Root Raised Cosine (RRC) Filters and Pulse Shaping in Communication Systems

Erkin Cubukcu

Abstract

This presentation briefly discusses application of the Root Raised Cosine (RRC) pulse shaping in the
space telecommunication. Use of the RRC filtering (i.e., pulse shaping) is adopted in commercial
communications, such as cellular technology, and used extensively. However, its use in space
communication is still relatively new. This will possibly change as the crowding of the frequency
spectrum used in the space communication becomes a problem. The two conflicting requirements in
telecommunication are the demand for high data rates per channel (or user) and need for more
channels, i.e., more users. Theoretically as the channel bandwidth is increased to provide higher data
rates the number of channels allocated in a fixed spectrum must be reduced. Tackling these two
conflicting requirements at the same time led to the development of the RRC filters. More channels with
wider bandwidth might be tightly packed in the frequency spectrum achieving the desired goals. A link
model with the RRC filters has been developed and simulated. Using 90% power Bandwidth (BW)
measurement definition showed that the RRC filtering might improve spectrum efficiency by more than
75%. Furthermore using the matching RRC filters both in the transmitter and receiver provides the
improved Bit Error Rate (BER) performance.

In this presentation the theory of three related concepts, namely pulse shaping, Inter Symbol
Interference (ISI), and Bandwidth (BW) will be touched upon. Additionally the concept of the RRC
filtering and some facts about the RRC filters will be presented.
 Root Raised Cosine Filters
&
Pulse Shaping in Communication Systems
Avionic Systems Analysis

Erkin Cubukcu
Friday, May 18, 2012
 Outline

Pulse Shaping, Intersymbol Interference (ISI),

and Bandwidth
Ideal Low Pass Filter (LPF)
Raised Cosine (RC)
Avionic Systems Analysis

Root Raised Cosine (RRC)

Facts about RRC
Link Modeling with the RRC Filters
Signal Spectra
BER Plots
Conclusions

5/7/2012 2
 Pulse Shaping, Intersymbol Interference
(ISI), and Bandwidth

Digital Modulation
Avionic Systems Analysis

5/7/2012 3
 Pulse Shaping, Intersymbol Interference
(ISI), and Bandwidth (cont)
Theory
Avionic Systems Analysis

Two conflicting requirements!:

Demand for High data rates (more information).
Need for Narrow Bandwidth (more users, more channels, less noise).
If channels are too narrow the symbols will be too wide, hence. At sampling
points (in time) there will be signal (tails) of the previous and next symbols.
This is called Inter-symbol Interference (ISI)
One possible solution is to use an Ideal Low Pass Filter (ILPF) (rectangular
in frequency).

5/7/2012 4
 Ideal Low Pass Filter (ILPF)

No ISI
Narrow bandwidth channel
Avionic Systems Analysis

sin t / T
t / T

Issues
Physically unrealizable and difficult to approximate.
If attainable, require extreme precise synchronization, synchronization
is a problem (jitter in the system might be detrimental).

5/7/2012 5
 Solution : Raised Cosine (RC) Filters

It is shown by Nyquist that

If the frequency characteristic has odd symmetry at the cutoff frequency,
the impulse response will have zeros at uniformly spaced intervals.
Much simpler to attain
Avionic Systems Analysis

Effects of jitter may be minimized

1
T 0 f
2T
T T 1 1 1
H ( f ) 1 cos f f (Eq. 1)
2 2T 2T 2T
1
0 f
2T

sin t / T cos t / T
h (t ) (Eq. 2)
t / T 1 ( 4 2 t 2 / T 2 )

5/7/2012 6
 Plot of Raised Cosine (RC) filter

Frequency Response
Avionic Systems Analysis

Impulse Response

5/7/2012 7
 Raised Cosine Filter (Cont)

Impulse response now has a sinc term that ensures that it has zero
crossings as like ideal low pass filter.

sin t / T
Avionic Systems Analysis

t / T
In addition, it has another term

cos t / T
1 ( 4 2t 2 / T 2 )

That decays in time hence reduces the tails reducing the impact of
jitter.

5/7/2012 8
 Bandwidth of Raised Cosine (RC) Filter

sin t / T
Where the sampling time is T
t / T
c t t / T c T T / T cT T / c /( 2f c ) 1 / 2 f c
Avionic Systems Analysis

If ideal LPF were used the baseband bandwidth would be

B f c 1 / 2T Nyquist Bandwidth
1
Since H( f ) 0 f
2T

Bandwidth for a realizable RC filter

B (1 ) / 2T Nyquist Bandwidth times 1

So the baseband transmission bandwidth

B (1 ) f c

5/7/2012 9
 Root Raised Cosine (RRC) Filter

The overall channel transfer function must be Raised Cosine (RC) as

discussed above.
One way of achieving it is to take square root of the raised cosine filter in
frequency domain and use this new filter in the Tx and Rx. This is the so
Avionic Systems Analysis

called Root Raised Cosine filter.

1
H rrc ( ) H ( ) rc (1 cos / 2 c ) 2 c
2

When the transmitter and receiver filters are cascaded one gets raised
cosine filter transfer characteristic

H rc ( ) H rrc ,tx ( ) H rrc , rx ( )

Or

H rc ( ) H rc ( ) H rc ( )

5/7/2012 10
 Root Raised Cosine Filter (RRC) (cont)

By taking square root of RC filter frequency response, one gets.

1
T 0 f
2T
T
Avionic Systems Analysis

T 1 1 1
H( f ) 1 cos f f
2 2T 2T 2T
1
0
f
2T

Finding its impulse Response is a little bit tricky.

sin[(1 )t / T ]
cos[(1 )t / T ]
2 4t / T
h (t )
T 1 (4t / T ) 2

Impulse response can also be generated numerically using IFFT.

5/7/2012 11
 Facts about RRC

RRC theoretically has infinite number of taps so it has infinite attenuation in the stop
band. However, in implementation its length should be reduced to a finite value.

Decreasing the number of samples (filter delay) reduces the stop band attenuation.
Avionic Systems Analysis

The rolloff factor is a measure of the excess bandwidth of the filter, i.e., the bandwidth
occupied beyond the Nyquist bandwidth of 1/2T, where 1/T is symbol rate.

As rolloff increases eye in the eye diagram opens up. This means that if there were
no bandwidth restrictions it would be easier on the receiver if one used a large rolloff.
(However, for bandwidth efficiency rolloff should be smaller.)

Smaller rolloff gives narrower bandwidth. However, its side lobes increases so
attenuation in stop band is reduced.

RRC filters are implemented in the base band as a digital filter. Since implementing
narrow (high Q) filters in the RF bands is difficult.

5/7/2012 12
 Facts about RRC (cont.)

Another issue to consider in pulse shaping is the Peak-to-Average Power Ratio

(PAPR).

PAPR is determined by combination of

Avionic Systems Analysis

Modulation
Constellation of the signal
Pulse shaping

High PAPR reduces power amplifier efficiency since it must operate with large back
off (higher PAPR requires higher back off and/or more linearity)

PAPR of an RRC will increase with

reduced excess bandwidth5
increased filter length5

5/7/2012 13
 Link Modeling with the RRC Filters

A SIMULINK Model was developed and simulated to study the spectral

efficiency and Bit Error Rate (BER) performance of the RRC filters. Below
is a high level block diagram of this model.
Avionic Systems Analysis

5/7/2012 14
 Link Modeling with the RRC Filters (Cont.)
Tx Model with RRC Pulse Shaping
Avionic Systems Analysis

The modulator generates one symbol for each pair of data bits. The
symbols generated by the modulator is up sampled and pulse shaped
(filtered) to comply with the channel bandwidth restrictions. Typically, the
pulse shaping is the last stage of transmitter before (DAC and) PA.

5/7/2012 15
 Link Modeling with the RRC Filters (Cont.)
Rx Model with RRC Filter
Avionic Systems Analysis

RRC filter filters out the signal (i.e., equalizes to give a nearly zero
Intersymbol Interference, ISI, if Tx is also using RRC filter pulse shaping).
The output is sampled at the optimum points (i.e., down-sampled) to give
one sample per constellation symbol. Demodulator finds out which
quadrant the received sample falls and based on that decision generates
a pair of bits.

5/7/2012 16
 RC Filter Impulse Response, rolloff 0.4, 0.7, and 1
Symbol rate 1 Msps

-3
x 10 Raised Cosine Filter Response
14
RC, rolloff 0.4
RC, rolloff 0.7
12
RC, rolloff 1
Avionic Systems Analysis

10

6
Magnitude

-2

-4
-4 -3 -2 -1 0 1 2 3 4
time (s)

5/7/2012 17
 Ideal RRC Frequency Response
with rolloff 0.4, 0.7, and 1.0

Just the plot of the equation

Symbol rate 1 Mbps
Root Raised Filter Response
0
Ideal RRC, rolloff 0.4
-10 Ideal RRC, rolloff 0.7
Avionic Systems Analysis

Ideal RRC, rolloff 1

-20

-30

-40
Mag. (dB)

-50

-60

-70

-80

-90

-100
0.5 1 1.5 2 2.5 3 3.5 4
Freq. (Hz) 6
x 10

5/7/2012 18
 Frequency Response of Realizable Root Raised
Cosine Filter with Rolloff 0.4, 0.7, and 1

Symbol rate 1 Mbps

Root Raised Filter Response
0
rolloff 0.4
-10 rolloff 0.7
rolloff 1
Avionic Systems Analysis

-20

-30

-40
Mag. (dB)

-50

-60

-70

-80

-90

-100
0.5 1 1.5 2 2.5 3 3.5 4
Freq. (Hz) 6
x 10

5/7/2012 19
 Effect of the length of the Filter (Realizable)
delay 2, 4, and 8 sym (rolloff 0.4)

Delay is half of the filter length in time. Here is given as the symbol length

Root Raised Filter Response

0
del 2 sym
-10 del 4 sym
Avionic Systems Analysis

del 8 sym

-20

-30

-40
Mag. (dB)

-50

-60

-70

-80

-90

-100
0.5 1 1.5 2 2.5 3 3.5 4
Freq. (Hz) 6
x 10

5/7/2012 20
 OQPSK Tx RRC Output Spectrum for a Symbol Rate of 6 Msps
w/ Category A Masks
OQPSK Spectrum at the RRC filter o/p, Sym Rate 6 Msps, OSR 16
0
Tx o/p
rolloff is 0.35 Data Rate > 2 Msps
-10
Group Delay is 4 sym Data Rate < 2 Msps

-20
Avionic Systems Analysis

-30
power (dB)

-40

-50

-60

-70
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
freq (Hz) 7
x 10

Rolloff 0.35, Group delay 4, 2-sided BW = 3*1.35 = 4 MHz.

Measured 99% 2-sided BW = 3.48 MHz
Measured 90% 2-sided BW = 2.78 MHz

5/7/2012 21
 BPSK Tx RRC Output Spectrum for a Sym Rate of 2 Msps
w/ Category A Masks
BPSK Spectrum at the RRC filter o/p, Sym Rate 2 Msps, OSR 16
0
Tx o/p
rolloff is 0.35 Data Rate > 2 Msps
-10
Group Delay is 4 sym Data Rate < 2 Msps

-20
Avionic Systems Analysis

-30
power (dB)

-40

-50

-60

-70
-1.5 -1 -0.5 0 0.5 1 1.5
freq (Hz) 7
x 10

Group delay 4 sym, rolloff 0.35

2-sided BW = 2*1.35 = 2.7 MHz.
99% measured 2-sided BW = 2.32 MHz.
90% measured 2-sided BW = 1.87 MHz.

5/7/2012 22
 Power Amplifier (PA) Output Spectrum
for 6 Msps OQPSK

Mod and Tx o/p Spectra, OSR 16

0
Mod o/p
Tx o/p The spectrum of
-10 Rolloff is 0.3.
Group del is 4 symb.
Data Rate > 2 Msps the Modulator
Data Rate < 2 Msps
output is also
Avionic Systems Analysis

-20 NTIA Spurious Emissions

shown in the plot.
-30

-40
power (dB)

-50

-60

-70

-80

-90

-100
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
freq (Hz) 7
x 10

5/7/2012 23
 OQPSK Tx Output Spectrum for a Rect Pulse at a
Sym Rate of 6 Msps w/ Category A Masks

OQPSK Spectrum at the Tx o/p (Rect Pulse), Sym Rate 6 Msps, OSR 16
0
Tx o/p
Data Rate > 2 Msps
-10
Data Rate < 2 Msps
Avionic Systems Analysis

-20

-30
power (dB)

-40

-50

-60

-70
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
freq (Hz) 7
x 10

Rectangular pulse shaping does not comply with Category A spectral mask requirements.
90% measured 2-sided BW = 4.96 MHz.

5/7/2012 24
 BPSK Tx Output Spectrum for a Rectangular Pulse,
for a Symbol Rate of 2 Msps w/ Category A Masks

BPSK Spectrum at the Tx o/p (Rect Pulse), Sym Rate 2 Msps, OSR 16
0
Tx o/p
Data Rate > 2 Msps
-10
Data Rate < 2 Msps
Avionic Systems Analysis

-20

-30
power (dB)

-40

-50

-60

-70
-1.5 -1 -0.5 0 0.5 1 1.5
freq (Hz) 7
x 10

Rectangular pulse shaping does not comply with Category A spectral mask requirements 6.
99% measured 2-sided BW = 2.22 MHz.
90% measured 2-sided BW = 3.34 MHz.

5/7/2012 25
 OQPSK, 6 Msps

0
OQPSK, 6 Msps, Extrapolated (Cubic Spline)
10
Theory
Tx RRC & Rx RRC, Extr Please Note that
Tx RRC & Rx No filt, Extr
-1
10 the curves are
Tx RRC & Rx I&D, Extr
Tx Rect & Rx No Filt, Extr
(Cubic Spline)
Avionic Systems Analysis

Tx Rect & Rx I&D, Extr extrapolated after

-2
10 Tx Gauss (BT=0.35) & Rx I&D, Extr 10-11 dB EbNo
Tx Gauss (BT=0.85) & Rx I&D, Extr and
-3
Simulations are
10
ran for +1000
error bits unless
-4 stated otherwise.
BER

10

-5
10

-6
10

-7
10

-8
10
-2 -1 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Eb/No

5/7/2012 26
 BPSK, 2 Msps

0
BPSK, 2 Msps, Extrapolated (Cubic Spline)
10
Theory
w/Tx RRC & Rx RRC,Extr
-1
*Please Note that
10 w/Tx RRC & Rx No Filt,Extr
the curves are
w/Tx RRC & Rx I&D,Extr
(Cubic Spline)
Avionic Systems Analysis

w/Tx Rect & Rx No Filt,Extr

-2
10 extrapolated after
w/Tx Rect & Rx I&D,Extr
10-11 dB EbNo
w/Tx Gauss & Rx I&D,Extr
and
-3
10 Simulations are
ran for +1000
-4 error bits unless
BER

10
stated otherwise.

-5
10

-6
10

-7
10

-8
10
-2 -1 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Eb/No

5/7/2012 27
 Conclusions

RRC is more bandwidth efficient than NRZ (i.e., no pulse shaping,

rectangular waveform).
Avionic Systems Analysis

Matching TX and RX filters achieves optimum Bit Error Rate (BER)

performance.

This study provides insight and guidance in the system design for
spectral efficiency and Bit Error Rate (BER) performance.

5/7/2012 28
 References

1. S. Daumont, R. Basel, Y. Lout, "Root-Raised Cosine filter influences on PAPR

distribution of single carrier signals", ISCCSP 2008, Malta, 12-14 March 2008.
2. Proakis, J. (1995). Digital Communications (3rd ed.). McGraw-Hill Inc. ISBN 0-07-
113814-5.
3. Glover, I.; Grant, P. (2004). Digital Communications (2nd ed.). Pearson Education
Avionic Systems Analysis

Ltd. ISBN 0-13-089399-4.

4. Tavares, L.M.; Tavares G.N. (1998) Comments on "Performance of Asynchronous
Band-Limited DS/SSMA Systems" . IEICE Trans. Communications., Vol. E81-B, No.
9
5. Chtelain, Benot, and Gagnon, Franois, Peak-to-Average Power Ratio and
Intersymbol Interference Reduction by Nyquist Pulse Optimization
6. Constellation Program Command, Control, Communication, and Information (C3I)
Interoperability Standards Book Volume 2: Spectrum and Channel Plan
3.4..2.1 Spectral Emissions Mask for Spurious Emissions (NTIA), p 42
3.4.2.2 Spectral Emissions Mask for Category A Missions, p 43

5/7/2012 29