Chapter 4

Phase and Frequency Modulation

Wireless Information Transmission System Lab.

Institute of Communications Engineering
g g
National Sun Yat-
Yat-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 Loopp

2
 Chapter 4.1
Introduction

Wireless Information Transmission System Lab.

Institute of Communications Engineering
g g
National Sun Yat-
Yat-sen University
 4.1 Introduction
◊ In this chapter, we study a second family of continuous-wave(CW)
modulation systems,
systems namely,
namely angle modulation,
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
 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 ppossible with amplitude

p modulation.

5
 Chapter 4.2
Basic Definitions

Wireless Information Transmission System Lab.

Institute of Communications Engineering
g g
National Sun Yat-
Yat-sen University
 4.2 Basic Definitions
◊ Let θi(t) denote the angle of a modulated sinusoidal carrier at time
t; it is assumed to be a function of the information–bearing
information bearing signal
or message signal.
◊ We express the resulting angle-modulated
angle modulated wave as
s ( t ) = Ac cos ⎡⎣θi ( t ) ⎤⎦ (4.1)
where Ac is the carrier amplitude.
amplitude
◊ The average frequency in Hertz over an interval from t to t+Δt is
given by θi ( t + Δt ) − θi ( t )
f Δt ( t ) = (4.2)
2πΔt
◊ The instantaneous frequency of the angle-modulated signal s(t):

⎡θi ( t + Δt ) − θi ( t ) ⎤ 1 dθi ( t )
fi ( t ) = lim f Δt ( t ) = lim ⎢ ⎥ =
Δt →0 Δt → 0
⎣ 2πΔt ⎦ 2π dt
7
 4.2 Basic Definitions
◊ For an unmodulated carrier, the angle θi(t) is given by

θi ( t ) = 2π f c t + φc

and corresponding phasor rotates with a constant angular velocity

equal to 2πfc. The constant φc is the value of θi(t) at t=0.

◊ There are an infinite number of ways in which the angle θi(t) may
be varied in some manner with the message (baseband) signal.
signal

◊ We shall
W h ll consider
id onlyl two
t commonly l usedd methods,
th d phase
h
modulation and frequency modulation.

8
 4.2 Basic Definitions
◊ Phase modulation (PM) is that form of angle modulation in which
the instantaneous angle θi(t) is varied linearly with the message
signal as shown by
θi ( t ) = 2π f ct + k p m ( t ) ((4.4))
The term 2πfct represents the angle of the unmodulated carrier; kp
represents
p the pphase sensitivityy 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 ⎡⎣ 2π 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 2π, we get t
θi ( t ) = 2π f ct + 2π k f ∫ m (τ )dτ
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
s ( t ) = Ac cos 2π f c t + 2π k f ∫ m (τ ) dτ ⎤
⎡ (4 8)
(4.8)
t

⎢⎣ 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 Angle-
Angle-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 equall to
t the
th carrier
i amplitude
lit d Ac for
f allll time
ti t,t
irrespective of the sensitivity factors kp and kf .
◊ Consequently the average transmitted power of angle-
Consequently, angle
modulated waves is a constant, as shown by
1
P = A2
av 2 c (4.9)
where it is assumed that the load resistance is 1 ohm.
ohm
⎛ V2 ⎞
⎜P = ⎟
⎝ R ⎠

12
Properties of Angle-
Angle-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 off superposition. iti
◊ For example, the message signal m(t) is made up of two
components m1(t) and m2(t): m ( t ) = m1 ( t ) + m2 ( t )
different components,
◊ Let s(t), s1(t), and s2(t) denote the PM waves produced by m(t),
m1(t),
(t) and m2(t) in accordance with Eq Eq. (4.4),
(4 4) respectively.
respectively We
may express these PM waves as follows: θ ( t ) = 2π f t + k m ( t ) ( 4.4 )
i c p

s ( t ) = Ac cos ⎡⎣ 2π f c t + k p ( m1 ( t ) + m2 ( t ) ) ⎦⎤
m ( t ) = m1 ( t ) + m2 ( t )
s1 ( t ) = Ac cos ⎡⎣ 2π f c t + k p m1 ( t ) ⎤⎦
s ( t ) ≠ s1 ( t ) + s2 ( t )
s2 ( t ) = Ac cos ⎡⎣ 2π f c t + k p m2 ( t ) ⎤⎦

◊ Frequency modulation
d l i offers
ff superiori noise
i performance
f
compare to amplitude modulation,
13
Properties of Angle-
Angle-Modulated Waves
◊ Property 3: Irregularity of Zero-Crossings
◊ Zero-crossingg 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 Angle-
Angle-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 percent→phase
reversal→distortion)

◊ 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 Angle-
Angle-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 off 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 att the
th
expense of a corresponding increase in the transmission
bandwidth requirement of angle modulation.
modulation

16
Properties of Angle-
Angle-Modulated Waves

◊ Property 5-Trade-OFF of Increased Transmission

Bandwidth
d id h for
f Improvedd 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 forf 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 Zero-
Zero-Crossings
◊ Consider a modulating wave m(t) that increases linearly with time t,
starting at tt=00, as shown by

⎧at , t≥0
m (t ) = ⎨
⎩ 0, t<0

where a is the slope parameter (see Figure 4.2a).

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
fc = Hz
4
a = 1 volt/s

18
 Example 4.1 Zero-
Zero-Crossings

Fig 44.2
Fig. 2 Starting at time t = 0,
0 the figure displays (a) linearly increasing message signal m(t),
m(t)
(b)phase-modulated wave, and (c) frequency-modulated wave.

19
 Example 4.1 Zero-
Zero-Crossings
◊ Phase Modulation:
◊ Phase sensitivity factor kp=π/2
Phase-sensitivity π/2 radians/volt.
radians/volt Applying Eq Eq. (4(4.5) 5)
to the given m(t) yields the PM wave s ( t ) = A cos ⎡⎣ 2π f t + k m ( t ) ⎦⎤ ( 4.5 )
c c p

⎧⎪ Ac cos ( 2π f c t + k p at ) , t≥0
s (t ) = ⎨
⎪⎩ Ac cos ( 2π f c t ) , t<0
which is plotted in Figure 4.2b for Ac=11 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 π/2:
⎛ k pa ⎞ π
2π f c tn + k p atn = π ⎜ 2 f c + ⎟nt = + nπ , n = 00,1,
1 22,…
⎝ π ⎠ 2
1
+n 1
tn = 2 tn = + n, n = 0,1,
0 1 22,…
kp 2
2 fc + a
π
20
 Example 4.1 Zero-
Zero-Crossings
◊ Frequency Modulation:
◊ Frequency sensitivity factor,
Frequency-sensitivity factor kf =11 Hz/volt.
Hz/volt Applying Eq Eq. (4.8)
(4 8)
yields the FM wave s ( t ) = A cos ⎡ 2π f t + 2π k ∫ m (τ ) dτ ⎤ ( 4.8 )
t
c ⎢⎣ c f 0 ⎦⎥
⎧⎪ Ac cos ( 2π f c t + π k f at 2 ) , t≥0
s (t ) = ⎨
⎪⎩ Ac cos ( 2π f c t ) , t<0

which is plotted in Figure 4.2c.

◊ Invoking the definition of a zero-crossing, we can obtain:
π
2π f c tn + π k f atn2 = + nπ , n = 0,1, 2,…
2
1 ⎛ ⎛1 ⎞⎞
⎜⎜ − f c + f + ak f ⎜ + n ⎟ ⎟ , n = 0,1, 2,…
2
tn =
⎠ ⎟⎠
c
ak f ⎝ ⎝2

tn =
1
4
( )
−1 + 9 + 16n , n = 0,1, 2,…
21
 Example 4.1 Zero-
Zero-Crossings
◊ 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:
1. 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 / 2π ) = 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 (τ ) dτ
in place of m(t).
s ( t ) = Ac cos ⎡⎣ 2π f c t + k p m ( t ) ⎦⎤ (4.5)

s ( t ) = Ac cos 2π f c t + 2π k f ∫ m (τ ) dτ ⎤ (4.8)
⎡ t

⎢⎣ 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 4.3b.
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.

θi ( t ) fi ( t )

Unmodulated 2π f c t fc
signal
2π f c t + k p m ( t ) k p dm ( t )
PM signal fc +
2π dt
t
FM signal 2π f c t + 2π k f ∫ m (τ )dτ fc + k f m ( t )
0

24
 Chapter 4.3
Frequency Modulation

Wireless Information Transmission System Lab.

Institute of Communications Engineering
g g
National Sun Yat-
Yat-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),
m(t) which makes frequency modulation a
nonlinear modulation process.
◊ How then can wee tackle the spectral anal
Ho 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 ( 2π 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 ( 2π f mt ) = f c + Δf cos ( 2π f m t ) (4.11)
Δf = k f Am (4.12)
◊ The quantity Δf 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 Δf is proportional to the amplitude of the modulating signal and is
independent of the modulating frequency.
frequency
◊ Using Eq. (4.11), the angle θi(t) of the FM signal is obtained as
t Δf
θi ( t ) = 2π ∫ fi ( t ) dt
d = 2π f c t + i ( 2π f mt )
sin
0 fm
◊ The ratio of the frequency deviation Δf to the modulation
frequency fm is commonly called the modulation index of the FM
signal.
27
 4.3 Frequency Modulation
Δf
◊ The modulation index is denoted by β: β=
fm

θi ( t ) = 2π f c t + β sin ( 2π f mt )
◊ The parameter β represents the phase deviation of the FM signal, i.e.
the maximum departure of the angle θi(t) from the angle 2πfct of the
unmodulated carrier. β is measured in radians.
◊ The FM signal itself is given by

s ( t ) = Ac cos ⎡⎣ 2π f c t + β sin ( 2π f mt ) ⎤⎦
(4.16)
Depending on the value of the modulation index β, we may
distinguish two cases of frequency modulation:
◊ Narrow-band
N b d FM
FM, for
f which
hi h β is
i small
ll comparedd to one radian.
di
◊ Wide-band FM, for which β is large compared to one radian.
28
 4.3 Frequency Modulation
◊ Narrow-band frequency modulation
◊ Consider EqEq. (4.16),
(4 16) which defines an FM signals resulting
form the use of sinusoidal modulating signal. Expanding this
relation,, we get
g
s ( t ) = Ac cos ( 2π f c t ) cos ⎡⎣ β sin ( 2π f mt ) ⎦⎤ − Ac sin ( 2π f c t ) sin ⎣⎡ β sin ( 2π f m t ) ⎦⎤ ( 4.17 )
◊ Assuming
A i that
th t the
th modulation
d l ti index
i d β isi small
ll comparedd to
t
one radian, we may use the following two approximations:

cos ⎡⎣ β sin ( 2π f mt ) ⎤⎦ 1 sin ⎡⎣ β sin ( 2π f mt ) ⎦⎤ β sin ( 2π f mt )

s (t ) Ac cos ( 2π f c t ) − β Ac sin ( 2π f c t ) sin ( 2π f m t ) ( 4.18

4 18 )

s (t )
1
{
Ac cos ( 2π f c t ) + β Ac cos ⎡⎣ 2π ( f c + f m ) t ⎤⎦ − cos ⎡⎣ 2π ( f c − f m ) t ⎤⎦
2
} ( 4.19 )
1
sin α sin β = ⎡cos (α − β ) − cos (α + β ) ⎤⎦
29 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
{ }
s AM ( t ) = Ac cos ( 2π f c t ) + μ Ac cos ⎡⎣ 2π ( f c + f m ) t ⎤⎦ + cos ⎡⎣ 2π ( f c − f m ) t ⎤⎦
2
( 4.20 )
where μ 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 byy 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)
( ) iis an angle-modulated
l d l d signal,
i l andd c(t)
( ) iis the
h
receiver oscillator, having phase noise φn(t), then when
translating the signal from fc to fb (see section 33.7),
7) the output is
s ( t ) c ( t ) = Ac cos ⎡⎣ 2π f c t + φ ( t ) ⎤⎦ × cos ⎡⎣ 2π ( f c − fb ) t + φn ( t ) ⎤⎦
Ac
= ⎡cos ( 2π f b + φ ( t ) − φn ( t ) ) + cos ( 2π ( 2 f c − fb ) + φ ( t ) + φn ( t ) ) ⎤
2 ⎣ ⎦
A
≈ c cos ⎡⎣ 2π fb + φ ( t ) − φn ( 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
 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 β.

s ( t ) = Ac cos ⎡⎣ 2π f c t + β sin ( 2π 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 2π f c t + j β sin ( 2π f mt ) ) ⎤⎦ ( 4.21)

= Re ⎡⎣ s ( t ) exp ( j 2π f c t ) ⎦⎤

where s ( t ) = Ac exp ⎣⎡ j β sin ( 2π f mt ) ⎦⎤ → periodic function

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 2π nf mt )
n=−∞
(4 23)
(4.23)
1 2 fm
cn = f m ∫ s ( t ) exp ( − j 2π nf mt ) dt
−1 2 f m
1 2 fm
= f m Ac ∫ exp ⎡⎣ j β sin ( 2π f mt ) − j 2π nf mt ⎤⎦dt (4.24)
x = 2π f mt −1 2 f m
Ac π (4 26)
(4.26)
cn = ∫ exp ⎡⎣ j ( β sin x − nx ) ⎤⎦ dx
2π − π

cn = Ac J n ( β ) ∵ J n( )
β =
1 π
∫−π exp ⎡⎣ j ( β sin
i x − nx ) ⎦⎤ dx
d (4 28)
(4.28)
2π
nth order Bessel function of the first kind.
⎡ ∞ ⎤
s ( t ) = Ac ⋅ Re ⎢ ∑ J n ( β ) exp ⎣⎡ j 2π ( f c + nf m ) t ⎦⎤ ⎥ (4 31)
(4.31)
⎣ n=−∞ ⎦
34
 4.3 Frequency Modulation
◊ Taking the Fourier transforms of both sides of Eq. (4.31)
Ac ∞
S( f )= ∑
2 n=−∞
J n ( β ) ⎡⎣δ ( f − f c − nf m ) + δ ( f + f c + nf m ) ⎤⎦ ((4.32))
◊ In Figure 4.6 we have plotted the Bessel function Jn(β) versus the
modulation
d l ti index
i d β for f different
diff t positive
iti integer
i t values
l off 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(β) by making use of the following properties:
1. For n even, we have Jn(β)=J-n(β); on the other hand, for n odd, we
ha e Jn(β)=-
have ) J-n(β).
) That is
J n ( β ) = ( −1) J − n ( β ) for all n
n
(4.33)
2 For
2. F small ll values
l off the
th modulation
d l ti index
i d β β, we hhave
J0 ( β ) 1 ⎫
⎪
β ⎪
J1 ( β ) ⎬ (4.34)
2 ⎪
Jn ( β ) 0, n > 2 ⎪⎭
3. ∞

∑
n =−∞
J n2 ( β ) = 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 onlyy one pair
p of side frequencies.)
q )
2. For the special case of β small compared with unity, only the Bessel
coefficients J0(β) and J1(β) 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 β.β 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 1–ohm 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
producingg a corresponding
p g
variation in the frequency deviation Δf.

◊ Consider next the case when the amplitude of the modulating signal
is fixed; that is, the frequency deviation Δf is maintained constant,
andd the
h modulation
d l i frequency
f fm is
i varied.
i d

39
EXAMPLE 4.3 Spectra of FM Signals

FIGURE4.77 Discrete
FIGURE4 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-Δf<| f |<fc+ Δf .
◊ When β approaches infinity, the bandwidth of the FM wave
approaches the limiting value of 2Δf, 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 respectt 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 effectivelyy
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 Δf decrease rapidly toward zero,
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:
⎛ 1⎞ L
Large β → BT 2Δf
BT 2Δf + 2 f m = 2Δf ⎜1 + ⎟ Small β → BT 2 f m
⎝ β⎠ (4.38)
This empirical relation is known as Carson’s 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
Phase-
Phase-locked Loop

Wireless Information Transmission System Lab.

Institute of Communications Engineering
g g
National Sun Yat-
Yat-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 loopp ffilter,, 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
s ( t ) = Ac sin ⎡⎣ 2π f c t + φ1 ( t ) ⎤⎦ (4.59)
t
where Ac is the carrier amplitude and φ1 ( t ) = 2π k f ∫ m (τ )dτ .
0

◊ Let the VCO output in the phase-locked

phase locked loop be defined by
r ( t ) = Av cos ⎡⎣ 2π f c t + φ2 ( t ) ⎤⎦ (4.61)
where Av is the amplitude. With a control voltage v(t) applied to a
VCO input, the angle φ2 ( t ) is related to v(t) by the integral
t
φ2 ( t ) = 2π kv ∫ υ ( t ) dt (4.62)
0
where kv is the frequency sensitivity of the VCO,
VCO measured in Hertz
per volt.
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 ψ1(t)
( ) characterizing
h t i i s(t)
( ) may bbe ddue
to modulation by a message signal m(t) as in Eq. (4.60), in which
case we wish to recover ψ1(t) in order to estimate m(t).
m(t)

◊ In other applications of the phase-locked loop, the time-varying

phase
h anglel ψ1(t)
( ) off th
the incoming
i i signal
i l s(t)
( ) may bbe an unwanted
t d
phase shift caused by fluctuations in the communication channel; in
this latter case,
case we wish to track ψ1(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 tot 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
i ⎡⎣ 4π f c t + φ1 ( t ) + φ2 ( t ) ⎤⎦
km Ac Av sin

2. A low-
low frequency component, represented by the differencedifference-
frequency term
km Ac Av sin ⎡⎣φ1 ( t ) − φ2 ( t ) ⎤⎦

where km is the multiplier gain, measured in volt-1.

◊ The loop
p ffilter in the phase-locked
p loop
p is a low-pass
p ffilter,, 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 Aυ sin ⎡⎣φe ( t ) ⎤⎦ (4.63)
where ψe(t) is the phase error defined by
φe ( t ) = φ1 ( t ) − φ2 ( t )
t
= φ1 ( t ) − 2π kυ ∫ υ (τ )dτ (4.64)
0

◊ The loop filter operates on the input e (t) to produce an output v(t)
defined by the convolution integral
∞
υ ( t ) = ∫ e (τ )h ( t − τ ) dτ (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 ψe(t) and ψ1(t), we obtain the
following nonlinear integro
integro-differential
differential equation as descriptor of the
dynamic behavior of the phase-locked loop:
dφe ( t ) dφ1 ( t ) ∞
= − 2π K 0 ∫ sin ⎡⎣φe (τ ) ⎤⎦ h ( t − τ )dτ (4.66)
dt dt −∞

where K0 is a loop
loop-gain
gain parameter defined by
K 0 = km kυ Ac Aυ (4.67)
◊ Equation (4.66)
(4 66) suggest the model shown in Figure 4.17
4 17 for a phase
phase-
locked loop.

◊ IIn thi
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)
(t)
and e(t) as represented by Eqs. (4.63) and (4.65).

52
 Derivatin of Eq. 4.66
φe ( t ) = φ1 ( t ) − φ2 ( t )
t
= φ1 ( t ) − 2π kυ ∫ υ (τ )dτ
0 ( ∞
υ ( t ) = ∫ e (τ )h ( t − τ ) dτ , e ( t ) = km Ac Aυ sin ⎡⎣φe ( t ) ⎤⎦
−∞ )
t ∞
=φ1 ( t ) − 2π kυ ∫ ∫ km Ac Aυ sin ⎡⎣φe ( k ) ⎤⎦h (τ − k ) dkdτ
0 −∞
t ∞
= φ1 ( t ) − 2π K 0 ∫ ∫ sin ⎡⎣φe ( k ) ⎤⎦h (τ − k ) dkdτ ( K 0 =kυ km Ac Aυ )
0 −∞
∞ t
=φ1 ( t ) − 2π K 0 ∫ sin ⎡⎣φe ( k ) ⎤⎦ ∫ h (τ − k )dτ dk
−∞ 0

∂φe ( t ) ∂φ1 ( t ) ∂φ2 ( t )

= −
∂t ∂t ∂t
∞ t
∂φ ( t ) ∂ 2π K 0 ∫−∞ sin ⎡⎣φe ( k ) ⎤⎦ ∫0 h (τ − k )dτ dk
= 1 −
∂t ∂t
(by using the Leibniz integral rule)
b (α ) b (α )
∂ ∂b(α ) ∂a (α ) ∂f ( x, α )
∂α ∫
a (α )
f ( x, α )dx =
∂α
f (b(α ),
) α) −
∂α
) α) + ∫
f (a(α ),
a (α )
∂ α
dx)

t
∂φ1 ( t ) ∞ ∂ ∫ h (τ − k )dτ
= − 2π K 0 ∫ sin ⎡⎣φe ( k ) ⎤⎦ 0 dk
∂t −∞ ∂t
∂φ ( t ) ∞
= 1 − 2π K 0 ∫ sin ⎡⎣φe ( 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 ψe(t) is zero, the phase-locked loop is said to
be in phase
phase-lock
lock. When ψe(t) is at all times small compared with
one radian, we may use the approximation
sin ⎡⎣φe ( t ) ⎤⎦ φe ( t ) ((4.68))
which is accurate to within 4 percent for ψe(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.

55
 Linear Model of the PLL
◊ According to this model, the phase error ψe(t) is related to the input
phase ψ1(t) by the linear integro
integro-differential
differential equation
dφe ( t ) ∞ dφ1 ( t )
+ 2π K 0 ∫ φ (τ )h ( t − τ ) dτ =
dt −∞
∞ dt (4 69)
(4.69)
◊ Transforming Eq. (4.69) into the frequency domain and solving for
Φe( f ), the Fourier transform of ψe( f ), in terms of Φ1( f ), the
Fourier transform of ψ1(t), we get
1
Φe ( f ) = Φ1 ( f )
1+ L ( f ) (4.70)
The function L(( f ) in Eq.
q ((4.70)) is defined by
y
H(f )
L ( f ) = K0
jf (4.71)
where H( f ) is the transfer function of the loop filter.
56
 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 Φe( 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),
(t) iis related
l t d to
t Φe( f ) by
b
K0
V(f )= H ( f ) Φe ( f ) (4 72)
(4.72)
kυ
57
 Linear Model of the PLL
Equivalently, in light of Eq. (4.71), we may write H(f )
L ( f ) = K0
jf
V(f )= L ( f ) Φe ( f )
jf
kυ (4.73)

V(f )=
( jf kυ ) L ( f )
Φ1 ( f )
1+ L( f ) (4.74)
◊ F | L( f ) | >> 11:
For jf
V(f) Φ1 ( f )
kυ (4.75)
Time-Domain: 1 dφ1 ( t )
υ (t ) (4.76)
2π kυ 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 1/2πkv, as in Figure 4.18b.
58
 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
kf
υ (t ) m (t ) (4.77)
kυ
◊ E
Equation
i (4.77)
(4 77) states that
h when
h the h loop
l operates in
i its
i phase-
h
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).
59
 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
thatt is,
i there
th is
i no loop
l filter,
filt andd the
th resulting
lti phase-locked
h l k d loop
l
is referred to as a first-order phase-locked loop.

60
 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
Φ1( 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 off 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.

61
 Supplementary Material:
Analysis of PLL Using Laplace
Transform

Wireless Information Transmission System Lab.

Institute of Communications Engineering
g g
National Sun Yat-
Yat-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 isi the
th sinusoid
i id xc(t)=
(t)
Accos(2πfct+φ) and the output of the VCO is e0(t)= -Avsin(2πfct+φ),
where φ represents the estimate of φ, the product of two signals is:
(
ed ( t ) = xc ( t ) e0 ( t ) = − Ac cos ( 2π f c t + φ ) Av sin 2π f c t + φ )
( ) (
= 12 Ac Av sin φ − φ − 12 Ac Av sin 4π f c t + φ + φ )
63
 The Phase
Phase--Locked Loop
p

◊ The loop filter is a low-pass filter that responds only to the low-
frequency component 0.5AcAvsin(φ - φ ) and removes the
component at 2fc.
◊ The
h output off the
h loop
l filter
fil provides
id the h controll voltage
l ev(t)
()
for the VCO.
◊ Th VCO iis a sinusoidal
The i id l signal
i l generator t with
ith an instantaneous
i t t
phase given by
t
2π f c t + φ ( t ) = 2π f c t + K v ∫ ev (τ )dτ
−∞

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

rad/s/V
t dφˆ
φ ( t ) = K v ∫ eυ (τ )dτ or = K v ev ( t )
−∞ dt
64
 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 (ψ ) = K d sinψ
where ψ = φ − φ 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 φ − φ is
i small.
ll As
A a result,
lt

( )
sin φ − φ ≈ φ − φ

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

65
 The Phase
Phase--Locked Loop
p

◊ The equations describing loop operation is conveniently

obtained by using Laplace transform notation .
◊ A loop
p model usingg Laplace-transformed
p qquantities and
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 ⎡⎣ Φ ( s ) − Θ ( s ) ⎤⎦ = K d Ψ ( s )
Ev ( s ) = F ( s ) E d ( s )
K v Ev ( s )
Θ (s) =
s
◊ The closed-loop transfer function:
Θ(s) Kv Kd F ( s ) KF ( s ) / s
H (s) =
Φ (s) s + Kv Kd F ( s ) 1 + KF ( s ) / s
◊ The p
phase error transfer
f function:
f

Φ (s) − Θ(s) Ψ (s) Θ(s) s

He ( s ) = = 1− = 1− H (s) =
Φ (s) Φ (s) Φ (s) s + Kv Kd F ( s )

67
 The Phase
Phase--Locked Loop
p
◊ The VCO control-voltage/input-phase transfer function:
Ev ( s ) sH ( s ) K d sF ( s )
Hv (s) = = =
Φ (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:
Kv Kd F ( s ) Gop ( s )
Gop ( s ) ⇒ H (s) =
s 1 + Gop ( s )
◊ K=KvKd is the open-loop
p p dc ggain.
◊ 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+τ 2s 1+τ 2s
F (s) = ⇒ H (s) =
1 − τ 1s 1 + (τ 2 + 1 K ) s + (τ 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 second-

order.
◊ It is customary to express the denominator of H(s) in the standard
form:
D ( s ) = s 2 + 2ζω n s + ω n2
where ξ: loop damping factor
ωn: natural frequency of the loop
ω n = K τ 1 and ξ = ω n (τ 2 + 1 K ) 2
◊ The closed-loop transfer function becomes:

H (s) =
( 2ζω n − ω 2
n K ) s + ω 2
n

s 2 + 2ζω n s + ω n2

71
 The Phase
Phase--Locked Loop
p
◊ The frequency response of a second-order loop (with τ1»1)

◊ ξ = 1 ⇒ critically damped loop response.

◊ ξ < 1 ⇒ underdampedp response.
p
◊ ξ > 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.

73