signal processing

The fundamentals of linear-phase filters for digital communications

Normalization of an inverting linear-phase filter at DC to zero-degrees phase shift for analysis of the time-delay of individual spectral components.
By Marc Smith
This result is wrong. In addition, the notion of phase at DC makes no sense. If a computer simulation was performed over a frequency range far enough above DC (to a point where the hyperbolic shape could no longer be visually detected), one could easily believe the results and modify their filter design incorrectly. The simulation data could still be greatly in error due to the hyperbolic behavior. Phase-delay errors of 50 ns at 10 MHz and 5 ns at 100 MHz can be encountered. To design an ideal distortionless filter, a designer needs to implement not only a filter with linear-phase but also a filter with a phase-shift of zero degrees at DC. This can be easily shown by injecting a saw-tooth wave through an ideal inverter (phase shift = for all frequencies). (See Figure 2.) The resulting waveform has only been inverted, but one cannot superimpose a time-delayed output waveform with the input waveform and get a match. The output waveform is not an exact replica of the input and, thus, in a strict sense, is distorted. The inversion, however, is non-dispersive.Other than the constant phase-shift, the signal has not undergone any time-spreading distortion. The linear-phase and zero DC phaseshift conditions (distortionless) are synonymous with the more conventional definition of the linear-phase (constantgroup-delay) filter. The phase-delay and group-delay are both constant and equal to each other for all f [1][2][3][4]. The situation of linear-phase with a magnitude inversion at DC, however, does not violate this constraint. It only mandates normalization of phase at zero frequency (DC) to zero-radians. The phase-delay, or propagation delay, is the time it takes a sinusoid (of a given frequency) to traverse a certain amount of phase shift. However, in the situation where signals are a sum of sinusoids, the phase-delay concept must be applied carefully. A constant phase shift is not a constant phase-delay of the aggregate signal. Each spectral component of the signal may be delayed by different amounts. The example above is an ideal inversion of a SAWtooth signal. This is a condition where each spectral component is delayed by the same amount of time, but has a different amount of phase shift.

umerous sources of technical information on linear-phase filters can be found. However, many of these sources label systems as distortionless or dispersionless without any formal definition of either. Moreover, the condition where a linear-phase filter has a phase bias (an inverter) also is rarely addressed. This article presents a definition for a distortionless system and discusses the need for normalizing the phase-response curve of an inverting linear-phase or inverting equalization filter. If one were to plot the phase-delay (also known as propagation delay) vs. frequency for the inverting linearphase filter, an erroneous result will follow. One would see a dominant hyperbolic curve that could be interpreted as increasing in nonlinearity as the frequency gets smaller, asymptotically approaching infinite phase-delay at DC. This result shows up even when an ideal inverter is considered (see below), indicating dispersive behavior.

Phase offset at DC
The concept of phase offset (or just phase) at DC is hard to understand, but it does represent the sign of magnitude. That is, an ideal inverter can be viewed as having a phase shift of radians at frequencies, including DC. Remember, that in phasor notation, exp. (-j) = 1. This accounts for the magnitude inversion

Figure 1. Phase () and phase delay (tp) plot of an ideal inverter where tp = /(2f).

Figure 2. SAW-tooth signals

46

www.rfdesign.com

March 2000

Most circuit simulators used today represent signals via plots of absolute magnitude and phase plots. Thus, an inverter circuit simulation at DC typically shows phase plots with radians phase shift. It is this simulated DC phase shift (or bias) that needs to be normalized to zero radians to properly analyze the spectral components of digital signals at frequency. Before moving on, lets look at a phasor diagram. (See Figure 3.) Note that when the frequency is equal to zero ( = 0), the phasor can only be at the zero or radian position. This is in agreement with what we knowinverting and non-inverting filters exist at DC as well as at frequency.

Figure 3. Phasors at DC ( = 0).

Phase distortion
Phase distortion (A.K.A. Delay Distortion) results in time-dispersion or spreading as it is sometimes referred to. Phase-delay and group-delay are two important quantities considered when analyzing the effects of phase distortion. These concepts are typically shown via an amplitude modulation example where a high-frequency carrier is modulated (multiplied) by a lowerfrequency sinusoid (envelope). The AM signal can also be derived from the summation of two steady-state sinusoidal signals with near but different frequencies (small .] The modulated signal is then subjected to a channel characterized by non-linear phase. The envelope of the resulting composite signal will be delayed by an amount called the group-delay. The carrier signal will be delayed by a different amount called the phase-delay. The definitions of phase-delay and group-delay are as follows: (f ) tp = 2f 1 ( (f )) tg = 2 f

wave and its sidebands are subjected to a constant-group-delay (i.e. operating frequency region of approximate linear phase), the envelope wave will not distort. Note, however, that the relative phasing (positioning) of the carrier wave to the envelope wave has changed. Even though phase- and group-delay have their roots founded in the realm of steady state AM and FM systems, they are much needed tools for the design of equalizers and linear-phase filters used in digital communication systems. In equalizers, resynchronization of biphase digital signals requires knowledge of the dispersive channel characteristics for all spectral components of the signal. Group- and phase-delay for each spectral component of interest can be used to design a filter with the proper phase response. Proper constraints on the filters phase- and group-delay can yield a near dispersionless linearphase system.

Linear phase filters

The phase response of a linear-phase filter (or system) can be described mathematically using the well-known y=mx+b equation form as follows: (f ) = 1 f + 0 (3)

(1)

(2)

AM propagation though the non-linear filter

The propagation of an AM signal through a non-linear filter is a classic example that exemplifies the distinction between the effects on the envelope wave and on the carrier wave. It can be seen that the delay of the carrier wave is different than the delay of the envelope. (See Figure 4.) As long as the carrier

If the phase-delay and the groupdelay are equal to each other over a frequency range of interest, signals with spectral components within this frequency range will pass without dispersion (time-spreading distortion). Substituting the linear-phase equation (Equation 3) into the phase- and groupdelay equations (Equations 1 and 2) yields: (f ) 1 0 tp = = + 2f 2 2f (4) tg = 1 1 { (f )} = 2 f 2 (5)

48

March 2000

Frequency fc-fm fc fc+fm

f Input

-S lop e= 2 tp

Phase

tp
tg 2 e= lop -S

tg Output t

Figure 4 . AM signal through a non-linear filter.

Note that the phase-delay equation (Equation 4) shows the error-inducing hyperbolic function. For a dispersionless filter (or channel), the phase- and group-delay must be equal to each other. For this condition to hold, the previous phase- and groupdelay equations dictate that the frequency (f) be infinite or, more reasonably, the phase bias (0) be zero. Figure 5 shows the mathematical consequences of dealing with an unnormalized phase plot of an inverting channel. The phase characteristic is linear in frequency, but the phase- and group-delay are not equal to each other. In fact, the group-delay is flat indicating a channel that contributes zero phase distortion. However, if one were to calculate the phase-delay of several sinusoids, a digital pulses fundamental wave and several of its harmonics, a misleading result occurs: the sinusoids of different frequency have different phase-delays. When the phase bias is not set to zero (normalized), the phasedelay expression becomes erroneous. As discussed previously, the phasebias, 0, can only be zero or radians for real-valued signals. An ideal phase inversion of radians can be interpreted as a constant multiplication of value 1 for all frequency including DC. This inversion does not cause dispersion. One source [5] dealt with the phase inversion (phase bias) as a constant phasor (exp{j0}). This phasor was lumped in with the amplitude term and referred to as a constant multiplier in a distortion-free system. Even though the definition of distortion-free is different than the one the author presents in this paper (only in the manner in which the inversion is handled), the major point is if a system is distortionless, it is by definition dispersionless. An ideal inverting linear-phase filter is non-dispersive. The phase-delay for this case needs to be

normalized to zero degrees at DC. Before moving on, lets redefine phase-delay to eliminate phase offset: tp = (f ) 0 1 = 2f 2

(6)

where: 0 = 0, and (f ) = 1 f + 0 Now things make sense! Phase- and group-delay are equal to each other, and a simple phase inversion does not imply dispersion. All we have to do now is define the conditions for a dispersionless and a distortionless system. They are as follows:

Definition of a non-dispersive system

A non-dispersive systems output produces a time-delayed, inverted or non-inverted replica of the input. Stated mathematically, a system having an impulse response, h(t), is non-dispersive if and only if: h(t) * s(t) = A e j 0s(t ) where : A {Re} and 0 {0,} (0 = Radians). (7)

Definition of a distortionless system

All distortionless systems are also non-dispersive. They are further required to have zero phase at DC (i.e. 0 = 0). We define: Distortionless=Non-Dispersive, NonInverting. tp(phase-delay) = tg(group-delay)= constant. Phase characteristic is linear with fre-

50

March 2000

Phase
No Distortion tp= tg Anomalous Dispersion tp > tg Normal Dispersion tg > tp

Q1

Q2

Q3 tp= tg

(0 Hz,0 Deg.)

Frequency

Figure 5. Un-normalized phase plot example of an inverting channel (note the factor of 2 has been omitted for illustration purposes).

Figure 6. Normal and anomalous dispersion.

quency. Now that we have all our definitions, lets derive a very useful expression that shows the relationship between the phase- and group-delay. Substituting Equations 3 and 6 into Equation 2 yields: tg = 1 1 { (f )} = {2f tp + 0} = {f tp} 2 f 2 f f

(8)

To properly evaluate this expression using the unnormalized phase-delay expression for all frequencies including DC, LHopitals rule must be applied as we are faced with a 0 term as f0. If we evaluate this expression using the normalized phase-delay expression, we are faced with a 0constant term as f0. The latter is easier to evaluate and makes more sense. As the frequency goes to zero, so does the group-delay. Expanding the previous expression via the product rule yields: tg = tp f + tp {f tp} = f f f f

Unfortunately, this definition cannot be referenced verbatim. There are many situations where an overall non-linear phase response exists with frequency regions characterized by a near-linear relationship. The previous AM signal example considered this exact situation. The carrier and its sidebands were constrained to a constant-group-delay region, resulting in a non-distorted envelope waveform. No dispersion of either the carrier, or the envelope waveform, occurred. However, the relative phase relationship between the carrier and the envelope is not preserved. In a sense, there is a spreading effect between the carrier and the envelope because their time-relationship to each other has been pushed apart. In digital communication systems, data is sent in the form of pulses which have harmonically related spectral components. Under non-linear phase conditions, dispersion readily occurs. Neglecting amplitude distortion (attenuation) for the moment, all harmonics of a digital pulse signal must propagate with the same velocity in a system channel in order to arrive at its destination without dispersion. In other words, all harmonic components must have the same phase-delay. Strictly speaking, constant group delay does not imply constant-phase-delay.

(9)

tp tg = f + tp f (for f 0 and tp = F(f).)

Interpretation of the tg-tp equation

(10) Referring to the tg-tp equation (Equation 10), it is reassuring to see that constant phase-delay implies constant groupdelay but not vice-versa. A region of frequency can have a fixed group delay while also having a varying phase-delay. This agrees with the previous AM signal example where the envelope-delay (tg) and the carrier-delay (tp) had different values. The phase diagram (Figure 6) shows regions of operation where tg tp. When the group-delay and the phase-delay are not equal to each other, two conditions arise. One condition is termed normal dispersion and is characterized by a region of operation where the group-delay exceeds the phase-delay. The other condition, termed anomalous dispersion, is characterized by a region of operation where the phase-delay exceeds the groupdelay. In a dispersive medium, the group-delay can be zero, positive or negative in value. It is interesting to note that Q3 in Figure 6 also represents a point that meets the criteria for zero phase distortion: group-delay is equal to phase-delay. Unfortunately, it is only a point and thus a limited frequency region (i.e. narrow bandwidth) would be useful for data transmission given some

This result is helpful in evaluating phase-distortion in linear-phase filters, equalizers, and transmission channels. For ideal linear-phase filters (non-dispersive), the term: tp f , must equal zero over the frequency range of interest. When this condition is met, tp = tg = constant, regardless of whether or not the linear-phase filter or system is inverting or noninverting.

Constant group-delayfilter systems

The phrase constant group delay is used synonymously with the linear-phase definition. As long as a system channel has a linear phase response, a constant-group-delay will prevail yielding near distortionless signal transmission.

54

www.rfdesign.com

March 2000

acceptable level of dispersion. Q1 and Q2 mark the inflection points on the phase-frequency plot in Figure 6. At these points, the group-delay is zero and the corresponding group-velocity is infinite. While the group-velocity can exceed the speed of light, the actual signal or energy velocity is always less than the speed of light [2]. When the groupdelay is zero, the corresponding criterion (derived form Equation 10) takes on the same form as that of the tp = tg condition: the rate of change at a given point must equal the slope of a line from that point through the origin [2]. tp tp = f f

quency characteristics contribute to dispersion. A general equation for phase can be written as follows: (f ) = 0 + 1f + 2f 2 + ... (12)

(11)

(Condition for tg = 0 (infinite groupvelocity.)

Real world effects

Digital signals in the real world also fall victim to other types of distortion. Amplitude distortion, amplitude jitter, phase jitter, as well as dispersion (phase distortion) all contribute to performance degradation of transmitted signals. Amplitude and phase jitter are typically dominated by external noise sources. Amplitude distortion results from the nonlinear attenuating characteristic of a transmission channel. Generally, harmonics with higher frequency components are attenuated more than those of lower frequency. Fourier analysis of digital pulses reveals the well known fact that only odd-harmonics are present. Moreover, as the amplitude of each harmonic reduces as the harmonic order increases, only the first few harmonics matter. Thus, analysis can be greatly reduced by limiting the investigation to just the fundamental and its significant harmonics. If a transmission line is long enough, nearly all the harmonic content will be gone, leaving only the analysis of fundamental sinewaves. In digital systems containing bi-phase coded signals over long transmission channels, a receiver will see pseudo-random patterns of two alternating near-sinewaves (one half the pulse width of the other) modulated by a transient. The higher-frequency pulse will be smaller in magnitude. A transient is excited every time a pulse (near-sinewave) changes in pulse width (new frequency). Turning our attention back to phase distortion, lets look at what phase-fre-

The first term (phase bias, 0) does not contribute to dispersion and as discussed earlier, should be normalized to zero. Applying Equations 5 and 6, one can see that the second term in equation 12 (Linear phase term, 1f) provides a constant-time-delay term in group-delay and phase-delay expressions. The linear phase term, as one might expect, does not lend itself to dispersive behavior. The third term in Equation 12, however, does promote dispersion. This second-order (2f2) term supplies a linear characteristic in signal delay time. That is, different frequency components are subject to different propagation delays (i.e. varying phase-delay). Thus, second and higherorder phase terms furnish the condition for phase distortion. Although this is not revelational, hopefully, a mental image of phase-frequency characteristics and its relationship to delay times of spectral components, is reinforced (or for some, introduced).

tems, the propagation delays must be determined for transient signals as opposed to steady-state signals. In data transmission systems, dispersion is only part of the distortion picture. It is typically accompanied by amplitude distortion (attenuation) and jitter effects. Any of these effects can be a limiting factor in transmission performance. A dispersive channel is not the end of the road. Equalization filters (equalizers) exist that counteract the effects of the phase-distorting medium by linearizing the phase response over the bandwidth of interest. References: 1. Williams, Arthur & Taylor, Fred. Electronic Filter Design Handbook, 3rdEdition, New York, NY: McGraw-Hill Inc., 1995 - Sec. 2.2 Transient Response, Pg. 2.21-2.24. 2. Matick, Richard. Transmission Lines for Digital and Communication Networks, New York, NY: McGraw-Hill Inc., 1969 - Chapter 3, Velocity of Propagation, Sec. 3.1-3.7, Pg. 57-81. 3. Ramo, Whinnery & Van Duzer. Fields and Waves in Communication Electronics, 2nd-Ed, New York, NY: John Wiley & Sons, Inc., 1984 - Sec. 5.12 Group and Energy Velocities, Pg. 254-256. 4. Roden, Martin. Digital Communication System Design, Englewood Cliffs, NJ: Prentice-Hall Inc., 1988 - Sec. 2.3 Distortion, Pg. 6670. 5. Collin, Robert. Foundations for Microwave Engineering, New York, NY: McGraw-Hill Inc., 1966 - Sec. 3.11 Wave Velocities, Pg. 132-134.

Points to remember
Phase distortion (dispersion) causes inter-symbol interference (ISI) and multiFM channel systems to bleed into each other (co-channel interference). Normalize a phase plot at DC before using phase values at frequency for phase-delay (propagation-delay) calculations. The group-delay is the phase delay of the groups or envelope. Group-delay variation is typically used as a measure in estimating phase non-linearity and ensuing waveform distortion. The strict magnitude of the delay is generally of minimal consequence. Group-delay, tg, of a digital signal (or any signal composed of multiple frequency components) becomes a function of frequency in a dispersive situation. In dispersive channels, the envelope (group) of a complex input signal undergoes a spreading effect. Be careful in placing too much importance on the concept of phaseand group-delay. These entities simply represent relative phase arrangements at various frequencies for steady-state signals. For digital communication sys-

About the author

Marc Smith graduated in 1986 with a BS degree in Electrical Engineering and Computer Science from the University of California, Berkeley. He has worked for 10 years in the area of Inertial Measurement Systems and 3 years in the area of Digital Communication Systems. He is currently employed as a Senior ASIC Development Engineer at Systron Donner Inertial Division (a BEI Sensors and Systems Company). He can be reached at msmith@systron.com. The author would like to extend a special thanks to Matt Taylor (Tut Systems) and Marc Loyer (Level One Communications) for their insights and constructive criticisms.

56

www.rfdesign.com

March 2000