Digital Modulation – Lecture 04

Filters
Digital Modulation Techniques

© Richard Harris
 Objectives

• To be able to discuss the purpose of filtering and

determine the properties of well known filters.
• You will be able to:
– Describe I/Q diagrams and their uses
– Provide an overview of digital modulation application areas
– Describe the characteristics of the various forms of filters and
their use in digital transmission

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 Presentation Outline

• Filtering methods
– Raised cosine
– Square-root raised cosine
– Gaussian filters
• Detection methods for standard Digital Modulation
techniques
• PSDs for common Digital Modulation schemes

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 References

• Digital Modulation in Communication Systems – An

Introduction (Hewlett Packard Application Note 1298)
• Principles of Digital Modulation, by Dr Mike Fitton,
mike.fitton@toshiba-trel.com Telecommunications
Research Lab Toshiba Research Europe Limited

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 Filtering – 1
• Filtering allows the transmitted bandwidth to be significantly
reduced without losing the content of the digital data.
• Spectral efficiency of the signal is improved using filtering.
• Many possible varieties:
– Raised cosine
– Square-root raised cosine
– Gaussian filters
• Any fast transition in a signal, irrespective of whether it is
amplitude, phase or frequency, will need wide occupied
bandwidth.
• Thus, if we have a technique that can help to slow down these
transitions then it will narrow the occupied bandwidth.

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 Filtering – 2

• Filtering helps to smooth these transitions (in I and Q).

• It also reduces interference since it lowers the
tendency of one signal to interfere with another.
• On the receiver side, the reduced bandwidth increases
the sensitivity because more noise and interference
are rejected.
• Tradeoffs may be necessary though:
– Some types of filtering may cause the trajectory of the signal
(the paths of transitions between states) to overshoot .
– Overshooting implies more carrier power and phase from the
transmitter amplifiers

Communication Systems 143.332 - Digital Modulation Slide 6

 Filtering – 3

• Other problems
– Filtering may make radios more complex and larger.
– Filtering can create ISI problems
• Can occur if heavy filtering so that the symbols blur
together and each symbol affects those around it .
• This is determined by the time response or the impulse
response of the filter.

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 Nyquist or Raised-Cosine Filters
• The following graph shows the
impulse or time domain
response of a Nyquist filter.
– We have seen this figure before.
• Nyquist filters have the property
that their impulse response 1

rings at the symbol rate. f0

• The filter is chosen to ring or

have the impulse response of
the filter cross through zero at
the symbol clock frequency.

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 Nyquist or Raised-Cosine Filters
• The time response of the filter goes through zero with a period
that exactly corresponds to the symbol spacing.
• Adjacent symbols do not interfere with each other at the symbol
times because the response equals zero at all symbol times
except the centre (desired) one.
• Nyquist filters heavily filter the signal without blurring the
symbols together at the symbol times.
• This is important for transmitting information without errors
caused by Inter-Symbol Interference.
• Note that Inter-Symbol Interference does exist at all times except
the symbol (decision) times.
• Usually the filter is split, half being in the transmit path and half in
the receiver path.
• In this case root Nyquist filters (commonly called root raised
cosine) are used in each part, so that their combined response is
that of a Nyquist filter.
Communication Systems 143.332 - Digital Modulation Slide 9
 Nyquist or Raised-Cosine Filters

• Sometimes filtering is desired at both the transmitter

and receiver.
• Filtering in the transmitter reduces the adjacent-
channel-power radiation of the transmitter, and thus
its potential for interfering with other transmitters.

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 Nyquist or Raised-Cosine Filters
• Filtering at the receiver reduces the effects of broadband noise
and also interference from other transmitters in nearby channels.
• To get zero Inter-Symbol Interference (ISI), both filters are
designed until the combined result of the filters and the rest of
the system is a full Nyquist filter.
• Potential differences can cause problems in manufacturing
because the transmitter and receiver are often manufactured by
different companies.
– The receiver may be a small hand-held model and the transmitter
may be a large cellular base station.
– If the design is done correctly, the results are the best data rate, the
most efficient radio, and reduced effects of interference and noise.
• This is why root-Nyquist filters are used in receivers and
transmitters as √Nyquist x √Nyquist = Nyquist.
• Matched filters are not used in Gaussian filtering.

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 Gaussian Filter - 1
• In contrast, a GSM signal will have a small blurring of symbols on
each of the four states because the Gaussian filter used in GSM
does not have zero Inter-Symbol Interference.
• The phase states vary somewhat causing a blurring of the
symbols as shown in the figure below.
• Wireless system architects must decide just how much of the
Inter-Symbol Interference can be tolerated in a system and
combine that with noise and interference.

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 Gaussian Filter – 2

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 Gaussian Filter – 3
• Gaussian filters are used in GSM because of their
advantages in carrier power, occupied bandwidth and
symbol-clock recovery.
• The Gaussian filter is a Gaussian shape in both the
time and frequency domains, and it does not ring like
the raised cosine filters do.
• Its effects in the time domain are relatively short and
each symbol interacts significantly (or causes ISI) with
only the preceding and succeeding symbols.
• This reduces the tendency for particular sequences of
symbols to interact which makes amplifiers easier to
build and more efficient.
Communication Systems 143.332 - Digital Modulation Slide 14
 Filter Bandwidth Parameter r - 1

• The sharpness of a raised cosine filter is described by

the value of r – the roll-off parameter.
• Thus r gives a direct measure of the occupied
bandwidth of the system and is calculated as
Occupied bandwidth = Symbol rate X (1 + r).
• If the filter had a perfect characteristic with sharp
transitions and r = 0, the occupied bandwidth would
be:
Occupied bandwidth = Symbol rate X (1 + 0) = symbol rate.

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Filter Bandwidth Parameter r - 2

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 Filter Bandwidth Parameter r - 3

• An r-value of one uses twice as much bandwidth as an

r-value of zero.
• In practice, it is possible to implement an r-value
below 0.2 and make good, compact, practical radios.
– Typical values range from 0.35 to 0.5, though some video
systems use an r-value as low as 0.11. The corresponding
term for a Gaussian filter is BT (bandwidth time product).
• Occupied bandwidth cannot be stated in terms of BT
because a Gaussian filter’s frequency response does
not go identically to zero, as does a raised cosine.
• Common values for BT are 0.3 to 0.5.
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 Different Filter Bandwidths

• Different filter bandwidths show different effects. For

example, look at a QPSK signal and examine how
different values of r effect the vector diagram. If the
radio has no transmitter filter as shown on the left of
the graph, the transitions between states are
instantaneous. No filtering means an r of infinity.

Communication Systems 143.332 - Digital Modulation Slide 18

Power Spectral Densities and Detection
Methods for Digital Modulation

© Richard Harris
 Coherent Reception
• An estimate of the channel phase and attenuation is recovered. It
is then possible to reproduce the transmitted signal, and
demodulate. It is necessary to have an accurate version of the
carrier, otherwise errors are introduced.
• Carrier recovery methods include:
– Pilot Tone (such as Transparent Tone in Band)
– Less power in information bearing signal
– High peak-to-mean power ratio
• Pilot Symbol Assisted Modulation
– Less power in information bearing signal
• Carrier Recovery (such as Costas loop)
– The carrier is recovered from the information signal

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 Differential Reception
• In the transmitter, each symbol is modulated relative
to the previous symbol, for example in differential
BPSK:
– 0 = no change 1 = +180o
• In the receiver, the current symbol is demodulated
using the previous symbol as a reference.
– The previous symbol acts as an estimate of the channel.
• Differential reception is theoretically 3dB poorer than
coherent. This is because the differential system has
two sources of error:
– a corrupted symbol, and
– a corrupted reference (the previous symbol).
• Non-coherent reception is often easier to implement.
Communication Systems 143.332 - Digital Modulation Slide 21
 Computing the PSD of OOK

• The Power Spectral Density of the complex envelope

is computed using our PSD formula as:

A ⎡ 2
⎛ sin π fTb ⎞ ⎤
2

Pg ( f ) = ⎢δ ( f ) + Tb ⎜
c
⎟ ⎥
2 ⎢
⎣ ⎝ π fTb ⎠ ⎥⎦

• Assuming that m(t) has a peak value of 2

• The PSD of OOK is then given by
1
⎡⎣ Pg ( f − f c ) + Pg (− f − f c ) ⎤⎦
4
Note: We have already considered this in a tutorial
Communication Systems 143.332 - Digital Modulation Slide 22
 Plot of PSD for OOK

• The null-null bandwidth is 2R

• The transmission bandwidth
of OOK is BT = 2B where B is
the baseband bandwidth
• With raised cosine rolloff
filtering, B= ½(1+r)R, hence
– BT = (1+r)R
• Note:
– For binary signalling, D = R.

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 Detection of OOK – 1

• The following set up is used to detect OOK signals:

OOK in Envelope Binary output

detector
Non-coherent Detection

OOK in Low-pass Binary output

filter

Coherent Detection with Low-Pass Filter Processing

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 Detection of OOK – 2

• Note:
– When the received OOK signal is corrupted by Additive White
Gaussian Noise (AWGN), the optimal detection (to obtain the
lowest possible Bit Error Rate – BER ) requires coherent
detection with matched filter processing.

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 Binary Phase-Shift Keying

• Computing the PSD for the complex envelope of BPSK

gives the following:
2
⎛ sin πfTb ⎞
Pg ( f ) = A T ⎜⎜ 2
⎟⎟
⎝ πfTb ⎠
c b

• Assuming that m(t) has peak values of ±1

• The PSD of BPSK is then given by

1
[Pg ( f − f c ) + Pg (− f − f c )]
4
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 The PSD of BPSK

• The bandwidth for BPSK is the same as for OOK.

• Raised cosine-rolloff filtering can be used to conserve
bandwidth
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 Detection of BPSK

• [ s (t )(− sin ωc t ]LP recovers m(t)

• Coherent detection must be used.

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 Orthogonal Signalling – 1

• Consider transmitting a binary 1 over the bit interval

0<t<Tb using an FSK signal given by:
s1 (t ) = Ac cos(ω1t + θ1 )
• The binary 0 is transmitted using the signal
s2 (t ) = Ac cos(ω2t + θ 2 )
• Where θ1 = θ2 for continuous phase FSK, the two
signals are orthogonal if
Tb
∫0
s1 (t ) s2 (t )dt = 0
• That is:
Tb

0 ∫ Ac2 cos(ω1t + θ1 ) cos(ω2t + θ 2 )dt = 0

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 Orthogonal Signalling – 2

• This means that

Ac2 ⎡ sin[(ω1 − ω2 )Tb + (θ1 − θ 2 )] − sin(θ1 − θ 2 ) ⎤
2 ⎢⎣ (ω1 − ω2 ) ⎥
⎦
Ac2 ⎡ sin[(ω1 + ω2 )Tb + (θ1 + θ 2 )] − sin(θ1 + θ 2 ) ⎤
+ ⎢ ⎥ =0
2 ⎣ (ω1 + ω2 ) ⎦
• The second term is negligible since we assume ω1+ω2
is large.
• Therefore
sin[2π h + (θ1 − θ 2 )] − sin(θ1 − θ 2 )
=0
2π h
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 Orthogonal Signalling – 3

• Where (ω1 − ω2 )Tb = 2π (2∆F )Tb

and
h = 2∆FTb
• For θ1 = θ2 the minimum value for orthogonality is
h=0.5, or a peak frequency deviation of
1 1
∆F = = R
4Tb 4
• For θ1 ≠ θ2 the discontinuous phase FSK case, the
minimum value for the orthogonality is h=1, or a peak
frequency deviation of 1 1
∆F = = R
2Tb 2
Communication Systems 143.332 - Digital Modulation Slide 31
 Minimum Shift Keying (MSK)

• Minimum Shift Keying is continuous phase FSK with a

minimum modulation index (h=0.5) that will produce
orthogonal signalling.
• The complex envelope is
t

g (t ) = Ac e jθ ( t )
= Ac e ∫−∞
m(λ )dλ

• Where ∆F= ¼R and m(t) = ±1

• MSK is a constant amplitude signal

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 MSK – 2

• MSK can be generated by using a simple FM

modulator, viz:

FM Transmitter
∆F= ¼R

• MSK is equivalent to OQPSK with sinusoidal pulse

shaping.

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 PSD of MSK

• The PSD of the complex

envelope is given by:

16 Ac2Tb ⎛ cos 2 2π Tb f ⎞
Pg ( f ) = ⎜ ⎟
π 2 ⎝ [1 − (4Tb f ) 2 ]2 ⎠

Communication Systems 143.332 - Digital Modulation Slide 34

 GMSK – 1

• Gaussian-filtered MSK
– The data (rectangular shaped pulses) are filtered by a filter
having a Gaussian shaped frequency response
− ⎡ ( f / B )2 (ln 2 / 2) ⎤
H( f ) = e ⎣ ⎦

– Where B is the 3dB bandwidth of the filter

• The PSD of GMSK can be obtained via computer
simulation

Communication Systems 143.332 - Digital Modulation Slide 35

 GMSK – 2

• BTb = 0.3 (ie. the 3dB bandwidth is 0.3 of the bit rate)
gives a good compromise for relatively low side-lobes
and tolerable ISI
• GMSK has a constant envelope
• GMSK with BTb = 0.3 is the modulation format used in
GSM cellular telephone systems
• GMSK and MSK can be detected either coherently or
non-coherently

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 Detection of DPSK

• Partially coherent detection:

– Does not require carrier phase synchronisation
• Receiver detects the relative phase difference between
the waveforms of en and en-1 to determine dn
• In the previous example, dn=1 if phase difference is π
and dn=0 if no phase difference
Communication Systems 143.332 - Digital Modulation Slide 37
 PSD of FSK

• h is the digital modulation index, the peak frequency

deviation ∆F = D f / 2π for m(t) having values of ±1.
• (See pages 349-351 for the mathematical expression
for the PSD in this case)

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 Bandwidth of FSK

• The approximate bandwidth is given by Carson’s rule:

BT = 2( β + 1) B
• Where β = ∆F / B and B is the bandwidth of the square-
wave data waveform.
• Using the first null bandwidth, B=R, thus
BT = 2(∆F + R)

• With raised cosine filtering, B = 1/2 (1+r)R, hence

BT = 2∆F + (1 + r ) R

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 Detection of FSK

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