm for convolutional

codes which has since become known as Viterbi algorithm.
Later, Omura showed that the Viterbi algorithm was equivalent to
finding the shortest path through a weighted graph.
Forney recognized that it was in fact a maximum likelihood decoding
algorithm for convolutional codes; that is, the decoder output selected
is always the code word that gives the largest value of the
log-likelihood function.
Manjunatha. P
(JNNCE)
27 / 83
In order to understand Viterbis decoding algorithm, expand the state diagram of the
encoder in time (i.e., to represent each time unit with a separate state diagram).
The trellis diagram contains h+m+1 time units or levels, and are labeled from 0 to h+m
(h information sequence length ).
Assuming that the encoder always starts in state S0 and returns to state S0 , the first m
time units correspond to the encoders departure from state S0 , and the last m time units
correspond to the encoders return to state S0
Not all states can be reached in the first m or the last m time units. However, in the
center portion of the trellis, all states are possible, and each time unit contains a replica of
the state diagram.
There are two branches leaving and entering each state.
The upper branch leaving each state at time unit i represents the input ui = 1, while the
lower branch represents ui = 0.
Each branch is labeled with the n corresponding outputs vi , and each of the 2h code
words of length N = n(h + m) is represented by a unique path through the trellis.
In the general case of an (n, k, m) code and an information sequence of length kh, there
are 2k branches leaving and entering each state, and 2kh distinct paths through the trellis
corresponding to the 2kh code words.
Manjunatha. P
(JNNCE)
28 / 83
A partial path metric for the first j branches of a path can now be
expressed as
The following algorithm, when applied to the received sequence r
from a DMC, finds the path through the trellis with the largest metric
(i.e., the maximum likelihood path).
The algorithm processes r in an iterative manner.
At each step, it compares the metrics of all paths entering each state,
and stores the path with the largest metric, called the survivor,
together with its metric.
Manjunatha. P
(JNNCE)
29 / 83
The Viterbi Algorithm

1
Step 1. Beginning at time unit j = m, compute the partial metric for

the single path entering each state. Store the path (the survivor) and
its metric for each state.
Step 2. Increase j by 1. Compute the partial metric for all the paths
entering a state by adding the branch metric entering that state to
the metric of the connecting survivor at the preceding time unit. For
each state, store the path with the largest metric (the survivor),
together with its metric, and eliminate all other paths.
Step 3. If j < h + m, repeat step 2. Otherwise, stop.
Manjunatha. P
(JNNCE)
30 / 83
Add-Compare- Select Computation

Figure shows the Add-Compare- Select
Computation (ACS) logic.
The state metric a0 is calculated by adding
the previous time state metric of a, a to
the branch metric aa0 and the previous
time state metric of c, c to the branch
metric ca0 .
This results in two possible path metrics as aa '

candidates for the new state metric a0 .
The two candidates are compared and the
largest likelihood (smallest distance) of the
two path metrics is stored as the new state
metric a0 for state a.
The new path history ma0 for state a where
m
a0 is the message path history of the state
augmented by the data of the winning path.
The Figure also contains the ACS logic for

the node b with new state metric b0 and
path history mb0
ca '
cb '
ab '
Compare
Compare
m a
Select
1-of-2
a '
m c
Select
1-of-2
'
ma
To another logic unit
m a
m c
Select
1-of-2
Select
1-of-2
a '
'
mb
To another logic unit
Figure 7: Add Compare select
The same operation is performed for the

paths in other cells.
Manjunatha. P
(JNNCE)
31 / 83
G (X ) = [1 + X + X 2 , 1 + X 2 ]
Input
0
1
0
1
0
1
0
1
First code
symbol
u1
Input bit
m
Present
State
00
00
01
01
10
10
11
11
Output
branch word
u2
second code
symbol
Next
State
00
10
00
10
01
11
01
11
Output
00
11
11
00
10
01
01
10
Figure 8: convolutional encoder of

R=1/2 and K=3
Output bit
1(11)
0(00)
a=00
0(11)
Input bit
Tuple
00
01
10
11
State
a
c
b
d
1(00)
c=01
b=10
0(10)
0(01)
d=11
1(01)
1(10)
Manjunatha. P
(JNNCE)
32 / 83
The trellis diagram is redrawn by labeling each branch

with the Hamming distance between received code
symbol and the branch word.
Output bit
0(00)
1(11)
Figure shows a message sequence m the corresponding

codeword sequence U and a noise corrupted received
sequence Z.
0(11)
a=00
Input bit
The branch words of the Trellis are known a priori to

both encoder and decoder.
1(00)
c=01
b=10
At time t1 the received code is 11, state 00 00

transition with an output of 00 and is compared with
received code and its Hamming distance is of 2 and is
marked on that branch.
0(10)
0(01)
d=11
Similarly at time t1 the received code is 11, state 00

10 transition with an output of 11 and is compared with
received code and its Hamming distance is of 0 and is
marked on that branch.
1(01)
1(10)
Input data
t1
a=00
00
t2
11
00
t3
11
00
t4
11
00
t5
11
00
t6
Received bit
10
11
00
00
a=00
00
01
01
00
01
Z:
t1
11
01
t2
01
t3
1
1
10
t4
1
1
01
t5
1
1
t6
1
1
10
10
11
11
11
b=10
m: 1
Transmitted bit U: 11
c=01
b=10
01
01
01
01
01
01
01
d=11
10
10
10
c=01
Steady State
Manjunatha. P
(JNNCE)
0
0
d=11
Brach
metric
2
0
2
0
2
33 / 83

Input data
t1
a=00
00
t2
11
00
t3
11
00
t4
11
00
t5
11
00
m: 1
Transmitted bit U: 11
Received bit
11
11
b=10
10
11
00
00
Z:
t1
a=00
00
01
01
00
01
11
01
t2
01
t3
1
1
c=01
01
01
01
01
d=11
10
Brach
metric
2
0
10
Steady State
At each time there are 2
t6
1
1
K 1
c=01
10
01
01
01
t5
b=10
01
10
t4
1
1
10
10
t6
11
2
0
d=11
states, and at each state two paths are entering (two paths leaving).
Computing the metrics for the two paths entering each state and eliminating one of them and this is done for each of
2K 1 states at time ti then the decoder moves to time ti+1 and repeats the process.
t1
a=00
t1
a=00
t2
t2
State metrics
t1
Ta=2
State metrics
0
b=10 Ta=2
Tb=0
t1
a=00 b=10
t02
Ta=3
1
0
Tb=0
c=01
State metrics
b=10
1
0
d=11
c=01
(JNNCE)
t3
TbT=3
a =3
Manjunatha. P
State metrics
t3
0
b=10
t2
a=00
Tc=2
Tb=3
Td=0
Tc=2
34 / 83
1
t1
a=00
00
t2
11
00
a=00
b=10
11
State
t2
t4
00
t1
11
t1
a=00b=10
11
Ta=3
Received bit
00
a=00
01
00
01
01
Tb=3
t3
10
t4
10
01
t5
1
1
Tc=2
d=11
Tc=2
1
2
c=01
c=01
10
Tb=3
2
01
d=11
10
01
11 Ta =3 01
t2
1
1
Z:
t1
b=10
c=01
01
01
01
t6
1
1
b=10
01
1 metrics
State
10
Tb=0
01
m: 1
Transmitted
bit U: t11
t2
3
0
10
01
t3
2
The Viterbi
Decoding
Algorithm
1
2
t6
Input data
00
00
b=10
00
11
11
10
t5
11
metrics
=2=0
TT
a b
0
c=01
a=00
00
Ta=2
t3
11
t1
b=10
a=00
d=11
Brach
metric
2
0
T0d=0
2
0
Steady State
Td=0
d=11
At time t3 two paths diverging from each state. As a result two paths entering each state time time t4 .
Larger cumulative path metric entering each state can be eliminated. In case if there are two paths having same
cumulative path metric, then one path is selected arbitrarily.
t1
a=00
t1
a=00
2
2
t2
t2
1
1
t3
t3
1
11
b=10
b=10
2
State metrics
t3
t4
t4
State metrics
Ta=31
d=11
Tb=31
Tc=0
0
d=11
21
c=01 c=01
0 0
(JNNCE)
t2
0 0
d=11
t3
a=00
2 2
c=01
c=01
Manjunatha. P
t4
t2
Ta=3
b=10
00
a=00
t1
1 1
b=10
d=11
t1
t4
Tb=3
Tc=0
0
Td=2
Td=2
35 / 83
t1
t3
t4
t1
t3
t4
t2
Decoding
The
Viterbi
Td=0 Decoding Algorithm
d=11Algorithm
1 The Viterbi
1
a=00
t2
a=00
0
t1
a=00
b=10
00
t2
11
00
t3
00
11
t4
11
t1
t2
a=00
b=10
c=01
00
t3
10
c=01
t4
10
t6
b=10 Input data

t1
00
c=01
c=01
01
01
d=11
01
01
c=01d=11
01
10
01
c=01
10
1
Tc=0
1
1
0
t6
1
Brach
metric
Td=2
0 =2
T
d
d=11
Tc=0
0 0
d=11
01
t5
b=10
01
01
10
t4
T1b=31
1
Tb=3
00
Ta=3
t3
1
0
01
101
b=10
2
t2
State
1 metrics
01 4
11
201
10
d=11
Z:
t1
a=00
d=11
Received bit
110
m: 1
3
2
Transmitted
bit U: 11
11
00
00
11
a=00
12 1
11
00
b=10
t5
11
11
Ta=3
1 1
2
0
Steady State
t1
t3
t2
a=00
t1
t4
t3
t2
a=00
1
1
t5
1
t4
t1
a=00
t
t5
Ta=1
11
11
b=10
b=10
1
2
c=01
d=11
Tc=3
0
Td=2
d=11
d=11
d=11
0
Tc=3
c=01
Tb=1
c=01
0
T =1
1b
00
c=01
Ta=1
b=10
t5 State metri
t4
t5 State metrics
t4
a=00
b=10
t3
t2
t3
t2
Td=2
State metrics
t1
t2
t3
t4
a=00
Manjunatha.
P
t
(JNNCE)
0
t
t5
t6
t1
t2
t3
t4
t5
a=00
1
1
Coding
2, 3, 4, 5]
t Techniques[1,
1
1
t6
Ta=2
1
36 / 83
t
d=11
t1
t3
t2
t4
t5
t1
a=00t1
m: 1
t1 bit U: 11
Transmitted
0t2
11
01 t3
01
01
011
t4
11
a=00
b=10
Z:
t1
11
t5 01
001
t2
02
1
1
t3
t4
1
1
10
1
11
1
0
c=01
00
d=11c=01
10
0 0
0
d=11
d=11
22
d=11
d=11
11
11
11Tb=1
00
10
Tc=3
01
01
10
d=11
Tc=3
01
01
01
Ta=1t6
00
T =1
1 10 b
10
00
Ta=1
00
0
00
22
t5
1
t5 State metrics
00
11
11
c=01
t4
t4
0t3
t2
t5 State metrics
t4
00
11
b=10
b=10
c=01
c=01
Brach
metric
t3
11
b=10
1
1
00
1
2
b=10
t6
t2
11
t1
a=00
01
t5 1
t3
t2
00
a=00
a=00
Received
b=10 bit
Td=2
a=00
Input data
c=01
d=11
01
01
Td=2
Td=210
10
Steady State
State me
t1
a=00
t1
t2
t2
t3
t3
t4
t4
t5
t5
a=00
0 0
b=10
b=10
2 2
1
1
1 1
t6
t6 1
1
a=00
0 2
d=11
d=11
(JNNCE)
a=00
t2
t4
t3
t5
b=10
t4
t6
State metrics
t5
Ta=2
Tb=2
t6
Ta=2
0
0
Manjunatha. P
t3
1
Tb=2
1
0
t1
0
b=10
c=01
0
t2
c=01
c=01
t1
c=01
Tc=2
0
Tc=2
Td=1
d=11
d=11
Td=1
37 / 83
Received bit
Z:
t1
a=00
11
01
01
t2
10
t3
1
1
01
t4
t5
1
1
t6
1
1
b=10
0
d=11
Decoded Output:
0
0
1
2
2
2
State
metric
2
1
2
c=01
2
0
Figure 9: Add compare-select computation in Viterbi decoding
Manjunatha. P
(JNNCE)
38 / 83
SKLAR -7.16 Using the branch word information on the encoder trellis Figure 7.7, decode the
sequence Z=(01 11 00 01 11 rest all 0) using hard decision Viterbi decoding
Solution: Trellis diagram and its branch output are shown in First Figure and in the second
Figure branch metric and its path metric and decoded path are shown.
Received bit
a=00
Z:
t1
11
01
01
t2
00
11
t3
00
11
10
t4
00
11
Received bit
01
t5
00
11
t6
00
11
Z:
t1
a=00
01
11
11
00
10
10
00
10
01
t5
0
2
1
1
2
0
c=01
c=01
01
01
01
01
01
01
01
1
d=11
d=11
10
10
10
Decoded Output:
(JNNCE)
2
1
2
2
Decoded
path
2
0
t6
b=10
10
11
t4
11
00
00
t3
2
1
b=10
Manjunatha. P
11
t2
1
0
39 / 83
Proakis IV Edition-8-26
G (D) = [1, 1 + D 2 , 1 + D + D 2 ]
Table 2: State transition table for the

(3,1,2)encoder
k=1
Input
0
1
0
1
0
1
0
1
SR
SR
SR
n=3
Figure 10: R=1/3 convolutional

encoder with memory m=2
Present State
00
00
01
01
10
10
11
11
Next State
00
10
00
10
01
11
01
11
Output
000
111
011
100
001
110
010
101
10
1(110)
Tuple
00
01
10
11
State
s0
s2
s1
s3
0(001)
1(111)
1(100)
0(000)
0(011)
00
01
0(010)
1(101)
Manjunatha. P
(JNNCE)
11
40 / 83
10
0(001)
1(110)
1(111)
1(100)
0(000)
0(011)
00
01
0(010)
1(101)
001
S3
S1
S1
010
S2
000
Manjunatha. P
(JNNCE)
S0
000
S0
111
000
S0
101
S2
S2
S2
011
011
111
111
111
S0
S1
101
S2
011
110
S1
101
100
100
S3
110
010
S1
101
101
001
S3
110
011
011
111
010
001
S3
110
010
11
000
3
Time units
S0
000
S0
000
S0
000
S0
41 / 83
1(001)
S3
S1
010
S1
S0
S0
000
1(001)
X
S3
S0
1(001)
S1
0(110)
1(100)
1(111)
1(111)
S2
101
5
7
S2
S2
S2
0(011)
011
111
111
011
X
000
S0
110
2
S1
5
S0
110
1
(JNNCE)
0(000)
101
1(100)
S2
4
S0
S1
0(011)
2
0(000)
r=110
Manjunatha. P
101
100
S0
010
4
S1
X
0(101)
0(101)
010
X
000
011
111
S1
S0
111
3
S0
000
S3
0(110)
S0
1(001)
X
S3
0(110)
1(010)
000
1(010)
1
0(011)
S3
0(110)
000
S2
011
011
111
S0
000
2
1
101
S2
011
111
S0
0(000)
S1
101
1(100)
S2
0(011)
S0
0(000)
0
Input: 1
S1
S2
111
1(111)
1(111)
S2
0(110)
010
101
100
1(100)
S3
0(110)
S1
0(101)
1(001)
S3
0(110)
1(010)
0(101)
1(001)
S3
0(110)
1(010)
X
000
4
S0
010
4
000
S0
101
5
X
000
S0
101
6
42 / 83
Sequential Decoding: The Fano Decoding Algorithm
Sequential Decoding: The Fano Decoding

Algorithm
Manjunatha. P
(JNNCE)
43 / 83
The decoder starts at the origin node with the threshold T=0 and the metric value M=0.
It looks forward to the best of the 2k succeeding nodes, i.e., with largest metric.
If Mf is the metric of the forward node being examined and if Mf T then the decoder
moves to this node.
It checks for the end of tree has been reached, otherwise threshold tightening is performed
if the node is examined for the first time i.e., T is increased by the largest multiple of a
threshold increment so that new threshold does not exceed the current metric.
If the node has been examined previously, no threshold tightening is performed.
Then the decoder again looks forward the the best succeeding node.
If Mf < T , the decoder looks backward to the preceding node.
If Mb is the metric of the backward node being examined, and if Mb T , then the T is
lowered by and the look forward to the best node step is repeated.
If Mb T , the decoder moves back to the preceding node.
In this example Received sequence is 11 00 01 10 01
Manjunatha. P
(JNNCE)
44 / 83

00
At timet1 receives symbol 11 decoder moves

downward and decodes as bit 1.
00
a
00
a
11
11
10
b
11
10
Count 3 is turnaround criterion decoder backs out

tries alternate path by decrementing count by i. e.,
count=2
(JNNCE)
01
d
10
11
a
11
10
c
00
10
b
01
11
11
01
c
01
0
00
10
01
d
10
00
00
a
1
11
a
11
11
10
b
01
10
11
10
c
00
b
00
01
01
d
10
11
00
b
11
01
c
01
d
11
10
01
00
11
01
c
10
d
00
10
01
d
t2
t1
Z=
Manjunatha. P
01
00
At timet4 receives symbol 10 and moves 11 branch

decoder moves downward and decodes as bit 0
again it is disagreement with count = 3.
Count 3 is turnaround criterion all the alternative
paths have traversed decoder backs out tries
alternate path by decrementing count i. e.,
count=1 moves to the node at t3 level.
00
00
At timet3 receives symbol 01 there are two branches

11 and 00 decoder moves upward arbitrarily and
decodes as bit 0 with disagreement count = 2.
11
b
a
01
00

11
t3
00
t4
01
10
t6
t5
10
01
45 / 83

8
At timet3 receives symbol 01 there are two

branches 11 and 00 and untried one is 00 decoder
moves downward and decodes as bit 1 with
disagreement count = 2.
00
00
a
00
a
11
11
10
b
01
00
11
At timet4 receives symbol 10 and moves 10 branch

decoder moves upward and decodes as bit 0 with
agreement with count = 2.
10
c
11
b
00
01
01
d
10
00
00
11
a
10
10

At this count decoder back up and reset the

counter=2 timet5 receives symbol 01 there are two
branches 11 and 00 and tries alternate path as 00
with disagreement of 1 and again count = 3.
00
10
b
01
11
11
01
c
01
0
11
11
00
10
01
d
10
00
00
a
1
11
a
11
11
10
b
01
10
12
13
14
The decoder backs out of this path and sets

count=2, all the alternate paths have traversed at
t5 level, so decoder returns to node at t4 and resets
count=1
Manjunatha. P
(JNNCE)
10
c
00
b
00
01
01
d
10
11
00
b
11
01
c
At t4 with data as 10 and path with 01 makes

count=3 decoder back to the time t2 node
At timet2 receives symbol 00 and now follows the
branch word 01 with disagreement of 1 with count
= 1.
11
01
d
11
10
01
00
11
01
c
10
d
00
10
01
d
t2
t1
Z=
11
t3
00
t4
01
10
t6
t5
10
01
46 / 83
Feedback Decoding
Feedback Decoding
Feedback Decoding
Manjunatha. P
(JNNCE)
47 / 83
Feedback Decoding
1
Feedback Decoding
It decodes at stage j based on metrics computed

from stages j, j+1, ... j+m, where m is the
preselected integer. Look ahead length L is defined
as L=m+1. Considering L=3 decoder decodes at j
based j,j+1,j+2.
00
00
00
a
Beginning with the first branch it computes

Hamming path metrics and decides the bit is zero if
the minimum distance is in the upper part of the
tree and decides the bit is one if the minimum
distance is in the lower part of the tree.
10
01
11
10
c
11
b
a
00
01
01
d
00
10
00
11
a
10
c
11
00
10
b
11
b
01
11
01
c
01
0
00
10
01
d
10
00
00
1
11
a
Upper-half metrics: 3,3,6,4
11
11
10
b
10
c
Lower-half metrics: 2,2,1,3
The minimum metric is contained in the lower part

of the tree therefore the first coded bit is one.
Next step is to extend the lower part of the tree.
In the next step slide over two code symbols.
01
11
10
c
00
b
00
01
01
d
11
10
00
b
11
01
c
01
d
11
10
01
00
11
01
10
11
11
b
2L
Assuming the received sequence as Z=1 1 0 0 0 1 0

0 0 1 and examining the eight paths from time t1
through t3 and computing the metrics of these
eight paths.
00
a
Upper-half metrics: 2,4,3,3
00
10
01
d
10
11
Lower-half metrics: 3,1,4,4
t2
t1
Z=
11
t3
00
t4
01
10
t6
t5
00
01
The same procedure is continued until the entire

message is decoded.
Manjunatha. P
(JNNCE)
48 / 83
Structural Properties of Convolutional Codes
Manjunatha. P
(JNNCE)
49 / 83
Signal Flow Graph:
Signal Flow Graph:

To estimate the Error correcting capability and coding gain the transfer function T(D) has
to be estimated for the given state diagram of convolutional code.
To estimate the transfer function signal flow graph method is used.
Manjunatha. P
(JNNCE)
50 / 83
Signal Flow Graph:
A signal flow graph consists of nodes and directed branches and it

operates by the following rules:
1
A branch multiplies the signal at its input node by the transmittance

characterizing that branch.
A node with incoming branches sums the signals produced by all of
these branches.
The signal at a node is applied equally to all the branches outgoing
from that node.
The transfer function of the graph is the ratio of the output of the
signal to the input signal
The branches of the graph is labeled as D 0 = 1, D 1 , D 2 , D 3 where the

exponent of D denotes the Hamming distance between the sequence
of output bits corresponding to each branch and the sequence of
output bits corresponding to the all-zero branch.
Manjunatha. P
(JNNCE)
51 / 83
Signal Flow Graph:
Signal Flow Graph:

Any system operation can be represented by a set of linear algebraic equations.
The algebraic equations represent the relationship between system variables.
A signal flow graph is a graphical representation of relationship between variables of a set
of linear equations.
ax1 + dx3 = x2
For the node x2 incoming path gains are ax1 and dx3
bx2 + fx4 = x3
For the node x3 incoming path gains are bx2 and fx4
ex2 + cx3 = x4
Similarly for other nodes
gx3 + hx4 = x5
d
f
3
Basic Terminologies:
Node: Node represents the system variable.
Branch: The line joining x1 and x2 forms the branch. Branch j-k originates at node j and
terminates upon node k, the direction from j to k being indicated by an arrowhead on the
branch. Each branch j-k has associated with it a quantity called the branch gain and each
node j has an associated quantity called the node signal .
Source (Input) Node: A source is a node having only outgoing branches.
Sink (output) Node: A sink is a node having only incoming branches.
Manjunatha. P
(JNNCE)
52 / 83
Signal Flow Graph:
Path: A path is any continuous succession of branches traversed in the indicated branch
directions.
Forward path: A forward path is a path from source to sink along which no node is
encountered more than once .
Loop: A loop is path which originates and terminates at the same node (a closed path
without crossing the same point more than once).
Non-Touching Loops: Loops are said to be non-touching if they do not passes through a
common node. Or two loops are non-touching or non-interacting if they have no nodes in
common.
Feedback Loop: A feedback loop is a path that forms a closed cycle along which each
node is encountered once per cycle.
Path Gain: A path gain is the product of the branch gains along that path.
Loop gain: The loop gain of a feedback loop is the product of the gains of the branches
forming that loop. The gain of a flow graph is the signal appearing at the sink per unit
signal applied at the source.
To find the graph gain, first locate all possible sets of non-touching loops and write the
algebraic sum of their gain products as the denominator of.
Manjunatha. P
(JNNCE)
53 / 83
Signal Flow Graph:
Masons Gain Fomula:

The general expression for graph gain may be written as
P
Gk k
G= k
where Gk P
= gain ofP
the kth forward
path
P
= 1 Pm1 + Pm2 Pm3 + ...
m
Pmr = Gain product of the mth possible combination of non touching

loops
= 1 - (sum of loop gains) + (sum of the products of the gains
combination of two non touching loops) - (sum of the products of the
gains combination of 3 non touching loops) ........
k = The value of for that part of the graph not touching the kth
forward path
Manjunatha. P
(JNNCE)
54 / 83
Signal Flow Graph:
The Transfer Function of a Convolutional Code:

For every convolutional code, the transfer function gives information
about the various paths through the trellis that start from the all-zero
state and return to this state for the first time. According to the
coding convention described before, any code word of a convolutional
encoder corresponds to a path through the trellis that starts from the
all-zero state and returns to the all-zero state.
The performance of a convolutional code depends on the distance
properties of the code. The free distance of convolutional code is
defined as the minimum Hamming distance between any two code
words in the code. A convolutional code with free distance dfree can
correct t errors if and only if dfree is greater than 2t.
The free distance can be obtained from the state diagram of the
convolutional encoder.
Any nonzero code sequence corresponds to a complete path beginning
and ending at the all-zero state.
The state diagram is modified to a graph called as signal flow graph
with a single input and a single output.
Manjunatha. P
(JNNCE)
55 / 83
Signal Flow Graph:
There is one path which departs from all zeros at time t1 and merges with zeros at time
t4 with a distance of 5.
There are two paths of distance 6 one departs from all zeros at time t1 and merges with
zeros at time t5 and another departs from all zeros at time t1 and merges with zeros at
time t6 .
t1
a=00
00
11
t2
00
t3
11
00
t4
11
00
t5
00
11
t6
t1
11
a=00
t2
t3
11
11
b=10
10
00
b=10
01
01
01
01
10
10
Figure 11: Trellis diagram
(JNNCE)
1
1
d=11
1
1
1
1
Figure 12: Diagram showing distance from all
Steady State
Manjunatha. P
t6
0
2
01
d=11
10
0
1
c=01
01
t5
0
2
10
10
c=01
01
11
00
00
t4
0
2
zeros path
56 / 83

1
Signal Flow Graph:

2
Branches of the state diagram are labeled as D, D or D where the D denotes the Hamming distance from the branch
word of that branch to the all zeros branch.
Node a is split into two nodes labeled as a and e one which represents the input and the other output of the state
diagram.
All paths originating at a = 00 and terminating terminating at e = 00
Output bit
1(11)
0(00)
a=00
0(11)
Input bit
10
D
01
D
1(00)
d=11
D
10
c=01
b=10
11
10
11
0(10)
a=00
D2
b=10
0(01)
c=01
D2
e (a)=00
D0=1
d=11
00
1(01)
Figure 14: Signal flow graph
1(10)
Figure 13: State diagram
Manjunatha. P
(JNNCE)
Xb
D Xa + Xc
Xc
DXb + DXd
Xd
DXb + DXd
Xe
D Xc
57 / 83
Signal Flow Graph:

10
D
Output bit
0(00)
1(11)
a=00
01
D
0(11)
Input bit
11
a=00
1(00)
D2
b=10
c=01
b=10
d=11
D
10
10
D
11
c=01
D2
e (a)=00
D0=1
0(10)
00
0(01)
d=11
1(01)
1(10)
D
D
There are two forward paths

Gain of the forward path (abce) is: G1 = (D 2 D D 2 ) = (D 5 )
Gain of the forward path (abdce) is:G2 = (D 2 D D D 2 ) = (D 6 )
= 1 (L1 + L2 + L3 ) + (L1 L2 ) = 1 (D + D + D 2 ) + (D 2 )
= 1 2D D 2 + D 2 = 1 2D
1 = 1 (L1 ) = 1 D
2 = 1 Non touching loops: nil
D
D0=1
D0=1
G
Figure 17: Loops in a signal flow graph

=
There are three loops in a graph:
Gain of the self loop at (d) is: L1 = D
Gain of the loop for (cb) is:L2 = (D 1) = D
Gain of the loop for (cdb) is:L3 = (D D 1) = D 2
Manjunatha. P
(JNNCE)
Gk k
T (D) =
G1 1 + G2 2
D 5 (1 D) + D 6 (1)
1 2D
D5 D6 + D6
1 2D
D5
1 2D
T (D) = D 5 + 2D 6 + 4D 7 + . . . + 2l D l+5
[Use Binomial expansion: (1 x)1 = 1 + x + x 2 + x 3 + x 4 + ..]
58 / 83
Signal Flow Graph:
There is one path at distance 5 from the all zeros

path, that departs from the all zeros path at time
t1 and and merges with it at time t4
Similarly there are two paths at distance 6 one
which from departs at time t1 and and merges
with it at time t5 , and other which departs at
time t1 and and merges with it at time t6 and so
on.
a=00
In general there are 2l paths of distance l + 5

from the all zeros path where l = 0, 1, 2, . . .
b=10
The minimum distance in the set of all arbitrarily

long paths that diverge and remerge, called the
minimum free distance or simply the free
distance. It is of 5 in this example.
The error correcting capability of the code with
the free distance df as

df 1
t =
2

t =
51
2
t1
t2
t3
t4
0
2
t5
0
2
t6
0
2
2
0
1
c=01
1
1
1
1
1
1
d=11
Figure 18: Trellis diagram showing

distance from all zeros path

=2
The encoder can correct any two channel errors.
Manjunatha. P
(JNNCE)
59 / 83
Signal Flow Graph:
Problem 9.41 Proakis A convolutional code is described by

g1
[1 0 0]
g2 = [1 0 1]
g3 = [1 1 1]
a. Draw the encoder corresponding.

b. Draw the state-transition diagram.
c. Draw the trellis diagram.
d. Find the transfer function and the free distance.
e. If the received sequence is r =(110, 110, 110, 111,010, 101, 101), using the Viterbi algorithm find the
transmitted bit sequence.
Solution:
Manjunatha. P
(JNNCE)
60 / 83
Signal Flow Graph:

(3,1,2)encoder
k=1
SR SR SR
Input
0
1
0
1
0
1
0
1
n=3
Present State
00
00
01
01
10
10
11
11
State b
01
Next State
00
10
00
10
01
11
01
11
Output
000
111
011
100
001
110
010
101
1(100)
0(011)
0(001)
0(010)
Tuple
00
01
10
11
State
a
b
c
d
0(000)
1(111)
State a
00
State c
10
1(110)
1(101)
State d
11
Figure 19: State diagram for rate 1/3 m=2 convolutional code (3,1,2)
Manjunatha. P
(JNNCE)
61 / 83

State b
01
Signal Flow Graph:
1(100)
0(011)
0(001)
Tuple
00
01
10
11
0(010)
0(000)
1(111)
State a
00
State c
10
State
a
b
c
d
1(110)
1(101)
State d
11
000
000
000
000
011
111
111
111
111
000
011
011
111
b
100
001
100
001
c
110
100
001
001
110
110
010
011
110
010
010
d
101
101
101
Steady State
Figure 20: Trellis diagram for rate 1/3 m=2 convolutional code (3,1,2)
Manjunatha. P
(JNNCE)
62 / 83
Signal Flow Graph:

D2
State b
01
1(100)
D2
0(011)
0(001)
0(010)
0(000)
D2
e (a)
State d
11
D2
D2
D
D
State c
10
1(110)
1(101)
D3
a
1(111)
State a
00

Gain of the forward path (acbe) is: P1 = (D 3 D D 2 ) = (D 6 )
Gain of the forward path (acde) is:P2 = (D 3 D 2 D D 2 ) = (D 8 )
D
b
= 1 (L1 + L2 + L3 ) + (L1 L2 ) = 1 (D 2 + D 2 + D 4 ) + (D 4 )
= 1 2D 2 D 4 + D 4 = 1 2D 2
1 = 1 (L1 ) = 1 D 2
2 = 1
D
D
D
G
=
=
Gk k
T (D) =
P1 1 + P2 2
D 6 (1 D 2 ) + D 8 (1)
1 2D 2
D6 D8 + D8
1 2D 2
D6
1 2D 2

T (D) = D 6 + 2D 8 + 4D 10 + 8D 12
Gain of the self loop at (d) is: L1 = D 2
Hence, dfree = 6
2
Gain of the loop for (cb) is:L2 = (D D) = D
Gain of the loop for (cdb) is:L3 = (D D 2 D) = D 4
Manjunatha. P
(JNNCE)
63 / 83
110
110
000
a
111
000
111
110
4
000
011
111
001
1
c
110
100
001
3
010
3
4
000
000
X
011
011 X
111
111
101
101
001
4
011
110
X 010
4
101
000
011
X 100
100
001
5
110
010
3
110
010
1
111
Signal Flow Graph:
100
6
000
011
6
001
5
010
5
101
101
Steady State
The path traced by the Viterbi is (111, 110, 010, 011, 000, 000, 000) and
the decoded sequence is (1 1 0 0 0 0 0)
Manjunatha. P
(JNNCE)
64 / 83
Signal Flow Graph:
Problem 9.41 Proakis A convolutional code is described by

g1
[1 1 0]
g2 = [1 0 1]
g3 = [1 1 1]
a. Draw the encoder corresponding.

b. Draw the state-transition diagram.
c. Draw the trellis diagram.
d. Find the transfer function and the free distance.
Solution:

a.
(3,1,2)encoder
Input U
1
Output
Manjunatha. P
(JNNCE)
Input
0
1
0
1
0
1
0
1
Present State
00
00
01
01
10
10
11
11
Next State
00
10
00
10
01
11
01
11
Output
000
111
011
101
101
010
110
001
65 / 83
b.
Signal Flow Graph:
c.
State b
01
1(100)
000
0(011)
00
111
0(101)
1(111)
State a
00
111
000
111
State c
10
101
111
111
011
011
011
100
100
100
101
1(010)
101
101
010
110
010
010
110
110
11
001
State d
1(001)
11
(JNNCE)
000
10
010
Manjunatha. P
000
01
0(110)
0(000)
000
001
001
Steady State
66 / 83
Signal Flow Graph:

D
State b
01
1(100)
0(011)
D2
0(101)
0(110)
0(000)
1(111)
State a
00
D3
D2
D2
e (a)
State c
10
D
1(010)
1(001)
State d
11
D
D

Gain of the forward path (acbe) is: P1 = (D 3 D 2 D 2 ) = (D 7 )
Gain of the forward path (acde) is:P2 = (D 3 D D 2 D 2 ) = (D 8 )
D2
= 1 (L1 + L2 + L3 ) + (L1 L2 ) = 1 (D + D 3 + D 4 ) + (D 4 )
= 1 D D3 D4 + D4 = 1 D D3
1 = 1 (L1 ) = 1 D
2 = 1
D2
P
=
=
Gk k
T (D) =
P1 1 + P2 2
D 7 (1 D) + D 8 (1)
1 D D3
D7 D8 + D8
1 D D3
D7
1 D D3

T (D) = D 7 + D 8 + D 9 +
Gain of the self loop at (d) is: L1 = D
Hence, dfree = 7
2
3
Gain of the loop for (cb) is:L2 = (D D ) = D
2
4
Gain of the loop for (cdb) is:L3 = (D D D ) = D
Manjunatha. P
(JNNCE)
67 / 83
Convolutional Codes

u1
A systematic convolutional code is one in

which the input k-tuple appears as part of the
output branch n-tuple.
Input bit
Output
u2
Figure shows the binary rate 1/2,K=3

systematic encoder.
For Linear Block codes, any non systematic
code transformed into a systematic code with
the same block distance properties. But this is
not in the case of convolution codes.
The reason for this is the convolution codes
depend largely on free distance; in general,
reduces the maximum possible free distance
for a given constraint length and rate.
The table shows the maximum free distance
for the rate 1/2 systematic and nonsystematic
codes for k=2 through 8.
Manjunatha. P
(JNNCE)
Figure 27: Systematic convolution code
Constraint Free Distance

Length
Systematic
2
3
4
6
7
8
3
4
5
6
6
7
Free Distance
Nonsystematic
3
5
6
7
10
10
68 / 83
Convolutional Codes
Catastrophic Error Propagation in Convolution Codes

A catastrophic error is an event where by a finite number of code symbol errors causes an
infinite number of decoded data bit errors.
Massey and Sain has derived a sufficient and necessary condition for convolution codes to
display catastrophic error propagation.
The condition for the catastrophic error propagation is that have a common polynomial
factor.
For example it is illustrated in the following example of rate 1/2,K=3 encoder with upper
polynomial and lower polynomial as follows
g1 (X )
1+x
g2 (X )
1 + x2
the generator g1 and g2 have common polynomial factors 1+X since

1 + X 2 = (1 + X )(1 + X )
00
D
01
D
u1
Input bit
d=11
D
11
Output
11
u2
a=00
D2
10
b=10
01
c=01
D2
e (a)=00
D0=1
10
Manjunatha. P
(JNNCE)
69 / 83
Convolutional Codes
From the state diagram for any rate code, catastrophic error occur if and only if any
closed-loop path in the diagram has zero weight(zero distance from all the zero path)
Assume that the all zero path is correct path and incorrect path is a,b,d,d,...d,c, has
exactly 6 ones. So number of error occur is proportional to the number of times is self
loop at the position d.
00
D
01
D
u1
Input bit
d=11
D
11
Output
11
u2
a=00
D2
10
b=10
01
c=01
D
D0
D2
e (a)=00
=1
10
Figure 29: Catastrophic error propagation
Manjunatha. P
(JNNCE)
70 / 83
Convolutional Codes
Coding Gain
Coding Gain
Eb
The coding gain is expressed in dB, in the required N
to achieve a specified error
0
probability of the coded system over an uncoded system with the same modulation and
channel characteristics.
The basic formula to compute the coding gain is given by

G (db) =
Where
Eb
N0

u
and
Manjunatha. P
Eb
N0
(JNNCE)
Eb
N0

(db)
Eb
N0

(db)
c
are uncoded and coded gain respectively.
71 / 83
Convolutional Codes
df
3
4
5
6
7
8
9
5
6
7
8
10
10
12
Upper
bound (dB)
3.97
4.76
5.43
6.00
6.99
6.99
7.78
Coding Gain
df
8
10
12
13
15
16
18
Upper
bound (dB)
4.26
5.23
6.02
6.37
6.99
7.27
7.78
Table list an upper bound on the coding gains, compared to uncoded coherent BPSK for
several maximum free distance convolutional codes with constraint length varying from 3
to 9 over a channel with hard decision decoding.
The coding gain cannot increase indefinitely;it has an upper bound.
The bound in dB can defined as
coding gain log10 (rdf )
where r is the code rate and df is the free distance
Manjunatha. P
(JNNCE)
72 / 83
Solutions
Solutions
Solutions to Chapte 7: Channel Coding

(Bernard Sklar)
Note: State diagram, tree diagram and trellis diagram for K=3 are same
only changes will occur in the output that depends upon the connection
vector.
Manjunatha. P
(JNNCE)
73 / 83
Solutions
Solutions
7.1 Draw the state diagram, tree diagram and trellis diagram for the K=3, rate=1/3 code generated by
g1 (X ) = X + X 2 ,
g2 (X ) = 1 + X + X 2 , g3 (X ) = 1 + X
Table 5: State transition table (rate=1/3,

K=3)
Input
bit
0
1
0
1
0
1
0
1
1
Input U
Output
2
3
State at
time ti
00
00
01
01
10
10
11
11

Output bit

input bits.
State at
time ti + 1
00
10
00
10
01
11
01
11
Output
000
011
110
101
111
100
001
010
0(000)
1(011)
a=00
0(110)
Input bit
1(101)
c=01
b=10
0(111)
Tuple
00
10
01
11
Manjunatha. P
State
a
b
c
d
(JNNCE)
0(001)
d=11
1(100)
1(010)
Figure 30:
State
Coding Techniques[1, 2, 3, 4,
5]
diagram for rate=1/3 and
74 / 83
Solutions
Solutions
000
000
a
000
a
011
011
111
b
100
000
110
111
011
b
101
100
001
d
010
000
00
110
a
111
c
11
101
111
b
011
b
t1
100
a=00
110
000
011
t2
000
t3
011
000
t5
000
t6
011
101
010
001
d
111
110
101
111
111
000
c=01
a
011
110
a
011
100
111
b
111
c
101
101
010
000
1
110
110
b=10
d
001
100
001
001
100
100
d=11
100
010
110
010
010
111
101
b
101
100
d
011
000
011
K=3
010
110
a
001
c
101
111
b
100
d
Steady State
001
100
110
001
c
010
d
101
010
001
d
t2
000
011
001
100
t1
t4
011
t3
t4
010
t5
Figure 31: Tree diagram for rate=1/3

P (JNNCE)
and Manjunatha.
K=3
75 / 83
Solutions
Solutions
7.2 Given a K=3 and rate 1/2 binary convolutional code with the partially completed state diagram shown in Figure 7.1 find the
complete state diagram, and sketch a diagram for encoder
Output bit
1(11)
00
Input bit
K=3)
01
10
0(10)
11
1(00)
Figure 33: State diagram for rate=1/2,

K=3
Input
bit
0
1
0
1
0
1
0
1
State at
time ti
00
00
01
01
10
10
11
11

input bits.
State at
time ti + 1
00
10
00
10
01
11
01
11
Output bit
1(11)
Output
00
11
01
10
10
01
11
00
0(00)
00
0(01)
Input bit
1(10)
01
10
0(10)
1
0(11)
Input U
11
Output
1(01)
1(00)
Figure 35: Modified State diagram

(JNNCE)
Figure 34:
Encoder diagramCoding Techniques[1, 2, 3, 4, 5]
Manjunatha. P
76 / 83
Solutions
Solutions
7.3 Draw the state diagram, tree diagram and trellis diagram for the convolutional encoder characterized by the block diagram
in Figure p7.2

K=3)
Input
bit
0
1
0
1
0
1
0
1
Input U
Output
State at
time ti
00
00
01
01
10
10
11
11

input bits.
State at
time ti + 1
00
10
00
10
01
11
01
11
Output bit
0(00)
1(10)
a=00
Output
00
10
11
01
11
01
00
10
0(11)
Input bit
1(01)
01
10
0(11)
Tuple
00
10
01
11
Manjunatha. P
State
a
b
c
d
(JNNCE)
0(00)
11
1(01)
1(10)
Figure 36:
5]
State
77 / 83
Solutions
Solutions
00
00
a
00
a
10
10
11
b
01
00
11
11
c
10
b
a
01
01
00
d
10
00
00
11
a
11
c
a=00
11
b
10
b
t1
11
01
00
t2
10
00
t3
10
00
t4
10
00
t5
10
00
t6
10
01
11
00
c
01
0
01
10
d
11
11
b=10
10
11
11
01
01
00
01
11
11
00
c=01
00
a
1
10
11
a
10
11
b
11
c
01
00
00
01
10
01
10
00
d
10
10
01
01
00
d=11
11
01
b
Steady State
10
00
b
11
a
00
c
01
b
01
d
11
K=3
01
00
c
01
10
00
d
t2
10
11
10
t1
01
01
11
t3
t4
10
t5
Manjunatha.
P (JNNCE)
Figure
37: Tree
diagram for rate=1/3
78 / 83
Solutions
Solutions
7.5 Consider the convolutional encoder shown in Fiugre a)Write the connection vectors and polynomials for this encoder.
b)Draw the state diagram, tree diagram and trellis diagram

K=3)
Input
bit
0
1
0
1
0
1
0
1
Input U
Output
Figure 39: problem 7.5
State at
time ti
00
00
01
01
10
10
11
11
Solution:
Connection vectors and polynomials are:
g1 = [1 0 1], g2 = [0 1 1]
g1 (X ) = 1 + X 2 , g2 (X ) = X + X 2
State at
time ti + 1
00
10
00
10
01
11
01
11
Output bit
1(10)
Output
00
10
11
01
01
11
10
00
0(00)
00
0(11)
Input bit

input bits.
1(01)
01
10
0(01)
0(10)
Tuple
State
00
a
10
b
01
c
11
d
Manjunatha. P (JNNCE)
11
1(11)
1(00)
Figure 40:
5]
State
79 / 83
Solutions
Solutions
00
00
a
00
a
10
10
01
b
11
00
11
01
c
10
b
a
01
11
10
d
00
00
00
t1
11
a
01
c
11
01
b
10
b
a=00
00
t2
10
00
t3
10
00
t4
10
00
t5
10
00
t6
10
01
11
11
10
c
11
0
11
11
b=10
01
00
01
10
d
11
01
01
00
01
01
01
00
c=01
00
a
1
10
11
a
10
01
b
01
c
11
11
11
01
c
01
b
00
01
11
11
10
10
11
00
11
00
10
d
10
10
d=11
00
Steady State
00
b
11
a
10
c
10
01
10
c
01
00
10
d
t2
K=3
11
11
00
t1
01
b
11
d
t3
t4
00
t5
Figure 41: Tree diagram for rate=1/3

and K=3
Manjunatha. P
(JNNCE)
80 / 83
Solutions
Solutions
7.6 An encoder diagram is shown in Figure. Find the encoder output for an input sequence 1 0 0 1 0 1 0
Input U
Output
Figure 43: problem 7.6

Solution:
Connection vectors and polynomials are: g1 = [1 0 1], g2 = [1 1 1]
g1 (X ) = 1 + X 2 , g2 (X ) = 1 + X + X 2
For the following table, column 1 represents the given input, column 2 represents the contents of the registers and column 5
represents the output for the given input.
Table 9: State transition table (rate=1/2, K=3)

Input
bit
1
0
0
1
0
1
0
Manjunatha. P
(JNNCE)
Register
Contents
000
100
010
001
100
010
101
010
State at
time ti
00
00
10
01
00
10
01
10
State at
time ti + 1
00
10
01
00
10
01
10
01
Output
00
11
01
11
11
01
00
01
81 / 83
Solutions
Solutions
7.6 Figure shows an encoder for a (3,1) convolutional code. Find the transfer function T (D) and minimum free distance for this
code. Also, draw the state diagram for the code.
Input U
1
Output
Manjunatha. P
(JNNCE)
82 / 83
References
[1] S. Lin and D. J. C. Jr., Error Control Coding, 2nd ed.
Pearson / Prentice Hall, 2004.
[2] R. Blahut, Theory and Practice of Error Control Codes, 2nd ed.
[3] J. G. Proakis, Digital communications, 4th ed.
Addison Wesley, 1984.
Prentice Hall, 2001.
[4] J. G. Proakis and M. Salehi, Communication Systems Engineering, 2nd ed.

2002.
[5] S. Haykin, Digital communications, 2nd ed.
Manjunatha. P
(JNNCE)
Prentice Hall,
Wiley, 1988.
83 / 83

Convolutional Codes

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Convolutional Codes

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Coding Techniques[1, 2, 3, 4, 5]

Encoding of Convolutional Codes

Encoding of Convolutional Codes

Encoding of Convolutional Codes

Encoding of Convolutional Codes

Encoding of Convolutional Codes

Transmission through noisy channel causes errors in data.

Encoding of Convolutional Codes

Encoding of Convolutional Codes

Type of Errors Single-bit error

Encoding of Convolutional Codes