Oscillator AM-to-FM Noise Conversion Due to the

Dynamic Frequency-Drive Sensitivity of the

Crystal Resonator
Michael M. Driscoll
Northrop Grumman Electronic Systems
Baltimore, Maryland

Abstract – An analysis has been made of the potential effects

of AM-to-FM noise conversion in quartz crystal oscillators II. AM-TO-FM NOISE CONVERSION
as a result of the dynamic frequency-drive sensitivity of the CALCULATIONS
crystal resonator. The analysis indicates that it is quite Defining the dynamic coefficient of the crystal
possible for the FM noise resulting from AM-to-FM
frequency-drive sensitivity in terms of the fractional
conversion in the crystal resonator to equal or exceed that
due to the conversion of oscillator open loop phase noise to frequency change induced as a function of the square of
closed loop frequency noise. This is especially true in the crystal current:
oscillators designed to exhibit low white phase noise (floor)
levels by operating the crystal resonator at relatively high kd = (f-fo)/(fo·I2), and (1)
drive level. In addition, the analysis indicates that, for the
same drive sensitivity, the relative degradation in FM noise f-fo = kd·fo·I2 (2)
level due to this effect is more severe at lower relative
oscillator operating frequencies. df = 2·kd·fo·I·dI (3)
I. INTRODUCTION
dividing by the modulation frequency, fm:
A recent paper appearing in the IEEE Transactions on
df/fm = 2·kd· fo·I·dI/fm = (2·kd·fo·I2/fm)·dI/I (4)
UFFC, Horton and Hague reported on the results of
measurement of the frequency-drive sensitivity of
Given that the spectral power density of the oscillator
several different types of VHF quartz crystal resonators
output signal phase fluctuations is:
[1]. They reported that the overall frequency-drive
sensitivity or amplitude-frequency effect was comprised
Sφ(f) = (δf/fm)2 = δφ2 (5)
of two, distinct mechanisms; a short time constant
(dynamic) portion associated with the elastic non-
and the power spectral density of the amplitude
linearity and a long time constant effect associated with
fluctuations is:
resonator drive level-induced, resonator temperature
change. Frequency-drive sensitivities were reported for
Sa(f) = (δV/V)2 = (δI/I)2 (6)
AT, BT, IT, SC, SC+, and LD crystal cuts.
where V is the voltage across the crystal resonator at
It occurred to the author that the possibility existed that
series resonance and I is the current through the motional
oscillator signal AM noise could be converted to FM
arm of the resonator (assuming the static capacitance has
noise by reason of the crystal resonator frequency-drive
been anti-resonated). Then:
sensitivity [2-7]. It is undetermined at this point whether
the dominant AM noise contributor might be the
sustaining stage amplifier or the short-term instability Sφ(f) = Sa(f)·(2·kd·fo·I2/fm)2 (7)
(self noise) of the crystal resonator resistive impedance
[8-9]. This paper reports on the results of that Substituting I2 = P/RS, where P is the power dissipated in
proposition. Using results of measurement of the resonator, I is the current through the motional arm
commercial VHF crystal oscillator AM noise reported in of the crystal equivalent circuit, and RS is the resonator
separate papers by Rubiola [10] and Nelson, et. al. [11], series resistance:
the analysis appears to support the idea that this effect
could account for a significant portion of crystal Sφ(f) = Sa(f)· ((2·kd·fo·P)/(RS·fm))2 (8)
oscillator output signal FM/PM noise.

978-1-4244-1795-7/08/$25.00 ©2008 IEEE 672

If kd is in units of ppb per mA squared, fo in MHz, and P Table 1. Frequency-Drive Sensitivities for 160MHz,
in mW, the relationship between Sφ(f) and Sa(f) needs no Fifth Overtone Resonators
multiplication factor when applied: Crystal R1 Dynamic
cut (ohms) sensitivity
(ppb/mA^2)(MHz)(mW) = (10-9/10-6)(106)(10-3) = 1 coefficient, kd
(ppb/mA^2)
The equation that describes the conversion of open loop AT 31 0
phase fluctuations to closed loop frequency fluctuations BT 31.6 0
is: IT 62.4 39
SC 109.6 31
Closed loop Sφ(f) = open loop Sφ(f)·[(fo/2·Q·f)2+1] (9) SC 107.2 20
SC+ 104.0 15
SC+ 78.2 8
In the region where fo/2·Q·f >>1, the value of kd that LD 129.2 0
results in equal levels of oscillator closed loop signal PM LD 148.0 0
noise level due to: (1) AM noise and (2) open loop PM
noise is given by: Table 2. Frequency-Drive Sensitivities for 5, 10, and
100MHz Resonators
kd2=open loop[Sφ(f)/Sa(f)]·(1000·RS)2/(4·Q·P)2 (10) Crystal Cut R1 Δf Total
(ohms) (ppb/uW Sensitivity
where RS is the resonator series resistance in ohms, Q is (ppb/mA^2)
the resonator loaded Q factor, and P is the resonator 5MHz AT 95 5.5 523
dissipated power in Watts. 10MHz AT 100 3.6 3600
BVA
Equation (8) is used to determine the conversion of AM 10MHz SC 100 0.77 77
to PM noise due to resonator drive level sensitivity, and BVA
equation 10 can be used to determine the sensitivity 10MHz BT 45 -0.1 -4.5
coefficient that would result in oscillator output signal 100MHz SC 75 0.29 22
phase noise level due to AM-FM conversion equal to
that due to the conversion of open-loop PM noise to In order to predict the possible effect of AM-to-FM
closed loop FM noise. noise conversion in a crystal oscillator resulting from the
resonator frequency-drive sensitivity, the author created
the Excel spreadsheet shown in Figure 1. In the Figure 1
III. SPECIFIC EXAMPLES spreadsheet, data was entered for the SC-cut crystal of
Table 1 having a sensitivity value of 31ppb/mA^2. In
In the paper by Horton and Hague referenced earlier, the addition, a drive level of 5mW was assumed, along with
dynamic frequency-drive sensitivities shown in Table 1 oscillator open-loop flicker-of-AM and flicker-of-PM
were measured by the authors [1]. It is worth noting that noise levels characterized by Sφ(f) = Sa(f) = 2X10-13/f or
the authors reported near-zero dynamic frequency-drive -130dBc/Hz at 1Hz carrier offset frequency. The results
sensitivity values for AT, BT, and LD-cut resonators. are plotted in Figure 2, and they indicate that the AM
noise-induced FM noise level is 12dB below that due to
Table 2 was generated by the author using the data oscillator open loop PM noise if/when the open loop AM
appearing in a 1996 paper by Besson, et.al. [2]. In and PM noise levels are identical. Using equation 10,
contrast to the Table 1 data, note the very large the sensitivity coefficient value that would result in equal
sensitivity values listed in Table 2 for the AT-cut levels of oscillator closed loop, FM noise is on the order
resonators. One explanation for the difference might be of 125 ppb/mA2. In contrast, Figure 3 shows the effect
that the Table 2 values include the “non-dynamic” as of similar drive in a 10MHz crystal resonator having
well as the “dynamic” portions of the measured similar (100 ohm) series resistance and similar oscillator
resonator drive level-induced frequency shift. open loop, AM and PM noise levels as that used for the
100MHz example. As shown in the figure, the AM
noise-induced, oscillator FM noise in the near-carrier
region is 13dB higher than that due to the conversion of
open-loop PM noise equal in level to the AM noise.

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 Sensitivity
Crystal series Crystal Crystal coefficient
Presumed Corresponding
resonant series nominal Crystal fractional
crystal loaded Crystal Drive Current (df/fo)/(I2) in units
frequency resistance dissipation frequency shift (ppb)
Q-factor (mA) of ppb per mA
(MHz) (ohms) (mW)
squared
160 43750 110 5 6.74 31 1409
Presumed Resultant Resultant oscillator Presumed Resultant Oscillator B
oscillator loop AM noise flicker-of- signal FM Noise oscillator loop Signal FM noise
frequency
flicker-of-AM 2 frequency sideband level due to flicker-of-PM sideband level due to D
(Hz) level (dI/I)
noise sideband PM noise crystal drive noise sideband open-loop PM noise
2
level (dBc/Hz) (df/fm) sensitivity (dBc/Hz) level (dBc/Hz) (dBc/Hz)
1 -130.0 2.00E-13 4.07E-08 -76.9 -130.0 -64.8
1.6 -132.0 1.26E-13 1.02E-08 -82.9 -132.0 -70.8
2.5 -134.0 7.96E-14 2.57E-09 -88.9 -134.0 -76.8
4.0 -136.0 5.02E-14 6.44E-10 -94.9 -136.0 -82.8
6.3 -138.0 3.17E-14 1.62E-10 -100.9 -138.0 -88.8
10.0 -140.0 2.00E-14 4.07E-11 -106.9 -140.0 -94.8
15.8 -142.0 1.26E-14 1.02E-11 -112.9 -142.0 -100.8
25.1 -144.0 7.96E-15 2.57E-12 -118.9 -144.0 -106.8
39.8 -146.0 5.02E-15 6.44E-13 -124.9 -146.0 -112.8
63.1 -148.0 3.17E-15 1.62E-13 -130.9 -148.0 -118.8
100.0 -150.0 2.00E-15 4.07E-14 -136.9 -150.0 -124.7
158.5 -152.0 1.26E-15 1.02E-14 -142.9 -152.0 -130.7
251.2 -154.0 7.96E-16 2.57E-15 -148.9 -154.0 -136.7
398.1 -156.0 5.02E-16 6.44E-16 -154.9 -156.0 -142.6 A
631.0 -158.0 3.17E-16 1.62E-16 -160.9 -158.0 -148.3
1000.0 -160.0 2.00E-16 4.07E-17 -166.9 -160.0 -153.6 w
1584.9 -162.0 1.26E-16 1.02E-17 -172.9 -162.0 -158.3 t
2511.9 -164.0 7.96E-17 2.57E-18 -178.9 -164.0 -162.2
3981.1 -166.0 5.02E-17 6.44E-19 -184.9 -166.0 -165.2
6309.6 -168.0 3.17E-17 1.62E-19 -190.9 -168.0 -167.6
10000.0 -170.0 2.00E-17 4.07E-20 -196.9 -170.0 -169.9

Figure 1. Spreadsheet for calculating the conversion of oscillator open-loop AM and PM noise to FM noise

-60.0 Presumed, Open-Loop AM and PM Noise Level

FM Noise Level due to Drive Sensitivity
Sideband Level (dBc/Hz)

-80.0 FM Noise Level due to Open Loop PM Noise=AM Noise

-100.0

-120.0

-140.0

-160.0

-180.0
1 10 100 1000
Modulation Frequency (Hz)

Figure 2. Flicker-of-Frequency Noise SBL Induced by Flicker-of-Amplitude Noise: Crystal Fs = 160 MHz, P = 5 mW,
Rs = 110 ohms, Loaded Q=44K, Frequency-Drive Coefficient (kd) = 31 ppb/mA2

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 -60.0
Presumed, Open-Loop AM and PM Noise Level
FM Noise Level due to Drive Sensitivity
Sideband Level (dBc/Hz)
-80.0 FM Noise Level due to Open Loop PM Noise=AM Noise

-100.0

-120.0

-140.0

-160.0

-180.0
1 10 100 1000
Modulation Frequency (Hz)
Figure 3. Flicker-of-Frequency Noise SBL Induced by Flicker-of-Amplitude Noise: Crystal Fs = 10 MHz, P = 5 mW,
Rs = 100 ohms, Loaded Q=700K, Frequency-Drive Coefficient (kd) = 31 ppb/mA2

Referring again to the paper by Enrico Rubiola that
included results of measurement of crystal oscillator AM
noise, the first two columns in Table 3 summarizes the
results of that author’s measurement of the AM noise of
several 100MHz crystal oscillators manufactured by
Wenzel Associates [10]. The third column in the table
shows the level of the AM noise-induced, FM noise that
would occur under the (worst-case) assumption of
relatively low (50 ohm) crystal resistance, relatively high
(5milliwatt) crystal dissipation, and 31ppb/mA2
dynamic, frequency-drive sensitivity coefficient in the
crystal (the value reported by Horton and Hague).
conversion might be a significant contributor to
oscillator FM noise. For that case, the AM noise-
induced, oscillator FM noise at 100Hz carrier offset is on
the order of -123.5dBc/Hz, which is certainly in the
realm of observed performance for 100MHz, crystal
oscillators.
In the cited paper by Nelson, et. al., oscillator AM and
PM noise measurements were compared for various
types of oscillators [11]. Results for two, SC-Cut
oscillators driven at “relatively high power” are shown in
Table 4.

Table 3. AM Noise Measurement for 100MHz Wenzel Table 4. AM and PM Noise Measurement for 5MHz and
Crystal Oscillators 100MHz Crystal Oscillators
Wenzel Sa(f=1Hz Sφ(f=1Hz) Oscillator Sa(f=1Hz) Sφ(f=1Hz) kd value
Oscillator ) AM noise-induced, FM Crystal resulting in
Model noise level (see Notes) measured
500-02789D 4.7X10-12 8.9X10-7 (-60.5dB) Sφ(f=1Hz) (see
-13
501-04623E 2X10 3.8X10-8 (-74.2dB) Notes)
no. 1 5MHz 8X10-14 2X10-12 9ppb/mA2
501-04623E 1.5X10-13 2.8X10-8 (-75.5dB) SC-Cut
no. 2 100MHz 1.3X10-13 6.3X10-8 34ppb/mA2
Notes: Assumptions are P=5mW, SC-Cut
R=50Ω, Qfo=7X1013, and kd=31ppb/mA2 Notes: Assumptions are P=5mW, R=50Ω, and
The results appear to indicate that, for the 500-02789D Qfo=7X1013
oscillator, it may be possible that AM to FM noise

675
The values for the dynamic coefficient of the crystal
frequency-drive sensitivity that would have accounted
for the observed results are also shown in the table.
They indicate, again, that it is quite possible, given the
assumptions noted, that the AM noise induced, oscillator
FM noise could be a significant contributor to the
observed oscillator Phase Noise performance.
IV. CONCLUSIONS
Expressions defining the effect of the conversion of AM
noise to FM noise in crystal oscillators due to the
“dynamic” coefficient of the crystal resonator resonant
frequency sensitivity to drive level have been developed.
The conversion formulas have been applied using
measured values of sensitivity coefficient and measured
values of crystal oscillator AM noise. The results
indicate that it is quite possible that AM noise can be a
significant contributor to crystal oscillator near-carrier
FM noise, particularly when the crystal resonator is
driven at relatively high drive level in order to achieve a
low white noise (floor) level in the oscillator output
signal spectrum.
In the case of a “noisy” crystal, it remains unclear as to
whether the primary AM noise contributor is the AM
noise associated with the non-resonator portion of the
oscillator circuitry or the AM noise produced by short-
term impedance instability in the resonator itself.
[4] R. L. Filler, “The Amplitude-Frequency Effect in SC-
Cut Resonators”, Proc. 39th Annu. Freq. Contr. Symp.,
May, 1985, pp. 311-316.
[5] J. J. Gagnepain, “Nonlinear Constants and Their
Significance”, Proc. 41st Annu. Freq. Contr. Symp., May,
1987, pp. 266-276.
[6] Y. Hirose and Y. Tsuzuke, “Evaluation of the
Nonlinear Elastic Coefficient Causing Frequency Shifts
in AT-Cut Resonators”, Proc. 45th Annu. Freq. Contr.
Symp., May, 1991, pp. 72-76.
[7] N. Gufflet, et. Al., “Doubly-Rotated Quartz
Resonators with Low Amplitude-Frequency Effect: the
LD-Cut”, IEEE Trans. Ultrason., Ferroelect., Freq.
Contr., Vol. 48, No. 6, Nov., 2001, pp. 1681-1685.
[8] M. M. Driscoll, “Spectral Degradation in VHF
Crystal-Controlled Oscillators Due to Short-Term
Instability in the Quartz Resonator”, Proc. 1985 IEEE
Ultrason. Symp., pp. 340-345.
[9] E. S. Ferre-Pikal, et. al., “Experimental Studies on
Flicker Noise in Quartz Crystal Resonators as a Function
of Electrode Volume, Drive Current, Type of Quartz,
and Fabrication Process”, Proc. 1996 IEEE Internat.
Freq. Contr. Symp., May, 1996, pp. 844-851.
[10] E. Rubiola, “The Measurement of AM Noise in
Oscillators”, Proc. IEEE Internat. Freq. Contr. Symp.
(TimeNav’07 Conference), June, 2006, pp. 750-758.
[11] L. M. Nelson, et. al., “Relationship of AM to PM
Noise in Selected RF Oscillators”, IEEE Trans.
Ultrason., Ferroelect., Freq. Contr., Vol. 41, No. 5, Sept.,
1994, pp. 680-684.

Recommended approaches to minimize AM noise in the

non-resonator portion of the oscillator circuitry includes:
(1) the use of symmetrical waveform limiting or clipping
prior to crystal resonator excitation, (2) the use of
sustaining stage amplifiers exhibiting low flicker-of-AM
noise, (3) the use of sustaining stage amplifiers
exhibiting low gain and phase sensitivity to DC supply
voltage, and (4) the use of low noise voltage regulators
to supply the oscillator DC power.

V. REFERNCES
[1] W. H. Horton and G. E. Hague, “Dynamic
Measurement of Amplitude-Frequency Effect of VHF
Resonators”, IEEE Trans. Ultrason., Ferroelect., Freq.
Contr., Vol. 53, No. 1, Jan., 2006, pp. 159-166.
[2] R. J. Besson, et. al., “Phase Noise Limitation Due to
Amplitude Frequency Effects in State-of-the-Art Quartz
Oscillators”, Proc. 1996 IEEE Internat. Freq. Contr.
Symp., May, 1996, pp. 839-843.
[3] M. M. Driscoll, “Low Frequency Noise Quartz
Crystal Oscillator”, IEEE Trans. Instru. And Meas., Vol.
IM-24, No. 1, March, 1975, pp. 21-26.

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