The Operation of the Phase-Locked Loop

➤ A phase-locked loop consists of three basic components

➤ a phase detector
➤ a low-pass filter
➤ a voltage-controlled oscillator
R is not involved in the analysis

Reference
R counter PHASE / LOOP
FREQUENCY
N counter DETECTOR FILTER

v2(t) control voltage

Voltage controlled oscillator

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Voltage Controlled Oscillator (VCO)

➤ The VCO outputs a periodic waveform (sinusoid) with a frequency that

may be varied about some centre or free-running frequency, f0.

➤ The frequency of the output sinusoid is dependent upon the amplitude

of the input voltage, v2(t).

➤ When |v2(t)| = 0 the output frequency is f0.

➤ We have already studied examples of a VHF and a UHF VCO in detail.

Their frequency was controlled by a Varicap or Varactor diode

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Phase Detector (PD)
➤ The PD produces an output signal, v1(t) that is a function of the phase
difference between the incoming signal, vin(t) and the VCO output,
vo(t).

➤ Different types

➤ Mixers produce cosine functions of the phase

➤ zero crossing detectors like flip flops produce output pulses of duration
equal to the time lag between inputs

➤ phase and frequency detectors

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XOR Phase Detector

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Phase and Frequency Detector

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Low-Pass Filter (Loop Filter)
➤ The output of the LPF v2(t) acts as a control to change the output
frequency of the VCO.

➤ Mode #1: the LPF has a narrow passband and the VCO output signal has
a frequency which is equal to the average frequency of this (narrowband)
component of the input signal. If the average frequency of this component
changes (slowly) the VCO will keep track of the average.

➤ Mode #2: the LPF has a wider passband and the VCO tracks the
instantaneous frequency of the entire input signal.

➤ The PLL is said to be locked when it tracks the input signal in either of
these ways.

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A mechanical analogy

d2Φ dΦ d2φ dφ
 
τ 2 + = Ω+K[Φ(t)/N −Θ(t)]; I 2 = −µ − Ω +k(φ−θ)
dt dt dt dt

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Mechanical analogy
➤ The aim of the mechanical device is to engage a clutch by frictional contact with a flywheel driven by an
engine. The engine is bolted to the input disk. The flywheel is the output disk. The clutch (not shown) is on
the flywheel shaft behind the flywheel and in frictional contact with it. When the clutch is disengaged, the
flywheel rotates freely at the clutch free-running speed, Ω.

➤ To engage the clutch, the spring on the engine shaft is anchored to the flywheel shaft. The spring can twist
to buffer the flywheel as it adjusts the clutch plate to the engine speed.

➤ The clutch plate (and hence the flywheel) will normally be rotating because they are attached directly to the
car axles (for example) and the car would be rolling when a gear change is effected. Before engaging the
clutch, the engine would be running at angular a different angular velocity, dθ
dt
.

➤ Before the clutch is engaged (the spring anchored), the flywheel spins freely at angular velocity Ω as a
result of the frictional contact with a clutch plate. The flywheel has a much greater moment of inertia than
the clutch plate.

➤ When the engine shaft is engaged by the spring, the flywheel experiences a torque proportional to φ − θ I.E.
whenever there is a twist in the spring, a force acts on the flywheel. The spring acts like the phase detector
which produces a signal to drive the VCO (flywheel).

➤ When the flywheel spins at a different rate to the clutch plate, friction exerts a drag. This drag is proportional
to dφ
dt
− Ω. I.E. friction causes the shift of the VCO (flywheel) from its free running value.
2
➤ The inertia I of the flywheel acts like an RC low passs filter. From Newton’s law, T orque = I ddtφ2 ;

➤ The mechanical system is inherently stable by design. This is not the case for the PLL because the VCO
and phase detector constants can have the wrong sign.

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Solution for τ = 0
➤ Consider the equation..
dΦ
= Ω + K[Φ(t)/N − Θ(t)];
dt

➤ Solving this for φ = 0 at t = 0, we obtain (after some algebra).

N Kt
 
φ = N ωX t + (N ωX − Ω) 1 − exp a
K N

➤ where θ = ωX t is the reference phase

➤ For K < 0 this solution is stable and φ → N ωX t as t → ∞

➤ Notice that in this case there os also a d.c. phase offset given by
∆φ = K N (N ω − Ω)
X

➤ We will now confirm K < 0 using a small signal analysis.

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Phase Locked Loop Mathematics
➤ Let us model a specific PLL.

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The Phase Detector
➤ The zero crossing phase detector types such as flip flops do in fact have
phase outputs that are proportional to the phase difference of the signals
at the input.

➤ So we can start by simplifying the PD by dispensing with that non-linear

sinusoid in the case of cosine phase detectors.

Sin = sin(Θ(t)), SV CO = sin(Φ(t)/N )

So the output of our PD becomes

Vp(t) = Kp(Φ(t)/N − Θ(t))

where Kp is the PD multiplying factor (Rads per Volt).

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The Loop Filter
➤ We will assume a simple RC low pass.

dVo(t)
τ + Vo(t) = Vp(t)
dt

where τ = RC

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The VCO
➤ The VCO works (by definition) such that its output frequency is dependent
upon the amplitude of its input vo(t).

➤ The instantaneous frequency of the VCO output vo(t) is

ΩV CO (t) = Kv Vo (t) + Ωf

Note that ΩV CO (t) is time dependent while the free-running frequency,

Ωf is constant

➤ Express the above equation in terms of Φ, the instantaneous phase of the

VCO,
dΦ(t)
= Kv Vo(t) + Ωf
dt

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Analysis of PLL
➤ Aim to find an equation for Φ(t).

➤ Summary of our equation..

Vp(t) = Kp(Φ(t)/N − Θ(t))

dΦ(t)
= Kv Vo(t) + Ωf
dt

dVo(t)
τ + Vo(t) = Vp(t)
dt

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Analysis of PLL
➤ Multiply by Kv and τ on both sides of last equation...

2 d(Kv Vo (t) + Ωf )
τ + τ (Kv Vo(t) + Ωf ) =
dt
τ Ωf + τ Kv Vp(t)

➤ Replace the term on the LHS in parentheses with Φ(t)

2
2 d Φ(t) dΦ(t)
τ 2
+ τ = τ Ωf + τ Kv Vp(t)
dt dt

➤ Normalise as follows t− > t/τ , K− > τ Kv Kp, Ω− > τ Ωf

d2Φ dΦ
2
+ = Ω + K[Φ(t)/N − Θ(t)]
dt dt

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Analysis of PLL
➤ Consider how to solve in MATLAB
d2Φ dΦ
+ = Ω + K[Φ(t)/N − Θ(t)]
dt2 dt

➤ Let y(1) = Φ and y(2) = dΦ

dt
dy(2)
= −y(2) + Ω + K[y(1)/N − Θ(t)]
dt

dy(1)
= y(2)
dt

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Example...
➤ Consider a low pass filter with a 3dB cutoff frequency of 0.159 Hz,
RC = τ = 1, K = (τ ∗ Kv ∗ Kp) = 100, N = 1, free running frequency
Ω = 2 ∗ π ∗ 30000 r/s and
Sin = sin(Θ(t)) Rads
where Θ = 2 ∗ π ∗ 50000 ∗ t
6 4046 PLL
x 10
7

5
y(1) (green) and THETA (red)

0
0 2 4 6 8 10 12 14 16 18 20
time in units of tau

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Linear Analysis of the PLL
➤ In practice this simple loop filter only allows us to vary K and this can be
very limiting (try some values of K). if we want to track the input phase
accurately then we need to put up with lots of overshoot => slow
and or violent transient response will be undesirable if there is jitter
in the input phase as in the case of Clock/Data Recovery.

➤ Solution: Study more loop filters!

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Linear Analysis of the PLL
➤ Thus we will need to look at more complicated filters.

➤ The following filter allows us (a) to exert more control over the loop
response and (b) to eliminate the previously mentioned phase offset.

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Linear Analysis of the PLL
➤ Need to simplify the way we analyse the filter => Take the FT of above
equations:

V̂p(ω) = Kp(Φ̂(ω)/N − Θ̂(ω))

jω Φ̂(ω) = Kv V̂o(ω)

➤ The filter transfer function...

V̂o(ω) = T (ω)V̂p (ω)

➤ Solve for Φ̂...

ˆ
KpKv T (ω)Θ(ω)
Φ̂(ω) =
Kp Kv T (ω)
−jω + N

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Linear Analysis of the PLL
➤ Thus the Phase Lock Loop transfer function becomes,
KpKv T (ω)
H=
K Kv T (ω)
−jω + p N

➤ Simple example: The RC low pass

1
T (ω) =
1 + jωτ

➤ We therefore obtain,
KpKv
HRC = Kp Kv
−jω(1 + jωτ ) + N

➤ For the RC filter only we normalise (with σ = ωτ ),

K
HRC =
−jσ + σ 2 + K N

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Linear Analysis of the PLL
➤ The small signal transient response response is characterised by the
roots of the denominator,
2 KpKv
ω τ − jω + =0
N

➤ The roots are,

s
1 4KpKv τ
ω= [j ± − − 1]
2τ N

➤ Or in normalised form (here only)

s
1 4K
σ= [j ± − − 1]
2 N

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Solution...
➤ The transient solutions are perturbations of the form exp jωt.

➤ If KpKv τ /N > 0 then we have ω ≈ ±j

➤ Thus KpKv τ /N < 0 for stability.

➤ But large −K => for accuracy => large transient oscillation.

s
1 4|K|
σ= [j ± − 1]
2 N

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Hold-In Range Or Lock Range (c.f. Capture range)
➤ Recall
Z t
dθo (t)
θo(t) = Kv v2(τ )dτ ⇒ = Kv v2(t)
−∞ dt

➤ From nonlinear behaviour

dθo (t)
= Kv Kd[sin θe(t) ∗ h(t)] radians per second
dt

➤ We assume that θi(t) is changing very slowly and thus θe(t) must also be
changing very slowly.

➤ As H(f ) is a low pass filter, it is constant for frequencies below BLP.

Assume that dθi(t)/dt, dθe(t)/dt << BLP, then H(f ) = H(0) in the
range of interest. (H(0) is the LPF gain for low frequency signals.)

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Hold-In Range (cont.)
➤ So, if the input frequency changes slowly, the output frequency dθo(t)/dt
will also change slowly and, over a small amount of time, it changes by
∆ω, say. Then, from the equation for dθo(t)/dt, above
dθo(t)
= ∆ω = Kv KdH(0) sin θe, sin θe is a low frequency signal
dt

➤ So, the maximum rate of change of frequency ∆ω occurs when sin θe = 1

⇒ ∆ω ≤ Kv KdH(0)

➤
1
∆fh = Kv KdH(0) Hold − In Range
2π

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A bit more on PLLs..
➤ A glance at the mathematical solution of an RC low pass filter.

➤ See

www.semiconductors.philips.com/acrobat download

/applicationnotes/AN 177.pdf

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The RC Low Pass Filter
➤ The equation governing the RC low pass filter is as follows in terms of
Fourier Transforms...

V̂i
Vˆo =
1 + jωRC

Vi Vo

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The RC Low Pass Filter (Cont.)
➤ Let us study the response to a step function whose Fourier transform is

1
V̂i =
jω

Vi(t)

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The RC Low Pass Filter (Cont.)
➤ The response is given by inverting the transform...

dω exp [jωt]
Z
Vo(t) = exp[jωt]
2π jω[1 + jωRC]

dω 1 1
Z
Vo(t) = [ − ] exp [jωt]
2πj ω ω + 1/jRC

➤ Solve using the residue theorem ..

Vo (t) = 1 − exp [−t/RC]

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