BASEBAND SHAPING FOR

DATA TRANSMISSION

n the previous chapter, we described various techniques for convertino

analog signal into digital form. There is another way in which digital data
ng a
arise in practice; the data may represent the output of a source of informatio
that is inherently discrete in nature (e.g., a digital computer). when dispersion
digital daa
(of whatever origin) are transmitted through a band-limited channel, dispersion
in the channel causes an
overlap in time between succesSive symbols. This
form of distortion, known as
intersymbol interference, can pose a serious proh.
lem to the quality of if it is left uncontrolled. In this
reception chapter, we
present techniques that enable perfect reception in the absence
of noise. The
Techniques are based on shaping the baseband response ot the system.
such, they are applicable to baseband data transmission As
cables or optical fiber systems using coaxial
We
waveguides.
begin the discussionby expanding on the characteristics of waveforms
(formats) for the baseband
representation of binary data, an issue that was
briefly considered in Section 5.1.

6.1 DISCRETE PAM

The use of an SIGNALS
appropriate
is basic to its transmission waveform for baseband representation of digital data
from a source to
different formats for the
a
destination. Figure 6.1 shows four
0110100011. representation of the
binary data sequence
In the
sequence
unipolar format (also known as
sented by on-off signaling), symbol 1 is repre
transmitting a pulse, whereas symbol
off the pulse. When the 0 is
pulse occupies the full represented by switching
unipolar format is said to be of the duration of a symbol, tn
Occupies a fraction nonreturn-to-zero
(usually one-half) of the symbol (NRZ) tvpe. When
the return-t0-zero (RZ)
iype.
aa rectangular pulse)is shown The NRZ6.la.
in Fig. version duration,
of the unipolar
The unipolar format
it is said
format said
offers toto be
simplic
(based be of
on
of implementation. However. it
unipolar format (based on
be objectionable.
contains a dc simplicity
component that is often
often found
foun 1o
In the polar Jormnat, a
positive pulse is tes
ymbol 0.
negative pulse for symbol( It can be
of the smitted
(using NRZ or RZ for symbol 1, and *
of the polar format rectangular pulses) is tyoe. The NRZ
vers
234 depicted
in Fig.
ig. 6.1b.
6.1b. UnlikeUn
 Binary data
1 1 1 0 0 0 1 1

(a)

(b)

(d
formats. (a) unipolar format. (b) Non
Nonreturn-to-zero
6.1
Figure 6.1 Binary data
Figure Nonreturn-to-zero bipolar format. (d) Manchester
return-to-zero polar
format. (c)
format.

that
waveform has no dc component, provided
the unipolar waveform, polar
a

the input data occur in equal proportion.

the Os and Is in and
(also known as pseudoternary signaling), positive
In the bipolar format the alterna-
used alternately for the transmission of 1s (with
negative pulses are
for the transmission
at occurrence of a 1), and no pulses
tion taking place every format
The NRZ version of the bipolar
of Os. It can be of the NRZ or RZ type.
in Fig. 6.1c. Note that in this repre-
(based on rectangular pulses) is depicted
-1 (hence, the alternative
name
sentation, there are three levels: +t, 0, and of
An attractive feature of the bipolar format is the absence
"pseudoternary").
a de component, even though the input binary
data may contain long strings of
formats. Also,
0s and 1s. This property does not hold for the unipolar and polar
the pulse alternation property of the bipolar format provides a capability
for in-
service performance monitoring in the sense that any isolated error, whether it
Causes the deletion or creation of a pulse, will violate this property. Moreover,
the bipolar format eliminates ambiguity that may arise because of polarity
inversion during the course of transmission (this problem is a characteristic of
SWitched telephone networks). It is for these reasons that the bipolar format is
adopted for use in the T1 carrier system for digital telephony (see Section 5.8).
ne absence of de transmission permits repeaters, on the TI carrier, to be
transformer-coupled.
in the
Manchester format (also known as biphase baseband signaling), sym-
001 1 is represented by transmitting a positive pulse Íor one-half of the symbol
Uration, followed by a negative pulse for the remaining half of the
symbol
 Gray code
Table 6.1 Natural and iray codes
Natural code
00
Level
00 01
-3
-1
10 10
+1
11
+3

transmitted in
reverse order. :
The
pulses are
these two no de compon
rdlon; for symbol 0, 6.1d. Clearly. t nas
format is depicted in Fig. tormats make efi.
ster
The NRZ versions of the unipolar. polar, and bipolar
synchronizatiotion capability.
capability,
cient
o
do not offer a
use of bandwidth. However, they synchronization capah
has a built-in
the other hand, the Manchester format
each bit interval. But
transition during But th
this
ity, because there is a predictable bandwidth requirement twice twice that of
that of
capability is attained at the expense of a
the NRZ unipolar. polar, and bipolar formats.
more efficient by adoptine
utilization of bandwidth can be made
an
The
the representation of the input binary data. An example of
M-ary format for
format of the NRZ type, is
representation. namely, the polar quaternary
this
shown in Fig. 6.2a. A quaternary code has four distinct symbols, referred to as
dibits (pairs of bits). Each dibit is assigned a level in accordance with the
natural code described in Table 6.1. To obtain the waveform of Fig. 6.2a, the
input binary sequence 0110100011 is viewed as a new sequence of dibits
01,10,10,00,11}, and each dibit in the sequence is represented by a level ofits
Own. In Table 6.1, we also show a second coding scheme, called the Gray code,
in which the adjacent bits are arranged in such a way that they differ by only
one bit.* In some applications, this behavior is a desirable attribute. Fig. 6.2b
shows the NRZ polar quaternary format of the Gray-encoded version of the
binary sequence 0110100011.
Earlier, we remarked that the bipolar format is immune from the polarity
inversion-ambiguity problem. The only other one among those depicted in Fig
6.1 that is also so immune is the unipolar format. In both cases, the immunityis
a result of using no pulses for the representation of binary 0s. We may build a
similar capability into the other formats by the inclusion of
differential encod
ing. The use of this technique is illustrated in Fig. 6.3. Differential encoding
starts with an arbitrary initial bit. In Fig. 6.3, a positive level is shown for the
initial bit. The information in the input binary sequence itself is encoded in
terms of signal transitions. For example, a signal
transition is used to designate
symbol 0, while no transition is used to designate symbol 1.
Using sucho
procedure, the differentially encoded polar waveform for the representation

In general, the Gray code can be derived from the natural code as
hitin the natural code, where k =1,2,... ,N, with k N follows. Let bi denote the ku
the natural code, we may determine tne Kth bit ot the
denoting the most significant bit. Giveu
=

Gray code, by using the formula

8 bb+ bi+ k N
k
=1,2,. . . , N 1
-

where + denotes modulo-2 additim. ror detaits of

moduko-2 arithmetic, see
Appendix H.
 0 11 10 1 0 00011 1
+3

+1

(a)

+3

(b)
Polar quaternary format. (a) Natural-encoded. (b) Gray-encoded.
Figure 6.2

sequence 0110100011
in Fig. 6.3. It is apparent that
is as shown
theinput binary encoded waveform may be inverted
without
the polarity of a differentially recovered
its interpretaiion. The original binary information may be
affecting samples
by sampling the received wave and comparing the polarity of adjacent
establish whether or not a signal transition has occurred.
to

SIGNALS
6.2 POWER SPECTRA OF DISCRETE PAM
be viewed as different
Ihe signaling formats shown in Figs. 6.1 and 6.2a may
In particular,
implementations of a discrete amplitude-modulated pulse train.
of a ran-
we may describe them all as different realizations (sample functions)
dom process X(1) defined by

X() =
2 AAu(t -

kT) (6.1)

nere the coefficient A is a discrete random variable, v{t) is a basic pulse

dpe, and T is the symbol duration. The basic pulse v{t) is centered at the

1 1 1 0 0 0 1 1

+1

Initial
bit

Figure 6.3 Differential encoding format.

 Table 6.2 Data formats Basic pulse v
Coefficient As
NRZ format
a , symbol 1
Unipolar v(t) consists of
A 0,
symbol

a , symbol
0
pulse of unit amplituderectangular
Polar -a, symbol 0 and duration 7,.
A a,-a, alternating ls
Bipolar
A lo, symbol 0
A = ,symbolI vt) consists of doublet
of heights 1, and puls
total*
Manchester A -a. symbol 0 duration Tb.
(3a, dibit 11 t) consists of
rectangular
Polar quaternary pulse of unit amplitude
a , dibit 10
(natural coding) and duration 27,.
Ax -a, dibit 01
-3a, dibit 00

i n Figs. 6.I and 6.2, the amplitude a is given as on.

origin. t =
0, and normalized such that
v(0) = 1
(6.2)
In Table 6.2, we present a summary of sample values of the coefficient A and
the basic pulse v(t) for the various formats depicted in Figs. 6.1 and 6.2a.
The data signaling rate (or simply data rate) is defined as the rate, measured
in bits per second (b/s), at which data are transmitted. It is also common
practice to refer to the data signaling rate as the bit rate. This rate is denoted by

(6.3)

where T is the bit duration. In contrast, the modulation rate is defined as the
rate at which signal level is changed,
depending on the nature of the torma
used to represent the digital data. The modulation rate is measured in
bauas,
or
symbols second.
perFor M-ary an
integer power oftwo
format (with M
used to represent binary data, we find that the symbol duration of the M-ay
an

format is related to the bit duration T, by

T =
T, logaM (6.4)
Correspondingly, one baud equals logaM bits per second.
We are now ready to evaluate the power spectra of the PAM
various discrete rn
signals of interest. By so doing, we will be able to make a more1ore complete
assessment of their individual spectral characteristics. comp
To proceed with the analysIs, we model the mechanism the
responsible for
generation of the sequence {Akl, defining
the coefficients in
cients Eq. 6.1,
as a dis
as a a
a the
crete stationary
random source. soro
The source is as having
characterized
haud is named aftier Emile Baudot in honor of his
pioneering work in telegrapny
ensemble-averaged autocorrelation function:
R(n) =ElAAL- (6.5)
where E Is the expectation operator. Accordingly, we find that the powver
spectral density of the discrete PAM signal X() defined in Eq. 6.I is given
(using the Wiener-Khintchine relations of Appendix D.6)

Sxf-V 2 R,(n)exp(-j2anfT) (6.6)

where Vf) is the Fourier transform of the basic pulse v(t). The values of the
functions V) and R^(n) depend on the type of discrete PAM signal beng
considered. In the sequel, we evaluate Eq. 6.6 for the unipolar, polar, and
bipolar formats of the NRZ type, and also the Manchester format. The evalua
or tne
tions for other formats are posed as problems to the reader at the end
chapter (see Problems 6.2.2 and 6.2.3).

(1) NRZ Unipolar Format with equal probabil-

Suppose the 0s and Is of a random binary sequence occur
ity. Then, for a unipolar format of the NRZ type, we have

PA 0)= P(A; =
a) =

Hence, for n =0, we may write

E[AR] =(0)PP(A; =
0) + (a) P(A; =a)

has four possible

Consider next the product A^A-n for n # 0. This product
successive symbols in the
values, namely, 0, 0, 0, and a. Assuming that the
these four values occur with a
binary sequence are statistically independent,
probabilityof 1/4 each. Hence, for n # 0, we may write
E[AA-) = 3(0M4) + (aN)

- n0

follows:
We may thus express the autocorrelation function Ra(n) as

n =0
RAn) =
(6.7)
n # 0

For the basic pulse v(t). we have a rectangular pulse of unit amplitude and
duration T. Hence, the Fourier transform of v{) equals
VN = T, sinctfT,)
(6.8)
where the sinc function is defined by
sin(TA)

sinc(A)

Ts. yields the follo

T
lowing
=

6.6. with
Eqs. 6.7 and 6.8 in Eq.
Hence. the use of
of the NRZ unipolar format:
result for the power spectral density

T exp(-j27nfT,)
sincT,) +* sinc?(ST»)2 6.9)
Sf
written in the form
We next use Poisson's formula

exp(-j27 nf T,)
=
sf-7 6.10)
fiunction atf 0. Accordingly, substitutino
=

where 8S) denotes a Dirac delta

sinc function sinc(ST6) has nullsat
Eq. 6.10 in Eq. 6.9 and reccognizing that the
we may simplify the expression for the power spec.
f=+1/Th. +2/T%. .
tral density Sx(f) as

S = sinc-ST)+8/ (6.11)
The presence of the Dirac delta function &f) accounts for one half of the power
contained in the unipolar waveform.
Curve a of Fig. 6.4 shows a normalized plot of Eq. 6.11. Specifically the
power spectral density SKS) is normalized with respect to a-Tb, and the fre-
quency fis normalized with respect to the bit rate 1/T. We see that most of the
power of the NRZ unipolar format lies between dc and the bit rate of the input
data.

(2) NRZ Polar Format

Consider next a polar format of the NRZ type, for which the input binary data
consists of independent and equally likely symbols. Following
similar to that described for the unipolar format, we find that for this secona
a procedure
case

RAn) = a n = 0

n #0 (6.12)

The basic pulse vt) for the polar format is the

same as. that for the
format. Hence, the use of Eqs. 6.8 and 6.12 in unipola
Eq.
T = Tb» yields the power spectral density of the
6.6, with the symbol pero
NRZ polar format as
SMf) = a*T,sinc?(fT,)
(6.15)
The normalized form of this
equation is shown plotted
1ere again we see that mOst of the
power of the NRZ
as curve b in Fig.
6.
the main lobe of the sinC-snaped polar format lies insia
Curve, which
extends un to the bit rate 1/1b
 1.0

a: NRZ unipolar
b: NRZ polar
c: NRZ bipolar
d: Manchester

.5

1.5 2.0
0 0.5 1.0

data formats.
Figure 6.4 Power spectra of different binary

(3) NRZ Bipolar Format pulses of

constraint that successive Is in the bipolar format be assigned
The in Section
be viewed as a form of precoding. Indeed,
alternating polarity may
format can be transformed into the
corre-
6.4 we will show that the unipolar
means of a special precoder.
In any event, this
sponding bipolar format by account.
correlation that has to be taken into
constraint introduces intersymbol
three levels: a, 0, and - a . Then
assum-
We note that the bipolar format has
and Os in the input binary data occur with equal probability, we
ing that the ls
occurrence of these three levels
are as
find that the respective probabilities of
follows:
PA a) = =
i

PA =0) =

PA==a) =
Hence, for n =
0, we may write
EA = (aPPlA; = a) + (0P(A4 = 0) + (-a)-P(A\ = -a)

For n =
1, the dibit represented by the
Sequence (A-1, A) can assume only
four possible forms: (0,0), (0,1). (1,0), and (l,1). The respective values of the
Succesei - 1are 0, 0, 0, and -a?; the last value results from
withtha.
probabil

dibits occurs with

efact tha
is alternate in polarity. Each of the tne binary sequenc
symbols in ce occur
1/4, on ethe assumption
assumpti that successive
wrie
wIth equal probability. Hence, we may
= 3(0X}) + (-aM)
ElAA
a
For n>1. we find that E]A,A, I = 0(sec Problem 6-2-1). Accordingl
NRZ bipolar format, we have
n = 0
a/2
+1
-a/4
=

RAn) n
6.14
=

0 otherwise
where, in the second line on the right side, we have made note of the fact th.
RA-n)= Raln). that
The basic pulse v(t) for the NRZ bipolar format has its Fourier
defined by Eq. 6.8. transform
Hence, substituting Eqs. 6.8 and 6.14 in Eq. 6.6,
Tb. we find that the power with
given by
spectral density of the NRZ bipolar format is

S T, sinc (fT.)-explj27fT) +exp(-J27fT»)|

sincFT,II - cos(2mfT,))
aT,sinc(fT,)sin-(7fT,)
The normalized form of this (6.15)
see that equation is shown plotted in curve c
although most of the power lies inside a in Fig. 6.4. We
1/T,
polar waveforms ofbandwidth
(as with unipolar and equal to the bit rate
content of the NRZ the NRZ
bipolar format is relatively type), the spectral
small around zero frequency.
(4) Manchester Fornmat
Consider next the Manchester
of format for which the
independent, equally likely symbols. input binary data consIst
RAn) for the Manchester Then, the
as that autocorrelation functou
NRZ polar format. The basicformat is the same
doublet pulse of unit pulse vt) for the given in Eq. 6.12 for u
amplitude and total durationManchester format
T,. Hence, the consists
form of the pulse oe
equals
Fourier tra
V)= jt, sinc)
sin T (6.16)
Thus, substituting Egs. 6.12 and 6.16 in
Eq. 6.6, we
density of the
Manchester format is given find that the power spectra
by power spec
S T,
sincT.) sin( 2 (6.17)
 form of this equation is shown plotted d in Fig. 6.4. A
curve AS
The normalized as
anticipated, most of the power in the Manchester format lies inside a bandwidtn
equal to 2/1, (i.e., twice that of unipolar, polar, and bipolar formats of the
NKL

type).