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Continuous Phase Modulation-Part



Abstract-An analysis of constant envelope digital partial response

continuous phase modulation (CPM) systems is reported. Coherent
.thechannel is Gaussian. TPe receiver
observes the,received signal over more than one symbol interval to
make use of the correlative, properties of the transmitted signal. The
systems are M-ary, and baseband pulse shaping over several symbol
intervals is considered. An optimumreceiverbased on theViterbi
algorithm is presented. Constant envelope digital modulation schemes
withexcellent spectraltailpropertiesare
given.The spectrahave
extremely low sidelobes. .It is concluded that partial response
systems have spectrum compaction properties. Furthermore, at equal
or even smallerbandwidththanminimumshiftkeying(MSK),a
considerable gain in transmitter power can be obtained. This gain
increases with M. Receiver


HIS paper presents constant envelope digital modulation

T s y s t e m s having both good symbol error and spectral properties. The systems developed and studied are calied partial response continuous phase modulation (CPM) systems.This is
because thedatasymbolsmodulatetheinstantaneous
of the transmitted signal and this phase is a continuous function of time. One single data symbol affects this phase over
morethan .one symbol interval,an approach called partial
response signaling [l J , [3], [8]. The general class of signals
is defined in Part I.
Previously,power spectraforsystems
of thistype have
been analyzed,forexample, in [5.],[9] , and[14].Inthis
paper the analysis of the performance of the optimum detector for an additive white Gaussian channel is given. Some work
on a suboptimum detector for a very special case of the CPM
signaling scheme appears in [ 131 .
As was treated in Part I of this paper, several attempts have
been made t o improve the asymptotic spectral properties for
binary furl response CPM systems with modulation index h =
1/2, compared to. minimum shiftkeying (MSK). Considerable
asymptotic improvement can be obtained by making the phase
smoother at the .bit transition instants, but even though the
spectral propertieswith
are asymptotically
good, they are sometimes inferior t o MSK.for low and intermediate frequencies. But aresult of Part I is that if fullresponse CPM systems are t o be used, a more attractive tradeoff
Manuscript received March 19, 1980; revised September 19, 1980.
This work was supported by the Swedish Board of Technical Development under Contract 79-3594.
T. Aulin and C.-E. W. Sundberg are with the Department of Telecommunication Theory, University of Lund,Fack, S-220 07, Lund,
N. Rydbeck is with SRA Communications AB, S 163 00, Sp%nga,

11: Partial Response


between error probability

spectrum is
achieved by using more levels than two and moderate smoothing of the phase at the symbol transition instants.
As will be shown in this paper, the use of partial response
CPM systems yields a more attractive tradeoff between error
probability and spectrum than does the full response systems.
The spectral properties are improved at almost all frequencies
and the firstside-lobesareconsiderably
lower. This spectral
improvement takes place without increase of the probability
of symbolerrorat
practical signal t o noise ratios. Theimprovement is obtained by introducing memory in the modulation process. The price for the improvements is system complexity, especially with respect to the optimum receiver. n
practice, only rational values of the modulation indexare useful, but it will be convenient here to imagine that h is real.

In this sectiongeneral properties of the minimum Euclidean
distance as a function of the real vaiued modulation index h
are given for partial response CPM systems. This distance is ilefined in Part I.
The Phase Tree and the Phase Difference Tree
An important tool for

calculation of the minimum Eucli-

dian distance is the so-called phase tree. This tree is formed by

the ensembleof
phase trajectories having a commonstart
phase (root), say zero, at time t = 0. The data symbols forall
the phase trajectories in the tree before this timeare all equal.
The value of these previous data symbols (the prehistory) can
be chosen arbitrarily, but for unifying purposes they will be
chosen t o be M - 1; i.e., ai = M - 1; i = -1, -2,
An example of a phase tree for a binary partial response CPFSK System is shown in Fig. 1 and the frequency pulse g(t) is




When a calculation of the minimum Euclidean distance is to

be performed, the first pair of data symbols by definition must
be different, and hence the phase trajectories are always different over this symbol interval.Goingdeeper into the tree
however, it is always possible to find a pair of phase trajectories
whch coincide (modulo 27~)at a specific time, and do so ever
after. This is called a merge. Denoting the time where the two
phase trajectories merge by r&, it can be seen that the calculation of the Euclidean distance only has t o be performed over
the interval o st < t,; see (21), Part I.

0090-6778/81/0300-0210$00.75 0 1981 IEEE

21 1



- hn


Fig. 1. Phase tree (ensemble of phase trajectories) when the frequency pulse g(t) is constant and of length L = 3. It is assumed that all the binary (M= 2) data symbols prior to t = 0 are all + l . Note that A is a crossing and not a merge. B and
C denotes first and second merges, respectively. Note: characters with underbars appear boldface in text.

The phase difference trajectories are defined by

since this corresponds t o a phase difference trajectory which is

identically equal t o zero for all t 2 tm .
In Fig. 2 the phase difference tree with sign symmetry removed is given for the frequency pulse defined by (1). Merges
are also shown. Note that in Fig. 1 pairs of phase trajectories
must be consideredincalculatingEuclidean
distance, but in
Fig. 2 only single phase difference trajectories need t o be.

The phase difference tree is now obtained from the ensemble

Weak Modulation Indices hb
of phase differencetrajectories. Since the first pair ofdata
As was mentioned earlier,a phase difference trajectory
symbolsmust be different in the phase tree, the firstdifference symbol yo must not equal zero in the phase difference identically equal t o zero for all t 2 tm defines a merge. Since
tree. In the phase tree the prehistory is the same for all phase the phase difference tree always must be viewed modulo 2n in
trajectories, and thus the difference symbols forming the pre- conjunction with distance calculations, a merge that depends
history in the phase differencetreemust
all be zero. This upon the modulation indexh is obtained if there exists a phase
means that the phase difference tree does not depend on the
difference trajectory whichequalsa nonzero multipleof 2n
prehistory and hence, neither do the Euclidean distances (see for all t 2 tc.. The value of a phase difference trajectory de(24), Part I).
pends on the modulation index h , and a situation like this ocSince there is a sign symmetryamongthe differencesecurs if
quences and thus also among the phase difference trajectories,
1) there exists a phase difference trajectory which is a conthis can be removed for calculation of Euclideandistances.
stant not equal to zero forall f > t,;
This is clear from I-(24) and the fact that cosine is an even
2) the modulation index h is chosen so that this constantis
function. For calculations of the minimum Euclidean distance, a multiple of 2n.
when the receiver observation interval equals N symbol interSince any phase difference trajectory is achieved by feeding
vals, it is sufficient to consider the phase difference tree, using the differencesequence into afilter having the impulse rethe difference sequences YN defined by
sponse q ( t ) and multiplying the output of this filter by 27rh,
the first requirement is met for tc = LT by choosing
yi = 0


yo = 2 , 4 , 6 , .-, 2(M- 1)

The merges are easily identified in the phase difference tree,


-, 2(M - 1);

i =0

since for frequency pulses g(t) of length L symbol intervals

q(t) = q(L7'), t 2 LT. Sometimes this can occur also for t, =


IEEE T R A N S A C T I O N S ON C O M M U N I C A T I O N S , VOL. COM-29, NO. 3 , MARCH 1981


Fig. 2. Phase difference tree when the frequency pulse g ( t ) is constant and of length L = 3 symbol intervals. Note that A
is not a merge since the trajectory cannot be identically zero in the future. B and C denotes merges. Characters with underbars appear boldface in text.

(L - 1)T, (L - 2)T and so on, but only for specific phase responses 4 ( t ) .
The second requirement above is satisfied if
2nh,y0q(LT) = k 2n; k = 1,2,...
yo = 2,4,6, 2(M- 1)


In Fig. 3 the minimum normalized squared Euclidean distance is shown versus h when N = 1, 2,-.., 10 observed symbol intervals for the binary CPM system given by (1). It is
seen thatformost
h theminimum Euclideandistance increases to an upper bound
d B 2 ( h ) with N , but not for the
weak modulation indices

where it is assumed that 4(LT) # 0. Thus, for these modulation indices, in the sequel called weak, h, satisfies
k = 1 , 2 , ...

It can also be seen that some of the weak modulation indices, e.g., h, = 415, 718 donotaffectthegrowth
of the
yo = 2,4,6;-,
2(M- 1).
(6) minimum Euclideandistance with N . This will be discussed
later. However,indices such as h, = 312 are
A merge, modulo 2n,occurs at t = L T.
In a similar way,the phase difference trajectorycan be
An Upper Bound on the Minimum Euclidean Distance
made constant forall t > t, = (L + U ) T by choosing


2,4,6, 2(M - 1);

i =0
0 , k2, SI,
&2(M - 1); i = 1 , 2 , -, AL

Ti =

- 0 ,



and the weak modulation indices are

h, =



i= 0


k = 1,2,3,...

. _
nI ,

A phase difference trajectory identically equal t o zero for

all t >, t , does not increase the Euclidean distance if the observation interval is made longer than N = t m / T symbol intervals. By choosing any fixeddifferencesequence
so that a
merge is obtained, a limitedupperboundontheminimum
Euclidean distance is obtained.
The first time instant for which any phase difference trajectory can be made identically zero ever after is in general
t = (L
l ) T , where L is the length of the causal frequency
pulse g(t). This is called thefirst merge, and the phase difference trajectories giving this merge are obtained by choosing
the difference sequences


It can be noted that for a given finite interval of the modulation index, the numberof weak modulation indices within this
interval increases with M as in Part I.

I o

i> 1





D h


Fig. 3. The upper bound on the minimum Euclidean distance (dashed)

and minimum distance curves (solid) for 1 < N < 10 observed symbol intervals. The pulse g(t) is constant and of duration 3T [equation (I)] a n d M = 2.

and thus the phase difference trajectories are

By taking the minimum of the Euclideandistancesbetween

the signals having the phase difference trajectories above, an
upper bound on the minimum
Euclideandistance as a function of h , for'fix M and g(t), is achieved just as in Part 1. The
resulting bound is more complex, however.
One can also consider second merges, that is phase difference trajectories which merge at t = (L + 2)T. These phase
difference trajectories are obtained from (2) by using

Yi =



2 , 4 , 6 , -, 2(M- 1);

0, +2, +4, -., +2(M- 1); i






yi = 0.
i= 0

It might happen that the Euclideandistanceassociated with

these phase differencetrajectories for a .specific h is smaller

thanthose giving the first merge. Hence, theformerupper

bound can be tightened by also taking the minimum of the
withthe second merge. This
new upper bound mightalso be further tightened by taking
third merges into account, andso on.
The exactnumber of merges needed to give an upper
cannot be
bound on the minimum Euclidean distance which
further tightened is not known in the general case, but in n o
case treated below were merges later,thantheLth
[16]-[18], [21]. For the full response case (L = 1) it was
shown in Part I that first merges give the tight bound.
Fig. 3 shows the resulting upper bound dashed for the CPM
scheme defined by (1) together with actual minimum normalized Euclidean distances when N = 1, 2, .-, 10 observed symbol intervals. The upper bound is the minimum of three functions corresponding to the first three merges [21].
As was mentioned earlier, not all weak modulation indices
affect the minimum Euclidean distance. In this case the phase
difference trajectories associated with (7) give larger Euclidean
distances than the upper bound. Only those weak modulation
indices which have phase difference trajectories having distance
smaller than the upper bound affect the minimum Euclidean
distance [21].
Weak Systems
In general, the first inevitable (independent of h) merge occurs at t = (L + l)T. However, there are partial response CPM
systems which have earlier merges, depending on the shape of
the frequency pulse g(t) and the number of levels M , but not
the modulation index h . A partial response system is said t o be
weak of order L C , if the first inevitable merge occurs at t =
(L + 1 - L,)T. LC cannot be larger than L . A class of firstorder weak systems are those where the frequency pulse g(t)
integrates t o zero, i.e., q(LT) = 0. The sequence (10) of course
still gives a merge, but not By choosing

the phase difference trajectory now equals zero for all t 2 LT;
see (2). Examples of weak systems are given in [ 181 and [2 11 .
The partial response CPFSK system having the frequency pulse




is a weak system of the first order [21] .

The main conclusion concerning weak systems is that they
should be avoided, since the potential maximum value of the
minimum Euclidean distance, indicated by the upper bound
d B 2 @ ) , will never be reached due to the early merges. More
results for weak systems can be found in [1.8] . We have found
that there is little difficulty choosing pulses in such a way that
the resulting schemes does not have the weak property considered above. This will be clearly illustrated in the following.



VOL. COM-29, NO. 3, MARCH 1981

mum of these Euclidean distances gives the minimum Euclidean distance over N = 1 observed symbol intervals.
When the minimum Euclidean distance for N = 2 observed
A fastsequentialalgorithmfor
computation of the minisymbol
intervals is to be computed, onlythoseyo-values
mumEuclideandistance, for any real valued modulation inwhose
distances when N = 1 did not exceed the
dex h and large numbers N of observed symbol intervals, has
The secondcomponent of the difference
been developed. The algorithm is sequential in N a n d uses the
be y1 = -2(M - l), -2(M - 2), -,
basic properties of the minimum Euclidean distance, namely
distance is computed through
that it is upper bounded and is a nondecreasing function of N
whose corresponding Euclidgiven g(t), h, and M . The sequential property is obtained from
bound will be stored as
forcoherent CPM
3. The algorithm consystems are additive. This means that if the squared Euclidean
distance has been calculatedfor N symbol intervals, the squared
Euclidean distance for N + 1 observed symbol intervals is obIt is clear that any finiteupperboundontheminimum
tained by just adding an increment to thepreviously calculated
be used forcuttingsubtrees. If the
squared Euclidean distance. This holds for fixed difference seupper
however, the number of possible
quences y, and can be seen from the expression for the nordifference
The algorithm will naturally be
malized squared Euclidean distance
as fast as possible if the smallest possible upper bound is used.
This algorithm has empirically been found to increase only
linearly in computational complexity with N, and not exponentially as thebrute force method. Without thisalgorithm
the results on the minimum Euclidean distances presented in
the next chapter would be impossible t o achieve. Using this
algorithm allows observation intervals up to a couple of hundred symbol intervals, although N 5 100 is usually sufficient.





In the previoussections
tools have beendeveloped
evaluating the minimum Euclidean distance of any CPM system, and thus also the performance in terms of symbol error
probability at large SNR. These tools will now be applied t o
selected classes of CPM systems. The chosen schemes are in no
specific sense optimum. Systems are achieved, which are reasonably easy to describe and analyze and which have attractive properties.
The first class of partial response CPM systems analyzed in
this chapter is defined by the frequency pulse

A brute force method for calculating the minimum Euclidean

distance for a givenN is to computed2(yN,h) for all sequences
yN defined by (3) and take the minimum of all the achieved
using this
method grows exponentially with N since the number of difference sequences of length N is (M - 1) (2M - 1y-I and
even for M = 2 it is unrealistic to calculate theminimum
Euclidean distance for moderate N-values.
A flowchart for a more efficient algorithm can be seen in
i.e., the frequency pulse g(r) is a raised cosine over L symbol
Fig. 4. It is assumed that the minimum Euclidean distance is
intervals. The class is obtained by varying M , L , and the moduto be calculated for a CPM system when the modulation inlation index h.
dex is h = h,in, hrnin+Ah,.-, hrnax-Ah, hmax and for 1 <
Another class of CPM systems which also will be considered
N < N,,, observed symbol intervals. The first step is t o com- are those having the Fourier transform of the frequency pulse
pute the upper boundd B 2 (h) on the squared minimum Euclidean distance for the given h-values. Now all the Euclidean dis- g(t)
tances for N = 1 observed symbol intervals are computed, i.e.,
the difference sequence if yo = 2 , 4 ,
2(M - 1). If any of
these distances is larger than the upper bound for that specific
h-value, the entire subtree having the corresponding yo-value
will never be used. This can be done since the Euclidean distance is a nondecreasing function of N for fixed h. The miniI 0;



I Caroute

an upper bound


Read Sequence o f l e n g t h N - I
,yN-, , corresponding


distance d$-,(hland

yo: =2




start value

o f phase d i f f e r e n c e t r a j e c t o r y

f r o m s c r a t c h pad



trajectoj 0

5 t 5 T and

corresponding distance

Carputs phase d i f f e r e n c e t r a j e c -

t 5 NT andinci-e-


rent of the distance Adi(hl,


1 Adi[hl


rence trajectory



on s c r a t c h


yo: = y 0 * 2


Fig. 4. (a) Flowchart for the sequential algorithm for computation of

minimum distances d & " , ~ ( h ) ,1 < N < N,,,,
h,in Q h < h m a x .
(b) Continued.

i.e., the Fourier transform of the frequency pulse g(t) is raised

cosine shaped [ 4 ] .The frequency pulse is


. cos [E]
L T.



which has an infinite duration. The third class of CPM systems

has previously been considered [I31 for the specific case h =
1/2, M = 2 , and an approximation of the frequency pulse used
is 1171, [21]

r, +


2sin(nt/73-(2nt/73cos(nt/T)-(nt/v2 sin(nt/v
1 -4($7


d t >= k o i t -


+go@ + 731


This scheme will be referred to as the TFM (tamed frequency
modulation) system as in [ 131 . It will be analyzed only for the
binary case, but the modulation index will not be constrained
to 1/2 as in the approximate analysis presented in [ 131.
The schemes given by (18) will be denoted 1RC (= RC),




VOL. COM-29, NO. 3, MARCH 1981

2RC; 3RC, etc. since the frequency pulse g(t) is a raised cosine
of length L = 1, 2, 3 etc. The schemes defined by (20) will be
denoted lSRC, 2SRC etc. since the frequency pulse g(t) has a
is raised cosine shaped(Spectral
Raised Cosine) and the width of the main-lobe of this pulse
is L = 1 , 2 , 3 etc.
Binary Systems

The R C class will now be analyzed by means of the minimum Euclideandistance.The

simplest ofthesesystems
naturally the 1RC scheme,which was considered in Part I.
The minimum normalized squared Euclidean distance for the
2RC scheme is shown in Fig. 5 when the receiver observation
interval is N = 1, 2, 3, 4, and 5 symbol intervals. The upper
bound on the minimum Euclidean distance is shown dashed.
For h = 1/2, all binary full response CPM systems including
MSK have theminimum squaredEuclideandistance2
Part I). For this h-value the 2RCsystem yields almost tlie same
distance when N = 3; the exact.figure is 1.97. Hence, MSK and
2RC with h = 1/2 have almost the same performance in.terrns
of symbol error probability for large SNR, but the optimum
detector for the 2RC system must
observe one symbol interval
more than that for the MSK system.' It can be expected, however, that the 2RC, h = 1/2 system has a more compact spectrum due to its smoothphase tree;and this will be discussed in
Section V.
For the binary full response CPFSK system, the maximum
value of the minimum Euclidean- distance is 2.43 when h =
0.715 and N = 3 [23]. Fig. 5 shows that larger values of the
minimum Euclidean distance can be obtained for the 2RCsystem. When h = 0.8 the minimum Euclidean distance is 2:65
for N = 4. From a spectra1,point of view, however, low modulation indices should be used. It can be seen that in tlie region
0 < h '< 112, the upper bound is reached with N = 3 observed
symbol intervals.
The phase tree for the binary 3RC system is shown in Fig.
6 and the specific shapz of a phase depends upon the present
and the two preceeding data symbols. This makes the phase
tree yet smoother than for the 2RCcase [20] . The first merge
occurs at t = 4T. Note thestraight lines in the phase.tree.These
occur for all RC-schemes and they can be used for synchronization [24] ,.[28] . Note also that the slope in thephase tree is
never larger thanhn/T (i.e., the slope of the full response
CPFSK tree, Fig. 2 in Part I). This is true for all binary RCschemes. Theminimum normalizedsquaredEuclidean
distances for this scheme are shown in Fig. 7 when N = 1 , 2 ,
6 and N = 15 observed symbol intervals. The upper bound
d B 2 @ ) has been calculated through the method described in
Section 111, using the first, second, and thirdmerges.
For N = 1 observed symbol interval, the minimum Euclidean distance is very poor for almost every modulation index,
but already with N = 2 it is increased significantly and when
N =.4 the upper boundis reached inthe region 0 <h 5 112. The
upper bound in this region is lower than for the 2RCsystem,
however.Outside this region larger minimum Euclidean distances can now be obtained, and for h = 0.85 the upper bound
is reached with N = 6observed symbol irltervals and takes
values around 3.35. The maximum value of the upper bound
occurs for an h-value slightly smaller than h = 1.


Fig. 5.



1 .o



Minimumsquared Euclidean distance versus modulation index

h for the binary 2RC scheme.



- 1 ,.

Fig. 6 .

Binary phase tree for 3RC, h'= 4/5;The assignment of states is

used in Section VI.

There is an apparent weak modulation index when h = 213,

but this is not a true weak modulation index since the minimun Euclidean distance in fact increases (by a' small amount)
when N is increased. This behavior is caused by a crossing and
not ,amerge, andthe phase trajectories are close afterthis
crossing. The effect can be seen in the phase tree in Fig. 6 , for
this specific modulation index, if the phase' is viewed modulo
Phase trees and minimum distance graphs for 4RC, 5RCare
found in [ 171 , 1201 , and [21] . The distance/modulation index plot of the binary 6RC scheme is shown in Fig. 8. Note
that the peak d2(h) value is larger than those for the shorter











NL 1


Fig. 7.

Fig. 8.

Minimum squared Euclidean distance versush forM = 2,6RC.



1 .O


Minimum squared Euclidean distance versus modulation index

h for binary, 3RC. N is the receiver observation interval. The upper

bound is shown dashed.

pulses and it occurs for a larger h-value. Also note that the distance value at h-values below 0.5 decreases with L . Fig. 8 also
shows that longer pulses require longer observation intervals.
For the binary 6RC system,minimum Euclideandistance
values above 5 can be obtained when h % 1.25 and N = 30 observed symbol intervals. Thiscorresponds t o an asymptotic
gain in SNR of at least 4 dB c,ompared to MSK.
These trends are summarized in Fig. 9 using data in [I71
and [ 2 i ], where upper bounds for the RC family 3 < L < 6
are shown. Except for a few weak h-values, the minimum distance equals dB2(h)for sufficiently large N-values.
The binary system 8RC is second-order weak, i.e., the upper bound on the minimum Euclidean distance calculated by
using the merge difference sequences can be further tightened
by also taking intoaccountthe
sequence giving the early
merge at t = 7T. The two systems 7RC and 9RC are not weak
according to the above definition, but since they are very close
to the 8RC system they are "nearly weak." Thus, for 7RC and
9RCN must be chosen very large for all modulation indices to
make the minimumEuclideandistanceequal
bound dB2@), even for very low h-values. For further details,
see [I71 and [21].
From a spectral point of view it is intuitively appealing to

use strictly bandlimited frequency pulses g(t). A frequently

used pulse for digital AM-systems is the SRC pulse [ 4 ] .This
pulse is of course of infinite duration.
The phase tree for the binary 3SRC system with the frequency pulse g(t) given by (20) with L = 3 truncated symmetrically to a total length of 7 symbol intervals is very similar t o
the 3RC tree in Fig. 6 . It is believed that an optimum detector
forthe 3RC systemworks well if thetransmitted signal is
3SRC, but the distortion in the 3SRC phase tree will appear
as a slightly increased noise level. This assumption must of
course be properly shown. Fig. 10 shows the minimum normalized squaredEuclideandistancesfor
the binary 3SRC
scheme. The pulse g(t) has been truncated to a total length of
7T. By comparing these minimum Euclidean distances t o those
for the binary 3RC system (see Fig. 7), it is indeed seen that
they are very similar. The number of observed symbol intervals required to reach the upper bound dB2(h) must be increased for the 3SRC system, however. This is due to the tails
of the 3SRC pulse.
A bandwidth efficient digital CPM system was recently developed and given thenametamedfrequencymodulation
[ 1 3 ] ,or TFM. This binary system uses the bandlimited frequency pulse given by (21). This systemhas modulation index 1/2, and the detector is constructed with the assumption
that the transmitted signal is linearly modulated, and is therefore suboptimum. The detector is simple, however, and simulations have indicated that the performance in terms of symbol
error probability for a given SNR is very close to the optimum
detector [I31 . This system will now be analyzed by means of
the minimum Euclidean distance; it has been generalized to include all real valued modulation indices. The result can be seen





d21 h l




Fig. 10. Minimumsquared Euclidean distances versus h fora binary

modulation system with a spectral raised cosine pulse 3SRC, truncated to a total length of 7T.

I I f ! .

P h

1 .o

Fig. 9.


Summary of upper boundsfor 3RC-6RC. MSK is shown for


in Fig. 11. The subpulse go(;) given by (22) has been truncated
t o a total length of five symbol intervals.
The main-lobe of the frequency pulse g(t) used for the TFM
system is approximatively 3.7T. For h = 1/2 the upper bound
on the minimum Euclidean distance is reached with N = 10
observed symbol intervals and equals 1 S 8 . The value of the
upper bound for 3RC and 4RC when h = 1/2.iS 1.76 and 1.5 1,
Quaternary and Octal Systems
In Part I it was found that multilevel systems (M = 4, 8,
.-) yield larger minimum Euclidean distances than binary systems. The first quaternary partial response CPM system within
the RC class is 2RC. Now four phase branches leave every
node in the phase .tree, depending on the data symbols ?1, +3.
The phase tree for the binary 2RC system forms a subtree of
the quaternary system. Thefirst merges occur at t = 3T.
The result of the distance calculations, using the algorithm
described in Section 111, are shown in Fig. 12 for the M = 4 ,
3RC scheme:Distancecalculations
for various M-ary RC

Fig. 11.

Minimum squared Euclidean .distancesversus h for TFM. The

subpulse go(t) is truacated to a length of ST.

schemes are reported in [17] and [21]. The trends already observed for the binary system again appear as the length of the
frequency pulse g(t) is increased. The upper bound decreases
for low modulation indices and increases for large modulation indices. Actually, very large values of theminimum






1 .o


Fig. 12. Minimum squared normalized Euclidean distance versus h for

M = 4, 3RC. The upper bound is reached with N = 12 symbols in the
interval 0.25 S h < 0.5.

Euclidean distance are obtained in the region h % 1.3 and a

receiver observationintervalof
N = 15symbol intervals is
enough to make the minimumEuclideandistancecoincide
with the upper bound. For these h-values the minimum Euclidean distance takes values around 6.28. This corresponds to an
asymptotic gain of 5 dB compared t o MSK or QPSK.
Minimum Euclidean distancecalculations have also been
performed for the octal (M = 8) and'hexadecimal (M = 16)
systems using the frequency pulses 2RC and 3RC. The results
can be found in [ 171 and [21]. The main conclusion concerning these results is that the trend for increasing L holds, i.e.,
lower values of dB2(h)for low modulation indices, larger
values of ds2(h) for large modulation indices and an increased
number of symbol intervals required in order to make the actual minimumEuclidean distance equal t o the upper bound
d ~ ~ ( hThe
) . octal 3RC system yields a minimum Euclidean
distance of 9.03 when h = 1.38 [21] withN = 12 symbol intervals required. The asymptotic gain in terms ofEb/N0 compared to MSK or QPSK is 6.5 dB.

The power spectra (double-sided) can be obtained by numerical calculations,simulations in software,and hardware
measurements. Numerical calculations have beencarried out
by using formulas in [25]. These computer calculationsare
very time consuming, especially for large M and L values and
for large fTvalues. The bulk of the spectra in this paper have
been obtained by means of simulations, a much faster method.
For each pulse shape, M , h, and L value, the simulated spectra
have been compared t o numerically calculated spectra and a
close fit was observed [26J . Comparisons have also been made
to previously published numerically calculated spectra in [SI ,
[9], and [14].
.*',Thesimulated spectra have been calculated by the use of a
well-testedsimulation program [ 171 . In thesesimulations,
which are made in discrete time, the complexenvelope ei9(r9a)
has been sampled four timespersymbolinterval.The
symbol sequence is a randomly generated 128 symbolslong
theestimated power spectrum is the
the discrete Fouriertransform (DFT)
applied to the complex envelope eilP(r'a).These limitations
in thespectraand in some cases
simulations have been performed using eight samples per symbol interval of the complex envelope. No significant change in
the result has been observed.
The behavior of the power spectra for large frequencies is
also of interest. It is not feasible t o use the above-mentioned
methods t o obtain the spectral tail behavior due to numerical
inaccuracy. In [SI the asymptotic behavior of partial response
CPM systems is given. The number of continuous derivatives
of g(t) determines the fall-off rate for large frequencies [SI,
[26], as discussed below.
Fig. 13 shows the power spectra for the binary CPM systems 2RC, 3RC, and 4RC when h = 112. For comparison the
spectrum for MSK is also shown. The frequency is normalized
with the bit rate 1ITb, where T = Tb*log2M and the spectra
are shown in a logarithmic scale (dB). The spectrum for MSK
falls off as 1 f I-' and for the RC-systems as 1 f I-* for large
frequencies [SI. For full response CPM systems the improved
fall-off rate has t o be paid for by increased first side-lobes. It
can be seen from Fig. 13, that by also increasing the length of
the frequencypulseg(t), the side-lobes can be made to decrease.
The power spectra are thuscompactandthe
very small with long pulses.
The effect of changing the modulation index h for the binary.RC systems have been studied indetailin
[17], [21],
and [26]. The general trend is that the spectra become wider
for increasing h-values, but normally maintain their smooth
shape. As an example, see Fig. 14. For h-values equal t o integer values, spectral lines occur [SI, [25].
AS can be expected, even more compact spectra can be obtainedby using strictly bandlimited pulses g(t) of the SRCtype. Fig. 15 shows the power spectra for the binary system
6SRC, when the modulation index is h = 0.4, 0.5, 0.8, and
1.2. In this simulation the infinitely long frequency pulse given
by (20) has not been significantly truncated [17] . It can be
seen that these spectra are more compact than those for the



Fig. 13.

Power spectra for binary CPM schemes with various baseband

pulses. h = 0.5.

Fig. 14.

Power spectra forM = 2,4RC. h = 0.5,0.8,and 1.2.

Fig. 15.

VOL. COM-29, NO. 3, MARCH 1 9 8 1

Power spectra for M = 2,6SRC. No pulse truncation.

RC system for large frequencies. No side-lobes at all can be

distinguished for the 6SRC spectra shown.
Bandwidth is not a quantity which is precisely defined for
signals that are not strictly bandlimited.A common way of defining bandwidth for such signals is by means of the fractional
out-of-band power (see Part I). Naturally,thisdefinition of
bandwidth can also be used for the CPM signals considered in
thispaper. However, since the power spectra are extremely
is not simple,
bandwidth will insteadbe defineddirectly fromthe power
spectra. Thus, the bandwidth 2BTb is the bit rate normalized
frequency for which the spectrum itself equals -60 dB when
f = B. The level -60 dB has been chosen in order t o illustrate
constant envelope modulation schemes which have spectra
sufficiently well-behaved t o make bandlimiting radio-frequency
filtering unnecessary.
Just likefull response CPM systems multilevelpartialresponse CPM systems yield more compact spectra than binary
systems for fixed frequency pulse and distance. An example of
this behavior is shown in Fig. 16, where the power spectra for
the quaternary system (M = 4 , 3 R C ) is given for h = 0.25,0.4,
0.5, and 0.6. By comparing to the corresponding binary systems, it can be seen that the spectra have been compressed by
using four levels instead of two [17] , [21]. Note that the frequency is normalized with the bit rate l/Tb and not the symbol rate 1 / T .
Power spectra for multilevel systems having strictly bandlimited frequency pulsesg(r) are shown in [17] and [21] . The
systems there are quaternary 3SRC and 4SRC, and octal3SRC,
respectively. For each of these systems spectra are shown for

22 1


gers) there are p different phase states with values 0, 2n/p,

2*2n/p, -., (p - 1)21r/p. The state is defined by the L-tuple
4, = ( O n , a n - l , a n - , ,
( Y , - L + ~ ) .The total number of
states is S = P M ( ~ - ) .Transmitterand receiver structures
utilizing these properties are described below.
Fig. 6 shows the phase treefor a binary systemwitha
raised cosine pulse of length L = 3 (3RC) for h = 4/5. Phase
states and correlative states are assigned t o the nodes in the
phase tree. The root node is arbitrarily given phase state 0.
Each node in the tree is labeled withthestate ( O n , an- 1 ,
anL2).The state trellis diagram can be derived from Fig. 6.
The. transmitted signal can always be written

s(t, a) =


cos (2nf0t)- Q(t)sin (2nfot)I


Fig. 16. Powerspectra for M = 4, 3RC. Note thatthefrequency
normalized with the bit rate 1/Tb in all spectrum figures.


various h-values. The same comparisons between the R C and

the SRC schemes hold for theM-ary as for the binary case.
It is assumed that the pulse g(t) has finite length LT, i.e.,
< 0 and f > LT. Since g(t) is time limited, 4 ( t )
is 0 for t < 0 and constant at q(LT) for t 2 LT. For positive
pulses g(t), e.g., the raised cosine pulses (18), q(L7) = 1/2.
Thus, the informationcarrying phase I-(5) can be written as

Hence, for nT< t G (n

+ l)T

Z(t) = cos [ O ( t , a)] cos 8, -sin [ O ( t , a)] sin 8,

Q(t)= COS [e(t, a)] sin en

+ sin [e@,a)] COS O n .

g(t) E 0 for t

The basic transmitter structure is given by (25) and (26). The

I-and @generators can be implemented in different ways. Fig.

17 shows an example based on (27) and (28). By also using

(29), the ROM (read only memory) size can be reduced by a
factor of p, but adders and multipliers must be used as in Fig.
18. Alternative structures are presented in [24]. These transmitters work for all rational h-values and time limited pulses
g(t). Only the ROM contents change. An exact rational rela= 2nh
aiq(t -iT) + h n
tionship between h and 1/T is obtained. Both ROMs in Fig.
z=18 (phase branch ROMs) are of size N,-N, *ML bits, where
N, is the number of samples per symbol interval andN, is the
number of bitsper sample.The size of the cos (e,) and sin (e,)
Hence, for given h and g(t) and for any symbol interval n, the ROMs is p . N q . The phase states are accessed sequentially
phase 9(t, a) is defined by a, , the correlative state vector ~ 4 1 .
( a n ~ 1 , ~ n ~ 2 , ~ ~ ~ , ~ n ~ ~ + 1 ) a n d t h e p h Q s e s t Q t e O n , w From
h e r e a spectral point of view it is desirable t o use strictly
bandlimited pulses g(t), e.g., the SRC pulse given by (20). This
pulse must be truncated to some length L T , and hence the
phase branch ROMs become a factor M ( L T - L ) larger, comOn = h n
pared to an R C pulse of length L .


Receiver Structures
The number of correlative states is finite and equal
For rational modulation indices the phase tree is reduced t o a
The receiver observes the signal r(t) = s(t, a) + n(t), where
phase trellis [IO], [12] , [22] , [28] . For h = 2k/p (k, p inte- the noise n(t) is Gaussian and white (see Part I). The MLSE



VOL. COM-29, NO. 3, MARCH 1981

5.It is equivalent to maximize the correlation


Now define

Thus, it is possible t o write


Fig. 17. I- andQ-generators.Characters with underbarsappear boldface in text.

Using the above formulas it is possible to calculate the function J(5) recursively through (33) and the,metric 2,(3). This
metric is recognized as a correlation between the received signal over the nth symbol interval and an estimated signal from
the receiver.
The Viterbi algorithm [7] is a recursive procedure to choose
those sequences that maximizes the log likelihood function up
to the nth symbol interval. A trellis is used to choose among
possible extensions of those sequences. The receiver computes
2, (Zn, 8,) for all ML possible sequences En = { E H , 6, - 1 , -,
and all p possible
This makes p.ML different Zn
values. Rewriting (34) using (27) yields



...., ........._....


lt is seen that 2, (&, 6,) is obtained by feeding the signal r(t)

into a filter and sampling the output of the filter at t = (n
1)T. In this case a bank of bandpass filters must be used.
The noise n(t) is written

rz(t)= x ( t )
Fig. 18. I- and @generators withreduced ROM size. Characters with
underbars appearboldface in text.

cos aot-y(t)

- sin



Using the basic quadrature receiver the received quadrature

components are

receiver maximizes the log likelihood function 123

log, [p,(t)l&(t) 15))



[r(t) - 4 t , 611 d t


with respect to the infinitely long estimated sequence C. The

maximizing sequence G is the maximum likelihood sequence
estimate and p r ( r )I is the probability density function for the
observed signal r(t) conditioned on theinfinitely long sequence By insertingthesecomponentsin

(35) and omitting double



frequency terms, we have





alternative Drocessor

for t outside [0, r]

Fig. 19.

H = F/4.



h&, 4l) =


1 sin

[ 5


Q((1 -j)T - t )

j= -L+ 1

for t o u t s i d e [0, r ] .

The number of filters required can be reduced by a factor of

two by observing that every ii-sequence has a corresponding
sequencewith reversed sign. Fig. 19 showsan optimum receiver with F = 2 M L matched filters.The outputs ofthese
filters are sampledonce every symbol interval. The metria
Z , (Gn,8,) are obtained by the use of (38) and used by the
Viterbialgorithm. A delay of NT symbol intervals is introduced. .Alternative receiver structures are given in [ l 11 , [12]
and [24].
A method has been developed for calculationof upper
bounds on the symbol error probability for a Viterbi detector
having a path memory of length NT symbol intervals [21] ,
[27]. Fig. 20 shows the result of this calculation for the binary 3RC scheme with = 4/5 when NT = 2,
lo and
NT = -. A lower bound is also shown. As a reference the bit
error probability for QPSK(BPSK)is
showndashed. The
asymptotic behavior cannot be improvedbymaking
NT >
NB [27] , where NB is the value of N where d$in = ds2.
Compare the improvementsof the upper bounds with NT in
Fig. 20 to the growth of dkinwith N for H = 4/5 in Fig. 7. .
Thelower bound shown in Fig. 20 is based on the minimum Euclidean distance and it is seen that if NT 2 N B , the
upper and lower bounds are close even for fairly large error
probabilities. By further increasing N T , improvement is
achieved for low SNR. For every low SNR the upper bounds
are loose. Fromthe calculationof d i i , yielding the value
3.17 (see Fig. 7),theasymptotic gain in ,!?,/No is 2.00 dB


Simulation results

Upper bounds on the bit error probability for

3RC, M = 2,
h z 4/5.A lowerbound is also shown.Compare QpsK (dashed).

Fig. 20.

comparedto QPSK(MSK). From Fig. 20,it is seen thatthis

gain is achieved even at fairly low SNR. This conclusion holds
for a large variety of schemes and it can thus be concluded
that the minimum Euclidean distance is sufficient for the characterization of performance in terms of symbol error probability [21], [27]. .Even where the upper bound is loose the
minimum distance appears to be accurate. For the scheme considered in Fig. 20 some simulation results are shown. In this
simulation a coherent Viterbi detector with NT = 11 was used.
We have obtained results similar in appearance for a wide
variety of modulation systems [21].

2 24



In this paper classes of M-ary partial response CPM systems
have been analyzed, with respect t o their minimum Euclidean
distance, error probability, and spectral properties. Naturally
it is desirable to have a system which yields both large values
of the minimum Euclidean distance (small error probability)
and a compact spectrum. To start withbinary systems, the RC
schemes give lower. values of the upper bound on the
minimum Euclidean .distance for low h-values and larger for large
h-values. To have an RC system with main-lobe width L bit
intervals with the same performance asMSK for large SNR,
the modulation index must be chosen larger and larger as'L is
increased. For the 3RC system h must be 0.56 roughly, and
for the 4RC system, about .60. Although the modulation index is slightly increased, thespectraforthetwo
partial response systems are far more attractive than that for MSK. This
is true also for-the asymptotic spectral behavior. At f - T b = 1
the spectrum for 3RC with h = 0.56 is 23 dB lower than the
MSK spectrumandthe
corresponding figure for 4RC with
h = 0.6 is 33 dB. For the 5RC system, the modulation index
must be h % .63 t o have the minimum Euclidean distance 2 ,
i.e., the same as MSK. The spectral behavior of the system
5RC with h = 0.63 is far more compact than for the MSK system and at f . T b = 1 there is a 40 dB difference in favor for
the RC system. This is a clear trend: Using RC systems with
longer frequency pulses and with the modulation indexchosen
to yield the same performancein terms of error probability
for large SNR as MSK, spectrally more efficient systems are
of observed symbol intervalsmust
grow however.
Binary RC systemscan also be chosen w h c h yield large
gains in E,./No. Take the 6RC with h = 1.28. When N = 30
observed bit intervals a gain of 4 dB in .!?,/No is obtained compared to MSK. When I f - T b I 2 0.8 the spectrum for 6RCwith
h = 1.28 is below the MSK spectrum,andtheasymptotic
properties of the 6RC spectrumare of course more attractive.
If a smaller minimum Euclidean distance than two can be
accepted, which is sometimes the case, still narrower band binary RC schemes can be considered. For example, the binary
RC systems with minimum Euclidean distance 1/2 have a loss
of 6 dB in EbJNo. Systems having this performance are 2RC,
h = 0.21; 3RC, h = 0.25; 6RC, h % 0.34. These systems are
very narrow band.
Thefavorable minimum Euclideandistance versus bandwidth tradeoff pointed out for
a few cases of binary partial
response CPM is even morepronouncedforsystems
more levels than two. Quaternary RC systems having the same
minimum Euclidean distance as MSK are 2RC, h = 0.32, and
3RC, h 0.37. From [ 2 1 ] ,the quaternary systems give more
compact spectra for the same distance. The octal system 2RC,
h 0.25 and the hexadecimal system 2RC, h = 0.21 yield the
same minimum Euclideandistance as MSK. The modulation
indices are very low and thus good spectral properties can be
Large gains in terms of Eb/No can be achieved especially
for multilevel systems, and as an example the system M = 8,
3RC, h = 1.38 is chosen. With N = 12 observed symbol inter-

dB g a i n
re1 MSK






8 M=Z

Fig. 21.

sponse CPM systems.


various partialre-

vals the minimum normalized square Euclidean distance equals

9.03, and thus thegain in Eb/No for large SNR is 6.5 dB.
A summary of results concerning the bandwidth-minimum
Euclidean distance tradeoff is given in Fig. 21. The bandwidth
has been calculated using the definition in.Section V, i.e., the
double-sided bit rate normalized frequency where the doublesidedpower spectrumtakesthe
value -60 dB. This figure
shows .the asymptotic gain in Eb/No compared to MSK (and
QPSK) versus the corresponding bandwidth for a number of
CPM schemes. Forexample,forthe
scheme M = 8, 3SRC a number of bandwidth and
values are shown as 0 in the figure. To underline the fact that
only h varies, but that. the pulse shape and the number of
levels are the same, these points are connected. The interaction between distance and bandwidth for a fixed scheme when
h varies is clearly demonstrated.The figure also shows the
clear improvement which is obtained by increasing L and/or M .
Another trend shown in Fig. 21 is the connection between binary RC and SRC schemes for h = 1/2 and increasing L . Both
bandwidth and distance change with L for fixed h . Plots like
figure 21 can be drawn for alternative definitions of bandwidth, depending ontheapplication.Theplots
will be different, but the relative positions of the different schemes will
remain unchanged.



with phase-tree demodulation, Electron. Lett., vol. 14. pp. 487489. July 1978.
on digital FM with coherent phase tree
Theory, Univ. of Lund. Lund. Sweden. Tech. Rep. TR-I 19. Nov.
T. Aulinand C-E.Sundberg.Minimumdistanceproperties
M-ary correlative encoded CPFSK. Telecommun. Theory, Univ.
of Lund, Lund. Sweden, Tech. Rep. TR-120, Nov. 1978.
on spectrally
efficient constant envelope digital modulation methods. in P r o c .
IEEE Int. Conf, C o m m u n . . Boston, MA, 1979. pp. 42. I . 1 4 2 . I .6.
T . Aulin. N. Rydbeck, and C-E. Sundberg. Bandwidth efficient
digital FM with coherent phase tree demodulation, in P r o c . IEEE
Int. Conf. C o m m u n . , Boston, MA. 1979. pp. 4 2 . 4 . 1 4 2 . 4 . 6 .
T . Aulin. CPM-A
power and bandwidth
Telecommun. Theory, Univ. of Lund. Lund, Sweden. Nov. 1979.
T. Aulin,N.Rydbeck,andC-E.Sundberg.Performanceof
constantenvelopeM-arydigitalFM-systemsandtheirimplementation, in Proc. Nut. Telecommun. Conf.., Washington, DC.
1979. pp. 55. I . 1-55. I .6.
T. Aulin and C-E. Sundberg, Continuous phase modulation-Part
I: Full response signaling, this issue, pp.
T. Aulin.N.Rydbeck.andC-E.Sundberg.Transmitterand
receiver structures for M-ary partial response FM. Synchronization
of Lund,Lund.
Sweden. Tech. Rep. TR-121. June 1979.
J . Salz. Spectra of digital FM.
Bell Syst.
R. R. Anderson and
T e c h . J . , vol. 44, pp. 1165-1 189. July-Aug. 1965.
T. AulinandC-E.Sundberg.Digital
FM spectra-Numerical
Univ. of Lund. Lund. Sweden. Tech. Rep. TR-141.
May 1980.
T . Aulin, Symbol error probability bounds for coherently Viterbi
detected digital FM. Telecommun. Tneory, Univ. of Lund. Lund.
Sweden, Tech. Rep. TR-131. Oct. 1979.
T . Aulin.N.Rydbeck,andC-E.Sundberg,Transmitterand
receiver structures for M-ary partial response FM, in P r o c . 1980
I n t . ZurichSeminar on DigitalCommun., Mar. 4-6. 1980, pp.
A2. I-A2.6.

The main conclusion concerning the systems considered in

this paper is that digital constant envelope modulation systems
can be found which are both power and bandwidth efficient.
Nonbinary (e.g., M = 4) systems are especially attractive.
A specific system is achieved by specifying thenumber of
levels M , themodulationindex
h , andthe frequency pulse
g(t). The modulation index should be rational for implementation reasons. The price that has to be paid for systems with
optimum receivers is complexity.


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modem for line-ofsi_ght microwavedigitaldatatransmission,
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to demodulateCPFSK,
in P r o c . Int. Conf,
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Theory. Univ. of Lund. Lund, Sweden. Tech. Rep. TR-102.
- Bandwidthefficientconstant-envelopedigitalsignalling

Tor Aulin (S77-M80), for a photograph and biography, see



Nils Rydbeck. for a photograph and biography, see this issue,

this issue,

p. 195

Carl-Erik W. Sundberg (S69-M75), for a photograph and biography,

see this issue, p. 195.