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Unit 1: INTRODUCTION
ANALOG AND DIGITAL

DIGITAL
Good
Ar
au ea o
dio f im
pe
rfo prov
ANALOG rm ed
AUDIO an
ce
QUALITY
Poor
SIGNAL
Strong Weak
STRENGTH
Khoa Điện tử - Viễn thông Digital Communications and Coding

Trường Đại học Công nghệ, ĐHQGHN Truyền thông số và mã 1hóa
Introduction
1. The difference between analog and digital transmission:
 Signal waveform
 System structure
2. The complete diagram of the digital transmission system
3. The contrast between time-domain and frequency-
domain of signal
4. Two basic limits in digital communications

Trường Đại học Công nghệ, ĐHQGHN 2 Truyền thông số và mã hóa
2. Analog Transmission vs. Digital Transmission
Analog Digital
Source Any form: Natural Number, 1,0
voice, picture, video Alphabet: A,B
Waveform Infinite number of Finite number of
waveforms waveforms
Duration of waveform is Duration of waveform is
not limited limited
Reliability Not very well against Well against noise
noise Controllable
Uncontrollable
Application Not able programming Flexible and able
programming
Techniques Frequency Synchronize Frequency Synchronize

support Time Synchronize
Waveform
 Analog : Continuously
 Digital : Limited in digit period

Digital Communication System structure

Digital Transmission System: A Complete Diagram
CODEC MODEM
Error
ADC Source control Line coding/ Multiple
….
Multiplexing
Sampling coder coder pulse shaping Modulation accessing
PCM
encoder
Anti- Encryption
aliasing
filter
Error
DAC Source control Decision Matched Multiple
Demultiplexing
--- decoding decoding circuit filtering Demodulation accessing
PCM
decoder
Audio- Deciphering Equalisation
frequency
amplifier
Detection

Pulse Code Modulation (retrieve)
 Sampling by Nyquist’s theorem Vs (f)
vA(t) Voltage fs > 2fA(max)
sample
output
Analog S1
input f
Ke
0 fs 2fs
fA(max)
t s(t) t
Sample Vs (f)
t “Aliasing” distortion
fs = 1/TS occurs
Ts
 Quantization and coding 0 fs < 2fA(max)

f
Vs (f)
Ideal low-pass filter
f
f
0 fs 2fs
fs > 2fA(max)

Time-domain and Frequency-domain of Signal
 Too small period, too high frequency

 Too large period, too low frequency
 Limit in time domain, un-limit in frequency domain
 Limit in frequency domain, un-limit in time domain
V(f)
v(t)
𝑡−𝑇 𝐹𝑇 1.0
Π 𝑠𝑖𝑛𝑐 𝜏𝑓 𝑒 −𝑗2𝜋𝑓𝑡
1.0 𝜏
-1/2 0 1/2 t
-3 -2 -1 0 1 2 3 f
(a) Unit rectangular pulse, Π(t) (b) Fourier transform of unit rectangular pulse centred on t=0
Unit rectangular pulse and corresponding transform

Baseband Transmission and Passband Transmission
The transmission technique can be selected based on the

channel, e.g., such as AM transmission
M(f) S(f)
AF/2 * δ (f + fC) AF/2 * δ (f - fC)
M(0)
½* M(0)
Upper Lower Lower Upper

sideband sideband sideband sideband
f f
-W 0 W -fC - W -fC -fC + W 0 fC - W fC fC + W
(a) Spectrum of baseband signal (b) Spectrum of AM wave
𝑓𝑐 ≫ 𝑊 𝐵𝑇 = 2𝑊
𝐴𝑐 1
𝑆 𝑓 = 𝛿 𝑓 − 𝑓𝑐 + 𝛿 𝑓 + 𝑓𝑐 + 𝑀 𝑓 − 𝑓𝑐 + 𝑀 𝑓 + 𝑓𝑐
2 2

Shannon’s Fundamental Limits
 Below limit of data compression for a lossless source

coding: Entropy = Average Information of source
𝐾−1
1 𝑝𝑘 : probability of events 𝑠𝑘 ∈ 𝒢
𝐻 𝒢 = 𝑝𝑘 log 2
𝑝𝑘
𝑘=0
 Above limit of data rate for reliable transmission

C = 𝐵 log 2 1 + 𝑆 𝑁 bit/s
C : capacity
B : Bandwidth
S/N : ratio of Signal and noise Power
Brief History

Brief History

Revision
 What are the differences between the analog waveform

and digital waveform?
 Show the difference between the analog and digital

systematic diagram
 Compare the advantage and the disadvantage of

analog and digital transmission techniques

Vietnam National University – University of Engineering and
Technology
Unit 2: Baseband Pulse Transmission I

‘
m[k] pulse- u[k] y[k]

receive
sharp channel equalizer
filter
filter kT+ϵ
Hanoi, 2017
Trường Đại học Công nghệ, ĐHQGHN Truyền thông số và mã hóa
Content
1. Inter-Symbol Interference (ISI) and Nyquist’s Theorem
2. Ideal Root and Raised Cosine Spectrum
3. Matched Filter
4. Error Rate Due to Noise

Inter-Symbol Interference (ISI)
 Spectrum of a digital waveform is infinite (Due to the waveform or
symbol signal is limited in the time domain),
 While bandwidth of channel is usually finite (limited)
 After passing the channel, the signal remains finite spectrum that
means it is un-limited in the time domain
 The overlap between waveform sequences occurs when passing

through the band limited channel. This phenomenon is called
Inter-Symbol Interference, or ISI

Inter-Symbol Interference (ISI)
Khoa Điện tử - Viễn thông 4

Digital Communications and Coding
Nyquist’s Criterion for Baseband Transmission
 For overcoming ISI, we need to re-shape the receive impulse to be 𝑝(𝑡)
before sampling. 𝑝(𝑡) much satisfy:
1, 𝑖=𝑘
𝑝 𝑖𝑇𝑏 − 𝑘𝑇𝑏 =
0, 𝑖≠𝑘
 Spectrum of sampled signal of 𝑝(𝑡)
∞
is
𝑃𝛿 𝑓 = 𝑅𝑏 𝑃 𝑓 − 𝑛𝑅𝑏
𝑛=−∞
 On the other hand, this spectrum can directly calculate:
∞
𝑃𝛿 𝑓 = 𝑝 0 𝛿 𝑡 𝑒𝑥𝑝 −𝑗2𝜋𝑡 𝑑𝑡 = 𝑝 0
−∞
Let 𝑚 = 𝑖 − 𝑘 ∞
∞
𝑃𝛿 𝑓 = 𝑝 𝑚𝑇𝑏 𝛿 𝑡 − 𝑚𝑇𝑏 𝑒𝑥𝑝 −𝑗2𝜋𝑡 𝑑𝑡
−∞ 𝑚=−∞
 Finally we get Nyquist’s∞criterion
𝑃 𝑓 − 𝑛𝑅𝑏 = 𝑇𝑏
𝑛=−∞
Nyquist’s Criterion for distortionless baseband
transmission in the absence of noise
“The frequency function 𝑃 𝑓 eliminates inter-symbol

interference for samples taken at intervals 𝑇𝑏 provided that it
satisfies Equation (*).”
Here, 𝑃 𝑓 refers to the overall system, incorporating the

transmit filter, the channel, and the receive filter
Shortly say: The pulse 𝑝(𝑡) satisfies Nyquist’s criterion if the

superposition of the shift versions of it’s spectrum 𝑃 𝑓 equal
constant (*).

Nyquist’s criterion illustration

Overall System
 𝑃 𝑓 refers to overall system
𝜇𝑃 𝑓 = 𝐺 𝑓 𝐻 𝑓 𝐶 𝑓 (**)
Pulse {ak} Transmit s(t) x0(t) x(t) Receiver y(t) y(ti)

Channel, Decision
amplitude filter ϵ filter
h(t) Sample at device
modulator g(t) c(t)
time ti = iTb
Input White
binary Clock Gaussian Threshold λ
data pulses nolse w(t)
Say 1 if y(ti) > λ
{bk}
Transmitter Channel Receiver Say 0 if y(ti) < λ
Baseband binary data transmission system

Ideal Nyquist Root
 First Root
1
, −𝑊 < 𝑓 < 𝑊 1 𝑓
𝑃 𝑓 = 2𝑊 = 𝑟𝑒𝑐𝑡
2𝑊 2𝑊
0, 𝑓 >𝑊
𝑅𝑏 1 sin 2𝜋𝑊𝑡
W= = 𝑝 𝑡 = = 𝑠𝑖𝑛𝑐 2𝑊𝑡
2 2𝑇𝑏 2𝜋𝑊𝑡
 This root has two disadvantage

 It requires 𝑃 𝑓 be flat from −𝑊 to W
 𝑝 𝑡 decrease as 1 𝑡 that mean in a slow rate of decay. This root
is not used in real because clock sampling is not ideal

Waveform of Ideal Root
p(t)
1 𝑅𝑏
W= = 2WP(f) 1
2𝑇𝑏 2
1.0
0.5
-1 0 1 -3 -2 -1 0 1 2 3 X-Axis
Sampling instants
Tb
Signaling intervals
(a) Ideal magnitude response (b) Ideal basic pulse shape

ISI Zero
A series of sinc pulses corresponding to the sequence 1011010

Raised Cosine Spectrum
 𝑎 =0÷1
1
, 0 ≤ 𝑓 ≤ 𝑓1
2𝑊
𝑃 𝑓 = 1 𝜋 𝑓 −𝑊
1 − sin , 𝑓1 ≤ 𝑓 ≤ 2𝑊 − 𝑓1
4𝑊 2𝑊 − 2𝑓1
0, 𝑓 ≥ 2𝑊 − 𝑓1
𝑓1
𝛼 =1− 𝐵𝑇 = 2𝑊 − 𝑓1 = 𝑊 1 + 𝛼
𝑊
cos 2𝜋𝛼𝑊𝑡
𝑝 𝑡 = 𝑠𝑖𝑛𝑐 2𝑊𝑡
1 − 16𝛼 2 𝑊 2 𝑡 2
 The raised cosine root is used in real because it decreases as

1 𝑡2

Raised Cosine Spectrum

Example: Bandwidth Requirement
 The T1- channel in North American consists of 24 PCM
channels
 Calculate bandwidth of T1-channel if using raised cosine
spectrum with cutoff a = 1 3
 Solution:
 Primary PCM=64kbit/s
 24 × 64𝑘 = 1536 𝑘𝑏𝑖𝑡 𝑠 = 𝑅𝑏
 Nyquist’s Bandwidth: W = 𝑅𝑏 2 = 768𝑘𝐻𝑧
 Bandwidth of T1 is B = W 1 + 𝑎 = 1024𝑘𝐻𝑧

Revision
 What does the ISI mean ?
 What are the reasons to make the ISI ?
 What damage is caused by the ISI in communications ?
 How to overcome the ISI ?
 Nyquist’s criterion
 Ideal root
 Raise cosine root

Matched Filter
 A matched filter is used for maximizing the Signal to Noise Ratio
--> It is the minimizing of noise’s impact to signal
Linear time-invariant
x(t) y(t) y(T)
Signal ∑ filter of impulse
g(t) response h(t)
Simple at
time t=T

SNR of Matched filter
 Before matched filter x 𝑡 = 𝑔 𝑡 + w 𝑡 , 0 ≤ 𝑡 ≤ 𝑇
 After matched filter y 𝑡 = 𝑔0 𝑡 + n 𝑡
𝑔0 𝑇 2
 Signal to Noise Ratio η =
𝐸 𝑛2 𝑡
 Using reverse Fourier transform
∞ 2
𝑔0 𝑇 2 = 𝐻 𝑓 𝐺 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓𝑇 𝑑𝑓
−∞
∞ ∞
𝑁0
𝐸 𝑛2 𝑡 = 𝑆𝑁 𝑓 𝑑𝑓 = 𝐻 𝑓 2 𝑑𝑓
−∞ 2 −∞
∞ 2
−∞
𝐻 𝑓 𝐺 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓𝑇 𝑑𝑓
𝜂=
𝑁0 ∞ 2 𝑑𝑓
𝐻 𝑓
2 −∞

Condition for Match Filter
 Based on Schwarz’s inequality
∞ 2 ∞ ∞
𝜙1 𝑥 𝜙1 𝑥 𝑑𝑥 ≤ 𝜙1 𝑥 2 𝑑𝑥 𝜙2 𝑥 2 𝑑𝑥
−∞ −∞ −∞
∞ 2 ∞ ∞
2 2
𝐻 𝑓 𝐺 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓𝑇 𝑑𝑓 ≤ 𝐻 𝑓 𝑑𝑓 𝐺 𝑓 𝑑𝑓
−∞ −∞ −∞
∞ ∞
2 2
2 2
𝜂≤ 𝐺 𝑓 𝑑𝑓 𝜂𝑚𝑎𝑥 = 𝐺 𝑓 𝑑𝑓
𝑁0 −∞ 𝑁0 −∞
𝐻𝑜𝑝𝑡 𝑓 = 𝑘𝐺 ∗ 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓𝑇

Impulse response of matched filter
 Due to g 𝑡 is a real signal
∞
𝑕𝑜𝑝𝑡 𝑡 = 𝑘 𝐺 ∗ 𝑓 𝑒𝑥𝑝 −𝑗2𝜋𝑓 𝑇 − 𝑡 𝑑𝑓 𝐺 ∗ 𝑓 = 𝐺 −𝑓
−∞
 Impulse response of MF is
∞
𝑕𝑜𝑝𝑡 𝑡 = 𝑘 𝐺 −𝑓 𝑒𝑥𝑝 −𝑗2𝜋𝑓 𝑇 − 𝑡 𝑑𝑓
−∞
∞
=𝑘 𝐺 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓 𝑇 − 𝑡 𝑑𝑓
−∞
= 𝑘𝑔 𝑇 − 𝑡

Properties of Matched Filter
 After matched filter
𝐺0 𝑓 = 𝐻𝑜𝑝𝑡 𝑓 𝐺 𝑓 = 𝑘𝐺 ∗ 𝑓 𝐺 𝑓 𝑒𝑥𝑝 −𝑗2𝜋𝑓𝑇
2
=𝑘𝐺 𝑓 𝑒𝑥𝑝 −𝑗2𝜋𝑓𝑇
∞ ∞
𝑔0 𝑇 = 𝐺0 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓𝑇 𝑑𝑓 = 𝑘 𝐺 𝑓 2 𝑑𝑓
−∞ −∞
∞ ∞
 By energy theorem 𝐸= 𝑔2 𝑡 𝑑𝑡 = 𝐺 𝑓 2
𝑑𝑓
−∞ −∞
𝑔0 𝑇 = 𝑘𝐸
∞ 2𝑁 ∞
𝑘 0
𝐸 𝑛2 𝑡 = 𝑔2 𝑡 𝑑𝑡 = 𝐺 𝑓 2
𝑑𝑓 = 𝑘 2 𝑁0 𝐸 2
−∞ 2 −∞
𝑘𝐸 2 2𝐸
𝜂𝑚𝑎𝑥 = 2 =
𝑘 𝑁0 𝐸 2 𝑁0

Example: Matched filter for rectangular pulse
g(t)
Energy = A2T
t
0 T
Matched filter
output g0(t)
2
kA T
0 T t
Output of
Intergrate-end-dump
circuit
AT
0 T t
(a) Rectangular pulse. (b) Matched filter output. (c) Intergrator output.

Correlator Implementation of the Matched-Filter Receiver
∞
 The output filter 𝑦𝑗 𝑡 = −∞
𝑥 𝜏 𝑕𝑗 𝑡 − 𝜏 𝑑𝜏
 If set 𝑕𝑗 𝑡 = 𝜙𝑗 𝑡 − 𝜏 (Matched filter)
 Sampling this output at time 𝑡 = 𝑇:
∞
𝑦𝑗 𝑡 = 𝑥 𝜏 𝜙𝑗 𝑇 − 𝑡 + 𝜏 𝑑𝜏
−∞
 The result is same the correlation output

∞
𝑦𝑗 𝑇 = 𝑥 𝜏 𝜙𝑗 𝜏 𝑑𝜏
−∞
t=T t=T
y(t) = s(t) + n(t) h(t) = s(T-t) v(t) v(T) y(t) = s(t) + n(t) v’(t) v’(T)
X Tích phân
0≤t≤T

Error Rate Due to Noise
 Assume: 𝑦 𝑡 =
+𝐴 + 𝑤 𝑡 , 𝑠𝑦𝑚𝑏𝑜𝑙 1 𝑤𝑎𝑠 𝑠𝑒𝑛𝑡
−𝐴 + 𝑤 𝑡 , 𝑠𝑦𝑚𝑏𝑜𝑙 0 𝑤𝑎𝑠 𝑠𝑒𝑛𝑡
 The pdf of noise is:

𝑇𝑏 𝑇𝑏
1 𝑦2 1 𝑁0
𝑓𝑌 𝑦 = exp − 2𝜎2 𝜎𝑌2 = 2 𝛿 𝑡 − 𝑢 𝑑𝑡𝑑𝑢
2𝜋𝜎𝑌 𝑌 𝑇𝑏 0 0 2
𝑁0
=
2𝑇𝑏
1 𝑦+𝐴 2 1 𝑦−𝐴 2
𝑓𝑌 𝑦|0 = exp − 𝑓𝑌 𝑦|1 = exp −
𝜋𝑁0 𝑇𝑏 𝑁0 𝑇𝑏 𝜋𝑁0 𝑇𝑏 𝑁0 𝑇𝑏

∞
𝑝10 = 𝑃 𝑦 > 𝜆|𝑠𝑦𝑚𝑏𝑜𝑙 0 𝑤𝑎𝑠 𝑠𝑒𝑛𝑡 = 𝑓𝑌 𝑦|0 𝑑𝑦
𝜆
1 ∞ 𝑦+𝐴 2
= exp − 𝑑𝑦
𝜋𝑁0 𝑇𝑏 𝜆 𝑁0 𝑇𝑏
𝑦+𝐴
𝑧=
𝑁0 𝑇𝑏
∞
1 1 𝐴+𝜆
𝑝10 = exp −𝑧 2 𝑑𝑧 = erfc
𝜋 𝐴+𝜆 𝑁0 𝑇𝑏 2 𝑁0 𝑇𝑏
∞ 2
2 exp −𝑢
 Definition erfc 𝑢 = exp −𝑧 𝑑𝑧 <2
𝜋 𝑢 𝜋𝑢
 Analogy
∞
1 1 𝐴−𝜆
𝑝01 = exp −𝑧 2 𝑑𝑧 = erfc
𝜋 𝐴−𝜆 𝑁0 𝑇𝑏 2 𝑁0 𝑇𝑏

 When 𝑝𝑒 = 𝑝10 = 𝑝01 , 𝜆 = 0

1 𝐴
 Def.: Energy/bit 𝑃𝑒 =
2
erfc
𝑁0 𝑇𝑏
𝐸𝑏 = 𝐴2 𝑇𝑏
1 𝐸𝑏
𝑃𝑒 = erfc
2 𝑁0
exp −𝐸𝑏 𝑁0
𝑃𝑒 <
2 𝜋 𝐸𝑏 𝑁0
 Approximation
exp −𝑧 𝐴2 𝑇 𝐸𝑏
𝑃𝑒 ≅ ,𝑧 ≫ 1 𝑧= =
2 𝜋𝑧 𝑁0 𝑁0

Review
 What is the matched filter?
 How to build matched filter?
 How to estimate the bit error probability when go pass noise channel?

Technology
Unit 5: Theory of Signal Space

‘

Trường Đại học Công nghệ, ĐHQGHN Hanoi, 2017
Truyền thông số và mã hóa
Content
1. BPSK and BFSK techniques
2. Geometric representation of signals
3. The equivalent of the correlation receiver and the

matched filter receiver
4. Maximum likelihood procedure
5. The detection of a signal in noise:

BPSK Technique
 BPSK (Binary Phase shift keying): The phase of carrier carrying
one bit/symbol (waveform)
 Select the waveform
1: 𝑠1 𝑡 = 2𝐸𝑏 𝑇𝑏 cos 2𝜋𝑓𝑐 𝑡
0: 𝑠2 𝑡 = 2𝐸𝑏 𝑇𝑏 cos 2𝜋𝑓𝑐 𝑡 + 𝜋 = − 2𝐸𝑏 𝑇𝑏 cos 2𝜋𝑓𝑐 𝑡
𝐹𝑐 = 𝑛𝑐 𝑇𝑏
 Choose the basic functions of coordinate system:
𝜙1 𝑡 = 2 𝑇𝑏 cos 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 < 𝑇𝑏
 Express by those basic functions (in signal space)

𝑠1 𝑡 = 𝐸𝑏 𝜙1 𝑡 , 𝑠2 𝑡 = − 𝐸𝑏 𝜙1 𝑡

The Signal Space of BPSK

The Transmitter and Receiver of BPSK
 𝑀 = 2, 𝑁 = 1
𝑇𝑏 𝑇𝑏
𝑠11 𝑡 = 0
𝑠1 𝑡 𝜙1 𝑡 𝑑𝑡 = + 𝐸𝑏 , 𝑠21 𝑡 = 0
𝑠2 𝑡 𝜙1 𝑡 𝑑𝑡 = − 𝐸𝑏

The Error Probability of BPSK
 Due to noise
𝑇𝑏
𝑥1 = 𝑥 𝑡 𝜙1 𝑡 𝑑𝑡
0
 The conditional probability density function, given 𝑥2 𝑡

was transmitted
1 1 2
1 1 2
𝑓𝑋1 𝑥1 |0 = exp − 𝑥 − 𝑠21 = exp − 𝑥 + 𝐸𝑏
𝜋𝑁0 𝑁0 1 𝜋𝑁0 𝑁0 1
 Probability of deciding in favor of 1

∞ ∞
1 1 2
𝑝10 = 𝑓𝑋1 𝑥1 |0 𝑑𝑥1 = exp − 𝑥 + 𝐸𝑏 𝑑𝑥1
𝜋𝑁0 𝑁0 1
0 0

Error Function
 Put
1
𝑧= 𝑥1 + 𝐸𝑏
𝑁0
∞
1 1
𝑝10 = 𝐸𝑏 𝑁0 exp −𝑧 2 𝑑𝑧 = erfc 𝐸𝑏 𝑁0
𝜋 2
0
∞
2
erfc 𝑢 = exp −𝑧 2 𝑑𝑧
𝜋
𝑢
 Where erfc . is the complementary error function

BER versus Eb/N0

BFSK Rechniques
 BFSK (Binary Frequency Shift Keying): Frequency of Carrier carrying one
bit/symbol (waveform)
 Choose Waveforms for 1,0 are 𝑠𝑖 𝑡 , 𝑖 = 1,2
2𝐸𝑏
𝑠𝑖 𝑡 = cos 2𝜋𝑓𝑖 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑏
𝑇𝑏
0 elsewhere
𝑛𝑐 +𝑖
𝑠𝑖 = 𝑇𝑏
for some fixed integer 𝑛𝑐 and 𝑖 = 1,2
2
𝜙𝑖 𝑡 = cos 2𝜋𝑓𝑖 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑏
𝑇𝑏
0 elsewhere
 Take the basic functions
0
𝑠1 = 𝐸𝑏 𝑠2 =
0 𝐸𝑏
 Express by the basic functions

The Signal Space of BFSK
Figure: Signal-space diagram for binary FSK system. The diagram also includes
two inserts showing example waveforms of the two signals 𝑠1 𝑡 and 𝑠2 𝑡

The Transmitter and Receiver of BFSK
Figure: Blocks diagrams for (a) binary FSK transmitter and (b) coherent binary FSK receiver

The Error Probability of BFSK
 Signal in channel with noise Gauss and with projection on axis 𝑠1 𝑠2 ∶
2
1 𝑦 + 𝐸𝑏
𝑓𝑌 𝑦|0 = exp −
2𝜋𝑁0 2𝑁0
∞
𝑝10 = 𝑃 𝑦 > 0|symbol 0 was sent = 𝑓𝑌 𝑦|0 𝑑𝑦

0
∞ 2
1 𝑦 + 𝐸𝑏
= exp − 𝑑𝑦
2𝜋𝑁0 2𝑁0
0
∞
𝑦 + 𝐸𝑏 1 1 𝐸𝑏
=𝑧 𝑝10 = exp −𝑧 2 𝑑𝑧 = erfc
2𝑁0 𝜋 2 2𝑁0
𝐸𝑏 2𝑁0
1 𝐸𝑏
𝑃𝑒 = erfc
2 2𝑁0

Compare BPSK and BFSK
1 𝐸𝑏
𝑃𝑒𝐵𝑃𝑆𝐾 = erfc
2 𝑁0
1 𝐸𝑏
𝑃𝑒𝐵𝐹𝑆𝐾 = erfc
2 2𝑁0

Geometric Representation of Signals
Figure: Blocks diagram of a generic digital communication system
 Consider a signal as the vector in vector space

 Express signal as a linear combinations of 𝑁 orthogonal basic functions
 𝑀: Number of waveform (Alphabet)
0≤𝑡≤𝑇 𝑇 𝑖 = 1,2, … , 𝑀
𝑠𝑖 𝑡 = 𝑁 𝑠 𝜙
𝑗=1 𝑖𝑗 𝑗 𝑡 , 𝑠𝑖𝑗 = 𝑠 𝜙
0 𝑖 𝑗
𝑡 𝑑𝑡,
𝑖 = 1,2, … , 𝑀 𝑗 = 1,2, … , 𝑁
𝑇
1 if 𝑖 = 𝑗
𝜙𝑖 𝑡 𝜙𝑗 𝑡 𝑑𝑡 = 𝛿𝑖𝑗 ,
0 if 𝑖 ≠ 𝑗
0

Generation of Signal and Detect Signal
𝑁 0≤𝑡≤𝑇 𝑇 𝑖 = 1,2, … , 𝑀
𝑠𝑖 𝑡 = 𝑗=1 𝑠𝑖𝑗 𝜙𝑗 𝑡 , 𝑠𝑖𝑗 = 𝑠𝜙
0 𝑖 𝑗
𝑡 𝑑𝑡,
𝑖 = 1,2, … , 𝑀 𝑗 = 1,2, … , 𝑁

The Gram–Schmidt Procedure
 Example
Consider the set of three finite-energy signals
𝑠1 𝑡 = 1, 0≤𝑡≤1
𝑠2 𝑡 = cos 2𝜋𝑡 , 0 ≤ 𝑡 ≤ 1
𝑠3 𝑡 = cos 2 𝜋𝑡 , 0 ≤ 𝑡 ≤ 1
We desire an orthogonal basis for the signal space spanned by these three signals.
 Solution
We let 𝑣1 𝑡 = 𝑠1 𝑡 and compute
𝑣1 𝑡
𝜙1 𝑡 = = 1, 0≤𝑡≤1
𝑣1
1
Next, we compute 𝑠2 , 𝜙1 = 0
1cos 2𝜋𝑡 𝑑𝑡 = 0
and we set 𝑣2 𝑡 = 𝑠2 𝑡 − 𝑠2 , 𝜙1 𝜙1 = cos 2𝜋𝑡 , 0 ≤ 𝑡 ≤ 1
The second orthonormal function is found from

The Gram–Schmidt Procedure
1 2 1
And 𝑠3 , 𝜙1 = 0
cos 𝜋𝑡 𝑑𝑡 = 2
Thus
𝑣3 𝑡 = 𝑠3 𝑡 − 𝑠3 , 𝜙2 𝜙2 − 𝑠3 , 𝜙1 𝜙1
1 1
= cos 2 𝜋𝑡 − 2 2cos 2𝜋𝑡 − 2 = 0
4
so that the space is two-dimensional

𝑣2 𝑡
𝜙2 𝑡 = = 2cos 2𝜋𝑡 , 0≤𝑡≤1
𝑣2
To check for another orthonormal function, we require the scalar products

1
1
𝑠3 , 𝜙2 = 2cos 2𝜋𝑡 cos 2 𝜋𝑡 𝑑𝑡 = 2
4
0

Correlation and Matched filter Receiver

Equivalence of Correlation and Matched Filter
Receiver
 The output filter
∞
𝑦𝑗 𝑡 = 𝑥 𝜏 ℎ𝑗 𝑡 − 𝜏 𝑑𝜏
−∞
 If set ℎ𝑗 𝑡 =𝜙𝑗 𝑇 − 𝑡 (Matched filter)
∞
𝑦𝑗 𝑡 = 𝑥 𝜏 𝜙𝑗 𝑇 − 𝑡 + 𝜏 𝑑𝜏
−∞
 Sampling this output at time 𝑡 = 𝑇
∞
𝑦𝑗 𝑇 = 𝑥 𝜏 𝜙𝑗 𝜏 𝑑𝜏
−∞
 Result is same the correlation output

Log-Likelihood function
𝑇 2
 Energy of signal 𝐸𝑖 = 𝑠
0 𝑖
𝑡 𝑑𝑡
𝑇 𝑁 𝑁 𝑁 𝑁 𝑇
𝐸𝑖 = 𝑠𝑖𝑗 𝜙𝑗 𝑡 𝑠𝑖𝑘 𝜙𝑘 𝑡 𝑑𝑡 = 𝑠𝑖𝑗 𝑠𝑖𝑘 𝜙𝑖 𝑡 𝜙𝑘 𝑡 𝑑𝑡

0 𝑗=1 𝑘=1 𝑗=1 𝑘=1 0
2
= 𝑁 𝑘=1 𝑠𝑖𝑗 = 𝒔𝑖
2
 Likelihood functions 𝐿 𝑚𝑖 = 𝑓𝑋 𝑋|𝑚𝑖 , 𝑖 = 1,2, … , 𝑀

𝑁 𝑁
1 1 2
𝑝 𝒓|𝒔𝑖 sent = 𝑝 𝑟𝑗 |𝑚𝑖 = exp − 𝑟𝑗 − 𝑠𝑖𝑗
𝜋𝑁0 𝑁 2 𝑁0
𝑗=1 𝑗=1
 The log-likelihood functions: 𝑁

1 2
𝑙 𝑚𝑖 = log 𝐿 𝑚𝑖 =− 𝑥𝑗 − 𝑠𝑖𝑗 , 𝑖 = 1,2, … , 𝑀
𝑁0
𝑗=1
 By definition: the likelihood function is always nonnegative.
 The logarithmic function is a monotonically decreasing functions

Coherent Detection of Signal in Noise
 Suppose from the observation vector 𝒙 (at receiver) we make the
decision
𝑚 = 𝑚𝑖
 The probability of error in this decision:
𝑃𝑒 𝑚𝑖 |𝒙 = 𝑃 𝑚𝑖 not sent|𝒙 = 1 − 𝑃 𝑚𝑖 sent|𝒙
 The decision-making criterion is to minimize the probability of error.

Optimum decision rule:
Set 𝑚 = 𝑚𝑖 if
𝑃 𝑚𝑖 sent|𝒙 ≥ 𝑃 𝑚𝑘 sent|𝒙 for all 𝑘 ≠ 𝑖
 This decision rule is called the Maximum a posteriori probability

(MAP) rule

Geometric Representation of Signal in Noise at
Receiver

The Minimum Distance Rule
 Transfer to a priori probability (Bayes’ rule)
𝑝𝑘 𝑓𝑋 𝑥|𝑚𝑘
Set 𝑚 = 𝑚𝑖 if is maximum for 𝑘 = 𝑖
𝑓𝑋 𝑥
Set 𝑚 = 𝑚𝑖 if 𝑙 𝑚𝑘 is maximum for 𝑘 = 𝑖
 When 𝑝𝑘 is equal, we have the decision rule called the Maximum likelihood
rule (ML)
 For an AWGN channel
𝑁
1 2
𝑙 𝑚𝑖 =− 𝑥𝑗 − 𝑠𝑖𝑗 , 𝑖 = 1,2, … , 𝑀
𝑁0
𝑗=1
𝑁 2
attains maximum when 𝑗=1 𝑥𝑗 − 𝑠𝑖𝑗 is minimum or distance minimum

 The Euclidean distance between the received signal and message point
𝑁
2 2
𝑥𝑗 − 𝑠𝑘𝑗 = 𝒙 − 𝒔𝑘
𝑗=1
 In practice
𝑁 𝑁 𝑁 𝑁
2
𝑥𝑗 − 𝑠𝑘𝑗 = 𝑥𝑗2 − 2 𝑥𝑗 𝑠𝑘𝑗 + 2
𝑠𝑘𝑗
𝑗=1 𝑗=1 𝑗=1 𝑗=1
𝑁 1
Observation vector 𝒙 lies in region 𝑍𝑖 if 𝑗=1 𝑥𝑗 𝑠𝑘𝑗 − 𝐸𝑘 is maximum for
2
𝑘=𝑖

Decision Region
Figure: Illustrating the partitioning of the observation space into decision regions
for the case when 𝑁 = 2 and 𝑀 = 4; it is assumed that the 𝑀 transmitted symbols are equally likely

Probability of Error
 In M-ary modulation, the observation space 𝑍 is partitioned into a set of 𝑀
regions
 Average probability of error
𝑀
𝑃𝑒 = 𝑝𝑖 𝑃 𝒙 does not lie in 𝑍𝑖 |𝑚𝑖 sent

𝑖=1
𝑀
1
= 𝑃 𝒙 does not lie in 𝑍𝑖 |𝑚𝑖 sent
𝑀
𝑖=1
𝑀
1
=1− 𝑃 𝒙 lies in 𝑍𝑖 |𝑚𝑖 sent
𝑀
𝑖=1
𝑀
1
𝑃𝑒 = 1 − 𝑓𝑿 𝑿|𝑚𝑖 𝑑𝑿
𝑀
𝑖=1 𝑍𝑖

Diagram and Synthesis Analysis
Figure: Receiver Structure for Signal Detection in AWGN

𝑁
𝑠𝑖 𝑡 = 𝑠𝑖𝑗 𝜙𝑗 𝑡 , 0 ≤ 𝑡 < 𝑇,
𝑗=1
𝑁 𝑁
𝑠𝑖𝑗 + 𝑛𝑗 𝜙𝑗 𝑡 + 𝑛𝑟 𝑡 = 𝑟𝑗 𝜙𝑗 𝑡 + 𝑛𝑟 𝑡
𝑗=1 𝑗=1
𝑁
𝑟𝑗 =𝑠𝑖𝑗 + 𝑛𝑗 and 𝑛𝑟 𝑡 = 𝑛 𝑡 − 𝑗=1 𝑟𝑗 𝜙𝑗 𝑡

𝑟𝑗 =𝑠𝑖𝑗 + 𝑛𝑗 , 𝜇𝑟𝑗 |𝒔𝑖 = 𝐸 𝑟𝑗 |𝒔𝑖 = 𝐸 𝑠𝑖𝑗 + 𝑛𝑗 |𝑠𝑖𝑗 = 𝑠𝑖𝑗
𝟐 𝟐
𝜎𝑟𝑗 |𝒔𝑖 = 𝑬 𝑟𝑗 − 𝜇𝑟𝑗 |𝒔𝑖 = 𝑬 𝑠𝑖𝑗 + 𝑛𝑗 − 𝑠𝑖𝑗 |𝑠𝑖𝑗 = 𝐸 𝑛𝑗2 = 𝑁0 2
𝑁 𝑁
1 1 2
𝑝 𝒓|𝒔𝑖 sent = 𝑝 𝑟𝑗 |𝑚𝑖 = exp − 𝑟𝑗 − 𝑠𝑖𝑗
𝜋𝑁0 𝑁 2 𝑁0
𝑗=1 𝑗=1
∞
1 𝑣2 𝑑𝑖𝑘
𝑝 𝐴𝑖𝑘 = 𝑝 𝑛 > 𝑑𝑖𝑘 2 = exp − 𝑑𝑣 = 𝑄
𝜋𝑁0 𝑁0 2𝑁0
𝑑𝑖𝑘 2
𝑀
𝑑𝑖𝑘
𝑃𝑒 𝑚𝑖 𝑠𝑒𝑛𝑡 ≤ 𝑄
𝑘=1 2𝑁0
𝑘≠𝑖
∞
1 2 1 𝑧
𝑄 𝑧 =𝑝 𝑥>𝑧 = 𝑒 −𝑥 2 𝑑𝑥 = erfc
2𝜋 2 2
𝑧
2
𝑑𝑚𝑖𝑛 𝑀−1 𝑑𝑚𝑖𝑛 𝑑𝑚𝑖𝑛
𝑃𝑒 ≤ 𝑀 − 1 𝑄 ≤ exp − 𝑃𝑒 ≈ 𝑀𝑑𝑚𝑖𝑛 𝑄
2𝑁0 𝜋 4𝑁0 2𝑁0

A Noncoherent case
 Consider
𝐻1 : 𝑦 𝑡 = 𝐺 2𝐸 𝑇 cos 𝑤1 𝑡 + 𝜃 + 𝑛 𝑡
𝐻2 : 𝑦 𝑡 = 𝐺 2𝐸 𝑇 cos 𝑤2 𝑡 + 𝜃 + 𝑛 𝑡 , 0≤𝑡≤𝑇
𝐻1 : 𝑦 𝑡 = 2𝐸 𝑇 𝐺1 cos 𝑤1 𝑡 + 𝐺2 sin 𝑤1 𝑡 + 𝑛 𝑡
𝐻2 : 𝑦 𝑡 = 2𝐸 𝑇 𝐺1 cos 𝑤2 𝑡 + 𝐺2 sin 𝑤2 𝑡 + 𝑛 𝑡 , 0≤𝑡≤𝑇
 Choose the orthogonal basic set
𝜙1 𝑡 = 2𝐸 𝑇 cos 𝑤1 𝑡
𝜙2 𝑡 = 2𝐸 𝑇 sin 𝑤1 𝑡
0≤𝑡≤𝑇
𝜙3 𝑡 = 2𝐸 𝑇 cos 𝑤2 𝑡
𝜙4 𝑡 = 2𝐸 𝑇 sin 𝑤2 𝑡

Implementation by Correlator and Squarer

Implementation by Matched Filter and Envelope
Detector

Example
Consider M-ary coherent FSK in terms of signal space. The transmitted signal set is
𝑠𝑖 𝑡 = 𝐴cos 2𝜋 𝑓𝑐 + 𝑖 − 1 Δ𝑓 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑠
𝑚
where Δ𝑓 = , m an interger
2𝑇𝑠
Applying Gram-Schmidt procedure. Choosing
𝑣1 𝑡 = 𝑠1 𝑡 = 𝐴cos 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑠
𝑇𝑠
2 2 2
𝐴2 𝑇𝑠
𝑣1 = 𝐴 cos 2𝜋𝑓𝑐 𝑡 𝑑𝑡 =
2
0
𝑣1 2
𝜙1 𝑡 = = cos 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑠
𝑣1 𝑇𝑠
𝑚
It can be shown that 𝑠2 , 𝜙1 = 0 if △ 𝑓 = , so that the second orthnormal function is
2𝑇𝑠
2
𝜙2 𝑡 = cos 2𝜋 𝑓𝑐 + Δ𝑓 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑠
𝑇𝑠
Similarly for 𝑀 − 2 other orthogonal functions up to 𝜙𝑀 𝑡 . Thus the number of orthonormal functions is the
same as the number of possible signals; orthonormal function as
𝑠𝑖 𝑡 = 𝐸𝑠 𝜙𝑖 𝑡

When projected into the observation space, 𝑦(𝑡) has 𝑀 coordinates, the ith one of which is given by
𝑇𝑠
𝑍𝑖 = 𝑦 𝑡 𝜙𝑖 𝑡 𝑑𝑡 where 𝑦 𝑡 = 𝑠𝑖 𝑡 + 𝑛(𝑡)
0
If 𝑠𝑙 𝑡 is transmitted, the decision rule becomes
𝑀
2
𝑑2 = 𝑍𝑖 − 𝐸𝑠 𝛿𝑙𝑗 = minimum over 𝑙 = 1,2, … , 𝑀
𝑗=1
Take the square root and writing the sum out, this can be expressed as
2
𝑑= 𝑍12 + 𝑍22 + ⋯ + 𝑍𝑙 − 𝐸𝑠 2
+ ⋯ + 𝑍𝑀 = minimum
∞
𝑑2 = 𝑍𝑗2 + 𝐸𝑠 − 2 𝐸𝑠 𝑍𝑙 = minimum
𝑛=1
Since the sums over 𝑗 and 𝐸𝑠 are independence of 𝑙, 𝑑2 can be minimined with respect to 𝑙 by
choosing as the possible transmitted signal the one that will maximize the last term; that is, the
decision rule becomes: Choose the possible transmitted signal 𝑠𝑙 (𝑡) such that
𝑇
𝐸𝑠 𝑍𝑙 = maximum or 𝑍𝑙 = 0
𝑦 𝑡 𝜙𝑖 𝑡 𝑑𝑡 = maximum with respect to 𝑙

Revision
 The signal waveform is considered a vector in the vector space

 Analyze the set of waves by finding the basis of the vector space
according to the Gram schmidt rule
 Design of transmitter and receiver is based on the linear
combination of the basis functions
 Nguyên tắc thu tín hiệu là cực tiểu xác suất lỗi. Từ đây suy ra 2
phương pháp:
 The principle for signal detection is minimum the error
probability. From here come to two methods:
 Maximum a Posteriori Probability (MAP)
 Maximum Likelihood (ML)

Technology
Unit 6: Digital Carrier Modulation I

‘

Content
1. Conceptual Model
2. Coherent Techniques
3. Detection of Signals with unknown Phase
4. Comparison
5. Revision

Conceptual model
 This model presents basic modules in a passband transmission
system
Figure: Functional model of passband data transmission system

QPSK (Quadrature Phase shift Keying)
 Waveforms
2𝐸 𝜋
𝑠𝑖 𝑡 = cos 2𝜋𝑓𝑐 𝑡 + 2𝑖 − 1 , 0≤𝑡≤𝑇
𝑇 4
0 elsewhere
 Basis functions
2𝐸 𝜋 2𝐸 𝜋
𝑠𝑖 𝑡 = cos 2𝑖 − 1 cos 2𝜋𝑓𝑐 𝑡 − sin 2𝑖 − 1 sin 2𝜋𝑓𝑐 𝑡
𝑇 4 𝑇 4
2 Table: Signal-space characterization of QPSK

𝜙1 𝑡 = cos 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇
𝑇 Gray- Phase of Coordinates of
endcoded QPSK Message Points
2 Input Digit Signal 𝑠𝑖1 𝑠𝑖2
𝜙2 𝑡 = sin 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇 (radians)
𝑇
10 𝜋 4 + 𝐸 2 − 𝐸 2
00 3𝜋 4 − 𝐸 2 − 𝐸 2
 A waveform carries 01 5𝜋 4 − 𝐸 2 + 𝐸 2
two bit 11 7𝜋 4 + 𝐸 2 − 𝐸 2

Constellation scheme
𝜋 𝜋
𝑠𝑄𝑃𝑆𝐾 𝑡 = 𝐸𝑠 cos 𝑖 − 1 𝜙 𝑡 − 𝐸𝑠 sin 𝑖 − 1 𝜙 𝑡 i = 1,2,3,4
2 1 2 2
𝜋
𝐸cos 2𝑖 − 1
4
𝑠𝑖 =
𝜋
− 𝐸sin 2𝑖 − 1
4
Figure: Signal - space diagram of coherent QPSK system

Transmitter scheme
Figure: Block diagrams of QPSK transmitter

and the receiver scheme
Figure: Block diagrams of coherent QPSK receiver

Waveform
Figure: (a) Input binary sequence

(b) Odd-numbered bits of input sequence and addcociated binary PSK wave
(c) Even-numbered bits of input sequence and addcociated binary PSK wave
(d) QPSK waveform defined as 𝑠 𝑡 = 𝑠𝑖1 𝜙1 𝑡 + 𝑠𝑖2 𝜙2 𝑡

Error Probability
 Error in one branch
′
1 𝐸 2 1 𝐸
𝑃 = erfc = erfc
2 𝑁0 2 𝑁0
 Error total
2
2
1 𝐸 𝐸 1 𝐸
𝑃𝑐 = 1 − 𝑃′ = 1 − erfc = 1 − erfc + erfc 2
2 2𝑁0 2𝑁0 4 2𝑁0
𝐸 1 𝐸
𝑃𝑒 = 1 − 𝑃𝑐 = erfc − erfc 2
2𝑁0 4 2𝑁0
𝐸
𝑃𝑒 ≈ erfc
2𝑁0

Offset QPSK (avoid 1800 phase shift)
Figure: The time offset waveforms that are applied to the in-phase
and quadrature arms of an OQPSK modulator.
Notice that a half-symbol offdet is used.

𝜋/4 QPSK
 The sequential waveforms follow the memory rules and jump
between the two constellations

𝜋/4 QPSK
 Transmitter operation
Figure: Generic 𝜋 4 QPSK transmitter
Table: Carrier Phase Shifts Corresponding to

Various Input Bit Pairs
𝐼𝑘 = 𝑐𝑜𝑠𝜃𝑘 = 𝐼𝑘−1 𝑐𝑜𝑠𝜙𝑘 − 𝑄𝑘−1 𝑠𝑖𝑛𝜙𝑘 Information bits 𝑚𝐼𝑘 , 𝑚𝑄𝑘 Phase shift 𝜙𝑘
𝑄𝑘 = 𝑠𝑖𝑛𝜃𝑘 = 𝐼𝑘−1 𝑠𝑖𝑛𝜙𝑘 − 𝑄𝑘−1 𝑐𝑜𝑠𝜙𝑘
11 𝜋 4
𝜃𝑘 = 𝜙𝑘−1 + 𝜙𝑘
01 3𝜋 4
00 −3𝜋 4
10 −𝜋 4

MSK (Minimum shift keying)
 MSK is a binary frequency shift keying having the minimum
frequency spacing
 Consider
2𝐸𝑏 1 ℎ ℎ
𝑠 𝑡 = cos 2𝜋𝑓𝑐 𝑡 + 𝜃 𝑡 , 𝑓𝑐 = 2 𝑓1 + 𝑓2 , 𝑓1 = 𝑓𝑐 + 2𝑇 , 𝑓2 = 𝑓𝑐 − 2𝑇
𝑇𝑏 𝑏 𝑏
𝜋ℎ, for symbol 1 𝜋ℎ

 With ℎ = 1 2 𝜃 𝑇𝑏 − 𝜃 0 = 𝜃 𝑡 =𝜃 0 ±𝑇 𝑡
−𝜋ℎ, for symbol 1 𝑏
Figure: Phase trellis; boldfaced path represents the sequence 1101000

 Express the CPFSK signal 𝑠 𝑡 in terms of its in-phase and
quadrature components
2𝐸𝑏 2𝐸𝑏
𝑠 𝑡 = cos 𝜃 𝑡 cos 2𝜋𝑓𝑐 𝑡 − sin 𝜃 𝑡 sin 2𝜋𝑓𝑐 𝑡
𝑇𝑏 𝑇𝑏
𝜋
𝜃 𝑡 = 𝜃 0 ± 2𝑇 𝑡, 0 ≤ 𝑡 ≤ 𝑇𝑏
𝑏
𝑠 𝑡 = 𝑠1 𝜙1 𝑡 + 𝑠2 𝜙2 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑏
2 𝜋
𝜙1 𝑡 = cos 𝑡 cos 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑏
𝑇𝑏 2𝑇𝑏
2 𝜋
𝜙2 𝑡 = sin 𝑡 sin 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑏
𝑇𝑏 2𝑇𝑏
 Choose basic functions:

𝑇𝑏
𝑠1 = −𝑇𝑏
𝑠 𝑡 𝜙1 𝑡 𝑑𝑡= 𝐸𝑏 cos 𝜃 0 , −𝑇𝑏 ≤ 𝑡 ≤ 𝑇𝑏
2𝑇𝑏
𝑠2 = 0
𝑠 𝑡 𝜙2 𝑡 𝑑𝑡=− 𝐸𝑏 sin 𝑇𝑏 , 0 ≤ 𝑡 ≤ 2𝑇𝑏

Signal-Space of MSK
Figure: Signal-space diagram for MSK system

Waveforms of MSK
Table: Signal-space characterization of MSK
Transmitted Phase States Coordinates of

Binary (radians) Message Points
Symbol,
0 ≤ 𝑡 ≤ 𝑇𝑏 𝜃 0 𝜃 𝑇𝑏 𝑠1 𝑠2
0 0 −𝜋 2 + 𝐸𝑏 + 𝐸𝑏
1 𝜋 −𝜋 2 − 𝐸𝑏 + 𝐸𝑏
0 𝜋 +𝜋 2 − 𝐸𝑏 − 𝐸𝑏
1 0 +𝜋 2 + 𝐸𝑏 − 𝐸𝑏

Some remarks
 Integrals are evaluated for a time interval equal to twice the bit
duration.
 The time interval 0 ≤ 𝑡 ≤ 𝑇𝑏 , for which the phase states 𝜃 0 and

𝜃 𝑇𝑏 are defined, is common to both integrals.
 In QPSK, the transmitted symbol is represented by any one of

the four message points, whereas in MSK one of two message
points is used to represent the transmitted symbol at any one
time, depending on the value of 𝜃 0 .

Transmitter and receiver schemes of MSK

Error Probability of MSK
 If we have the estimates 𝜃 0 = 0 and 𝜃 𝑇𝑏 = − 𝜋 2 , or
alternatively if we have the estimates 𝜃 0 = 𝜋 and 𝜃 𝑇𝑏 = 𝜋 2
the receiver makes a decision in favor of symbol 0.
 If we have, the estimates 𝜃 0 = 𝜋 and 𝜃 𝑇𝑏 = − 𝜋 2
or alternatively if we have the estimates 𝜃 0 = 0 and 𝜃 𝑇𝑏 =
− 𝜋 2 the receiver makes a decision in favor of symbol 1.
 Total error probability
1 𝐸𝑏
𝑃𝑒 = erfc
2 𝑁0

GMSK (Gaussian MSK)
 Passing a non return-to-zero (NRZ) binary data stream through a
baseband pulse-shaping Gaussian filter before providing to the
MSK diagram
log2 𝑓 2 2𝜋 2𝜋2
𝐻 𝑓 = exp − ,ℎ 𝑡 = 𝑊 exp − 𝑊 2𝑡2
2 𝑊 log2 log2

Spectrum of GMSK
 GMSK for GSM Wireless Communications:
 𝐵 = 200𝑘𝐻𝑧
 𝑊𝑇𝑏 = 0.3
 𝑅𝑏 = 271𝑘𝑏/𝑠

Non-coherent techniques
 Non coherent BFSK
2𝐸𝑏 1 𝐸𝑏
𝑠𝑖 𝑡 = cos 2𝜋𝑓𝑖 𝑡 , 0 ≤ 𝑡 ≤ 𝑇𝑏 𝑃𝑒 = erfc −
𝑇𝑏 2 2𝑁0
0 elsewhere
Figure: Noncoherent receiver for the detection of binary FSK signals

DPSK (Difference Phase Shift Keying)
 Features
 Unnecessary the PLL (noncoherent version of PSK).
 Combine two operations at transmitter: differential
encoding+ phase shift keying
 Principles
 Each arrival waveform can be phase-difference with the local
waves but subtraction of two waveform has coherent nature
 Subtraction is done by a comparison

DPSK
 Code or decode are done by comparison with the previos
waveform
𝑑𝑘 = 𝑑𝑘−1 𝑏𝑘 + 𝑑𝑘−1 𝑏𝑘 (modulo 2)

Table: Illustrating the generation of DPSK signal
𝑏𝑘 1 0 0 1 0 0 1 1
𝑑𝑘−1 1 1 0 1 1 0 1 1
Differentially 1 1 0 1 1 0 1 1 1
coded sequence
𝑑𝑘
Transmitted phase 0 0 𝜋 0 0 𝜋 0 0 0
(radians)

Decoding DPSK

Decoding DPSK
 The decision – making process by whether the point 𝑥𝐼0 , 𝑥𝑄0 is
closer to 𝑥𝐼1 , 𝑥𝑄1 or its image −𝑥𝐼1 , −𝑥𝑄1
say 1
𝑥𝐼0 𝑥𝐼1 + 𝑥𝑄0 𝑥𝑄1 ≷say 0 0
2 2 2 2 say 1
𝑥𝐼0 + 𝑥𝐼1 + 𝑥𝑄0 + 𝑥𝑄1 − 𝑥𝐼0 − 𝑥𝐼1 − 𝑥𝑄0 − 𝑥𝐼1 ≷say 0 0
Figure: Signal-space diagram of received DPSK signal

Comparison of some kind of Digital Modulations
Table: Summary of formulas for the bit error rate

of different digital modulation schemes
Signaling Scheme Bit Error Rate
(a) Coherent binary PSK 1
erfc 𝐸𝑏 𝑁0
Coherent QPSK 2
Coherent MSK
(b) Coherent binary PSK 1
erfc 𝐸𝑏 2𝑁0
2
(c) DPSK 1
erfc − 𝐸𝑏 𝑁0
2
(d) Noncoherent binary FSK 1
erfc − 𝐸𝑏 2𝑁0
2

Figure: Comparision of the noise performance of different PSK and FSK schemes

Remarks
 The bit error rates decrease monotonically with increasing values
of 𝐸𝑏 𝑁0 (Shape of a waterfall)
 PSK,QPSK,MSK have a bit error rate smaller than other
 Coherent BPSK and DPSK require an 𝐸𝑏 𝑁0 that is 3dB less than
coherent BFSK and non-coherent BFSK in the same bit error rate
 At high values of 𝐸𝑏 𝑁0 DPSK and non-coherent BFSK as well as
coherent BPSK BFSK

Revision
 Electromagnetic waves can carry digital information by
amplitude, frequency, phase. The properties of the modulation
are expressed by the basis function and the constellation
diagram
 The most common method of coherent transmission are: BPSK,
QPSK, MSK
 A method of non-coherent transmission are DPSK, DQPSK
 there exists the trade off between quantities of Bandwidth,
Power, BER

Technology
Unit 7: Digital Carrier Modulation II

‘
Hanoi, 2017
Content
1. Detection of Signals with unknown Phase

(Non-coherent techniques)
2. M-PSK
3. M-QAM
4. Synchronization
5. Revision

Optimum quadratic receiver
 A digital communication receiver with no provision made for carrier
phase recovery is said to be noncoherent
 Consider a system
2𝐸
𝑠𝑖 𝑡 = cos 2𝜋𝑓𝑖 𝑡 , 0 ≤ 𝑡 ≤ 𝑇, 𝑖 = 1,2
𝑇
2𝐸
𝑥 𝑡 = cos 2𝜋𝑓𝑖 𝑡 + 𝜃 + 𝑤 𝑡 , 0 ≤ 𝑡 ≤ 𝑇, 𝑖 = 1,2
𝑇
 The output of correlator

𝑇
2𝐸
𝑥𝑖 = 𝑥 𝑡 − cos 2𝜋𝑓𝑖 𝑡 + 𝜃 𝑑𝑡 = 𝑠𝑖𝑗 + 𝑤𝑖
0 𝑇
 Distance for Decision

2
𝑇
2
2𝐸
𝒙 − 𝒔𝑖 = 𝑥 𝑡 − cos 2𝜋𝑓𝑖 𝑡 + 𝜃 𝑑𝑡
0 𝑇

 Substituting into the conditional PDF
 Ignoring the constant term, define a conditional likelihood (LK)

function

 Remove the dependence on 𝜃
 Let
 Then
 By the change of variable, we can rewrite

 Detection rule becomes
 Due to the modified Bessel function is monotonically increasing

with its argument
 The hypothesis testing
can be carried out as

Two equivalent forms
 The first: replacing correlator with a corresponding equivalent
matched filter

 Second: filter that is matched to
𝑠 𝑡 = cos 2𝜋𝑓𝑖 𝑡 + 𝜃 for 0 ≤ 𝑡 ≤ 𝑇
 The envelope of the matched filter output is obviously unaffected
by the value of phase 𝜃. Therefore, for choose a matched filter
with 𝜃 = 0
𝑇
𝑦 𝑡 = 𝑥 𝜏 cos 2𝜋𝑓𝑖 𝑇 − 𝑡 + 𝜏 𝑑𝜏
0
𝑇 𝑇
= cos 2𝜋𝑓𝑖 𝑇 − 𝑡 𝑥 𝜏 cos 2𝜋𝑓𝑖 𝜏 𝑑𝜏 − sin 2𝜋𝑓𝑖 𝑇 − 𝑡 𝑥 𝜏 sin 2𝜋𝑓𝑖 𝜏 𝑑𝜏
0 0
 The envelope at time 𝑡 = 𝑇, is therefore

𝑇 2 𝑇 2 1/2
𝑙𝑖 = 𝑥 𝜏 cos 2𝜋𝑓𝑖 𝜏 𝑑𝜏 + 𝑥 𝜏 sin 2𝜋𝑓𝑖 𝜏 𝑑𝜏
0 0

 Peak of Envelope is independent to phase
Figure: Output of matched filter for a rectangular RF wave: (a) 𝜃 = 0° and (b) 𝜃 = 180°

Noncoherent Orthogonal Modulation
 Consider a system
𝑔1 𝑡 + 𝑤 𝑡 , 𝑠1 𝑡 sent, 0 ≤ 𝑡 ≤ 𝑇
𝑥 𝑡 =
𝑔2 𝑡 + 𝑤 𝑡 , 𝑠2 𝑡 sent, 0 ≤ 𝑡 ≤ 𝑇
 Here 𝑔1 𝑡 and 𝑔2 𝑡 are the phase-shifted versions of
𝑠1 𝑡 and 𝑠2 𝑡 and assumed that they remain orthogonal and same
energy E regardless of the unknown carrier phase like as quadrature
receiver
𝜓𝑖 𝑡 = 𝑚 𝑡 cos(2𝜋𝑓𝑖 𝑡) 𝜓𝑖 𝑡 = 𝑚 𝑡 sin 2𝜋𝑓𝑖 𝑡
 The average probability of error for the non-coherent receiver of

Figure is given by the simple formula
1 𝐸𝑏
𝑃𝑒 = exp −
2 2𝑁0

Figure: (a) Generalized binary receiver for noncoherent orthogonal modulation. (b) Quadrature
receiver equivalent to either one of the two matched filters in part (a); the index i = 1,2

Derivation of error probability
 The envelope of a Gaussian process is Rayleigh-distributed and
independent of the phase 𝜃
2 2
1 𝑥𝐼2 1 𝑥𝑄2
𝑓𝑋𝐼2 𝑥𝐼2 = exp −𝑁 𝑓𝑋𝑄2 𝑥𝑄2 = exp −
𝜋𝑁0 0 𝜋𝑁0 𝑁0
𝑙2 𝑙22 1
𝑓𝑋𝐼2𝑋𝑄2 𝑥I2 , 𝑥𝑄2 𝑑𝑥I2 𝑑𝑥𝑄2 = exp −𝑁 𝑑𝑙2 𝑑𝛽 𝑓𝐵 𝛽 = 2𝜋 , −𝜋 < 𝛽 ≤ 𝜋
𝜋𝑁0 0
2𝑙2 𝑙22
exp −𝑁 , 𝑙2 ≥ 0
𝑓𝐿2 𝑙2 = 𝑁0 0
0, elsewhere
2 2
𝑙2 = 𝑥𝐼2 + 𝑥𝑄2
 Change to the polar coordinate
Figure: Geometric interpretations of the two path

outputs 𝑙1 and 𝑙2 in the coherent receiver.

∞
𝑙12
𝑃 𝑙2 > 𝑙1 𝑙1 = 𝑓𝑙2 𝑑𝑙2 = exp −
𝑙1 𝑁0
2 2
𝑙1 = 𝑥𝐼1 + 𝑥𝑄1
2
1 𝑥𝐼1 − 𝐸
𝑓𝑋𝐼1 𝑥𝐼1 = exp −
𝜋𝑁0 𝑁0
2
1 𝑥𝑄1
𝑓𝑋𝑄1 𝑥𝑄1 = exp −
𝜋𝑁0 𝑁0
Figure: Caculation of the conditional probability
that 𝑙2 > 𝑙1 , given 𝑙1 .
 Substituting this back into
𝑃 error|𝑥𝐼1 , 𝑥𝐼2 𝑓𝑋𝐼2𝑋𝑄2 𝑥I2 , 𝑥𝑄2 = 𝑃 𝑙2 > 𝑙1 𝑙1 𝑃 𝑙1

1 1 2 2 2 2
= exp − 𝑥𝐼1 + 𝑥𝑄1 + 𝑥𝐼1 − 𝐸 + 𝑥𝑄1
𝜋𝑁0 𝑁0

 Use:
∞ 2 ∞ 2
2 𝐸 𝜋𝑁0 2𝑥𝑄1 𝜋𝑁0
exp − 𝑥𝐼1 − 𝑑𝑥𝐼1 = exp − 𝑑𝑥𝑄1 =
−∞ 𝑁0 2 2 −∞ 𝑁0 2
 Finals:
∞
𝑃 error|𝑥𝐼1 , 𝑥𝑄1 𝑓𝑋𝐼1𝑋𝑄1 𝑥I1 , 𝑥𝑄1 𝑑𝑥𝐼1 𝑑𝑥𝑄1
−∞
∞ ∞ 2
1 𝐸 2 2 2𝑥𝑄1
= exp − exp − 𝑥𝐼1 − 𝐸 𝑑𝑥𝐼1 × exp − 𝑑𝑥𝑄1
𝜋𝑁0 2𝑁0 −∞ 𝑁0 −∞ 𝑁0
1 𝐸 𝜋𝑁0 𝜋𝑁0 1 𝐸
= exp − × × = exp −
𝜋𝑁0 2𝑁0 2 2 2 2𝑁0

Results:
1 𝐸𝑏
𝑃𝑒 = exp −
2 2𝑁0
 The non-coherent binary FSK described herein is a special case
of noncoherent orthogonal modulation with 𝑇 = 𝑇𝑏 and 𝐸 = 𝐸𝑏
Figure: Noncoherent receiver for the detection of binary FSK signals.

M-PSK
 QPSK is a special case of M-ary PSK
 Waveform
2𝐸 2𝜋
𝑠𝑖 𝑡 = cos 2𝜋𝑓𝑐 𝑡 + 𝑖−1 , 𝑖 = 1,2, … , 𝑀
𝑇 𝑀
 Basic function
2
𝜙1 𝑡 = cos(2𝜋𝑓𝑐 𝑡), 0 ≤𝑡≤𝑇
𝑇
2
𝜙2 𝑡 = 𝑠𝑖𝑛(2𝜋𝑓𝑐 𝑡), 0 ≤𝑡≤𝑇
𝑇

Constellation schemes
𝑑𝑚𝑖𝑛 2
𝑃𝑒𝑟𝑟𝑜𝑟 = 2𝑄
𝑁0 2
𝜋
𝑑12 = 𝑑18 = 2 𝐸sin
𝑀
1 𝑀 𝑑𝑖𝑘
𝑃𝑒 ≤ 𝑘=1 erfc 2 𝑁 for all 𝑖
2 0
𝑘≠𝑖
𝐸 𝜋
𝑃𝑒 ≈ erfc sin
𝑁0 𝑀
where it is assumed that 𝑀 ≥ 4.

BER of M-PSK

Power Spectra of M-ary PSK Signal
 The symbol duration
𝑇 = 𝑇𝑏 log 2 𝑀
 Determine the power spectral density through the fourier
transform of the correlation function
𝑆𝐵 𝑓 = 2𝐸sinc 2 𝑇𝑓
= 2𝐸𝑏 log 2 𝑀sinc 2 𝑇𝑏 𝑓log 2 𝑀
Figure: Power spectra of M-ary PSK signals for 𝑀 = 2, 4, 8

Bandwidth Efficiency of M-ary PSK Signals
 Approximately:
2 2𝑅𝑏 𝑅𝑏 log2 𝑀
𝐵= 𝐵= 𝜌= =
𝑇 log2 𝑀 𝐵 2
Table: Bandwidth efficiency of M-ary PSK signals

M 2 4 8 16 32 64
𝜌 (bits 0.5 1 1.5 2 2.5 3
/s/Hz)

Comparison with binary PSK
 In the QPSK two orthogonal carriers (sine and cosine) are used
that two independent bit stream can modulated simultaneously
 Power - Bandwidth
Table: Comparison of power-bandwidth

requirements for M-ary PSK with binary PSK.
Probability of symbol errer = 𝟏𝟎−𝟒
Value of M 𝐵𝑎𝑛𝑑𝑤𝑖𝑑𝑡𝑕 M−ary 𝐴𝑣𝑒𝑟𝑎𝑔𝑒 𝑝𝑜𝑤𝑒𝑟 M−ary
𝐵𝑎𝑛𝑑𝑤𝑖𝑑𝑡𝑕 Binary 𝐴𝑣𝑒𝑟𝑎𝑔𝑒 𝑝𝑜𝑤𝑒𝑟 Binary
4 0.5 0.34 dB
8 0.333 3.91 dB
16 0.25 8.52 dB
32 0.2 13.52 dB

M-QAM (Hybrid Amplitude/Phase Modulation Schemes)
Figure: (a) Signal-space diagram of M-ary QAM for 𝑀 = 16; the message points
In each quadrant are identified with Gray-endcoded quadbits. (b) Signal-space
Diagram of the corresponding 4-PAM signal.

 Basic functions
2 2
𝜙1 𝑡 = cos(2𝜋𝑓𝑐 𝑡), 0 ≤𝑡≤𝑇 𝜙2 𝑡 = 𝑠𝑖𝑛(2𝜋𝑓𝑐 𝑡), 0 ≤𝑡≤𝑇
𝑇 𝑇
2𝐸0 2𝐸0
𝑠𝑘 𝑡 = 𝑇
𝑎𝑘 cos 2𝜋𝑓𝑐 𝑡 + 𝑇 𝑘
𝑏 sin 2𝜋𝑓𝑐 𝑡 , 0 ≤ 𝑡 ≤ 𝑇, 𝑘 = 0, ±1, ±2, …
𝐿= 𝑀
 Waveform
−𝐿 + 1, 𝐿 − 1 −𝐿 + 3, 𝐿 − 1 ⋯ 𝐿 − 1, 𝐿 − 1
−𝐿 + 1, 𝐿 − 3 −𝐿 + 3, 𝐿 − 3 ⋯ 𝐿 − 1, 𝐿 − 1
𝑎𝑖 , 𝑏𝑖 =
⋮ ⋮ ⋮
−𝐿 + 1, −𝐿 + 1 −𝐿 + 3, −𝐿 + 1 ⋯ 𝐿 − 1, −𝐿 + 1

16-QAM
 𝐿=4
−3, +3 −1, +3 +1, +3 +3, +3
−3, +1 −1, +1 +1, +1 +3, +1
𝑎𝑖 , 𝑏𝑖 =
−3, −1 −1, −1 +1, −1 +3, −1
−3, −3 −1, −3 +1, −3 +3, −3

Waveforms of 8-QAM
Figure: 8-QAM signal (2 amplitudes and 4 phases)

Error probability of QAM
1 𝐸
𝑃𝑐 = 1 − 𝑃𝑒′ 2 𝑃𝑒′ = 1− erfc
𝑀 𝑁0
1 𝐸
𝑃𝑒 = 1 − 𝑃𝑐 = 1 − 1 − 𝑃𝑒′ 2
≈ 2𝑃𝑒′ 𝑃𝑒 ≈ 2 1 − erfc
𝑀 𝑁0
 The energy in M-QAM is variable, therefore need express 𝑃𝑒 in

average energy
𝐿 2
2𝐸0 2
2 𝐿2 − 1 𝐸0 2 𝑀 − 1 𝐸0
𝐸av =2 2𝑖 − 1 𝐸av = =
𝐿 3 3
𝑖=1
1 𝐸av
𝑃𝑒 ≈ 2 1 − erfc
𝑀 2 𝑀 − 1 𝑁0

Error probability of QAM

 M-QAM effective than M-PSK
Figure: Signal constellations for (a) M-ary PSK and

(b) corresponding M-ary QAM, for 𝑀 = 16
 However the superior performance of M-QAM can be realized

only if the channel is free of non-linearitics
 For M-FSK, It reduces power but trade-off is the cost of channel
bandwidth. M-FSK behaves in an opposite manner to that of M-
PSK

Synchronization
 Two basic modes of synchronization:
 The estimation of carrier phase and frequency is called
carrier recovery or carrier synchronization.
 The estimation of these times is called clock recovery or
symbol synchronization.
 These two modes of synchronization can be coincident
with each other, or they can occur sequentially one
after the other.
 Synchronization can be implemented in one of two
fundamentally different ways:
 Data-aided synchronization: a preamble is transmitted
 Nondata-aided synchronization

 Synchronization is basically a statistical parameter estimation
problem. Approach for solving such a problem is maximum
likelihood estimation
 which proceeds by first formulating a log-likelihood function of the
parameter of interest given the received signal.
 Two method of non data-aided

 the phase-locked oop: The standard Costas loop for double
sidebandsuppressed carrier (DSB-SC) modulation was discussed
 Algorithmic (modern) approach:estimate of carrier phase or
symbol timing on an iteration-by-iteration basis

Algorithm for phase recovery
2𝐸
 Consider: 𝑠𝑘 𝑡 = 𝑇
cos 2𝜋𝑓𝑐 𝑡 + 𝛼𝑘 𝑔 𝑡
2𝐸 2𝐸
𝑥 𝑡 = cos 2𝜋𝑓𝑐 𝑡 − 𝜏𝑐 + 𝛼𝑘 𝑔 𝑡 − 𝜏𝑔 + 𝑤 𝑡 = cos 2𝜋𝑓𝑐 𝑡 + 𝜃 + 𝛼𝑘 𝑔 𝑡 − 𝜏𝑔 + 𝑤 𝑡
𝑇 𝑇
𝑥1 𝜏 𝑇+𝜏
𝒙 𝜏 = 𝑥𝑖 𝜏 = 𝑥 𝑡 𝜙𝑖 𝑡 𝑑𝑡 , 𝑖 = 1,2
𝑥2 𝜏 𝜏
2 2
𝜙1 𝑡 = cos 2𝜋𝑓𝑐 𝑡 , 𝜏 ≤ 𝑡 ≤ 𝑇 + 𝜏 𝜙2 𝑡 = 𝑠𝑖𝑛(2𝜋𝑓𝑐 𝑡), 𝜏 ≤ 𝑡 ≤ 𝑇 + 𝜏
𝑇 𝑇
𝑇+𝜏
 At receiver: 𝒙𝑘 𝜏 =𝒔 𝑎𝑘 , 𝜃, 𝜏 + 𝒘 𝑤𝑖 = 𝜏 𝑤 𝑡 𝜙𝑖 𝑡 𝑑𝑡 , 𝑖 = 1,2
1 1
𝑓𝑿 𝒙|𝑎𝑘 , 𝜃, 𝜏 = exp − 𝒙𝑘 𝜏 − 𝒔 𝑎𝑘 , 𝜃, 𝜏 2
𝜋𝑁0 𝑁0
1 1 2
 When 𝑎𝑘 = 0: 𝑓𝑿 𝒙|𝑎𝑘 = 0 = 𝜋𝑁 exp − 𝑁 𝒙𝑘 𝜏
0 0
 So in M-PSK 𝒔 𝑎𝑘 , 𝜃, 𝜏 = constant
𝑓𝑿 𝒙|𝑎𝑘 , 𝜃, 𝜏 2 𝑇 1 2
𝐿 𝑎𝑘 , 𝜃, 𝜏 = = exp 𝒙𝑘 𝜏 𝒔 𝑎𝑘 , 𝜃, 𝜏 − 𝒔 𝑎𝑘 , 𝜃, 𝜏
𝑓𝑿 𝒙|𝑎𝑘 = 0 𝑁0 𝑁0

 Ignoring the second term in the exponent,
2 𝑇
𝐿 𝑎𝑘 , 𝜃, 𝜏 = exp 𝒙 𝜏 𝒔 𝑎𝑘 , 𝜃, 𝜏
𝑁0 𝑘
 For data sequence

𝐿0 −1
2 𝑇
𝐿 𝒂, 𝜽, 𝜏 = exp 𝒙 𝜏 𝒔 𝑎𝑘 , 𝜃, 𝜏
𝑁0 𝑘
𝑘=0
 The log-likelihood function

𝐿0 −1
2
𝑙 𝑎, 𝜃, 𝜏 = log𝐿 𝑎, 𝜃, 𝜏 = 𝒙𝑇𝑘 𝜏 𝒔 𝑎𝑘 , 𝜃, 𝜏
𝑁0
𝑘=0
cos 𝛼𝑘 + 𝜃
 Use: 𝑠𝑘 = 𝒔 𝑎𝑘 , 𝜃, 𝜏 = 𝐸
−sin 𝛼𝑘 + 𝜃
, 𝑘 = 0,1, … , 𝐿0 − 1
2 𝐸 𝐿0 −1
𝑙 𝜃 = 𝑘=0 𝑥1,𝑘 cos 𝛼𝑘 + 𝜃 + 𝑥2,𝑘 sin 𝛼𝑘 + 𝜃
𝑁0
2 𝐸 𝐿0 −1
= 𝑘=0 𝑥1,𝑘 cos𝛼𝑘 + 𝑥2,𝑘 sin𝛼𝑘 cos𝜃 − 𝑥1,𝑘 sin𝛼𝑘 − 𝑥2,𝑘 cos𝛼𝑘 sin𝜃
𝑁0

 Differentiating 𝑙 𝜃 with respect to 𝜃, we obtain
𝐿0 −1
𝜕𝑙 𝜃 2 𝐸
=− 𝑥1,𝑘 cos𝛼𝑘 + 𝑥2,𝑘 sin𝛼𝑘 sin𝜃 − 𝑥1,𝑘 sin𝛼𝑘 − 𝑥2,𝑘 cos𝛼𝑘 cos𝜃
𝜕𝜃 𝑁0
𝑘=0
𝐿0 −1 𝐿0 −1
𝜕𝑙 𝜃 2 𝐸 2 𝐸
= Re 𝑎𝑘∗ 𝑥𝑘 Im 𝑒 −𝑗𝜃 + Im 𝑎𝑘∗ 𝑥𝑘 Re 𝑒 −𝑗𝜃 = Im 𝑎𝑘∗ 𝑥𝑘 𝑒 −𝑗𝜃
𝜕𝜃 𝑁0 𝑁0
𝑘=0 𝑘=0
 Algorithm to maximize 𝑙 𝜃 gradient ascent
Updated Old Step size Error

= +
estimate estimate parameter signal
𝑒 𝑛 = Im 𝑎𝑘∗ 𝑥𝑘
𝜃 𝑛 + 1 = 𝜃 𝑛 + 𝛾𝑒 𝑛
Figure: Recursive Costas loop.

Algorithm for symbol recovery
 The receiver has knowledge of the carrier frequency 𝑓𝑐 and 𝜃 𝑖𝑠
uniform distribution:
2𝜋 2𝜋
1 2 𝑇
𝐿av 𝑎𝑘 , 𝜏 = 𝐿 𝑎𝑘 , 𝜃, 𝜏 𝑓𝚯 𝜃 𝑑𝜃 = exp 𝒙 𝜏 𝒔 𝑎𝑘 , 𝜃, 𝜏 𝑑𝜃
0 2𝜋 0 𝑁0 𝑘
 Due to:
2 𝑇 2 𝐸
𝒙𝑘 𝜏 𝒔 𝑎𝑘 , 𝜃, 𝜏 = Re 𝑎𝑘∗ 𝑥𝑘 𝑒 −𝑗𝜃
𝑁0 𝑁0
2 𝐸
= Re 𝑎𝑘 𝑥𝑘 𝜏 exp 𝑗 arg 𝑥𝑘 𝜏 − arg 𝑎𝑘 − 𝜃
𝑁0
2 𝐸
= 𝑎 𝑥 𝜏 cos arg 𝑥𝑘 𝜏 − arg 𝑎𝑘 − 𝜃
𝑁0 𝑘 𝑘
 So: 𝜑 = arg 𝑥𝑘 𝜏 − arg 𝑎𝑘 − 𝜃
2𝜋
1 2 𝐸
𝐿av 𝑎𝑘 , 𝜏 = exp 𝑎 𝑥 𝜏 cos arg 𝑥𝑘 𝜏 − arg 𝑎𝑘 − 𝜃 𝑑𝜃
2𝜋 0 𝑁0 𝑘 𝑘
1 2𝜋−arg 𝑥𝑘 𝜏 +arg 𝑎𝑘 2 𝐸
= exp 𝑎𝑘 𝑥𝑘 𝜏 cos φ 𝑑𝜑
2𝜋 −arg 𝑥𝑘 𝜏 +arg 𝑎𝑘 𝑁0

1 2𝜋 𝑥 cos𝜑 2 𝐸
 Definition: 𝐼0 = 𝑒 𝑑𝜑 𝐿av 𝑎𝑘 , 𝜏 = 𝐼0 𝑎𝑘 𝑥𝑘 𝜏
2𝜋 0 𝑁0
 For M-PSK: 𝑎𝑘 = 1 for all 𝑘
2 𝐸
𝐿av 𝑎𝑘 , 𝜏 = 𝐼0 𝑥𝑘 𝜏
𝑁0
 Finally:
𝐿0 −1 𝐿0 −1 2 𝐸
𝐿av 𝜏 = 𝑘=0 𝐿av 𝑎𝑘 , 𝜏 = 𝑘=0 𝐼0 𝑥𝑘 𝜏
𝑁0
𝐿0 −1 ∞ 1 2𝑚
𝑙av 𝜏 = log 𝐿av 𝜏 = log 𝐼0
2 𝐸
𝑥 𝜏 𝐼0 𝑥 = 2𝑥
𝑁0 𝑘 𝑚! 2
𝑘=0 𝑚=0
𝐸 𝐿0 −1
 to approximate 𝑙av 𝜏 ≈ 𝑁2 𝑘=0 𝑥𝑘 𝜏 2
0
𝑥2 𝑥2
 With 𝑥 small: log 𝐼0 𝑥 ≈ log 𝐼0 1 + 4
≈
4

 Differentiating 𝐼av 𝜏 with respect to the group delay 𝜏,
𝐿0 −1 𝐿0 −1
𝜕𝑙av 𝜏 𝐸 𝜕 𝐸
= 2 𝑥 𝜏 2
= 2 Re 𝑥𝑘∗ 𝜏 𝑥𝑘′ 𝜏
𝜕𝜏 𝑁0 𝜕𝜏 𝑘 𝑁0
𝑘=0 𝑘=0
𝑒 𝑛 = Re 𝜏 𝑥𝑘∗
𝜏 𝑥𝑘′
 At every iteration, it works on three successive samples of the
matched filter output, namely,
𝑇 𝑇
𝑥 𝑛𝑇 + + 𝜏𝑛 , 𝑥 𝑛𝑇 + 𝜏𝑛 , and 𝑥 𝑛𝑇 + − 𝜏𝑛
2 2
 The first sample is early

and the last one is late, both
with respect to the middle one.
Figure: Nondata-aided early-late delay synchronizer.

Revision
 When there is no information on the phase, the
detector follows the squared diagram and determines
the amplitude.
 M-PSK and M-QAM are commonly implemented

depending on channel conditions
 In digital communication, the synchronization must be

done in both the carrier and the symbol time

Technology
Unit 8: Channel Codes

‘
Hanoi, 2017
Content
1. Introduction
2. Repetition Code
3. Signal space of channel code
4. Capacity of channel (Shannon limit)
5. Revision

1. Introduction
There are two kinds of coding:
 Source coding for compacting the message. It
eliminates the redundant bits from message before
transmission.
For a specific source, there is a below limit of bit number/
codeword. Under this limit we cannot recover the message
without the distortion
 Channel coding for decreasing the error probability. It

adds the redundant bits to message before transmission.
For a specific channel, there is a upper limit of data rate.
Under this limit the transmission can be reliable
 This subject basically focus on the channel coding

2. Example: Repetition code
 Given a BSC
(Binary symmetric
channel)
 Assume 𝑝 = 10−3
 Consider a repetition code:
In transmitter: 111 substitutes for 1,000 substitutes for 0
In receiver: Hard decision by majority
𝑃𝑒1 = 𝑃𝑟 001 + 𝑃𝑟 010 +𝑃𝑟 100 +𝑃𝑟 000
= 3𝑝2 1 − 𝑝 + 𝑝3
= 3. 10−2.3 1 − 10−3 + 10−3.3
≈ 3.10−6

Trade off in repetition code
 Using BPSK 𝑥 𝑚 = ± 𝑃, 𝑄 𝑃 𝜎2
 Repeat N times to transmit one bit. Soft decision
𝐱𝐴 = 𝑃 1, … , 1 𝑡 and 𝐱 𝐵 = 𝑃 −1, … , −1 𝑡
𝐲 = 𝐱𝐴 + 𝐰
𝐱𝐴 − 𝐱 𝐵 𝑁𝑃
𝑄 =𝑄
2𝜎 𝜎2
 Error probability decays exponentially with block length 𝑁 or
number of repetition. It makes slowly the rate of information.
𝑁𝑃
 For increasing data rate using M-PAM 𝑄
𝑀−1 𝜎
 It is reliable when 𝑀 less than 𝑁, but data rate is bounded by
log 𝑁 𝑁 then it still goes to zero as the block length
increases.
 M-PAM does not solve the problem speed go to 0

3. Repetition in signal-space
Figure 1: Repetition coding packs points inefficiently in the high dimensional signal

Packing Spheres
 When expanded to 𝑁 dimension
Figure : The number of noise spheres that can be packed into the y-sphere yields
the maximum number of codewords that can be reliably distinguished

4. Capacity of channel (Shannon limit)
 The maximum number of noise spheres in Power spheres (The
volume of the large sphere divided by the volume of the small
𝑁
𝑁 𝑃+𝜎2
sphere) 𝑁
𝑁𝜎2
 Then the maximum number of bit per symbol/ dimension

𝑁
1 𝑁 𝑃+ 𝜎2 1 𝑃
log 𝑁 = log 1 + 2
𝑁 𝑁𝜎 2 2 𝜎
 Bandwidth 𝑊 have 2𝑊 dimension

𝑃
𝐶𝑎𝑤𝑔𝑛 = log 1 + 𝑆𝑁𝑅 bits/s/Hz 𝐶𝑎𝑤𝑔𝑛 𝑃, 𝑊 = 𝑊log 1 + 𝑁 bits/s
0𝑊
𝑃 𝑆 𝐶 𝐸 𝑅𝑏
𝐶 = 𝐵log 2 1 + 𝑁 = 𝐵log 2 1 + 𝑁 𝑃 = 𝐸𝑏 𝑅𝑏 = log 2 1 + 𝑁𝑏
0𝑊 𝐵 0 𝐵

 Example What is the theoretical maximum data rate that can be
supported in a 200 𝑘𝐻𝑧 channel for 𝑆𝑁𝑅 = 10 𝑑𝐵, 30 𝑑𝐵? How
does this compare to the GSM standard ?
 Solution
For 𝑆𝑁𝑅 = 10 𝑑𝐵 = 10, 𝐵 = 200 𝑘𝐻𝑧.
Using Shannon’s channel capacity formula, the maximum possible
data rate kbps
𝑆
𝐶 = 𝐵log 2 1 + = 200000log 2 1 + 10 = 691.886𝑘𝑏𝑝𝑠
𝑁
The GSM data rate is 270.833 kbps, which is only about 40% of the
theoretical limit for 10 𝑑𝐵 SNR conditions.
For 𝑆𝑁𝑅 = 30 𝑑𝐵 = 1000, 𝐵 = 200 𝑘𝐻𝑧 . The maximum possible
data rate Mbps.
𝑆
𝐶 = 𝐵log 2 1 + = 200000log 2 1 + 1000 = 1.99𝑀𝑏𝑝𝑠
𝑁

The channel coding theorem (No proof)
 If a discrete memoryless channel has capacity C and a source
generates information at a rate less than C, then there exists a
coding technique such that the output of the source may be
transmitted over the channel with an arbitrarily low probability of
symbol error
 Capacity in BSC
Figure: Channel capacity of a binary symmetric channel with transition probability 𝑝.

5. Revision
 What are the source code and the channel code
 Why repetition code can decrease error probability
 What are disadvantages of repetition code
 What is the capacity (Shannon limit) of specific AWGN
channel.
 How does mean the reliable transmission
 Note: The channel coding theorem asserts the
existence of good codes but does not tell us how to
find them

Technology
Unit 10: Block Codes

‘

Content
1. Linear Parity – Check codes

2. Cyclic codes

Some definitions
 Linear If 𝐦1 → 𝐜1 and 𝐦2 → 𝐜2 then 𝐦1 ⊕ 𝐦2 → 𝐜1 ⊕ 𝐜2
 m is a k-bits information sequence
 c is an n-bits codeword
 ⊕ is a bit-by-bit mod-2 addition without carry
 Linear code:
The sum of any two codewords is a codeword.
 Systematic codes
 Note:
 The all-zero sequence is a codeword in every block code
 Any linear block code can be put in a systematic form

Linear Parity-Check Codes
 The parity bits are linear combination of the message
 In an (𝑛, 𝑘) block codes
𝐜 = 𝑐1 𝑐2 ⋯ 𝑐𝑛 ; 𝐝 = 𝑑1 𝑑2 ⋯ 𝑑𝑘
0 ⊕ 0 = 1 ⊕ 1 = 0; 0⊕1=1 ⊕0=1
𝑐1 = 𝑑1
𝑐2 = 𝑑2
⋮
𝑐𝑘+1 = 𝑝11 𝑑1 ⊕ 𝑝12 𝑑2 ⊕ ⋯ ⊕ 𝑝1𝑘 𝑑𝑘
𝑐𝑘+2 = 𝑝21 𝑑1 ⊕ 𝑝22 𝑑2 ⊕ ⋯ ⊕ 𝑝2𝑘 𝑑𝑘
⋮
𝑐𝑘+𝑚 = 𝑝𝑚1 𝑑1 ⊕ 𝑝𝑚2 𝑑2 ⊕ ⋯ ⊕ 𝑝𝑚𝑘 𝑑𝑘
Here: m=n-k
1 0 … 0 𝑝11 … 𝑝𝑚1
𝐜 = 𝐝𝐺 = 𝑑1 𝑑2 ⋯ 𝑑𝑘 0 1 … 0 𝑝12 … 𝑝𝑚2
… … … … … … …
0 0 … 1 𝑝1𝑘 … 𝑝𝑚𝑘
where 𝐺 = 𝐼𝑘 𝑃𝑇

Syndrome decoding
𝑃𝑇
 Parity-Check Matrix 𝐻= 𝑃 𝐼𝑚 → 𝐻𝑇 = ,
𝐼𝑚
𝑝11 𝑝12 … 𝑝1𝑘
𝑝22 …
𝑃 = 𝑝…
21
… …
𝑝2𝑘
…
𝑝𝑚1 𝑝𝑚2 … 𝑝𝑚𝑘
𝑃𝑇
𝐺𝐻𝑇 = 𝐼𝑘 𝑃𝑇 = 𝑃𝑇 ⊕ 𝑃𝑇 = 0; 𝐜𝐻𝑇 = 𝐝𝐺𝐻 𝑇 = 0
𝐼𝑚
 Syndrome decoding
𝐫𝐻𝑇 = 𝐜⨁𝐞 𝐻𝑇 = 𝟎⨁𝐞𝐻𝑇 = 𝐬 𝐫 = 𝐜⨁𝐞
 S is called the syndrome of r.
 Note that eHT is i-row of HT we can
identify the error position by comparing
s to the rows of HT

Example: Hamming code (7,4)
 Equations:
𝑐5 = 𝑑1 + +𝑑3 +𝑑4
𝑐6 = 𝑑1 + 𝑑2 +𝑑3
𝑐7 = 𝑑2 +𝑑3 +𝑑4
c=mG

Encoding circuit
Input u
Message register
u11 u22 u33 u44

To Channel
+ + +
v0 v1 v2
Parity resister

Decoding by syndrome
 𝑑𝑚𝑖𝑛 = 3, can correct one bit (𝑑𝑚𝑖𝑛 − 1)/2 = 1
 Assume code 𝐜 = [0010111] is sent
 Received 𝐜 = [0110111] with an error at the second bit.
Calculate: 𝐬 = 𝐜𝐻𝑇 = (𝐜 + 𝐞)𝐻𝑇 = 𝐞𝐻𝑇
1 0 0
0 1 0
0 0 1
𝐬 = 1100010 1 1 0 = 0 0 1
0 1 1
1 1 1
1 0 1
Syndrome like as the second row of HT,
That mean error at the second bit

Decoding by syndrome
 𝐬 is called Syndrome
 From table the coset leader is found to be [0100000].

This indicates that the second bit of the receiver is
erroneous. Thus, adding this error to the received
vector yielding the correct code
 Note: Received vector have 2𝑛 possible values.

Partitioning into 2𝑘 subset. Each subset corresponds to
a codeword.

Decoding Circuit
Received
r0 r1 r2 r3 r4 r5 r6
vector
+ + +
e0 e1 e2 e3 e4 e5 e6
r0 r1 r2 r3 r4 r5 r6
+ + + + + + +
Correcte
doutput

Error probability
 Block code with 𝑑𝑚𝑖𝑛 possible detect and correct
𝑡 = (𝑑𝑚𝑖𝑛 − 1)/2 error bit
 The probability of 𝑚 error in a block of n bits is
𝑃(𝑚, 𝑛) = 𝐶𝑛𝑚 𝑝𝑚 1 − 𝑝 𝑛−𝑚 n
p e   p ( m, n )
Error probability: m  t 1
𝑛 p e  C nt 1 p t 1 (1  p )n  t  1
𝑝𝑒 ≤ 𝑃 𝑚, 𝑛
p e  C 72 p 2 (1  p ) 5
𝑚=𝑡+1
 For high signal to noise ratio, i.e small values of 𝑝
𝑝𝑒 ≈ 𝐶𝑛𝑡+1 𝑝𝑡+1 1 − 𝑝 𝑛−𝑡−1
 If p=10-2 in BSC
𝑝𝑒 ≈ 𝐶72 𝑝2 1 − 𝑝 5

Dual code
 Due to 𝐆𝐇𝑇 = 0
 This equation suggests that every (𝑛, 𝑘) linear block

code with generator matrix 𝐆 and parity-check matrix 𝐇
has a dual code with parameters (𝑛, 𝑛 − 𝑘), generator
matrix 𝐇 and parity-check matrix 𝐆.

Revision
 What is the block coding and the meaning of

generator matrix, checking matrix?
 What is Hamming distance and capability of error

correction?
 What is syndrome decoding?

Cyclic Codes
Cyclic code is a subclass of linear block code: It is easy to
implement and efficient to decode.
 Properties: any shift of a cyclic codeword is also a codeword.
From 𝑐𝑛−1 , 𝑐0 , … , 𝑐𝑛−2 can have
𝑐𝑛−1 , 𝑐0 , … , 𝑐𝑛−2 ,
𝑐𝑛−2 , 𝑐𝑛−1 , … , 𝑐𝑛−3 ,
⋮
𝑐1 , 𝑐2 , … , 𝑐𝑛−1 , 𝑐0
 To develop the algebraic properties of cyclic codes Codeword,
𝑐0 , 𝑐1 , … , 𝑐𝑛−1 is mapped to code polynomial.
𝑐 𝑋 = 𝑐0 + 𝑐1 𝑋 + ⋯ + 𝑐𝑛−1 𝑋 𝑛−1
(𝑏0 , 𝑏1 , … , 𝑏𝑛−𝑘−1 , 𝑚0 , 𝑚1 , … , 𝑚𝑘−1 )

𝑐 𝑋 = 𝑏 𝑋 + 𝑋 𝑛−𝑘 𝑚 𝑋
𝑛−𝑘 parity bits 𝑘 message bits

Trường Đại học Công nghệ, ĐHQGHN
14 Truyền thông số và mã hóa
More detail
 From
𝑋 𝑖 𝑐 𝑋 = 𝑋 𝑖 𝑐0 + 𝑐1 𝑋 + ⋯ + 𝑐𝑛−𝑖−1 𝑋 𝑛−𝑖−1 + 𝑐𝑛−𝑖 𝑋 𝑛−𝑖 + ⋯ + 𝑐𝑛−1 𝑋 𝑛−1
= 𝑐0 𝑋 𝑖 + 𝑐1 𝑋 𝑖+1 + ⋯ + 𝑐𝑛−𝑖−1 𝑋 𝑛−1 + 𝑐𝑛−𝑖 𝑋 𝑛 + ⋯ + 𝑐𝑛−1 𝑋 𝑛+𝑖−1
= 𝑐𝑛−𝑖 𝑋 𝑛 + ⋯ + 𝑐𝑛−1 𝑋 𝑛+𝑖−1 + 𝑐0 𝑋 𝑖 + 𝑐1 𝑋 𝑖+1 + ⋯ + 𝑐𝑛−𝑖−1 𝑋 𝑛−1
 Due to 𝑐𝑛−𝑖 + 𝑐𝑛−𝑖 = 0
𝑋 𝑖 𝑐 𝑋 = 𝑐𝑛−𝑖 + ⋯ + 𝑐𝑛−1 𝑋 𝑖−1 + 𝑐0 𝑋 𝑖 + 𝑐1 𝑋 𝑖+1 + ⋯ + 𝑐𝑛−𝑖−1 𝑋 𝑛−1
+𝑐𝑛−𝑖 𝑋 𝑛 + 1 + ⋯ + 𝑐𝑛−1 𝑋 𝑖−1 𝑋 𝑛 + 1
 Let: 𝑐 𝑖 𝑋 = 𝑐𝑛−𝑖 + ⋯ + 𝑐𝑛−1 𝑋 𝑖−1 + 𝑐0 𝑋 𝑖 + 𝑐1 𝑋 𝑖+1 + ⋯ +
𝑐𝑛−𝑖−1 𝑋 𝑛−1
𝑞 𝑋 = 𝑐𝑛−𝑖 + 𝑐𝑛−𝑖+1 𝑋 + ⋯ + 𝑐𝑛−1 𝑋 𝑖−1
 We have 𝑋 𝑖 𝑐 𝑋 = 𝑞 𝑋 𝑋 𝑛 + 1 + 𝑐 𝑖 𝑋
 Or 𝑐 𝑖 𝑋 = 𝑋 𝑖 𝑐 𝑋 mod 𝑋 𝑛 + 1
 The multiplication is subject to the constraint 𝑋 𝑛 = 1.

The encoding procedure
 The polynomial 𝑋 𝑛 + 1 and its factors play a major role in the
generation of cyclic codes.
 Let 𝑔(𝑋) is called the generator polynomial of a cyclic code.
𝑐 𝑋 = 𝑎 𝑋 𝑔(𝑋)
If 𝑔(𝑋) is factor of 𝑋 𝑛 + 1 then make 𝑐(𝑋) satisfies
𝑐 𝑖 𝑋 = 𝑋 𝑖 𝑐 𝑋 mod 𝑋 𝑛 + 1
It is reason to choose the generator polynomial of a cyclic code
as factor of 𝑋 𝑛 + 1
(𝑏0 , 𝑏1 , … , 𝑏𝑛−𝑘−1 , 𝑚0 , 𝑚1 , … , 𝑚𝑘−1 )
𝑛−𝑘 parity bits 𝑘 message bits
𝑐 𝑋 =𝑎 𝑋 𝑔 𝑋 =𝑏 𝑋 + 𝑋 𝑛−𝑘 𝑚 𝑋
𝑋 𝑛−𝑘 𝑚(𝑋) 𝑏 𝑋
⇒ =𝑎 𝑋 +
𝑔 𝑋 𝑔 𝑋
 𝑏 𝑋 is the remainder left over after dividing 𝑋 𝑛−𝑘 𝑚 𝑋 by 𝑔(𝑋).

The rule of encoding
1. Multiply the message polynomial 𝑚(𝑋) with 𝑋 𝑛−𝑘 .
2. Divide 𝑋 𝑛−𝑘 𝑚(𝑋) by the generator polynomial 𝑔(𝑋),

obtaining the remainder 𝑏 𝑋 .
3. Add 𝑏(𝑋) to 𝑋 𝑛−𝑘 𝑚(𝑋), obtaining the code polynomial

that is codeword.

Hamming code revisited (7,4)
 Chosen 𝑋 7 + 1 = 1 + 𝑋 1 + 𝑋 2 + 𝑋 3 1 + 𝑋 + 𝑋 3
 For example message 1001 𝑚 𝑋 = 1 + 𝑋 3
 Encode: Multiplying 𝑚(𝑋) by 𝑋 𝑛−𝑘 = 𝑋 3
 Divide by 𝑔 𝑋 = 1 + 𝑋 + 𝑋 3 ; ℎ 𝑋 = 1 + 𝑋 1 + 𝑋 2 + 𝑋 3 = 1 + 𝑋 +
𝑋2 + 𝑋4
𝑋 𝑛−𝑘 𝑚 𝑋 = 𝑋 3 + 𝑋 6
𝑎 𝑋 = 𝑋 + 𝑋3
𝑏 𝑋 = 𝑋 + 𝑋2
𝑐 𝑋 = 𝑏 𝑋 + 𝑋 𝑛−𝑘 𝑚 𝑋
= 𝑋 + 𝑋2 + 𝑋3 + 𝑋6
𝑋 3 +𝑋 6 𝑋+𝑋 2
 Or 1+𝑋+𝑋 3
= 𝑋 + 𝑋 3 + 1+𝑋+𝑋3
 That Codeword is 0111001. Here 001 are the parity check. The
code word is exactly the same as the Hamming code shown in
Table.

Implementing
1. The gate is switched on, the 𝑘 message bits are shifted into the
channel. The resulting (𝑛 − 𝑘) bit in the register form the parity
bit.
2. The gate is switched off. Thereby breaking the feedback
connections.
3. The contents of the shift register are read out into the channel.
Contents of the shift register in the
Gate
encoder
Shift Input Register Contents
000 (initial state)
1 1 110
Flip-flop Mudulo-2
adder Parity
bits Code
word
Message bits 2 0 011
Figure: Encoder for the (7,4) cyclic code generated by 3 0 111

𝑔 𝑋 = 1 + 𝑋 + 𝑋3.
4 1 011

Parity-Check Polynomial
 The generator pol. 𝑔(𝑋) is equivalent to the generator
mat. G. Corresponding ly ℎ(𝑋) or 𝐻 so 𝐻𝐺𝑇 = 0 we
have
𝑔 𝑋 ℎ 𝑋 mod 𝑋 𝑛 + 1 = 0
 Or 𝑔(𝑋) and ℎ(𝑋) are factors of 𝑋 𝑛 + 1

𝑔 𝑋 ℎ 𝑋 = 𝑋𝑛 + 1
 So in Cyclic code can use 𝑔(𝑋) as check polynomial

Syndrome decoding
 Received word
𝑟 𝑋 = 𝑟0 + 𝑟1 𝑋 + ⋯ + 𝑟𝑛−1 𝑋 𝑛−1
 Divide 𝑟(𝑋) by generator pol. 𝑔 𝑋

𝑟 𝑋 = 𝑞 𝑋 𝑔(𝑋) + 𝑠(𝑋)
 𝑠(𝑋) is a polynomial of degree 𝑛 − 𝑘 − 1 or less.
 The syndrome 𝑠(𝑋) is identical to error 𝑒(𝑋).
 The error correction can be accomplished simply by

adding the syndrome 𝑠(𝑋) to 𝑟(𝑋).

Syndrome Calculator
 The received bits are fed into (𝑛 − 𝑘) stages of the
feedback shift register from the left.
 After all the received bits have been shifted into the
shift register, its contents the syndrome 𝐬.
Gate
Received bits
Modulo-2 Flip-flop
added
Figure: Syndrome calculator for the (7,4) cyclic code generated by

the polynomial 𝑔 𝑋 = 1 + 𝑋 + 𝑋 3 .
 Recovery the code word by adding syndrome 𝐬 with

received word
Revision
 What is the block code and how can it possibility
correct the error bit in a code word?
 How to encode and decode the block code?
 What is the error probability of block coding (𝑛, 𝑘) in
the AWGN channel?

Technology
Unit 12: Convolution Codes

‘

Content
1. Description
2. Expressed by polynomials
3. Expressed by code tree
4. Expressed by trellis and state scheme
5. Viterbi algorithm
6. Signal-flow graph for transfer function
7. Asymptotic code gain (large value 𝐸𝑏/𝑁)

Description
 A state machine consists 𝑴 register with 𝒏 modulo-2 adder and a
multiplexer at output.
 𝑳-bit Message create code with 𝑛(𝐿 + 𝑀) bits
𝐿 1
𝑟= bits/symbol, typically 𝐿 ≫ 𝑀, 𝑟 ≈ bits/symbol
𝑛(𝐿+𝑀) 𝑛
 Constrain length: 𝑲 = 𝑴 + 𝟏 number of shift that a bit at input
can affect to output
 In this code (called convolution code) the message bits come in

serially rather than in large blocks.
Example
 𝑛 = 2, 𝑀 = 2, 𝑟 = 1/2, 𝑘 = 1
 𝑛 = 3, 𝑀 = 1, 𝑟 = 2/3, 𝑘 = 1

Expressed by polynomials
 A path from a output to input has a response (when a symbol
input with initial condition equal zero).
 This response likes as impulse response (make generator
polynomial).
𝑖 𝑖 𝑖 𝑖 𝑖
𝑔 𝐷 = 𝑔0 + 𝑔1 𝐷 +𝑔2 𝐷 2 + ⋯ +𝑔𝑀 𝐷 𝑀
 Convolution code is completely described by a set of polynomial

generator.
𝑔 1 𝐷 ,𝑔 2 𝐷 ,…,𝑔 𝑛 𝐷
 Code is the convolution between messages and the set of

polynomial generator.

Example
 Message 10011 𝑚 𝐷 = 1 + 𝐷 3 + 𝐷 4
 Convolution in time domain change to multiply in domain 𝐷 (trễ).
𝑐 1 𝐷 =𝑔 1 𝐷 𝑚 𝐷 = 1 + 𝐷 + 𝐷2 1 + 𝐷3 + 𝐷4 = 1 + 𝐷 + 𝐷2 + 𝐷3 + 𝐷6
2 2
𝑐 𝐷 =𝑔 𝐷 𝑚 𝐷 = 1 + 𝐷2 1 + 𝐷3 + 𝐷4 = 1 + 𝐷2 + 𝐷3 + 𝐷4 + 𝐷5 + 𝐷6
 Output of branch 1: 1111001

 Output of branch 2: 1011111
 Final multiplexing
𝑐 = 11,10,11,11,01,01,11
 Note that 𝐿 = 5, create the code with length
𝑛(𝐿 + 𝐾 − 1) = 14
 To recovery register for a next message, a sequence 𝐾 − 1 = 2

number zero insert follow is called tailor of message.

Expressed by code tree
 Message: 1001
 Code 11,10,11,11,01
 Code repeat after 3 branch
 Memory 𝑀 = 𝐾 − 1 = 2,
so when 3𝑡ℎ bit entrance,
first bit went out the register.
Figure: Code free for the convolutional encoder

Expressed by trellis and state scheme
 By above example after 3𝑡ℎ bit, code is repeated,

nodes are the same 𝑎, 𝑏, 𝑐, 𝑑 can joined together.
 So can use trellis with finite state machine.
𝐿: message, 𝐾: constrain length
 Trellis has 𝐿 + 𝐾 level, indexed 𝑗 = 0, 1, … , 𝐿 + 𝐾 − 1.
 𝐾 − 1 first level from initial state of a. 𝐾 − 1 last level

come back to 𝑎.

Figure: Trellis for the convolutional encoder
State table for the convolutional

encoder
State Binary Description
a 00
b 10
c 01
d 11

ML decoding convolution code
𝑁 𝑁
𝑝 𝐫|𝑐 = 𝑖=1 𝑝 𝑟𝑖 |𝑐𝑖 log 𝑝 𝐫|𝑐 = 𝑖=1 log 𝑝 𝑟𝑖 |𝑐𝑖
𝑝, if 𝑟𝑖 ≠ 𝑐𝑖
𝑝 𝑟𝑖 |𝑐𝑖 =
1 − 𝑝, if 𝑟𝑖 = 𝑐𝑖
 Assume 𝑟 difference 𝑐 at 𝑑 position
log 𝑝 𝑟|𝑐 = 𝑑 log 𝑝 + 𝑁 − 𝑑 log 1 − 𝑝
𝑝
= 𝑑 log + 𝑁 log 1 − 𝑝
1−𝑝
 Second term is constant. Choose 𝑐 close to 𝑟 by a
Hamming distance.
 ML decoding is equivalent with the minimum distance
decoding that is the base of Viterbi algorithm.

Viterbi algorithm
 Choose the path in tree or trellis has smallest
distance to the received path, or has least number of
different position.
 At every node, the distance of 2 branchs into is

compared. Branch has smaller distance is remained
other branch is discarded.
 Repeat for j: 𝐾 − 1 < 𝑗 < 𝐿

Example
 Assume the code word be all of zero, after passing
channel it has 2 error *0100010000+.
 Apply algorithm for 𝑗 = 1, 2, 3, 4, 5
 At 𝑗 = 2, have 4 branch.
 At 𝑗 = 3, branches into states with their metric.
 Compare 4 survived at 𝑗 = 5, it show that branch all

of zero has smallest distance, so it is right code word.

Process of algorithm

Process of algorithm

Free distance
 Free distance (the smallest distance between 2 code
words) can receive from state diagram.
𝑏 = 𝐷2 𝐿𝑎0 + 𝐿𝑐
𝑐 = 𝐷𝐿𝑏 + 𝐷𝐿𝑑
𝑑 = 𝐷𝐿𝑏 + 𝐷𝐿𝑑
𝑎1 = 𝐷2 𝐿𝑐

Signal-flow graph for transfer function
 All of code word starts and finishes at state 𝑎, so can
separate to 𝑎0 và 𝑎1.
 Graph of signal flow (10.19) include nodes and
branches connected each other.
 A branch multiplies the signal at its input node by the
transmittance characterizing that branch.
 A node with incoming branches sums the signal
produced of those branches.
 The signal at a node is applied equally to all the
branches outgoing from that node.
 Transfer function of the graph is the ratio of output
signal to input signal.

Determine free distance
𝐷5 𝐿3
𝑇 𝐷, 𝐿 =
1 − 𝐷𝐿 1 + 𝐿
 𝐷 is Hamming weight on branch.
 Expand polynomial
∞
𝑖
𝑇 𝐷, 𝐿 = 𝐷5 𝐿3 𝐷𝐿 1 + 𝐿
𝑖=0
 Set 𝐿 = 1
𝑇 𝐷, 1 = 𝐷5 + 2𝐷6 + 4𝐷7 + ⋯
 First term in expanding is free distance: 𝑑free = 5.

Asymptotic code gain (large value 𝐸𝑏 𝑁)
 𝑑free free Hamming distance between code words.
Compare error without code ~ exp − 𝐸𝑏 𝑁0 and error
with convolution code ~ exp − 𝑑free 𝑟𝐸𝑏 2𝑁0 .
 We has code gain in BSC channel is:
𝑑free 𝑟
𝐺𝑎 = 10 log10 dB
2
 For binary-input AWGN channel (no hard decision for

bit, use Euclide distance improved 3dB)
𝐺𝑎 = 10 log10 𝑑free 𝑟 dB

Soft decisions

Revision
 What is convolution code and it’s difference with block
code?
 How to express the convolution code as Polynomial,
tree or trellis?
 How Viterbi Algorithm works?


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Unit 1: INTRODUCTION

ANALOG AND DIGITAL

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 What are the differences between the analog waveform

 Show the difference between the analog and digital

 Compare the advantage and the disadvantage of

Khoa Điện tử - Viễn thông Digital Communications and Coding

Unit 2: Baseband Pulse Transmission I

m[k] pulse- u[k] y[k]

1. Inter-Symbol Interference (ISI) and Nyquist’s Theorem

2. Ideal Root and Raised Cosine Spectrum

4. Error Rate Due to Noise

Khoa Điện tử - Viễn thông Digital Communications and Coding

 While bandwidth of channel is usually finite (limited)

 The overlap between waveform sequences occurs when passing

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông 4

“The frequency function 𝑃 𝑓 eliminates inter-symbol

Here, 𝑃 𝑓 refers to the overall system, incorporating the

Shortly say: The pulse 𝑝(𝑡) satisfies Nyquist’s criterion if the

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding

Pulse {ak} Transmit s(t) x0(t) x(t) Receiver y(t) y(ti)

Khoa Điện tử - Viễn thông Digital Communications and Coding

 This root has two disadvantage

Khoa Điện tử - Viễn thông Digital Communications and Coding

(a) Ideal magnitude response (b) Ideal basic pulse shape

Khoa Điện tử - Viễn thông Digital Communications and Coding

A series of sinc pulses corresponding to the sequence 1011010

Khoa Điện tử - Viễn thông Digital Communications and Coding

 The raised cosine root is used in real because it decreases as

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding

 What does the ISI mean ?

 What are the reasons to make the ISI ?

 What damage is caused by the ISI in communications ?

 How to overcome the ISI ?

 Raise cosine root

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding

𝐻𝑜𝑝𝑡 𝑓 = 𝑘𝐺 ∗ 𝑓 𝑒𝑥𝑝 𝑗2𝜋𝑓𝑇

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding

Khoa Điện tử - Viễn thông Digital Communications and Coding