Part A: Communication Theory: Dr. Ir. Muhammad Nasir

Information Theory and Source Coding
Part A: Communication Theory
Dr. Ir. Muhammad Nasir
Department of Electrical Engineering

The University of Lahore
October 23, 2021
1
Lecture Overview
1 Review of basic modulation properties and techniques
baseband complex envelope description
BPSK, QPSK, M-PSK, M-QAM
relation symbol rate and bandwidth
spectral efficiency
2 Direct Sequence Spread Spectrum
principle: modulation, demodulation
spreading gain and spectral efficiency
advantages/disadvantages of DS-SS
3 BER in case of noise and narrowband interference
4 DS-SS in WLAN
Chapter 5: 5.1 (5.1.1 - 5.1.3), 5.2, 5.3, 5.4

Chpter 13: 13.1, 13.2 (13.2.1 - 13.2.3), 13.4 (13.4.1 - 13.4.3)
2
Dr. Ir. Muhammad Nasir (UOL) Part A: Communication Theory October 23, 2021 2 / 32
Modulation
Figure: Communication System.

What is modulation?
Modulation is the method to alter a carrier signal according to a
baseband source signal in order to make it suitable for transmission over
the available channel.
Modulation

What is modulation?
Modulation

What is modulation?
Modulation

What is modulation?
Our specific aim here:
to exploit the available channel as good as possible!
6
Bandpass Signals
Baseband signals are the message signals generated at the source.
Passband signals also called Bandpass signals refer to the signals after
modulating with a carrier.
Passband signals can be represented in three form

1 Magnitude and Phase Representation
2 I/Q representation
3 Complex Envelope Representations
Complex envelope or complex equivalent baseband signal:
Bandpass Signals (Cont’d)
Modulated Signal
Magnitude and phase representation
s(t) = α(t) cos [2π(fc + φ)t]

I/Q representation
s(t) = sI (t) cos(2πfc t) − sQ (t) sin(2πfc t)
Where,
α(t), φ(t), sI (t) and sQ (t) represent the amplitude, phase, in-phase component
and quadrature component respectively.
sI (t) and sQ (t) are real lowpass (baseband) signals
Bandpass Signals (Cont’d)
Alternatively,
u(t) = α(t)ejφ(t)
q
Envelope ⇒ α(t) = s2I (t) + s2Q (t)

sQ (t)
Phase ⇒ φ(t) = tan−1 sI (t)
and

s(t) = R α(t)ejφ(t) ej2πfc t
= α(t)cos(2πfc + φ)t
Binary Phase Shift Keying
In binary phase shift keying (BPSK) the carrier phase is switched between
{0, π} dependent on the bit to be sent.
In general: s(t) = Ac m(t) cos(2πfc t)

Complex envelope: g(t) = Ac m(t), where m(t) ∈ {−1, 1}
10
Multi-level Modulation Techniques
In M-level modulation: for every sequence of l source bits one out of M = 2l

symbols is generated by the transmitter.
Rb [bit/s] Rb
The symbol rate Rs = l[bit/sym] = l [symb/s] or [Baud]
per symbol, l bits are transmitted and the symbol time is Ts = lTb .
11
M - PSK
The complex envelope for M-PSK is:
g(t) = Ac ejθ(t) = x(t) + jy(t)

For symbol i, the phase θi , is
transmitted with
2π(i−1)
θi = M
and
xi = Ac cos θi , yi = Ac sin θi
Figure: signal state diagram for
8-PSK
Usually, we consider all symbols are equally likely!
12
Quadrature Amplitude Modulation (QAM)
In QAM, we allow discrete phase values as well as discrete amplitude values.
The general QAM structure is:
s(t) = x(t) cos wc t − y(t) sin ωc t.
with: g(t) = x(t) + jy(t) = R(t)eθ(t)
x(t), y(t) each can take on a limited number of discrete values.
13
QAM (Cont’d)
As seen from the I, Q-description, QAM can be seen as two orthogonal ASK
signal modulating quadrature carriers:
P
∞
x(t) = xn h (t − nTs )
n=−∞
P
∞
y(t) = yn h (t − nTs )
n=−∞
For 16-QAM (black dots):

xn , yn ∈ {−3, −1, +1, +3}
(shown as red dots)
Symbol rate
Figure: 16 symbol QAM constellation
(4-level per dimension) 14
QAM (Cont’d)
As seen from the I, Q-description, QAM can be seen as two orthogonal ASK
signal modulating quadrature carriers:
P
∞
x(t) = xn h (t − nTs )
n=−∞
P
∞
y(t) = yn h (t − nTs )
n=−∞
For 16-QAM (black dots):

xn , yn ∈ {−3, −1, +1, +3}
(shown as red dots)
Rb
Symbol rate Rs = 4
Figure: 16 symbol QAM constellation
(4-level per dimension) 15
Spectral Efficiency: Profit
The spectral efficiency is defined as:
Rb [bit/s] 1/Tb
η, BT [Hz] = 2/lTb
Rb l
= 2Rs = 2 [bit/s/Hz]
When we are able to increase η by a factor of two,

twice the data rate can be transmitted in the same bandwidth:
twice as many users ⇒ doubling of profit
16
Spectral Efficiency: Cost
According to Shannon:
S

Rb ≤ C = B log 1 + N
Rb C S

η= B ≤ B = log 1 + N
So for a large η a large S/N is required!
This is not so strange, because for larger l (⇒ larger η),

the signal states will be closer together when the signal power remains
constant ⇒ larger probability of detection error due to noise.
Reliable detection is only possible if also S/N is increased.
17
Channel Anomalies: Multi-path
Time domain: time dispersion
Usually, mean excess delay and rms-delay spread are accounted for time
dispersion.
The mean excess delay is the centre of gravity of the power delay profile.
The rms-delay spread is measure for the power dispersion in time. It
puts a limit on the maximum symbol rate due to ISI.
Frequency domain: frequency selectivity

Coherence bandwidth Bcon : the bandwidth over which the frequency
components fade in the same way. ⇒ correlated fading.
Narrowband: BW >> Bcoh Wideband signal: BW > Bcoh
virtually constant channel frequency selective channel
response response
no distortion signal distortion
heavy fluctuations. limited signal power fluctuations. 18
Channel Anomalies: Interference
The undesired signals present at the same time which disrupt detection
performance of the desired signal.
Interference sources
1 Noise: always present, usually generated by receiver electronics.
2 Other users of the same frequency band: similar or different systems
3 Large power out-of-band users: due to non-linearities in the receiver
front-end ⇒ receiver blocking.
4 Intentional jamming: usually only in a military environment.
The detection performance is usually determined by the ratio:

signal power
SNIR = noise+interference
which should be above a certain threshold.
19

signal power
20

signal power
21

signal power
22

signal power
23
Direct Sequence Spread Spectrum (DS-SS)
DS-SS modulation was originally developed for military communication

systems between 1950 - 1980 to ensure robust and covered communications.
In DS-SS modulation, the information signal is spread over a much wider

bandwidth that required based on the symbol rate.
A narrowband signal is made wideband !
How?
Why?
24


How?
Signal spreading over a much wider bandwidth is achieved by multiplying the
signal at the transmitter by a wideband code signal.
Why?
25


How?
Signal spreading over a much wider bandwidth is achieved by multiplying the
signal at the transmitter by a wideband code signal.
Why?
To create robustness against: multi-path fading and dispersion, interference,
detection, eavesdropping.
Because of the low PSD, its presence is difficult to detect.
26
DS-SS Transmitter
In DS-SS spreading of the signal over a much wider bandwidth is achieved by

multiplying the signal at the transmitter by a code sequence c(t) ∈ {−1, +1}
consisting of code chips.
The transmitted signal is:

xc (t) = Ac d(t)c(t) cos ωc t
27
DS-SS Transmitter (Cont’d)
Signals in a DS-SS transmitter for a BPSK data modulation signal.
28
data signal
f
2Rs
29
data signal
d(t) d(t)c(t)
f
2Rs
c(t)
PN-code signal
f
2Rc
30
data signal
The PSD of the spread signal is 1/Gp

less than the PSD of the un-spread
signal
DS-SS signal
d(t) d(t)c(t)
f
f 2Rc
2Rs
c(t)
PN-code signal
f
2Rc
1 1
The chip rate Rc = Tc symbol rate Rs = Ts
BWDS−SS Rc Ts
The ratio Gp = BWdata = Rs = Tc is called the processing gain or spreading
factor.
31
DS-SS Reception
At the DS-SS receiver, the
reverse operation is performed
We can recover the signal only if:
c(t)c0 (t)d(t) = d(t) ⇒
The code is known
Perfect synchronization
data signal
DS-SS signal
d(t)c(t) d(t)
f
2Rc f
2Rs
0
c (t)
PN-code signal
f
32
2Rc
DS-SS Reception (Cont’d)
DS-SS is very robust against interference. When de-spreading the desired
signal, the interference is spread.
Only a fraction 1/Gp of the spread interference overlaps with the de-spread
data signal spectrum.
BWdata 2Rs PI
Effective Interference power: Ieff = PI BWspread−interference = PI 2R c
= Gp
Narrowband Interference de-spread data signal
DS-SS data signal Spread Interference

d(t)c(t) d(t)
c0 (t)
DS-SS code signal
33
DS-SS Reception (Cont’d)
DS-SS is also robust against other DS-SS interference signals. When the
SS-code or code phase is different, the signal remains spread.
Also in this situation, only a fraction 1/Gp of the interference spectrum

overlaps with the de-spread data signal spectrum.
de-spread data signal
DS-SS data signal 1 and 2 Spread data signal 2
d1 (t)c1 (t) + d2 (t)c2 (t) d1 (t) + c01 (t)c2 (t)d2 (t)
DS-SS code signal c01 (t)
34
Pseudo-noise code generators
A DS-SS code is a ”pseudo random” sequence of {−1, 1}. There are several
ways to generate DS-SS codes depending on the required properties. One
way is to use ”Maximum length sequences” which are also called
Pseudo-Noise (PN) codes because of their noise like spectral properties.
Maximum Length (ML) sequences can be digitally generated in a simple way

using a shift register with a feedback.
A ML-code generator using a five stage shift register with code length 31.
35
Desired Properties of PN codes
Auto-correlation
Low auto-correlation of a PN-code outside the main peak is required:
to achieve reliable synchronisation
to lock on the main resolvable path and reduce interference from other
paths.
cross correlation
Low cross correlation between PN-codes is required:
to be able to separate signals of different users.
to obtain good detection performance because of low interference from
other users
36
Spectral Efficiency of DS-SS
For DS-SS, with M-level modulation, the spectral efficiency is given by:
Rb
η, BT
lRs lRs l
= BT = 2Rc = 2Gp [bit/s/Hz]
The price, we pay for the increased robustness against interference and
multi-path fading (large Gp ) is very low spectral effaciency.
37
Spectral Efficiency of DS-SS
For DS-SS, with M-level modulation, the spectral efficiency is given by:
Rb
η, BT
lRs lRs l
= BT = 2Rc = 2Gp [bit/s/Hz]
The price, we pay for the increased robustness against interference and
multi-path fading (large Gp ) is very low spectral effaciency.
This can be improved by letting multiple users share the same bandwidth!
38
Code Division Multiple Access (CDMA)
In code division multiple access (CDMA) the spectral responses are shared
among multiple users based on different DS-SS code.
Each user is defined by its code. The cross-correlation between the codes
has to be low (ideally zero ⇒ orthogonal codes).
de-spread data signal
DS-SS data signal 1 and 5 Spread DS-SS signals 2 to 5
5
P 5
P
cj (t)dj (t) d1 (t) + c0 (t)c j (t)dj (t)
j=1 1
j=2
DS-SS code signal c01 (t)
39
Pseudo-Noise Code Generator
Only a few combinations of feedback taps result in an ML-code:

the number of ML-codes is limited.
When a large number of codes is required, i.e., to assign to different users in

a multiple access communication system, other techniques for code
generation are applied.
Gold codes are generated beaded on two ML-codes:

pro: many different codes.
con: worse auto-correlation and cross correlation properties among the
codes.
40
Bit Error Rate in DS-SS systems
The BER in DS-SS systems is deteriorated by interference produced by other

users due to non-orthogonal codes.
q
2Eb
For BPSK: Pe = Q N0 with No0 = No + NI
o
In case of many users, the interference can be assumed to be Gaussian

distributed. The power spectral density for single interfere is:
PI PI
NI = 2Rc when synchronised and NI = 3Rc when not synchronised.
For K equal-power DS-SS users: !

1
Pe = Q q
K−1 No
3N + 2Eb
41
DS-SS (Cont’d)
In DS-SS modulation the bandwidth of the signal is increased by multiplying

the data with a code known to the receiver.
42
DS-SS (Cont’d)
To retrieve the data at the receiver, the DS-SS signal is de-spread:
The system is robust against interference and multiple paths, since:
signals with a different code remain spread.

narrowband signals are spread in the frequency domain.
multi-path signals can be separated if the delay difference > Tc
The robustness is determined by the processing gain.
BWDS−SS Ts
Gp = BWdata = Tc
43
DS-SS (Cont’d)
To retrieve the data at the receiver, the DS-SS signal is de-spread:

requires the same code.
requires perfect synchronisation.
The system is robust against interference and multiple paths, since:
signals with a different code remain spread.

narrowband signals are spread in the frequency domain.
multi-path signals can be separated if the delay difference > Tc
The robustness is determined by the processing gain.
BWDS−SS Ts
Gp = BWdata = Tc
44
Employing DS-SS
By applying DS-SS, spectral efficiency is traded for increased robustness due

to the introduced processing gain. Different trade-offs can be made, e.g., the
spectral efficiency can be increased by:
1 Increasing the symbol rate at the same chip rate.

the processing gain is decreased.
less robust.
2 Increasing the modulation level at the same symbol and chip rate.
robustness is maintained: same processing gain.
increase of signal power may be required.
3 Allow multiple users to share the same bandwidth: CDMA
45
Exercise
46

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Information Theory and Source Coding

Part A: Communication Theory

Dr. Ir. Muhammad Nasir

Department of Electrical Engineering

October 23, 2021

Chapter 5: 5.1 (5.1.1 - 5.1.3), 5.2, 5.3, 5.4

Figure: Communication System.

Figure: Communication System.

Figure: Communication System.

Figure: Communication System.

Baseband signals are the message signals generated at the source.

Passband signals can be represented in three form

Complex envelope or complex equivalent baseband signal:

s(t) = α(t) cos [2π(fc + φ)t]

s(t) = sI (t) cos(2πfc t) − sQ (t) sin(2πfc t)

sI (t) and sQ (t) are real lowpass (baseband) signals

In general: s(t) = Ac m(t) cos(2πfc t)

In M-level modulation: for every sequence of l source bits one out of M = 2l

The complex envelope for M-PSK is:

g(t) = Ac ejθ(t) = x(t) + jy(t)

x(t), y(t) each can take on a limited number of discrete values.

For 16-QAM (black dots):

For 16-QAM (black dots):

The spectral efficiency is defined as:

When we are able to increase η by a factor of two,

twice as many users ⇒ doubling of profit

So for a large η a large S/N is required!

This is not so strange, because for larger l (⇒ larger η),

Reliable detection is only possible if also S/N is increased.

Frequency domain: frequency selectivity

The detection performance is usually determined by the ratio:

The detection performance is usually determined by the ratio:

The detection performance is usually determined by the ratio:

The detection performance is usually determined by the ratio:

The detection performance is usually determined by the ratio:

DS-SS modulation was originally developed for military communication

In DS-SS modulation, the information signal is spread over a much wider

A narrowband signal is made wideband !

DS-SS modulation was originally developed for military communication

In DS-SS modulation, the information signal is spread over a much wider

A narrowband signal is made wideband !

DS-SS modulation was originally developed for military communication

In DS-SS modulation, the information signal is spread over a much wider

A narrowband signal is made wideband !

In DS-SS spreading of the signal over a much wider bandwidth is achieved by

The transmitted signal is:

Signals in a DS-SS transmitter for a BPSK data modulation signal.

The PSD of the spread signal is 1/Gp

Narrowband Interference de-spread data signal

DS-SS data signal Spread Interference

Also in this situation, only a fraction 1/Gp of the interference spectrum

de-spread data signal

DS-SS data signal 1 and 2 Spread data signal 2

d1 (t)c1 (t) + d2 (t)c2 (t) d1 (t) + c01 (t)c2 (t)d2 (t)

DS-SS code signal c01 (t)

Maximum Length (ML) sequences can be digitally generated in a simple way

de-spread data signal

DS-SS data signal 1 and 5 Spread DS-SS signals 2 to 5

DS-SS code signal c01 (t)

Only a few combinations of feedback taps result in an ML-code:

When a large number of codes is required, i.e., to assign to different users in

Gold codes are generated beaded on two ML-codes:

The BER in DS-SS systems is deteriorated by interference produced by other