Chapter 4 Phase and Frequency Modulation

Wireless Information Transmission System Lab. Institute of Communications Engineering g g National Sun YatYat-sen University

Outline

4.1 Introduction 4.2 Basic Definitions 4 3 Frequency 4.3 F M Modulation d l i 4.4 Phase-locked Loop p

Chapter 4.1 Introduction

Wireless Information Transmission System Lab. Institute of Communications Engineering g g National Sun YatYat-sen University

4.1 Introduction

In this chapter, we study a second family of continuous-wave(CW) modulation systems, systems namely, namely angle modulation, in which the angle of the carrier wave is varied according to the baseband signals. In this method of modulation, mod lation the amplitude amplit de of the carrier wave a e is maintained constant. There are two common forms of angle modulation, namely, phase modulation and frequency modulation. An important feature of angle modulation is that it can provide better discrimination against noise and interference than amplitude modulation. d l i

4.1 Introduction

However, this improvement in performance is achieved at the expense of increased transmission bandwidth bandwidth. Moreover, the improvement in the noise performance with angle Moreover modulation is achieved at the expense of increased system complexity p y in both the transmitter and receiver. Such a trade-off is not p possible with amplitude p modulation.

Chapter 4.2 Basic Definitions

Wireless Information Transmission System Lab. Institute of Communications Engineering g g National Sun YatYat-sen University

4.2 Basic Definitions

Let i(t) denote the angle of a modulated sinusoidal carrier at time t; it is assumed to be a function of the informationbearing information bearing signal or message signal. We express the resulting angle-modulated angle modulated wave as (4.1) s ( t ) = Ac cos i ( t ) where Ac is the carrier amplitude. amplitude The average frequency in Hertz over an interval from t to t+t is given by i ( t + t ) i ( t ) f t ( t ) = (4.2) 2t The instantaneous frequency of the angle-modulated signal s(t): i ( t + t ) i ( t ) 1 di ( t ) fi ( t ) = lim f t ( t ) = lim = t 0 t 0 2t 2 dt
7

4.2 Basic Definitions

For an unmodulated carrier, the angle i(t) is given by

i ( t ) = 2 f c t + c
and corresponding phasor rotates with a constant angular velocity equal to 2fc. The constant c is the value of i(t) at t=0.

There are an infinite number of ways in which the angle i(t) may be varied in some manner with the message (baseband) signal. signal We shall W h ll consider id only l two t commonly l used d methods, th d phase h modulation and frequency modulation.

4.2 Basic Definitions

Phase modulation (PM) is that form of angle modulation in which the instantaneous angle i(t) is varied linearly with the message signal as shown by i ( t ) = 2 f ct + k p m ( t ) (4.4) ( ) The term 2fct represents the angle of the unmodulated carrier; kp represents p the p phase sensitivity y of the modulator, expressed p in radians per volt on the assumption that m(t) is a voltage waveform. For convenience, we have assumed in Eq. (4.4) that the angle of the unmodulated carrier is zero at t=0. The phase-modulated signal s(t) i thus is h described d ib d in i the h time i domain d i by b (4.5) s ( t ) = Ac cos 2 f c t + k p m ( t )
9

4.2 Basic Definitions

Frequency modulation (FM) is that form of angle modulation in which the instantaneous frequency fi(t) is varied linearly with the message signal m(t), as shown by fi ( t ) = f c + k f m ( t ) (4.6) fc : The frequency of the unmodulated carrier kf : The frequency sensitivity of the modulator (Hertz per volt) Integrating Eq. (4.6) with respect to time and multiplying the result by 2, we get t i ( t ) = 2 f ct + 2 k f m ( )d 0 (4.7) where, for convenience, we have assumed that the angle of the unmodulated carrier wave is zero at t=0. The frequency-modulated signal is therefore described in the time domain by t (4 8) (4.8) s ( t ) = Ac cos 2 f c t + 2 k f m ( ) d 0
10

4.2 Basic Definitions

a) Carrier wave b) Sinusoidal modulating signal

c) Amplitude-modulated signal

d) Phase-modulated signal

e) ) Frequency-modulated F d l t d signal i l
11

Properties of AngleAngle-Modulated Waves

Property 1: Constancy of Transmitted Power:

From both Eqs. (4.4) and (4.7), we readily see that the amplitude of PM and FM waves is maintained at a constant value l equal l to t the th carrier i amplitude lit d Ac for f all ll time ti t, irrespective of the sensitivity factors kp and kf . Consequently the average transmitted power of angleConsequently, angle modulated waves is a constant, as shown by
1 P = A2 av 2 c

(4.9)
V2 P = R

where it is assumed that the load resistance is 1 ohm. ohm

12

Properties of AngleAngle-Modulated Waves

Property 2: Nonlinearity of the Modulation Process

Both B th PM and d FM waves violate i l t th the principle i i l of f superposition. iti For example, the message signal m(t) is made up of two different components, components m1(t) and m2(t): m ( t ) = m1 ( t ) + m2 ( t ) Let s(t), s1(t), and s2(t) denote the PM waves produced by m(t), m1(t), ) and m2(t) in accordance with Eq Eq. (4.4), (4 4) respectively. We may express these PM waves as follows: ( t ) = 2 f t + k m ( t ) ( 4.4 )
i c p

s ( t ) = Ac cos 2 f c t + k p ( m1 ( t ) + m2 ( t ) )

s1 ( t ) = Ac cos 2 f c t + k p m1 ( t )
s2 ( t ) = Ac cos 2 f c t + k p m2 ( t )

m ( t ) = m1 ( t ) + m2 ( t ) s ( t ) s1 ( t ) + s2 ( t )

Frequency modulation d l i offers ff superior i noise i performance f compare to amplitude modulation,

13

Properties of AngleAngle-Modulated Waves

Property 3: Irregularity of Zero-Crossings

Zero-crossing g are defined as the instants of time at which a waveform changes its amplitude from positive to negative value or the other way around. The zero-crossings of a PM or FM wave no longer have a perfect regularity in their spacing across the time-scale. The irregularity of zero-crossings in angle-modulated waves is attributed to the nonlinear character of the modulation process.

14

Properties of AngleAngle-Modulated Waves

Property 4: Visualization Difficulty of Message Waveform

In AM, we see the message waveform as the envelope of the modulated wave, provided the percentage modulation is less than 100 percent. t (AM: The percentage modulation over 100 percentphase reversaldistortion) This is not so in angle modulation, modulation as illustrated by the corresponding waveform of Figures 4.1d and 4.1e for PM and FM, , respectively. p y

15

Properties of AngleAngle-Modulated Waves

Property 5-Trade-OFF of Increased Transmission B d id h for Bandwidth f Improved I d Noise N i Performance P f

An important advantage of angle modulation over amplitude modulation d l i is i the h realization li i of f improved i d noise i performance. f This advantage is attributed to the fact that the transmission of a message signal by modulating the angle of a sinusoidal carrier wave is less sensitive to the presence of additive noise than transmission by modulating the amplitude of the carrier. The improvement Th i t in i noise i performance f is i achieved hi d at t the th expense of a corresponding increase in the transmission bandwidth requirement of angle modulation. modulation
16

Properties of AngleAngle-Modulated Waves

Property 5-Trade-OFF of Increased Transmission Bandwidth d id h for f Improved d Noise i Performance f

The use of angle modulation offers the possibility of exchanging an increase i in i the h transmission i i bandwidth b d id h for f an improvement i in i noise performance. Such a trade-off is not possible with amplitude modulation since the transmission bandwidth of an amplitude amplitude-modulated modulated wave is fixed somewhere between the message bandwidth W and 2W, depending p g on the type yp of modulation employed. p y

17

Example 4.1 ZeroZero-Crossings

Consider a modulating wave m(t) that increases linearly with time t, starting at t=0 0, as shown by

at , m (t ) = 0,

t0 t<0

where a is the slope parameter (see Figure 4.2 4 2a). ) In what follows, we study the zero-crossings of the PM and FM waves produced by m(t) for the following set of parameters:
1 Hz 4 a = 1 volt/s fc =
18

Example 4.1 ZeroZero-Crossings

Fig 4 Fig. 4.2 2 Starting at time t = 0, 0 the figure displays (a) linearly increasing message signal m(t), ) (b)phase-modulated wave, and (c) frequency-modulated wave.
19

Example 4.1 ZeroZero-Crossings

Phase Modulation:

Phase sensitivity factor kp=/2 radians/volt. Phase-sensitivity radians/volt Applying Eq Eq. (4 (4.5) 5) to the given m(t) yields the PM wave ( 4.5 ) s ( t ) = A cos 2 f t + k m ( t )
Ac cos ( 2 f c t + k p at ) , s (t ) = Ac cos ( 2 f c t ) ,
c c p

t0 t<0

which is plotted in Figure 4.2b for Ac=1 1 volt. Let tn denote the instant of time at which the PM wave experiences p a zero crossing; g; this occurs whenever the angle g of the PM wave is an odd multiple of /2:
k pa 2 f c tn + k p atn = 2 f c + t = + n , n = 0 0,1, 12 2, n 2 1 +n 1 tn = + n, n = 0,1, 012 2, tn = 2 kp 2 2 fc + a

20

Example 4.1 ZeroZero-Crossings

Frequency Modulation:

Frequency sensitivity factor, Frequency-sensitivity factor kf =1 1 Hz/volt. Hz/volt Applying Eq Eq. (4.8) (4 8) yields the FM wave s ( t ) = A cos 2 f t + 2 k m ( ) d ( 4.8 )
t c

2 Ac cos ( 2 f c t + k f at ) , s (t ) = Ac cos ( 2 f c t ) ,

t0 t<0

which is plotted in Figure 4.2c. Invoking the definition of a zero-crossing, we can obtain:
2 2 f c tn + k f atn =

+ n , n = 0,1, 2,

1 tn = ak f

f + c

1 f + ak f + n , n = 0,1, 2, 2
2 c

tn =

1 1 + 9 + 16n , n = 0,1, 2, 4
21

Example 4.1 ZeroZero-Crossings

1.

Comparing the zero-crossing results derived for PM and FM waves, we may make the following observations once the linear modulating wave begins to act on the sinusoidal carrier wave: For PM, , regularity g y of the zero-crossings g is maintained; ; the instantaneous frequency changes from the unmodulated value of fc=1/4 Hz to the new constant value of f c + k p ( a / 2 ) = 0.5Hz

2.

For FM, the zero-crossings assume an irregular form; as expected, the instantaneous frequency increases linearly with time t.

22

4.2 Basic Definitions

Comparing Eq. (4.5 ) with (4.8) reveals that an FM signal may be t regarded g as a PM signal g in which the modulating g wave is 0 m ( ) d in place of m(t). (4.5) s ( t ) = Ac cos 2 f c t + k p m ( t )
t s ( t ) = Ac cos 2 f c t + 2 k f m ( ) d (4.8) 0

The FM signal can be generated by first integrating m(t) and then using the result as the input to a phase modulator, as in Figure 4.3a. Conversely, a PM signal can be generated by first differentiating m(t) and then using the result as the input to a frequency modulator, as in Figure 4.3 4 3b. We may thus deduce all the properties of PM signals from those of FM signals and vice versa versa. Henceforth Henceforth, we concentrate our attention on FM signals.
23

4.2 Basic Definitions

Figure 4.3 Illustrating the relationship between frequency modulation and phase modulation. (a) Scheme for generating an FM wave by using a phase modulator, (b) scheme for generating a PM wave by using a frequency modulator modulator.

i ( t )
Unmodulated signal PM signal FM signal 2 f c t

fi ( t ) fc fc + k p dm ( t ) 2 dt

2 f c t + k p m ( t )

2 f c t + 2 k f m ( )d
0

fc + k f m ( t )

24

Chapter 4.3 Frequency Modulation

Wireless Information Transmission System Lab. Institute of Communications Engineering g g National Sun YatYat-sen University

4.3 Frequency Modulation

The FM signal s(t) define by Eq. (4.8) is a nonlinear function of the modulating signal m(t), ) which makes frequency modulation a nonlinear modulation process. How then can we Ho e tackle the spectral anal analysis sis of FM signal? We propose to provide an empirical answer to this important question by proceeding in the same manner as with AM modulation, that is, we consider the simplest case possible, namely, single-tone modulation. Consider then a sinusoidal modulating signal define by
m ( t ) = Am cos ( 2 f m t )

(4 10) (4.10)

26

4.3 Frequency Modulation

The instantaneous frequency of the resulting FM signal is

f i ( t ) = f c + k f Am cos ( 2 f mt ) = f c + f cos ( 2 f m t )

f = k f Am

(4.11) (4.12)

The quantity f is called the frequency deviation, representing the maximum departure of the instantaneous frequency of the FM signal form the carrier frequency q y fc. A fundamental characteristic of an FM signal is that the frequency deviation f is proportional to the amplitude of the modulating signal and is independent of the modulating frequency. frequency

Using Eq. (4.11), the angle i(t) of the FM signal is obtained as t f i ( t ) = 2 fi ( t ) dt d = 2 f c t + sin i ( 2 f mt ) 0 fm The ratio of the frequency deviation f to the modulation frequency fm is commonly called the modulation index of the FM signal.
27

4.3 Frequency Modulation

The modulation index is denoted by :

f = fm

i ( t ) = 2 f c t + sin ( 2 f mt )

The parameter represents the phase deviation of the FM signal, i.e. the maximum departure of the angle i(t) from the angle 2fct of the unmodulated carrier. is measured in radians. The FM signal itself is given by

s ( t ) = Ac cos 2 f c t + sin ( 2 f mt )
Depending on the value of the modulation index , we may distinguish two cases of frequency modulation:

(4.16)

Narrow-band N b d FM, for f which hi h is i small ll compared d to one radian. di Wide-band FM, for which is large compared to one radian.
28

4.3 Frequency Modulation

Narrow-band frequency modulation

Consider Eq Eq. (4.16), (4 16) which defines an FM signals resulting form the use of sinusoidal modulating signal. Expanding this relation, , we get g

Ac sin ( 2 f c t ) sin sin ( 2 f m t ) s ( t ) = Ac cos ( 2 f c t ) cos sin ( 2 f mt )

( 4.17 )

Assuming A i that th t the th modulation d l ti index i d is i small ll compared d to t one radian, we may use the following two approximations:

cos sin ( 2 f mt ) 1
s (t )
s (t )

sin sin ( 2 f mt )

sin ( 2 f mt )
4 18 ) ( 4.18

Ac cos ( 2 f c t ) Ac sin ( 2 f c t ) sin ( 2 f m t )

1 cos 2 ( f c + f m ) t 2 ( f c f m ) t Ac cos ( 2 f c t ) + Ac cos 2

sin sin =
29

( 4.19 )

1 cos ( ) cos ( + ) 2

4.3 Frequency Modulation

This expression is somewhat similar to the corresponding one defining an AM signal (from Example 3.1): 3 1):

1 + cos s AM ( t ) = Ac cos ( 2 f c t ) + Ac cos 2 ( f c + f m ) t 2 ( f c f m ) t 2

( 4.20 )

where is the modulation factor of the AM signal.

Compare Eqs. (4.19) and (4.20), we see that the basic difference between an AM signal g and a narrow-band FM signal is that the algebraic sign of the lower side frequency in the narrow-band FM is reversed. Thus, a narrow-band FM signal requires essentially the same transmission bandwidth (i (i.e. e 2fm) as the AM signal. signal
30

4.3 Frequency Modulation

Example 4.2 Phase Noise

Phase noise is often introduced by oscillators in band-pass communications and has a number of causes. Some causes are the deterministic, such as those created by changes in oscillator temperature, supply voltage, physical vibration magnetic field, vibration, field humidity, humidity or output load impedance. impedance The phase noise due to these sources may be minimized by good design. design Other sources are categorized as random, which can be controlled but not eliminated by y appropriate pp p circuitry, y, such as phase-lock loops (PLL). The phase noise introduced by oscillators has a multiplicative effect on an angle-modulated signal.
31

4.3 Frequency Modulation

Example 4.2 Phase Noise (cont.)

For example, F l if s(t) i is an angle-modulated l d l d signal, i l and d c(t) i is the h receiver oscillator, having phase noise n(t), then when translating the signal from fc to fb (see section 3 3.7), 7) the output is
Ac cos ( 2 f b + ( t ) n ( t ) ) + cos ( 2 ( 2 f c fb ) + ( t ) + n ( t ) ) = 2 A c cos 2 fb + ( t ) n ( t ) 2 where the high frequency term has been removed by a band-pass band pass filter centered around fb. Thus the phase noise of the oscillator directly affects the information component of the angle-modulated signal.
32

s ( t ) c ( t ) = Ac cos 2 f c t + ( t ) cos 2 ( f c fb ) t + n ( t )

4.3 Frequency Modulation

Wide-band frequency modulation

The following studies the spectrum of the single-tone single tone FM signal of Eq. (4.16) for an arbitrary value of the modulation index .

s ( t ) = Ac cos 2 f c t + sin ( 2 f mt )

( 4.16 )

By using the complex representation of band-pass band pass signals described in Chapter 2: (Carrier frequency fc compared to the bandwidth of the FM signal g is large g enough) g )

s ( t ) = Re Ac exp ( j 2 f c t + j sin ( 2 f mt ) ) = Re s ( t ) exp ( j 2 f c t )

( 4.21)

j sin ( 2 f mt ) periodic function where s ( t ) = Ac exp

33

4.3 Frequency Modulation

Wide-band frequency modulation

We may therefore expend s ( t ) in the form of complex Fourier series as follows: s ( t ) = cn exp ( j 2 nf mt ) (4 23) (4.23) n =
cn = f m
1 2 fm

1 2 f m

s ( t ) exp ( j 2 nf mt ) dt

x = 2 f mt

= f m Ac

1 2 fm

Ac cn = exp j ( sin x nx ) dx 2 1 dx J = i x nx ) d cn = Ac J n ( ) n( ) j ( sin exp

1 2 f m

exp j sin ( 2 f mt ) j 2 nf mt dt

(4.24) (4 26) (4.26) (4 28) (4.28) (4 31) (4.31)

2 nth order Bessel function of the first kind.

j 2 ( f c + nf m ) t s ( t ) = Ac Re J n ( ) exp n=
34

4.3 Frequency Modulation

Taking the Fourier transforms of both sides of Eq. (4.31) Ac (4.32) ( ) S( f )= Jn ( ) f f nf + f + f + nf ( ) ( ) c m c m 2 n= In Figure 4.6 we have plotted the Bessel function Jn() versus the modulation d l ti index i d for f different diff t positive iti integer i t values l of f n.

FIGURE4.6 Plots of Bessel functions of the first kind.

35

4.3 Frequency Modulation

We can develop further insight into the behavior of the Bessel function Jn() by making use of the following properties:

1. For n even, we have Jn()=J-n(); on the other hand, for n odd, we ha e Jn()=have ) J-n(). ) That is n J n ( ) = ( 1) J n ( ) for all n (4.33) 2 For 2. F small ll values l of f the th modulation d l ti index i d , we h have
J0 ( ) 1 J1 ( ) 3. Jn ( )
n =

2 0,

n > 2

(4.34)

2 Jn ( ) =1

(4.35)

36

4.3 Frequency Modulation

Thus, using Eqs. (4.32) through (4.35) and the curves of Figure 4.6, we may make the following observations: 1. The spectrum of an FM signal contains a carrier component (n=0) and an infinite set of side frequencies q located symmetrically y y on either side of the carrier at frequency separations of fm, 2fm, 3fm, . (An AM system ( y gives g rise to only y one pair p of side frequencies.) q )

2. For the special case of small compared with unity, only the Bessel coefficients J0() and J1() have significant values (see 4.34), 4 34) so that the FM signal is effectively composed of a carrier and a single pair of side frequencies at fc fm. (This situation corresponds to the special case of narrowband FM that was considered previously)
37

4.3 Frequency Modulation

3. The amplitude of the carrier component of an FM signal is dependent on the modulation index . The physical explanation for this property is that the envelope of an FM signal is constant, so that the average power of such a signal developed across a 1ohm resistor is also constant, as shown by (4.36) 1 P = Ac2 (Using (4.31) and (4.35)) 2

38

EXAMPLE 4.3 Spectra of FM Signals

In this example, we wish to investigate the ways in which variations in the amplitude and frequency of a sinusoidal modulating signal affect the spectrum of the FM signal. Consider first the case when the frequency of the modulating signal is fixed, but its amplitude p is varied, p producing g a corresponding p g variation in the frequency deviation f. Consider next the case when the amplitude of the modulating signal is fixed; that is, the frequency deviation f is maintained constant, and d the h modulation d l i frequency f fm is i varied. i d

39

EXAMPLE 4.3 Spectra of FM Signals

FIGURE4.7 FIGURE4 7 Discrete Di t amplitude lit d spectra t of an FM signal, normalized with respect to the carrier amplitude, for the case of sinusoidal modulation of fixed frequency and varying amplitude. Only the spectra for positive frequencies are shown shown.
40

EXAMPLE 4.3 Spectra of FM Signals

We have an increasing number of spectral lines crowding into the fixed frequency interval fc-f<| f |<fc+ f . When approaches infinity, the bandwidth of the FM wave approaches the limiting value of 2f, which is an important point to keep in mind.

FIGURE 4.8 Discrete amplitude spectra of an FM signal, i l normalized li d with ith respect t to t the th carrier amplitude, for the case of sinusoidal modulation of varying frequency and fixed amplitude Only the spectra for positive amplitude. frequencies are shown.
41

Transmission Bandwidth of FM Signals

In theory, an FM signal contains an infinite number of side frequencies so that the bandwidth required to transmit such a signal is similarly infinite in extent. In p practice, , however, , we find that the FM signal g is effectively y limited to a finite number of significant side frequencies compatible with a specified amount of distortion. Consider the case of an FM signal generated by a single-tone modulating wave of frequency fm. In such an FM signal, the side frequencies that are separated from the carrier frequency fc by an amount greater than the frequency deviation f decrease rapidly toward zero, so that the bandwidth always exceeds the total frequency excursion, but nevertheless is limited.
42

Transmission Bandwidth of FM Signals

We may thus define an approximate rule for the transmission bandwidth of an FM signal generated by a single-tone modulating signal of frequency fm as follows: L Large BT 2f 1 BT 2f + 2 f m = 2f 1 + Small BT 2 f m (4.38) This empirical relation is known as Carsons rule.

For a more accurate assessment of the bandwidth requirement of an FM signal, we may thus define the transmission bandwidth of an FM wave as the separation between the two frequencies beyond which none of the side frequencies is greater than 1% of the carrier amplitude obtained when the modulation is removed.
43

Chapter 4.4 4 4 PhasePhase -locked Loop

Wireless Information Transmission System Lab. Institute of Communications Engineering g g National Sun YatYat-sen University

4.4 Phase Phase-Locked Loop

The phase-locked loop (PLL) is a negative feedback system, the operation of which is closely linked to frequency modulation. modulation It can be used for synchronization synchronization, frequency division/multiplication division/multiplication, frequency modulation, and indirect frequency demodulation. Basically, the phase-locked loop consists of three major components: p a multiplier p , a loop pf filter, and a voltage-controlled g oscillator (VCO) connected together in the form of a feedback loop, as in Figure 4.16. The VCO is a sinusoidal generator whose frequency is determined by a voltage applied to it from an external source.
45

4.4 Phase Phase-Locked Loop

FIGURE 4.16 Phase-locked loop.

We assume that initially we have adjusted the VCO so that when the control voltage is zero, two conditions are satisfied: 1 The frequency of the VCO in precisely set at the unmodulated carrier 1. frequency fc. 2. The VCO output has a 90 90-degree degree phase phase-shift shift with respect to the unmodulated carrier wave.

46

4.4 Phase Phase-Locked Loop

Suppose then that the input signal applied to the phase-locked loop is an FM signal defined by where Ac is the carrier amplitude and 1 ( t ) = 2 k f m ( )d .
0

s ( t ) = Ac sin 2 f c t + 1 ( t )

(4.59)

Let the VCO output in the phase-locked phase locked loop be defined by (4.61) where Av is the amplitude. With a control voltage v(t) applied to a VCO input, the angle 2 ( t ) is related to v(t) by the integral (4.62) where kv is the frequency sensitivity of the VCO, VCO measured in Hertz per volt.
0

r ( t ) = Av cos 2 f c t + 2 ( t )

2 ( t ) = 2 kv ( t ) dt

47

4.4 Phase Phase-Locked Loop

The object of the phase-locked loop is to generate a VCO output r(t) that has the same phase angle (except for the fixed difference of 90 degrees) as the input FM signal s(t). The time-varying Th ti i phase h angle l 1(t) characterizing h t i i s(t) may b be d due to modulation by a message signal m(t) as in Eq. (4.60), in which case we wish to recover 1(t) in order to estimate m(t). ) In other applications of the phase-locked loop, the time-varying phase h angle l 1(t) of f th the incoming i i signal i l s(t) may b be an unwanted t d phase shift caused by fluctuations in the communication channel; in this latter case, case we wish to track 1(t) so as to produce a signal with the same phase angle for the purpose of coherent detection (synchronous demodulation).
48

4.4 Phase Phase-Locked Loop

To develop an understanding of the phase-locked loop, it is desirable to have a model of the loop. loop In what follows, we first develop a nonlinear model, which is subsequently b tl linearized li i d to t simplify i lif the th analysis. l i

49

Nonlinear Model of the PLL

According to Figure 4.16, the incoming FM signal s(t) and the VCO output r(t) are applied to the multiplier multiplier, producing two components: 1. A high- frequency component, represented by the double- frequency term km Ac Av sin i 4 f c t + 1 ( t ) + 2 ( t )

2. A lowlow frequency component, represented by the difference differencefrequency term km Ac Av sin 1 ( t ) 2 ( t )

where km is the multiplier gain, measured in volt-1. The loop pf filter in the phase-locked p loop p is a low-pass p f filter, and its response to the high- frequency component will be negligible.

50

Nonlinear Model of the PLL

Therefore, discarding the high-frequency component (i.e., the double- frequency term) double term), the input to the loop filter is reduced to e ( t ) = km Ac A sin (4.63) e ( t ) where e(t) is the phase error defined by

e ( t ) = 1 ( t ) 2 ( t )

= 1 ( t ) 2 k ( )d
0

(4.64)

The loop filter operates on the input e (t) to produce an output v(t) defined by the convolution integral

( t ) = e ( )h ( t ) d

(4 65) (4.65)

where h(t) is the impulse response of the loop filter.

51

Nonlinear Model of the PLL

Using Eqs. (4.62) to (4.64) to relate e(t) and 1(t), we obtain the following nonlinear integro integro-differential differential equation as descriptor of the dynamic behavior of the phase-locked loop:

de ( t )

dt dt where K0 is a loop loop-gain gain parameter defined by K 0 = km k Ac A

d1 ( t )

2 K 0 sin e ( ) h ( t )d

(4.66)

(4.67) Equation (4.66) (4 66) suggest the model shown in Figure 4.17 4 17 for a phase phaselocked loop. In thi I this model d l we have h also l included i l d d the th relationship l ti hi between b t v(t) and e(t) as represented by Eqs. (4.63) and (4.65).

52

Derivatin of Eq. 4.66

e ( t ) = 1 ( t ) 2 ( t )
= 1 ( t ) 2 k ( )d
0 t

( t ) = e ( )h ( t ) d , e ( t ) = km Ac A sin e ( t )

=1 ( t ) 2 k

0 t

km Ac A sin e ( k ) h ( k ) dkd sin e ( k ) h ( k ) dkd

t

= 1 ( t ) 2 K 0

( K 0 =k km Ac A )

=1 ( t ) 2 K 0 sin e ( k ) 0 h ( k )d dk

e ( t ) 1 ( t ) 2 ( t ) = t t t ( t ) 2 K 0 sin e ( k ) 0 h ( k )d dk = 1 t t (by using the Leibniz integral rule)

b ( ) t

a ( )

b( ) a ( ) f ( x, ) f ( x, )dx = f (b( ), ) ) f (a( ), ) ) + dx) a ( )

t

b ( )

h ( k )d 1 ( t ) 0 = 2 K 0 sin e ( k ) dk t t ( t ) = 1 2 K 0 sin e ( k ) h ( t k )dk t

53

Nonlinear Model of the PLL

FIGURE 4.17 Nonlinear model of the phase-locked loop.

We see that the model resembles the block diagram of Figure 4.17. The multiplier at the input of the phase-locked loop is replaced by a subtracter and a sinusoidal nonlinearity, and the VCO by an integrator. The sinusoidal nonlinearity in the model of Figure 4.17 greatly increases the difficulty of analyzing the behavior of the phase-locked loop It would be helpful to linearize this model to simplify the loop. analysis.
54

Linear Model of the PLL

When the phase error e(t) is zero, the phase-locked loop is said to be in phase phase-lock lock. When e(t) is at all times small compared with one radian, we may use the approximation sin (4.68) ( ) e ( t ) e ( t ) which is accurate to within 4 percent for e(t) less than 0.5 radians. We may represent the phase phase-locked locked loop by the linearized model shown in Figure 4.18a.

Figure 4.18 Models of the phase-locked loop. (a)Linearized model.

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Linear Model of the PLL

According to this model, the phase error e(t) is related to the input phase 1(t) by the linear integro integro-differential differential equation de ( t ) d1 ( t ) + 2 K 0 ( )h ( t ) d = (4 69) (4.69) dt dt Transforming Eq. (4.69) into the frequency domain and solving for e( f ), the Fourier transform of e( f ), in terms of 1( f ), the Fourier transform of 1(t), we get 1 e ( f ) = 1 ( f ) 1+ L ( f ) (4.70) q ( (4.70) ) is defined by y The function L( f ) in Eq. jf where H( f ) is the transfer function of the loop filter.
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L ( f ) = K0

H(f ) (4.71)

Linear Model of the PLL

The quantity L( f ) is called the open-loop transfer function of the phase-locked loop. loop Suppose that for all values of f inside the baseband we make the magnitude of L( f ) very large compared with unity. Then from Eq. 4.70 we find that e( f ) approaches zero. That is, the phase of the VCO becomes asymptotically equal to the phase of the incoming signal. Under this condition, phase-lock is established, and the objective j of the phase-locked p loop p is thereby y satisfied. From Figure 4.18a we see that V( f ), the Fourier transform of the phase-locked h l k d loop l output t t v(t), ) i is related l t d to t e( f ) by b
K0 V(f )= H ( f ) e ( f ) k
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(4 72) (4.72)

Linear Model of the PLL

Equivalently, in light of Eq. (4.71), we may write jf V(f )= L ( f ) e ( f ) k jf k ) L ( f ) ( V(f )= 1 ( f ) 1+ L( f )

L ( f ) = K0

H(f ) jf

(4.73) (4.74) (4.75)

F | L( f ) | >> 1 For 1: Time-Domain:

V(f)

1 d1 ( t ) (4.76) (t ) 2 k dt Thus, provided that the magnitude of the open-loop transfer function L( f ) is very large for all frequencies of interest, the phase locked loop may be modeled as a differentiator with its phase-locked output scaled by the factor 1/2kv, as in Figure 4.18b.
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jf 1 ( f ) k

Linear Model of the PLL

Figure 4.18 Models of the phase-locked loop. (b) Simplified model when the loop gain is very large compared to unity.

Therefore, substituting Eq. (4.60) in (4.76), we find that the resulting output signal of the phase-locked loop is approximately (4.77) k E Equation i (4.77) (4 77) states that h when h the h loop l operates in i its i phaseh locked mode, the output v(t) of the phase-locked loop is approximately the same, same except for the scale factor kf / kv, as the original message signal m(t).
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(t )

kf

m (t )

Linear Model of the PLL

A significant feature of the phase-locked loop acting as a demodulator is that the bandwidth of the incoming FM signal can be much wider than that of the loop filter characterized by H( f ). The transfer function H( f ) can and should be restricted to the baseband. The complexity of the phase-locked loop is determined by the transfer function H( f ) of the loop filter. filter The simplest form of a phase-locked loop is obtained when H( f ) =1; 1 th that t is, i there th is i no loop l filter, filt and d the th resulting lti phase-locked h l k d loop l is referred to as a first-order phase-locked loop.

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Linear Model of the PLL

The order of the phase-locked loop is determined by the order of denominator polynomial of the closed closed-loop loop transfer function, function which defines the output transform V( f ) in terms of the input transform 1( f ), as shown in Eq. (4.74). A major limitation of a first-order phase-locked loop is that the loop gain parameter K0 controls both the loop bandwidth as well as the hold-in frequency range of the loop. The hold-in Th h ld i frequency f range refers f to t the th range of f frequencies f i for f which the loop remains phase-locked to the input signal. It is for this reason that a first-order phase-locked loop is seldom used in practice.
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Supplementary Material: Analysis of PLL Using Laplace Transform

Wireless Information Transmission System Lab. Institute of Communications Engineering g g National Sun YatYat-sen University

The Phase Phase-Locked Loop p

The PLL basically consists of a multiplier, a loop filter, and a voltage-controlled g oscillator ( (VCO): )

Assuming A i that th t the th input i t to t the th PLL is i the th sinusoid i id xc(t)= ) Accos(2fct+) and the output of the VCO is e0(t)= -Avsin(2fct+), where represents the estimate of , the product of two signals is:
ed ( t ) = xc ( t ) e0 ( t ) = Ac cos ( 2 f c t + ) Av sin 2 f c t +
1 =1 A A sin 2 c v 2 Ac Av sin 4 f c t + +

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The Phase Phase-Locked Loop p

The loop filter is a low-pass filter that responds only to the lowfrequency component 0.5AcAvsin( - ) and removes the component at 2fc. The h output of f the h loop l filter fil provides id the h control l voltage l ev(t) for the VCO. Th VCO i The is a sinusoidal i id l signal i l generator t with ith an instantaneous i t t phase given by
2 f c t + ( t ) = 2 f c t + K v ev ( )d
t

where Kv is a gain constant in rad/s/V. rad/s/V

d ( t ) = K v e ( )d or = K v ev ( t ) dt
t

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The Phase Phase-Locked Loop p

By y neglecting g g the double-frequency q y term resulting g from the multiplication of the input signal with the output of the VCO, the phase detector output is: ed ( ) = K d sin where = is the phase error and Kd is a proportionality constant. In normal operation, when the loop is tracking the phase of the i incoming i carrier, i the th phase h error is i small. ll As A a result, lt
sin

With the assumption that | |<<1, the PLL becomes linear.

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The Phase Phase-Locked Loop p

The equations describing loop operation is conveniently obtained by using Laplace transform notation . A loop p model using g Laplace-transformed p quantities and q assuming linear operation is shown in the following figure:

66

The Phase Phase-Locked Loop p

The Laplace-transformed loop equations are:

Ed ( s ) = K d ( s ) ( s ) = Kd ( s) Ev ( s ) = F ( s ) E d ( s ) K v Ev ( s ) s

(s) =

The closed-loop transfer function:

H (s) (s) (s) = s + Kv Kd F ( s ) Kv Kd F ( s ) 1 + KF ( s ) / s KF ( s ) / s

The p phase error transfer f function f :

(s) (s) (s) = (s) (s) = 1
67

He ( s )

(s)

(s)

= 1 H (s) =

s s + Kv Kd F ( s )

The Phase Phase-Locked Loop p

The VCO control-voltage/input-phase transfer function: Ev ( s ) sH ( s ) K d sF ( s ) Hv (s) = = = (s) Kv s + Kv Kd F ( s ) It is i convenient i to write i the h closed-loop l dl transfer f function f i in i terms of the open-loop transfer function, which is defined as: Gop ( s ) Kv Kd F ( s ) Gop ( s ) H (s) = s 1 + Gop ( s ) K=KvKd is the open-loop p p dc g gain. By appropriate choice of F(s), any order closed-loop transfer function can be obtained. For second-order passive loops, the transfer function is: 1+ 2s 1+ 2s F (s) = H (s) = 1 1s 1 + ( 2 + 1 K ) s + ( 1 K ) s 2

68

The Phase Phase-Locked Loop p

Second-order Second order phase phase-locked-loop locked loop filters

69

The Phase Phase-Locked Loop p

Transfer functions and parameters for first- and second-order phase-locked h l k d loops l

70

The Phase Phase-Locked Loop p

Hence, the closed-loop system for the linearized PLL is secondorder. It is customary to express the denominator of H(s) in the standard form: 2 D ( s ) = s 2 + 2 n s + n where : loop damping factor n: natural frequency of the loop

n = K 1 and = n ( 2 + 1 K ) 2

The closed-loop transfer function becomes: 2 2 2 K s + ( ) n n n H (s) = 2 s 2 + 2 n s + n

71

The Phase Phase-Locked Loop p

The frequency response of a second-order loop (with 11)

= 1 critically damped loop response. < 1 underdamped p response. p > 1 overdamped response.
72

The Phase Phase-Locked Loop p

In practice, the selection of the bandwidth of the PLL involves a trade-off trade off between speed of response and noise in the phase estimate. On the one hand, hand it is desirable to select the bandwidth of the loop to be sufficiently wide to track any time variations in the phase of the received carrier. p On the other hand, a wideband PLL allows more noise to pass into the loop, which corrupts the phase estimate.
Reference: Introduction to Spread-Spectrum Communications, by Roger L. Peterson, Rodger E. Ziemer, and David E. Borth, Appendix A, pp. 615-619, 1995 Prentice Hall, Inc.

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