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Chapter 8: M -ary Signaling Techniques

A First Course in Digital Communications


Ha H. Nguyen and E. Shwedyk

February 2009

A First Course in Digital Communications

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Chapter 8: M -ary Signaling Techniques

Introduction
There are benefits to be gained when M -ary (M = 4)
signaling methods are used rather than straightforward binary
signaling.
In general, M -ary communication is used when one needs to
design a communication system that is bandwidth efficient.
Unlike QPSK and its variations, the gain in bandwidth is
accomplished at the expense of error performance.
To use M -ary modulation, the bit stream is blocked into
groups of bits the number of bit patterns is M = 2 .
The symbol transmission rate is rs = 1/Ts = 1/(Tb ) = rb /
symbols/sec there is a bandwidth saving of 1/ compared
to binary modulation.
Shall consider M -ary ASK, PSK, QAM (quadrature amplitude
modulation) and FSK.
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Chapter 8: M -ary Signaling Techniques

Optimum Receiver for M-ary Signaling




mi



 



r (t )

si (t )





m i

w (t )

w(t) is zero-mean white Gaussian noise with power spectral


density of N20 (watts/Hz).
Receiver needs to make the decision on the transmitted signal
based on the received signal r(t) = si (t) + w(t).
The determination of the optimum receiver (with minimum
error) proceeds in a manner analogous to that for the binary
case.
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Chapter 8: M -ary Signaling Techniques

Represent M signals by an orthonormal basis set, {n (t)}N


n=1 ,
N M:
si (t) = si1 1 (t) + si2 2 (t) + + siN N (t),
Z Ts
sik =
si (t)k (t)dt.
0

Expand the received signal r(t) into the series


r(t) = si (t) + w(t)
= r1 1 (t) + r2 2 (t) + + rN N (t) + rN +1 N +1 (t) +
For k > N , the coefficients rk can be discarded.
Need to partition the N -dimensional space formed by
~r = (r1 , r2 , . . . , rN ) into M regions so that the message error
probability is minimized.
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Chapter 8: M -ary Signaling Techniques

N dimensiona l observatio n space

r = (r1 , r2 , , rM )

1
Choose s1 (t ) or m1

M
Choose s M (t ) or mM

2
Choose s2 (t ) or m2

The optimum receiver is also the minimum-distance receiver:


Choose mi if
PN
2
2
(r

s
ik ) <
k=1 k
k=1 (rk sjk ) ;
j = 1, 2, . . . , M ; j 6= i.

PN

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Chapter 8: M -ary Signaling Techniques

M-ary Coherent Amplitude-Shift Keying (M-ASK)


r

2
cos(2fc t), 0 t Ts
Ts
r
2
= [(i 1)]1 (t), 1 (t) =
cos(2fc t), 0 t Ts ,
Ts
i = 1, 2, . . . , M.

si (t) = Vi

s1 (t )

s2 ( t )

s3 (t )

si (t )

r (t )

sk (t )

 sM 1 (t )

(k 1)

kTs

(M 2)

t = kTs

( )dt

( k 1) Ts

r1

sM (t )

1 (t )

(M 1)

 !
" 

m i

w (t )
1 (t )
N0
WGN, strength
watts/Hz
2
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Chapter 8: M -ary Signaling Techniques

Minimum-Distance Decision Rule for M-ASK





sk (t), if k 32 < r1 < k 12 , k = 2, 3, . . . , M 1


.
Choose
s (t), if r1 <
2

1
sM (t), if r1 > M 32
f (r1 sk (t ) )

r1
0

(k 1)

Choose s1 (t )

# Choose s (t )
M

Choose sk (t )

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Chapter 8: M -ary Signaling Techniques

Error Performance of M-ASK


f (r1 sk (t ) )

r1

P [error] =

M
X

P [si (t)]P [error|si (t)].

i=1

 p

P [error|si (t)] = 2Q / 2N0 , i = 2, 3, . . . , M 1.
 p

P [error|si (t)] = Q / 2N0 , i = 1, M.

2(M 1)  p
P [error] =
Q / 2N0 .
M

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Chapter 8: M -ary Signaling Techniques

Modified M-ASK Constellation


The maximum and average transmitted energies can be reduced, without
any sacrifice in error probability, by changing the signal set to one which
includes the negative version of each signal.
r

2
si (t) = (2i 1 M )
cos(2fc t), 0 t Ts , i = 1, 2, . . . , M.
2} Ts
|
{z
Vi

'()

$
'*)

&

3
2

PM

1 (t )

3
2

$
2

1 (t )

M
(M 2 1)2
2 X
(2i 1 M )2 =
.
M
4M i=1
12
r
Es
(M 2 1)2
(12 log2 M )Eb
Eb =
=
=
log2 M
12 log2 M
M2 1

Es

i=1

Ei

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Chapter 8: M -ary Signaling Techniques

Probability of Symbol Error for M-ASK


s

2(M 1)
P [error] =
Q
M

6Es
(M 2 1)N0

2(M 1)
=
Q
M
s

2(M 1)
1
P [bit error] = P [symbol error] =
Q

M log2 M

6 log2 M Eb
M 2 1 N0

6 log2 M Eb
M 2 1 N0
!

(with Gray mapping)

10

10

M=16
(W=1/4Tb)

P[symbol error]

10

M=8
(W=1/3T )
b

10

M=4
(W=1/2T )
b

10

M=2
(W=1/Tb)

10

10

10

15

20

25

E /N (dB)
b

W is obtained by using the W Ts = 1 rule-of-thumb. Here 1/Tb is the bit rate (bits/s).
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Chapter 8: M -ary Signaling Techniques

Example of 2-ASK (BPSK) and 4-ASK Signals


Baseband information signal
1
0
1
0

Tb

2Tb

3Tb

4Tb

5Tb

6Tb

7Tb

8Tb

9Tb

10Tb

7Tb

8Tb

9Tb

10Tb

BPSK Signalling
2
0
2
0

Tb

2Tb

3Tb

4Tb

5Tb

6Tb

4ASK Signalling
2
0
2
0

2Tb

A First Course in Digital Communications

4Tb

6Tb

8Tb

10Tb

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Chapter 8: M -ary Signaling Techniques

M-ary Phase-Shift Keying (M-PSK)




(i 1)2
si (t) = V cos 2fc t
,
M

0 t Ts ,

i = 1, 2, . . . , M ; fc = k/Ts , k integer; Es = V 2 Ts /2 joules






(i 1)2
(i 1)2
si (t) = V cos
cos(2fc t)+V sin
sin(2fc t).
M
M
V cos(2fc t)
V sin(2fc t)

, 2 (t) =
.
Es
Es




p
p
(i 1)2
(i 1)2
si1 = Es cos
, si2 = Es sin
.
M
M

The signals lie on a circle of radius Es , and are spaced every


2/M radians around the circle.
1 (t) =

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Chapter 8: M -ary Signaling Techniques

Signal Space Plot of 8-PSK




(i 1)2
,
si (t) = V cos 2fc t
M

0 t Ts ,

i = 1, 2, . . . , M ; fc = k/Ts , k integer; Es = V 2 Ts /2 joules


2 (t )

s3 (t ) 011

010 s4 (t )

s2 (t ) 001

Es

110 s5 (t )
0

s1 ( t ) 000

1 (t )

s8 (t ) 100

111 s6 (t )
s7 (t ) 101
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Chapter 8: M -ary Signaling Techniques

Signal Space Plot of General M-PSK




(i 1)2
,
si (t) = V cos 2fc t
M

0 t Ts ,

i = 1, 2, . . . , M ; fc = k/Ts , k integer; Es = V 2 Ts /2 joules


2 (t )

s 2 (t )

Es

2 M
0

s1 (t )

2 M

1 (t )

s M (t )

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Chapter 8: M -ary Signaling Techniques

Optimum Receiver for M-PSK


,

Ts

t = Ts

r1

()dt

Compute

2
(r1 si1 )2 + (r+
2 si 2 )

r (t )

1 (t )

Ts

for i = 1, 2,

t = Ts

and choose

r2

( )dt

m i

,M

the smallest

2 (t )

P [error]

r2

=
=

Region 2
Choose s2 (t )

P [error|s1 (t)]
ZZ
1

f (r1 , r2 |s1 (t))dr1 dr2 .

r1 ,r2 Region 1

s2 ( t )
Es

M
0

A First Course in Digital Communications

s1 (t )

r1

Region 1
Choose s1 (t )

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Chapter 8: M -ary Signaling Techniques

Lower Bound of P [error] of M-PSK


r2

Region 2
Choose s2 (t )
r2

s2 ( t )
Es

M
0

s2 ( t )

Es sin ( M )
s1 (t )

r1

Region 1
Choose s1 (t )

M
0

s1 (t )

Es ,0

r1

P [error|s1 (t)] > P [r1 , r2 fall in 1 |s1 (t)], or


n  p
o
P [error|s1 (t)] > Q sin
2Es /N0 .
M
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Chapter 8: M -ary Signaling Techniques

Upper Bound of P [error] of M-PSK


r2

s2 ( t )

Es sin ( M )

r2

s1 (t )

Region 2
Choose s2 (t )

Es ,0

Es ,0

r1

s2 ( t )
Es

M
0

r2

s1 (t )

r1

Region 1
Choose s1 (t )

r1
s1 (t )

Es sin ( M )

s M (t )

P [error] < P [r1 , r2 fall in 1 |s1 (t)] + P [r1 , r2 fall in 2 |s1 (t)], or
  p

P [error] < 2Q sin
2Es /N0 ,
M
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Chapter 8: M -ary Signaling Techniques

Symbol Error Probability of M-PSK


10

M=32
10

P[symbol error]

M=16
10

10

10

M=8

Exact

M=4
5

M=2
10

10

Lower bound
Upper bound

10

15

20

25

E /N (dB)
b

With a Gray mapping, the bitq


error probability is approximated as:

1
2Eb
P [bit error]M -PSK log M Q
sin2 M
N0 .
2

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Chapter 8: M -ary Signaling Techniques

Comparison of BPSK and M-PSK

P [error]M -PSK Q

  2E
b
sin2
M N0

where Es = Eb .

p
P [error]BPSK = Q( 2Eb /N0 ).

M -ary BW/Binary BW

sin2 (/M )

M -ary Energy/Binary Energy

3
4
5
6

8
16
32
64

1/3
1/4
1/5
1/6

0.44
0.15
0.05
0.0144

3.6 dB
8.2 dB
13.0 dB
17.0 dB

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Chapter 8: M -ary Signaling Techniques

M-ary Quadrature Amplitude Modulation (M-QAM)


M -QAM constellations are two-dimensional and they involve
inphase (I) and quadrature (Q) carriers:
r
2
I (t) =
cos(2fc t), 0 t Ts ,
Ts
r
2
Q (t) =
sin(2fc t), 0 t Ts ,
Ts
The ith transmitted M -QAM signal is:
r
r
2
2
0 t Ts
si (t) = VI,i
cos(2fc t) + VQ,i
sin(2fc t),
i = 1, 2, . . . , M
Ts
Ts
r
p
2
=
Ei
cos(2fc t i )
Ts

VI,i and VQ,i are the information-bearing discrete amplitudes of the


2
2
two quadrature carriers, Ei = VI,i
+ VQ,i
and
1
i = tan (VQ,i /VI,i ).
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(1,7)

(4,4)

Rectangle

Triangle

Rectangle

M =8

M =4

(1,3)

Chapter 8: M -ary Signaling Techniques

A First Course in Digital Communications

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R2

(4,12)

(8,8)
Triangle

R2
R1

(1,5,10)

M = 16

R1

R1

R2

Hexagon
Rectangle

Chapter 8: M -ary Signaling Techniques

A First Course in Digital Communications

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Chapter 8: M -ary Signaling Techniques

A Simple Comparison of M-QAM Constellations


With the same minimum distance of all the constellations, a more
efficient signal constellation is the one that has smaller average
transmitted energy.
3456789: 4

./012

<=>?@AB
;

CDEDF

M =8

Es for the rectangular, triangular, (1,7) and (4,4) constellations are


found to be 1.502 , 1.1252 , 1.1622 and 1.1832 , respectively.

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Chapter 8: M -ary Signaling Techniques

Rectangular M-QAM
Q (t )
M = 64

M = 16

M = 32

M =8

I (t )

M =4

The signal components take value from the set of discrete values
{(2i 1 M )/2}, i = 1, 2, . . . , M
2 .

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Chapter 8: M -ary Signaling Techniques

Modulation of Rectangular M-QAM


Each group of = log2 M bits can be divided into I inphase bits
and Q quadrature bits, where I + Q = .
Inphase bits and quadrature bits modulate the inphase and
quadrature carriers independently.
Inphase bits
Select VI ,i

Infor. bits

GHI
JKLMNOL HP HQ

2
cos(2f c t )
Ts

Inphase ASK

si (t )

XYZ WN[VSL

Quadrature bits
Select VQ,i

Quadrature ASK

RST UQSVWJ NMMHQ


A First Course in Digital Communications

2
sin( 2f c t )
Ts
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Chapter 8: M -ary Signaling Techniques

Demodulation of Rectangular M-QAM


Due to the orthogonality of the inphase and quadrature signals, inphase
and quadrature bits can be independently detected at the receiver.
t = Ts
Inphase
ASK
decision

Ts

( ) dt
0

r (t ) = si (t ) + w (t )

I ( t ) =

2
cos(2 f c t )
Ts
Ts

( ) dt
0

Q (t ) =

2
sin(2 f ct )
Ts

Decision
Multiplexer
t = Ts

Quadrature
ASK
decision

(b) Receiver

The most practical rectangular QAM constellation is one which


I = Q = /2, i.e., M is a perfect square and the rectangle is a square.
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Chapter 8: M -ary Signaling Techniques

Symbol Error Probability of M-QAM


For square constellations:

2
P [error] = 1 P [correct] = 1 1 PM [error] ,
s
!


1
3Es

P M [error] = 2 1
Q
,
(M 1)N0
M
where Es /N0 is the average SNR per symbol.
For general rectangular constellations:
s
"
!#2
3Es
P [error] 1 1 2Q
(M 1)N0
s
!
3Eb
4Q
(M 1)N0
where Eb /N0 is the average SNR per bit.
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Chapter 8: M -ary Signaling Techniques

10

M=256
10

P[symbol error]

M=64
10

M=16
10

10

M=4
5

M=2
10

10

Exact performance
Upper bound
5

10

15

20

25

Eb/N0 (dB)
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Chapter 8: M -ary Signaling Techniques

Performance Comparison of M-PSK and M-QAM


q

2Es

For M -PSK, approximate P [error] Q


sin
M .
q N0

3Eb
For M -QAM, use the upper bound 4Q
(M 1)N0 .
Comparing the arguments of Q() for the two modulations
gives:
3/(M 1)
M =
.
2 sin2 (/M )

A First Course in Digital Communications

10 log10 M

8
16
32
64
256
1024

1.65
4.20
7.02
9.95
15.92
21.93

dB
dB
dB
dB
dB
dB
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Chapter 8: M -ary Signaling Techniques

Performance Comparison of M-ASK, M-PSK, M-QAM


1

10

P[symbol error]

10

10

4QAM or QPSK
4

10

M=4, 8, 16, 32
5

10

10

MASK
MPSK
MQAM

A First Course in Digital Communications

10
Eb/N0 (dB)

15

20
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Chapter 8: M -ary Signaling Techniques

M-ary Coherent Frequency-Shift Keying (M-FSK)


si (t) =

V cos(2fi t),
0,

0 t Ts
, i = 1, 2, . . . , M,
elsewhere

where fi are chosen to have orthogonal signals over [0, Ts ].

 
(k i) 1 , (coherently orthogonal)
 2Ts
fi =
, i = 0, 1, 2, . . .
(k i) 1 , (noncoherently orthogonal)
Ts
2 (t )

s 2 (t )

Es
0

s3 ( t )

Es

s1 (t )

1 (t )

Es

3 (t )
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Chapter 8: M -ary Signaling Techniques

Minimum-Distance Receiver of M-FSK


Choose mi if
M
M
X
X
2
(rk sik ) <
(rk sjk )2
k=1

k=1

j = 1, 2, . . . , M ; j 6= i,

Ts

ri > rj ,

Choose mi if
j = 1, 2, . . . , M ; j 6= i.

t = Ts

( )dt

r1

r (t )

s (t )
1 (t ) = 1
Es

Ts

\]^^_`
a]`
bcde` _a

Decision

t = Ts

()dt

rM

M ( t ) =

s M (t )
Es

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Chapter 8: M -ary Signaling Techniques

Symbol Error Probability of M-FSK


P [error] = P [error|s1 (t)] = 1 P [correct|s1 (t)].
P [correct|s1 (t)] = P [(r2 < r1 ) and and (rM < r1 )|s1 (t) sent].
Z
=
P [(r2 < r1 ) and and (rM < r1 )|{r1 = r1 , s1 (t)}]f (r1 |s1 (t))dr.
r1 =

P [(r2 < r1 ) and and(rM < r1 )|{r1 = r1 , s1 (t)}] =


P [rj < r1 |{r1 = r1 , s1 (t)}] =
P [correct] =

r1

M
Y

P [(rj < r1 )|{r1 = r1 , s1 (t)}]

j=2



1
2

exp
d.
N0
N0


 M1
1
2

exp
d

N0
N0
r1 =
=



1
(r1 Es )2

exp
dr1 .
N0
N0

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Z

r1

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Chapter 8: M -ary Signaling Techniques

10

10

M=64

P[symbol error]

10

M=4

M=32

M=2

10

M=16
5

10

M=8
6

10

10

1
P [error] = 1
2

A First Course in Digital Communications

4
y

x2 /2

6
8
Eb/N0 (dB)

dx

M 1

10

1
exp
2

12

14

16

2 log2 M Eb
N0

!2
dy.

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Chapter 8: M -ary Signaling Techniques

Bit Error Probability of M-FSK


Due to the symmetry of M -FSK constellation, all mappings
from sequences of bits to signal points yield the same bit
error probability.
For equally likely signals, all the conditional error events are
equiprobable and occur with probability
Pr[symbol error]/(M
1) = Pr[symbol error]/(2 1).

There are k ways in which k bits out of may be in error
The average number of bit errors per -bit symbol is
 

X
Pr[symbol error]
21
=

Pr[symbol error].
k
k
2 1
2 1
k=1

The probability of bit error is simply the above quantity


divided by :
Pr[bit error] =

A First Course in Digital Communications

21
Pr[symbol error].
2 1

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Chapter 8: M -ary Signaling Techniques

Union Bound on the Symbol Error Probability of M-FSK


P [error] = P [(r1 < r2 ) or (r1 < r3 ) or, , or (r1 < rM )|s1 (t)].
Since the events are not mutually exclusive, the error
probability is bounded by:
P [error] < P [(r1 < r2 )|s1 (t)]+
P [(r1 < r3 )|s1 (t)] + + P [(r1 < rM )|s1 (t)].
p

But P [(r1 < rj )|s1 (t)] = Q
Es /N0 , j = 3, 4, . . . , M .
Then

p

p
Es /N0 < M Q
Es /N0 < M eEs /(2N0 ) .
P [error] < (M 1)Q
n 2o
where the bound Q(x) < exp x2 has been used.

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Chapter 8: M -ary Signaling Techniques

An Upper Bound on Q(x)


Q(x) =

Q(x) and its simple upper bound

10

 2
 2
1

x
exp
d < exp
2
2
2
2

exp(x /2)
5

10

Q(x)
10

10

15

10

A First Course in Digital Communications

4
x

8
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Chapter 8: M -ary Signaling Techniques

Interpretations of P [error] < MeEs /(2N0 )


1

Let M = 2 = e ln 2 and Es = Eb . Then


P [error] < e ln 2 eEb /(2N0 ) = e(Eb /N0 2 ln 2)/2 .
As , or equivalently, as M , the probability of
error approaches zero exponentially, provided that
Eb
> 2 ln 2 = 1.39 = 1.42 dB.
N0

Since Es = Eb = V 2 Ts /2, then


P [error] < e ln 2 eV

2 T /(4N )
s
0

= eTs [rb ln 2+V

2 /(4N

0 )]

If rb ln 2 + V 2 /(4N0 ) > 0, or rb < 4NV0 ln 2 the probability or


error tends to zero as Ts or M becomes larger and larger.
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Chapter 8: M -ary Signaling Techniques

Comparison of M-ary Signaling Techniques


A compact and meaningful comparison is based on the bit rate-to
bandwidth ratio, rb /W (bandwidth efficiency) versus the SNR per
bit, Eb /N0 (power efficiency) required to achieve a given P [error].
M -ASK with single-sideband (SSB) transmission, W = 1/(2Ts ) and
r 
b
= 2 log2 M (bits/s/Hz).
W SSB-ASK
M -PSK (M > 2) must have double sidebands, W = 1/Ts and
r 
b
= log2 M, (bits/s/Hz),
W PSK

(Rectangular) QAM has twice the rate of ASK, but must have
double sidebands QAM and SSB-ASK have the same bandwidth
efficiency.
For M -FSK with the minimum frequency separation of 1/(2Ts ),
M
M
M
W = 2T
= 2(/r
= 2 log
rb , and
s
b)
2M
r 
2 log2 M
b
=
.
W FSK
M

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Chapter 8: M -ary Signaling Techniques

USSB Transmission of BPSK Signal


cos(2 f ct )

m(t )

sUSSB (t )

+
LTI Filter
h (t )
H( f )
H ( f ) = j sgn( f )

m (t )

sin(2 f ct )



Z
1
1 m(t )
m(t)

= m(t) h(t) = m(t)


=
d
t

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Chapter 8: M -ary Signaling Techniques

Example of USSB-BPSK Transmitted Signal


(a) BPSK signal

V
0

Tb

2Tb

3Tb

4Tb

5Tb

6Tb

t
(b) USSBBPSK signal

V
0
V
0

Tb

2Tb

3Tb

4Tb

5Tb

6Tb

7Tb

8Tb

t
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Chapter 8: M -ary Signaling Techniques

Power-Bandwidth Plane (At P [error] = 105)


10
M=64
M=16

M=32
3
M=4

M=8
Bandwidthlimited
region: r /W>1

M=2

1
M=8

Powerlimited
region: r /W<1

r /W (bits/s/Hz)

M=64

M=16

M=16

0.5

M=32

0.3
0.2
0.1
10

M=64

5 1.6 0

A First Course in Digital Communications

PSK
QAM and ASK (SSB)
FSK

5
10
15
SNR per bit, Eb/N0 (dB)

20

25

30

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Chapter 8: M -ary Signaling Techniques

Two Statements
Consider information transmission over an additive white Gaussian
noise (AWGN) channel. The average transmitted signal power is
Pav , the noise power spectral density is N0 /2 and the bandwidth is
W . Two statements are:
1

For each transmission rate rb , there is a corresponding limit


on the probability of bit error one can achieve.

For some appropriate signalling rate rb , there is no limit on


the probability of bit error one can achieve, i.e., one can
achieve error-free transmission.
Which statement sounds reasonable to you?

A First Course in Digital Communications

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Chapter 8: M -ary Signaling Techniques

Shannons Channel Capacity




Pav
C = W log2 1 +
,
W N0
where W is bandwidth in Hz, Pav is the average power and N0 /2
is the two-sided power spectral density of the noise.
Shannon proved that it is theoretically possible to transmit
information at any rate rb , where rb C, with an arbitrarily
small error probability by using a sufficiently complicated
modulation scheme. For rb > C, it is not possible to achieve
an arbitrarily small error probability.
Shannons work showed that the values of Pav , N0 and W set
a limit on transmission rate, not on error probability!
The normalized channel capacity C/W (bits/s/Hz) is:




C
Pav
C Eb
= log2 1 +
= log2 1 +
.
W
W N0
W N0
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Chapter 8: M -ary Signaling Techniques

Shannons Capacity Curve


10

Eb
N0

2C/W 1
C/W

Channel capacity
limit, C/W

M=64
M=16

M=32
M=16
M=4

M=8

Shannon limit

Bandwidthlimited
region: r /W>1

M=2

1
M=8

Powerlimited
region: rb/W<1

r /W (bits/s/Hz)

3
2

M=64

M=16

0.5

M=32

0.3
0.2
0.1
10

M=64

5 1.6 0

PSK
QAM and ASK (SSB)
FSK

5
10
15
SNR per bit, E /N (dB)
b

A First Course in Digital Communications

20

25

30

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Chapter 8: M -ary Signaling Techniques

Spectrum Efficiency of DVB-S2 Standard


5

Example 2:

Spectrum Efficiency

4. 5

80 Mbit/s in 36MHz at 9.5dB with 8PSK

4
3. 5
3
2. 5
2
1. 5
1

Example 1:

0. 5

50Mbit/s in 36MHz at 4dB with QPSK

0
-4

-2

SNR (dB)

A First Course in Digital Communications

10

12

14

16

More information: www.dvb.org

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