NN AND ANALOG. TT TT Bas PieDIGITAL AND ANALOG COMMUNICATION SYSTEMS K. SAM SHANMUGAM Wichita State University John Wiley & Sons New York / Chichester / Brisbane / TorontoCopyright © 1979, by John Wiley & Sons, Inc. All rights reserved. Published simultaneously in Canada. Reproduction or translation of any part of this work beyond that permitted by Sections 107 and 108 of the 1976 United States Copyright Act without the permission of the copyright owner is unlawful. Requests for permission or further information should be addressed to the Permissions Department, John Wiley & Sons. Library of Congress Cataloging in Publication Data: Shanmugam, K. Sam. Digital and analog communication systems. Includes bibliographical references and index. 1. Telecommunication. 2. Digital communications. 3. Information theory. 4. Signal theory (Telecommunication) I. Title. TKS101.S445 621.38 78-26191 Printed in the United States of America 10987654321To Radha, Kannon, and RaviPREFACE With the increasing importance of digital communication, there is a need for a communication theory text that emphasizes the basic aspects of information theory, discrete modulation techniques, and coding theory at a level ap- propriate for advanced undergraduates and first-year graduate students. The purpose of this book is to present an introductory level treatment of digital and analog communication systems with an emphasis on digital com- munication systems. A study of communication systems covers many varied aspects—from the mathematical and statistical abstraction of information theory, modulation theory, and coding theory, to the electronic considerations associated with the building of functional blocks to perform various signal processing tasks. I have attempted to present in this book a unified treatment of these many diverse aspects of communication systems. Throughout the book we consider the process of electrical communication as consisting of a sequence of signal processing operations. Each functional block in the system performs a specific signal processing operation. For each functional block, we define the input/output requirements and the parameters we have at our disposal. We derive expressions that relate the performance of each functional block to its parameters and use these relationships to optimize the design of the functional block. While we occasionally present examples of physical blocks (or circuits) that correspond to specific functional blocks, less emphasis is placed on this aspect of the problem—namely, the physical realization of functional blocks. The major reasons for neglecting this prob- viiviii Preface lem are: (1) specific circuits and devices become obsolete in a short time due to rapid technological developments, and (2) the design of circuits could be taught better in a circuit design course rather than in a communication systems course. The material presented in this book is arranged into three study areas: a review section, the study of digital communication systems, and the study of analog communication systems. The review section (Chapters 2 and 3) covers signal models, systems analysis, random variables, and random pro- cesses. A cursory treatment of modulation and demodulation techniques and signal-to-noise ratios are included in the review. These topics are covered in detail in later chapters. Chapters 4, 5, 8, and 9 deal with the analysis and design of digital communication systems. Chapter 4 presents information theory and its im- plications for digital communication systems. Discrete pulse and carrier wave modulation schemes are discussed in Chapters 5 and 8. Finally, basic ideas in coding theory are dealt with in Chapter 9. Analog communication systems are discussed in Chapters 6 and 7. Base- band analog signal transmission and continuous wave (CW) modulation tech- niques for analog signal transmission are covered in Chapter 6. The effect of noise in CW modulation schemes is discussed in Chapter 7. This chapter also contains a comparison of various CW modulation schemes. Finally, Chapter 10 deals with digital transmission methods for analog signals. Sampling, quantizing, and encoding of analog signals for transmission over digital systems are described here. It is assumed that the student has some knowledge of circuit analysis and linear systems analysis. Prior exposure to Fourier transforms, random vari- ables, and random processes would be helpful, but not essential. With this background, it should be possible to organize and teach several possible courses out of this text. First, this book can be used, as a whole, for a two-semester course on digital and analog communication systems. It is also possible to teach a one-semester course on digital and analog communication systems by covering Chapters 2 and 3 rapidly and selecting materials from Chapters 5, 6, 7, and 8. Finally, an elective course in digital communication systems may be taught using the material in Chapters 4, 5, 8, 9, and 10. Selective double coverage of topics in the book will allow the instructor considerable flexibility in structuring these courses. Considerable effort has been made to present material at such a level that there is consistent progression from concepts to design considerations without getting mired in too much theoretical details. Proofs of theorems and statements are included only when it is felt that they contribute sufficient insight into the problem being addressed. Proofs are omitted when theyPreface ix involve lengthy theoretical discourse of material at a level beyond the scope of this text. In such cases, outlines of proofs with adequate references to outside material is presented so that the ambitious reader can labor through the details. Each chapter contains a number of examples and problems. The examples and problems cover practical and theoretical aspects of analysis and design of communication systems. An instructor’s manual giving complete solutions to the problems is available from the publisher on request. ACKNOWLEDGMENTS I am indebted to many people for their advice, assistance, and contributions to the development of this text. First, I wish to thank the Air Force Communication Service and the U.S. Air Force Rome Air Development Center for their support of my research activities in the field of com- munication systems. Several problems and concepts presented in this text came out of these research activities and I am deeply indebted to these and other agencies, including the National Science Foundation, NASA, and the Department of Energy, for their research support. Several individuals have read the manuscript and their comments have helped me considerably to improve the accuracy and clarity of the text. I am pleased to acknowledge the assistance of Professor Arthur M. Breipohl, University of Kansas, and Professor M. Lal, Wichita State University, who supplied many helpful suggestions while teaching from the earlier drafts of the manuscript. The comments and suggestions from the reviewers, Profes- sors Arthur M. Breipohl (University of Kansas), R. Frank Quick, Jr. (Car- negie Mellon University), Robert A. Gabel (University of Colorado), and Gene A. Davenport, Editor, John Wiley and Sons, have also been very helpful. I am also grateful to my graduate students, J. M. Naik, Art Frankowski, and Mark A. Miller for proofreading the final manuscript. l also wish to thank the staff and administration of the College of Engineer- ing at Wichita State University for providing me with typing and other help in the earlier stages of the development of the manuscript. In particular, I wish to thank Marta Manny who typed the entire manuscript in expert fashion, not once, but several times. Finally, I am grateful to my wife and children for their patience and understanding during the time I devoted to writing this book. K. Sam ShanmugamCONTENTS 1 INTRODUCTION 1 1.1. Model of a Communication System 2 1.2 Elements of a Digital Communication System 4 1.2.1. Information Source 5 1.2.2 Source Encoder/Decoder 6 1.2.3 Communication Channel 7 1.2.4 Modulator 8 1.2.5 Demodulator 9 1.2.6 Channel Encoder/Decoder 10 1.2.7 Other Functional Blocks 11 1.3 Analysis and Design of Communication Systems 12 1.3.1. Analysis of Communication Systems 12 1.3.2 Design of Communication Systems 12 1.4 Organization of the Book 14 2 SYSTEMS AND SIGNAL ANALYSIS 16 2.1 Systems and Signals 17 2.1.1 Classification of Signals 17 2.1.2 Classification of Systems 20 2.2 Signal Representation Using Fourier Series 21 2.2.1 Complex Exponential Fourier Series a1 222 Fourier Series Representation of Periodic Signals 22 ae xixii Contents 2.3 2.4 2.5 2.6 2.7 2.8 Signal Representation Using Fourier Transforms 2.3.1 Fourier Transform Representation of Aperiodic Sig- nals 2.3.2 Fourier Transform of Periodic Power Signals 2.3.3 Transform Theorems Power Spectral Density System Response and Filters 2.5.1 Impulse Response, Step Response, and Time Domain Analysis 2.5.2 Transfer Function and Frequency Domain Analysis 2.5.3 Effect of Transfer Function on Spectral Densities 2.5.4 Real and Ideal Filters Spectral Analysis of Modulation and Demodulation Opera- tions 2.6.1 Analysis of a Linear Modulation System Spectral Measurements and Computations 2.7.1. Spectrum Analyzer 2.7.2 Numerical Computation of Fourier series Coefficients 2.7.3 Numerical Computation of Fourier Transforms Summary References Problems RANDOM SIGNAL THEORY 3.1 3.2 3.3 3.4 3.5 Introduction Introduction to Probabilities 3.2.1. Definitions 3.2.2 Probabilities of Random Events 3.2.3 Joint and Conditional Probabilities Discrete Random Variables 3.3.1 Probability Mass Functions 3.3.2 Statistical Averages 3.3.3 Examples of Probability Mass Functions Continuous Random Variables 3.4.1. Probability Density Functions and Statistical Aver- ages 3.4.2 Examples of Probability Density Functions 3.4.3 Transformation of Random Variables Random Processes 3.5.1 Definitions and Notations3.6 3.7 3.8 Contents 3.5.2 Stationarity, Time Averages, and Ergodicity 3.5.3 Power Spectral Density of Stationary Random Pro- cesses 3.5.4 Special Classes of Random Processes Systems and Random Signals 3.6.1 Response of Memoryiess Systems 3.6.2 Response of Linear Time-Invariant Systems Noise in Communication Systems 3.7.1. Thermal Noise 3.7.2. Time Domain Representation of Narrowband Noise 3.7.3. Signal-to-Noise Ratio and Probability of Error 3.7.4 Noise Equivalent Bandwidth, Effective Noise Tem- perature, and Noise Figure Summary References Problems INFORMATION AND CHANNEL CAPACITY 4.1 4.2 4.3 4.4 4.5 4.6 47 Introduction Measure of Information 4.2.1. Information Content of a Message 4.2.2 Average Information Content (Entropy) of Symbols in Long Independent Sequences 4.2.3. Average Information Content of Symbols in Long Dependent Sequences 4.2.4. Markoff Statistical Model for Information Sources 4.2.5 Entropy and Information Rate of Markoff Sources Encoding of the Source Output 4.3.1 Shannon's Encoding Algorithm Communication Channels Discrete Communication Channeis 4.5.1 Rate of Information Transmission Over a Discrete Channel 4.5.2 Capacity of Discrete Memoryless Channels 4.5.3 Discrete Channels with Memory Continuous Channels 4.6.1. Shannon-Hartley Theorem and Its Implications Summary References Problems xiii 90 92 101 103 103 104 107 108 110 117 119 125 126 127 138 138 140 140 142 145 145 150 156 157 162 164 167 170 173 174 175 181 182 182xiv Contents 5 BASEBAND DATA TRANSMISSION 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 Introduction Baseband Binary PAM Systems 5.2.1 Baseband Pulse Shaping 5.2.2 Optimum Transmitting and Receiving Filters 5.2.3 Design Procedure and Example Duobinary Baseband PAM System 5.3.1 Use of Controlled ISI in Duobinary Signaling Schemes 5.3.2 Transmitting and Receiving Filters for Optimum Performance M-ary Signaling Schemes 5.4.1 Analysis and Design of M-ary Signaling Schemes 5.4.2 Binary Versus M-ary Signaling Schemes Shaping of the Transmitted Signal Spectrum 5.5.1 Effect of Precoding on the Spectrum 5.5.2 Pulse Shaping by Digital Methods Equalization 5.6.1 Transversal Equalizer 5.6.2 Automatic Equalizers Miscellaneous Topics 5.7.1 Eye Diagrams 5.7.2 Synchronization 5.7.3 Scrambler and Unscrambler Summary References Problems 6 ANALOG SIGNAL TRANSMISSION 6.1 6.2 6.3 Introduction 6.1.1 Need for Modulation 6.1.2 Types of Analog CW Modulation Analog Baseband Signal Transmission 6.2.1 Signal Distortion in Baseband Transmission 6.2.2 Linear Distortion 6.2.3 Equalization 6.2.4 Nonlinear Distortion and Companding Linear CW Modulation Schemes 6.3.1 Double-Sideband Modulation (DSB) 6.3.2 Amplitude Modulation (AM) 189 189 193 194 197 201 204 205 206 208 211 218 222 223 228 230 230 233 237 237 240 242 244 245 245 251 251 252 253 254 255 256 256 257 259 259 2646.4 6.5 6.6 6.7 Contents 6.3.3 Suppressed Sideband Modulation (SSB) 6.3.4 Frequency Conversion (Mixing) Angle Modulation 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 Angle Modulated Signals Spectra of Angle Modulated Signals Power and Bandwidth of FM Signals Generation of FM Signals Demodulation of FM Signals Phase-Lock Loops Frequency Division Multiplexing Commercial Broadcasting 6.6.1 6.6.2 AM Radio Broadcasting and Reception FM Radio Broadcasting and Reception 6.6.3 Commercial TV Broadcasting and Reception Summary References Problems NOISE IN ANALOG COMMUNICATION SYSTEMS 7.1 7.3 7.4 7.5 7.6 Introduction 7.2 Noise in Baseband Systems 7.2.1 7.2.2 7.2.3. Signal-to-Noise ratio Improvement Through Pre- System Model and Parameters Signal-to-Noise Ratio at the Output of a Baseband System emphasis/Deemphasis Filtering Noise in Linear CW Modulation Systems 7.3.1 7.3.2 7.3.3 System Model and Parameters Noise in DSB and SSB Systems Noise in AM Systems Noise in Angle Modulation Systems 7.4.1 7.4.2 7.4.3 Output Signal-to-Noise Ratios in Angle Modulation Systems Threshold Effects in Angle Modulation Systems Threshold Extention in FM Systems Preemphasis/Deemphasis Filtering in CW Modulation Systems Interference in CW Modulation 7.6.1 7.6.2 7.6.3 Interference in CW Modulation Interference in Linear Modulation Interference in Angle Modulation XV 268 275 277 278 280 283 286 289 291 297 299 300 301 304 312 314 314 329 329 330 330 331 333 337 338 340 343 349 350 356 359 360 365 365 366 366xvi Contents 7.7 7.8 Comparison of CW Modulation Schemes Summary References Problems DIGITAL CARRIER MODULATION SCHEMES 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 Introduction Optimum Receiver for Binary Digital Modulation Schemes 8.2.1 Description of Binary ASK, PSK, and FSK Schemes 8.2.2 Probability of Error 8.2.3 Transfer Function of the Optimum Filter Binary ASK Signaling Schemes 8.3.1 Coherent ASK 8.3.2 Noncoherent ASK Binary PSK Signaling Schemes 8.4.1 Coherent PSK 8.4.2 Differentially Coherent PSK Binary FSK Signaling Schemes 8.5.1 Coherent FSK 8.5.2 Noncoherent FSK Comparison of Digital Modulation Schemes 8.6.1 Bandwidth Requirements 8.6.2 Power Requirements 8.6.3 Immunity to Channel impairments 8.6.4 Equipment Complexity M-ary Signaling Schemes 8.7.1 M-ary Coherent PSK 8.7.2 M-ary Differential PSK 8.7.3 M-ary Wideband FSK Scheme Synchronization Methods Summary References Problems ERROR CONTROL CODING 9.1 Introduction 9.1.1. Example of Error Control Coding 9.1.2 Methods of Controlling Errors 9.1.3 Types of Errors 9.1.4 Types of Codes 367 372 372 373 380 380 382 383 384 388 394 396 398 402 403 404 408 410 412 414 414 414 417 417 418 418 424 427 432 434 434 435 443 443 445 447 448 4489.2 9.3 9.4 9.6 9.7 9.8 9.9 Contents Linear Block Codes 9.2.1 Matrix Description of Linear Block Codes 9.2.2 Error Detection and Error Correction Capabilities of Linear Block Codes 9.2.3. Single Error-Correcting Hamming Codes 9.2.4 Table Lookup Decoding Using the Standard Array Binary Cyclic Codes 9.3.1 Algebraic Structure of Cyclic Codes 9.3.2 Encoding Using an (n-k) Bit Shift Register 9.3.3 Syndrome Calculation, Error Detection, and Error Correction 9.3.4 Special Classes of Cyclic Codes: Bose-Chaudhuri- Hocquenghem (BCH) Codes Burst-Error-Correcting modes Burst- and Random-Error-Correcting Codes Convolutional Codes 9.6.1 Encoders for Convolutional Codes 9.6.2 Decoders for Convolutional Codes 9.6.3 Performance of Convolutional Codes Performance of Block Codes—Error correction Performance of Block Codes—Error Detection 9.8.1 Stop and Wait Transmission Method 9.8.2 Continuous Transmission Method Summary References Problems 10 DIGITAL TRANSMISSION OF ANALOG SIGNALS 10.1 10.2 10.3 Introduction Sampling Theory and Practice 10.2.1 Sampling Theory 10.2.2 Ideal Sampling and Reconstruction of Lowpass Signals 10.2.3 Ideal Sampling and Reconstruction of Bandpass Signals 10.2.4 Sampling Theorem for Random Signals 10.2.5 Practical Sampling Quantizing of Analog Signals 10.3.1. Uniform Quantizing 10.3.2 Nonuniform Quantizing 10.3.3 Differential Quantizing xvii 449 450 454 456 458 461 462 465 468 471 473 476 478 479 480 486 486 490 491 493 496 496 497 505 505 507 507 510 512 514 516 518 520 523 526