Enrico Rubiola Phase Noise 1

Phase Noise
Enrico Rubiola Dept. LPMO, FEMTOST Institute Besanon, France email rubiola@femtost.fr or enrico@rubiola.org

Summary
1. 2. 3. 4. 5. 6. 7. 8. 9. Introduction Spectra Classical variance and Allan variance Properties of phase noise Laboratory practice Calibration Bridge (Interferometric) measurements Advanced methods References www.rubiola.org
you can download this presentation, an e-book on the Leeson effect, and some other documents on noise (amplitude and phase) and on precision electronics from my web page

Enrico Rubiola Phase Noise 2

1 Introduction

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introduction noisy sinusoid

Chapter 1. Basics 2 Representations of a sinusoid with noise

Time Domain v (t) amplitude uctuation V0 (t) [volts] normalized ampl. uct. (t) [adimensional] t Phasor Representation

V0

V0 / 2 ampl. uct. (V0 / 2)(t)

V0

v (t)

phase uctuation (t) [rad] phase time (uct.) x(t) [seconds] t

phase uctuation (t) V0 / 2

polar coordinates

v (t) = V0 [1 + (t)] cos [0 t + (t)]

Figure 1.1: .

where V0 is the nominal amplitude, and the normalized amplitude uctuation, (t) = V0 cos frequency 0 t + n Cartesianwhich coordinates is adimensional. v The instantaneous isc (t) cos 0 t ns (t) sin 0 t

under low noise approximation

|nc (t)|

(1.3) that nc (t) ns (t) This of stable signals with (t) = of the form and (1.2), (t )= V and deals |nswith (t)| the measurement V0 0 book 0 main focus on phase, thus frequency and time. This V involves several topics, V0 (t) =

1 d(t) 0 + holds 2 2 Itdt

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introduction noisy sinusoid

Noise broadens the spectrum

v (t) = V0 [1 + (t)] cos [0 t + (t)]
v (t) = V0 cos 0 t + nc (t) cos 0 t ns (t) sin 0 t

= 2
= 2

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introduction general problems

Basic problem: how can we measure a low random signal (noise sidebands) close to a strong dazzling carrier?

solution(s): suppress the carrier and measure the noise

convolution (low-pass) time-domain product vector difference

s(t) hlp (t)

s(t) r(t T /4)
s(t) r(t)

distorsiometer, audio-frequency instruments

traditional instruments for phase-noise measurement (saturated mixer) bridge (interferometric) instruments

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introduction general problems

Why a spectrum analyzer does not work?

1. 2. 3. 4.

too wide IF bandwidth noise and instability of the conversion oscillator (VCO) detects both AM and PM noise insufcient dynamic range

Some commercial analyzers provide phase noise measurements, yet limited (at least) by the oscillator stability

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introduction > vIntroduction converter !

The Schottky-diode double-balanced mixer sa The Schottky-diode double-balanced mixer saturated at both at both inputs is the most used phase detec inputs is the most used phase detector

signal reference product

s(t) =

2R0 P0 cos [20 t + (t)]

r(t) =

2R0 P0 cos [20 t + /2]

ltered out

r(t)s(t) = k (t) + 20 terms

The AM noise is rejected by saturation Saturation also account for the phase-to-voltage gain k

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2 Spectra

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Spectra denitions

Power spectrum density

In general, the power spectrum density Sv(f) of a random process v(t) is dened as Sv (f ) = E F Rv (t1 , t2 )
E F
statistical expectation Fourier transform

Rv (t1 , t2 ) autocorrelation function

2

In practice, we measure Sv(f) as

Sv (f ) = F v (t)

This is possible (Wiener-Khinchin theorem) with ergodic processes In many real-life cases, processes are ergodic and stationary Ergodicity: ensemble and time-domain statistics can be interchanged. This is the formalization of the reproducibility of an experiment Stationarity: the statistics is independent of the origin of time. This is the formalization of the repeatability of an experiment

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Spectra meaning

Physical meaning of the power spectrum density

Sv (f0 ) P = R0

Sv (f0 ) R0

power in 1 Hz bandwidth dissipated by R0

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Spectra meaning

Physical meaning of the power spectrum density

The power spectrum density extends the concept of root-mean-square value to the frequency domain

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Spectra S(f) and (f)

S(f) and (f) in the presence of (white) noise

SSB
P0 B N

DSB
B

P0 B N

v0

v0 +f

v0 f

v0

p
R0 N B R0 P0

v0 +f

R0 N B/2 R0 P0

rms =

1 p = 2

NB 2P0

rms =

1 p = 2

NB P0

dBc/Hz

N L= 2P0

3 dB

N S = P0

dBrad2/Hz

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Spectra S(f) and (f)

(f) (re)defined
The rst denition of (f) was (f) = ( SSB power in 1Hz bandwidth ) / ( carrier power ) The problem with this denition is that it does not divide AM noise from PM noise, which yields to ambiguous results Engineers (manufacturers even more) like (f)

The IEEE Std 1139-1999 redenes (f) as

(f) = (1/2) S(f)

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Spectra useful quantities

Useful quantities
phase time
1 x(t) = (t) 20

x(t) is the phase noise converted into time uctuation physical dimension: time (seconds)

fractional frequency uctuation

1 y (t) = (t) = x (t) 20

y(t) is the fractional frequency uctuation -0 normalized to the nominal frequency 0 0 y (t) = (dimensionless) 0

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Spectra power law Spectra power-law

Noise processes in oscillators Power-law and noise processes in oscillators

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Spectra power law

Relationships between S(f) and Sy(f)

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Spectra jitter

Jitter Jitter
The phase fluctuation can be described in terms of a single The phase fluctuation be described in terms of a single parameter, either phasecan jitter or time jitter parameter, either phase jitter or time jitter
The phase noise must be integrated over over the the bandwidth of the The phase noise must be integrated bandwidthBB of (which may bebe difficult to identify) thesystem system (which may difficult to identify)

phase jitter time jitter

&rms ! x rms

S & ' f ( df % $
B

radians

phase jitter converted into time

1 ! 2 " #0

S & ' f ( df % $
B

seconds

The jitter is useful in digital circuits because the bandwidth B is known The jitter is useful in digital circuits because the bandwidth is known lower limit: the inverse propagation time through the system - lower limit: the inverse propagationdivergent time through the system this excludes the low-frequency processes) this excludes the low-frequency divergent processes) upper limit: ~ the inverse switching speed - upper limit: the inverse witching speed
Victor Reinhardt (invited), A Review of Time Jitter and Digital Systems, Proc. 2005 FCS-PTTI joint meeting

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white frequency icker frequency random-walk frequency

All these noise types are generally present at the output of oscillators, while Typical phase noise of some devices and oscillators two-port devices show white phase and icker phase noise only. For reference, Fig. 1 reports the typical phase noise of some oscillators and devices.
10 GH zS ap p GH

b2 f b3 f 3 b4 f 4

Spectra examples

-40 -60 -80 -100 -120 -140 -160 -180 -200 0.1 1

10

zD

iel

ec

10

GH

hir eR

tri

cR

2 S!(f) (dBrad /Hz)

10 0M

zS

es

es

RO

on

on

Hz

qu

wi th

ato r

ato

Os

rO

art

no

cil

sc

zo

ise

lat

ill

or m plifie RF am r plifie 5 MH r z quar tz osc .

micro

wave a

sci l

lat

de ge ne rat

or

ato

(S R

O)

ion

micro

wave fe

rrite i

solato

rs

10

100

1k

10k

100k

Fourier frequency (Hz)

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3 Variances

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1 y ! 1 y ! "0 "0

1 "% t & dt $ 1 #$ # "% t & dt ##

Classical variance Classical variance Classical variance

Variances classical

normalized reading of a counter that normalized reading of over a counter that measures (averages) a time T measures (averages) over a time T

1 1 2 '2 ! 1 yi( 1 ' ! N (1 i !1 y i ( N N (1 i !1 N

) )

N N

%%

2 N classical variance, N y 2 classical variance, j file of N counter readings j !1 y j file of N counter readings j !1average of the N readings

) )

&&

average of the N readings

For a given process, the classical variance For a given process, the classical variance For a given process, the classical variance depends of N depends of N depends of N Even worse, if the spectrum f-1 or steeper, Even worse, if the spectrum is f-1is or steeper, -1 or steeper, Even worse, if the spectrum is f the classical variance diverges the classical variance diverges the classical variance diverges The filter associated to measure the measure The filter associated to the The associated to the measure takes in the dc component takes infilter the dc component takes in the dc component

Enrico 21 21 Enrico Rubiola Noise Phase Noise Enrico Rubiola Rubiola Phase Phase Noise 21

Variances Allan

Zero dead-time two-sample variance Zero dead-time two-sample variance Zero dead-time two-sample variance (Allan variance) (Allan variance) (Allan variance)
1 2 2 1 2 2 !y " y % y !y " y % y 2 22 12 1

#$ #$ & ' & '

m %1 m %1

Denition Definition Definition (Let N == 2, and (Let N average) (Let N2, = and 2,average) and average)

1 2 2 1 2 2 !y " y % y !y " y % y 2 12 2 $ m% 1 21 $& mi% 1 & "1 i "1

( $(

$ &

&

Estimated Allan variance, Estimated Allan variance, Estimated Allan variance, le of readings file of mm counter readings file of counter m counter readings

The to difference The filter associated to the difference Thefilter lterassociated associated tothe the difference of measures is oftwo two contiguous measures isa aband-pass band-pass ofcontiguous two contiguous measures is a band-pass (about one octave) (about one octave) The estimate converges to the variance The estimate converges to the variance The estimate converges to the variance

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Variances Allan

The Allan variance is related to the spectrum Sy(f)

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Variances Allan

Convert S and Sy into Allan variance

noise type white PM icker PM white FM icker FM S (f ) Sy (f ) S Sy b0 h2 = 2 0 b1 h1 = 2 0 b2 h0 = 2 0
1 2 y ( ) 2 mod y ( )

b0

h2 f

3fH h2 2 2 (2 ) 2 fH 1 h1 2 [1.038+3 ln(2 fH )] 2 (2 ) 1 h0 1 2 2 ln(2) h1 (2 )2 h2 6 1 2 2 Dy 2

3fH 0 h2 3 2 (2 ) 0.084 h1 2 n 1 1 h0 1 4 27 ln(2) h1 20 (2 )2 0.824 h2 6 1 2 2 Dy 2

b1 f 1 b2 f b3 f
2 3

h1 f h0 h1 f

h1 h2

b3 = 2 0 b4 = 2 0

random walk b4 f 4 FM

h2 f 2

frequency drift y = Dy

fH is the high cuto frequency, needed for the noise power to be nite.

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4 Properties of phase noise

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Properties of phase noise synthesis Properties of phase noise synthesis

Frequency synthesis

Frequency synthesis
Ideal synthesizer

Ideal synthesizer - -noise-free noise-free - -zero time zero delay delay time

timetranslation: translation: time output jitter jitter = jitter output =input input jitter phase time time x ==x xi i oo phase x linearity of the integral and the linearity of the integral and the derivative operators: derivative operators: o = (n/d)i => o = (n/d)vi !o = (n/d)!i => "o = (n/d)"i spectra spectra

n S! o " f # $ d

"#

S! i " f #

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Properties of phase noise synthesis

Carrier collapse
Simple physical meaning, complex mathematics. Easy to understand in the case of sinusoidal phase modulation

random noise => phase uctuation

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Filtering <=> Phase Locked Loop (PLL) Filtering <=> Phase Locked Loop (PLL) Filtering <=> Phase Locked Loop (PLL)

Properties of phase noise PLL Properties of phase noise PLL

k ! " V ( rad # k o " rad ( s ( V #

The signal 2 The signal 2 The signal 2 tracks 1 tracks 1 tracks 1

k ! " V ( rad #

k o " rad ( s ( V #

The FFT analyzer (n The FFT analyzer (not b The FFT analyzer (not can needed here) needed here) can be used needed here) can be us to measure S !(f) to measure S(f)S!(f) to measure tracks 1
tracks 1
2

The PLL low-pass The PLL low-pass The PLL low-pass filters the phase lters the phase filters the phase
Output voltage: the PLL Output voltage: the PLL Output voltage: the PLL is a high-pass filter is aa high-pass lter is high-pass filter

S ! 2""ff## S !2 S ! 1""ff## S
!1
$ $

$ $

22 2 2 2f 4 & f ' k k H " 4 & f ' k o ko !c " fc# !H

kko kH H #% % k " f # ! c %o ! c % "2 f

%%

% #%

S "f# Svo vo " f # S S! 1 ""f f# #

!1

2 2 4& f 2k 4& f !k ! 2 22 2 2 2 44 && f f '% k k H " f # 'o " f #% %k !k cH %

o !

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Properties of phase noise discriminator

Frequency discriminator
A resonator turns a slow frequency uctuation into a phase uctuation

0
phase

Parameters 0 resonant frequency Q merit factor

resonator 0 Q
For slow frequency uctuations, a delay-line t is equivalent to a resonator of merit factor

Enrico Rubiola Phase Noise 29

Properties of phase noise Leeson

Enrico Rubiola The Leeson Effect 1

The Leeson effect: The Leeson phase-to-frequency noise Effect conversion in oscillators
Enrico Rubiola Dept. LPMO, FEMTO-ST Institute Besanon, France e-mail rubiola@femto-st.fr or enrico@rubiola.org D. B. Leeson, A simple model for feed back oscillator noise, Proc. IEEE 54(2):329 (Feb 1966) D. B. Leeson, A simple model for feed back oscillator noise, Proc. IEEE 54(2):329 (Feb 1966) out
resonator

S ! " f # $ 1&
oscillator noise

%" # (
'0
2

2Q

S) " f #
ampli noise

oscillator noise

S! " f #

Leeson effect noise of electronic circuits

fL = !0/2Q

E. Rubiola, The Leeson effect, Tutorial 2A, Proc. 2005 FCS-PTTI (tutorials) some free documents on noise (amplitude and phase) and on E. Rubiola, The Leeson effect,will e-book, (http://arxiv.org/abs/physics/0502143 or rubiola.org) precision electronics be available in this non-commercial site

www.rubiola.org

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5 Laboratory practice

Enrico Rubiola Phase Noise 31

Laboratory practice background noise

Practical limitations of the double-balanced mixer

1 Power narrow power range: 5 dB around Pnom = 5-10 dBm

r(t) and s(t) should have (about) the same power

2 Flicker noise due to the mixer internal diodes

typical S = 140 dBrad2/Hz at 1 Hz in average-good conditions

3 Low gain k ~ 10 to 14 dBV/rad typical (0.2-0.3 V/rad) 4 White noise

due to the operational amplier

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Laboratory practice background noise

Typical background noise

RF mixer (5-10) MHz Good operating conditions (10 dBm each input) Low-noise preamplier (1 nV/Hz)

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Laboratory practice background noise

The operational amplifier is often misused

Warning: if only one arm of the power supply is disconnected, the LT1028 may delivers a current from the input (I killed a $2k mixer in this way!) You may duplicate the low-noise amplier designed at the FEMTO-ST Rubiola, Lardet-Vieudrin, Rev. Scientic Instruments 75(5) pp. 1323-1326, May 2004

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Laboratory practice background noise

A proper mechanical assembly is vital

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Laboratory practice useful schemes Laboratory practice useful schemes

Two-port device under test (DUT)

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Laboratory practice useful schemes

nrico Rubiola Phase Noise 35

Two-port device under test (DUT)

Laboratory practice useful schemes

other configurations are possible

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Laboratory practice useful schemes

A frequency discriminator can be used to measure the phase noise of an oscillator

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Filtering <=> Phase Locked Loop (PLL) k ! " V ( rad #

Laboratory practice oscillator measurement

Phase Locked Loop (PLL)

k o " rad ( s ( V #
k ! " V ( rad # k o " rad ( s ( V #

The PLL low-pass filters the phase Phase: the PLL The PLL low-pass
is a low-pass filters thelter phase

S! 2 " f # " f # SS " f # !2 !1

S!1" f #
S vo " f #

4 & f '%k o k ! H c " f #%

2 4 & f 2 k!

%k o k ! H c " f #% $ 2 2 2 k& H " f f #% '%k o k ! H c " f #% %k 4

2 o ! 2 2 c 2

The FFT analyzer (not needed here) can be used to measure S!(f) tracks 1 2

The The signal 2 FFT ana tracks 1 needed here to measure S tracks 1

Output voltage: the PLL Output voltage: the PLL Output voltage: the PLL is a is high-pass lter is a high-pass filter filter a high-pass

2 4 & f 2 k! $ $ 2 2 S1! S! " f1#" f # 4 &2 f 24 '% k o k! "fk #%2 k H " & fH c' o ! c

S vo " f #

f #%2

compare an oscillator under test to a reference low-noise oscillator or compare two equal oscillators and divide the spectrum by 2 (take away 3 dB)

Enrico Rubiola Phase Noise 39 rico Rubiola Phase Noise 38

Laboratory practice oscillator measurement

Laboratory practice oscillator measurement

Phase Locked Loop (PLL)

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Laboratory practice oscillator measurement

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A tight PLL shows many advantages

Laboratory practice oscillator measurement

but you have to correct the spectrum for the PLL transfer function

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Laboratory practice oscillator measurement

Practical measurement of S(f) with a PLL

1. Set the circuit for proper electrical operation

a. power level b. lock condition (there is no beat note at the mixer out) c. zero dc error at the mixer output (a small V can be tolerated)

2. 3. 4.

Choose the appropriate time constant Measure the oscillator noise At end, measure the background noise

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Laboratory practice oscillator measurement

co Rubiola Phase Noise 41

Warning: a PLL may not be what it seems

Laboratory practice oscillator measurement

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Laboratory practice oscillator measurement

PLL two frequencies

The output frequency of the two oscillators is not the same. A synthesizer (or two synth.) is necessary to match the frequencies

At low Fourier frequencies, the synthesizer noise is lower than the oscillator noise At higher Fourier frequencies, the white and icker of phase of the synthesizer may dominate

Enrico Rubiola Phase Noise 44

Laboratory practice oscillator measurement

PLL low noise microwave oscillators

With low-noise microwave oscillators (like whispering gallery) the noise of a microwave synthesizer at the oscillator output can not be tolerated.

Due to the lower carrier frequency, the noise of a VHF synthesizer is lower than the noise of a microwave synthesizer. This scheme is useful with narrow tuning-range oscillator, which can not work at the same freq. to prevent injection locking due to microwave leakage

Enrico Rubiola Phase Noise 45

Laboratory practice oscillator measurement

Designing your own instrument is simple

Standard commercial parts: double balanced mixer low-noise op-amp standard low-noise dc components in the feedback path commercial FFT analyzer

Afterwards, you will appreciate more the commercial instruments: assembly instruction manual computer interface and software

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6 Calibration

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Calibration general

Calibration general procedure

1 adjust for proper operation: driving power and quadrature

2 measure the mixer gain k (volts/rad) > next 3 measure the residual noise of the instrument

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Calibration general

Calibration general procedure

4 measure the rejection of the oscillator noise

Make sure that the power and the quadrature are the same during all the calibration process

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Calibration measurement of k

Calibration measurement of k (phase mod.)

Vm

The reference signal can be a tone: detect with the FFT,

with a dual-channel FFT, or with a lock-in

tone:

(pseudo-)random white noise

white noise

Some FFTs have a white noise output Dual-channel FFTs calculate the transfer function |H(f)|2=SVm/SVd

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Calibration measurement of k

Calibration measurement of k (rf signal)

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Calibration measurement of k

Calibration measurement of k (rf noise)

A reference rf noise is injected in the DUT path through a directional coupler

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7 Bridge (interferometric) measurements

EnricoRubiola Rubiola Phase PhaseNoise Noise 53 52 Enrico

Bridge Wheatstone Interferometer Wheatstone bridge

Wheatstone bridge

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Bridge Wheatstone

Wheatstone bridge ac version

equilibrium: Vd = 0 > carrier suppression static error Z1 > some residual carrier real Z1 => in-phase residual carrier Vre cos(0t) imaginary Z1 => quadrature residual carrier Vim sin(0t) uctuating error Z1 => noise sidebands real Z1 => AM noise imaginary Z1 => PM noise

nc(t) cos(0t) ns(t) sin(0t)

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Interferometer Wheatstone bridge Bridge Wheatstone

Wheatstone bridge ac version

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Bridge scheme

Interferometer scheme

Bridge (interferometric) phase-noise and amplitude-noise measurement

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Bridge synchronous detection Interferometer synchronous detection

Synchronous detection

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Bridge synchronous detection

Interferometer synchronous detection

Synchronous in-phase and quadrature detection Synchronous in-phase and quadrature detection

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Bridge background noise Interferometer noise floor

White noise floor

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Bridge background noise

White noise floor example

White noise floor example

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Bridge summary

What really matters (1)

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Bridge summary

What really matters (2)

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Bridge commercial

A bridge (interferometric) instrument can be built around a commercial instrument

You will appreciate the computer interface and the software ready for use

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8 Advanced Techniques

Enrico Rubiola Phase Noise 64 65 nrico Rubiola Phase Noise

Advanced icker reduction Advanced flicker reduction

Low-flicker scheme

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Advanced icker reduction Advanced flicker reduction

Interpolation is necessary

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Advanced correlation

Correlation can be used to reject the mixer noise

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Advanced correlation

Correlation how it works

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Advanced matrix

Flicker reduction, correlation, and closed-loop carrier suppression can be combined

rf virtual gnd null Re & Im inner interferometer
CP1 CP2

x( t )

CP3

channel b (optional) w1 readout I v1 RF IQ G B v detect Q 2 matrix matrix w2 g ~ 40dB LO pump

CP4

DUT R 0 =50

R0

atten power splitter

arbitrary phase

1020dB coupl.

R0

IQ detect Q v2 g ~ 40dB LO pump

RF

v1

channel a readout G matrix

FFT analyz.

w1

B matrix w2

G: Gram Schmidt ortho normalization B: frame rotation IQ detector/modulator I RF Q LO 90 0

manual carr. suppr. atten

var. att. & phase atten arbitrary phase pump LO

atten RF I u1 IQ modul Q u2

automatic carrier suppression control diagonaliz. z1 dual integr z 2 D matrix

E. Rubiola, V. Giordano, Rev. Scientic Instruments 73(6) pp.2445-2457, June 2002

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Advanced comparison

Comparison of the background noise

S (f) dBrad2/Hz
140 150 160 170 180 190 200 210 220 1
dou sat ura

realtime correl. & avg. mixer, interferometer

er e r ble om ete int e r fer r cor om rel e . sa t. m ter res ix. idu al f lick res idu er, res al f by idu lick ste al f res p in er, idu lick fix ter al f er, ed i fer lick om fix nte ete er, ed i rfer r nte fix o ed rfe mete int r erf omet r ero e me r ter , 4 5

int

erf

ted

mix

nested interferometer
saturated mixer

interferometer correl. saturated mixer double interf.

measured floor, m=32k

det ect ion

Fourier frequency, Hz
10 10 2

10 3

104

105

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9 References
STANDARDS J. R. Vig, IEEE Standard Denitions of Physical Quantities for Fundamental Frequency and Time Metrology--Random Instabilities, IEEE Standard 1139-1999 ARTICLES J. Rutman, Characterization of Phase and Frequency Instabilities in Precision Frequency Sources: Fifteen Years of Progress, Proc. IEEE vol.66 no.9 pp.1048-1075, Sept. 1978. Recommanded E. Rubiola, V. Giordano, Advanced Interferometric Phase and Amplitude Noise Measurements, Rev. of Scientic Instruments vol.73 no.6 pp.2445-2457, June 2002. Interferometers, low-icker methods, correlation, coordinate transformation, calibration strategies, advanced experimental techniques BOOKS Chronos, Frequency Measurement and Control, Chapman and Hall, London 1994. Good and simple reference, although dated W. P. Robins, Phase Noise in Signal Sources, Peter Peregrinus,1984. Specic on phase noise, but dated. Unusual notation, sometimes difcult to read. Oran E. Brigham, The Fast Fourier Transform and its Applications, Prentice-Hall 1988. A must on the subject, most PM noise measurements make use of the FFT W. D. Davenport, Jr., W. L."Root, An Introduction to Random Signals and Noise, McGraw Hill 1958. Reprinted by the IEEE Press, 1987. One of the best references on electrical noise in general and on its mathematical properties. E. Rubiola, The Leeson effect (e-book, 117 pages, 50 gures) arxiv.org, document arXiv:physics/0502143 E. Rubiola, Phase Noise Metrology, book in preparation ACKNOWLEDGEMENTS I wish to express my gratitude to the colleagues of the FEMTO-ST (formerly LPMO), Besancon, France, rsts of which Vincent Giordano and Jacques Groslambert for a long lasting collaboration that helped me to develop these ideas and to put them in the present form.