SYNCHRONIZATION OF FREQUENCY HOPPING
DPSK SIGNALS
K.T. WOO
ELECTRONICS SYSTEMS GROUP
TRW DEFENSE AND SPACE
REDONDO BEACH, CALIF. 90278
ABSTRACT
The time synchronization problem of frequency
hopping DPSK signals is considered in this paper.
Before DPSK data can be properly demodulated by
the receiver several dimensions of time synchron-
ization must first be achieved. These include
the acquisition and tracking of the frequency hop
time epoch, symbol synchronization of the DPSK
data stream, and the frame synchronization which
involves the determination of the first DPSK bit
within each hop period.
Two symbol sync structures for DPSK signals,
with and without data aiding, are first discussed.
They are optimal in the Gaussian noise channel
in the sense that they are both motivated by max-
imum a posteriori (MAP) estimation theory. Meth-
ods for acquiring the frequency hop time and its
tracking for this type of signal, as well as the
determination of the first DPSK symbol in each
hop, are next discussed. The effect of symbol
sync error on the probability of DPSK detection
error is analyzed. Numerical results showing the
bit error as a functi'on of both fixed and random
symbol sync error are given.
INTRODUCTION
Transmission of DPSK signals on a frequency
hopping carrier has recently been proposed as an
alternate signalling waveform for a number of
satellite communication systems. Modern satellite
terminals with large G/T's can now support data
rates in excess of 1 megabits per second. For
these cases DPSK signalling is an attractive
alternative because of its relatively simple
demodulator implementation.
System performance is, of course, one of the
most important criteria in the selection of mod-
ulation waveforms. Coding and interleaving are
definitely necessary in order for this type of
spread spectrum signalling to be effectiveagainst
partial band interferences. The final selection
of the modulation waveform depends also on the
achievable Eb/No of the link considering its
postulated jamming scenarios,realistic antenna
discrimination, AJ processing and coding gains,
as well as other parameterswhich may affect sys-
tem performance.
The intent of this paper is not to evaluate the
relative performance of frequency hopping DPSK
signals, but rather to discuss the time synchroni-
zation problems of the receiver for such signals.
In order for the receiver to be able to demodu-
late the frequency hopping DPSK signal, it must
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achieve time synchronization with the received
signal with respect to:
(i) Frequency hop time epoch sync
(ii) DPSK symbol sync
and
(iii) DPSK frame sync
In most cases of interest the frequency hop
clock is synchronized with the clock of the
DPSK symbols within each hop. For such signals
the frequency hop clock can be obtained by down
division of the DPSK symbol clock. Therefore
there is no requirement for a separate frequency
hop tracking loop once DPSK symbol sync is ach-
ieved and the first DPSK symbol (the reference
bit) in each hop is determined. The latter
problem constitutes the frame sync issue of (iii).
However before DPSK symbol sync can be achieved,
frequency hop must be acquired through some search
procedure and frequency hop time error must be
tracked down to a small fraction of a hop.
In the following sections several alogrithms
and their implementations are discussed with
respect to FH/DPSK reception. Also given in this
paper is the effect of symbol sync error on DPSK
detection performance.
DPSK SYMBOL SYCHRONIZATION
The DPSK symbol rate clock is the finest timing
epoch in the received waveform. Satisfactory
performance in the tracking of DPSK symbols is
thus necessary for both DPSK data detection as
well as for frequency hop time tracking. However,
proper functioning of the symbol sync cannot be
achieved unless the frequency hop time error is
small compared to a hop, so that there is suffi-
cient signal energy within each hop for the DPSK
symbol sync loop to derive its error signal for
symbol sync tracking.
Symbol sync loops for BPSK signals motivated by
MAP estimation theory have been discussed pre-
viously, for both NRZ and Manchester symbols[l].
Based on MAP estimation again, near optimal sym-
bol sync structures can be derived for DPSK sig-
nals.
The requ i red functi ons of the demodul atorare i 1 1 US -
trated in Figure 1. Assume frequency hop time
has been acquired and the carrier frequency error
has been minimized by some form of AFC tracking
(which is beyond the scope of this paper). The
 inphase and quadrature low-pass signals can be
written as
y1(t) = LJd(t)sin0 +
nc(t)J
yQ(t) = d d (t) cosf + n (t)J
where S is the received signal power; d(t) is the
bi-phase data modulation; n , n are quadrature
components of the narrow-bafid Gaussian noise addi-
tive to the received signal; and * is the carrier
phase error which can be assumed to be a random
variable uniformly distributed between 0 and 2sr
for this non-coherent operation under consideration.
To a good approximation the noise processes nc
and ns can be assumed to be independent, white
Gaussian processes. The sampled values of y,
Yn wi ll then have a joint probability densit;
fInction of the form
p(YW, YQ/e, , A)-exp p(cosf Y TD + sinf YQTD)
(2)
where p = 2/z/N0depends
only on SNR and
where YI, YQ, and D are L-dimensional vectors
which are sampled values ofYi,YQ, and d(t) re-
spectively, T denotes transpose. The aboveisthen
the conditional probability density of YI, YQ
given the symbol sync error £, carrier phase error
*, and the sequence of data polarities A = (al, a2,
... ) corresponding the data modulation
d(t) = z akP(t-KT5 + c) (3)
K RQD(s)
where P(t) is the rectangular pulse function with
symbol time duration T
The MAP estimation We is given by the value
9 that maximizes p(YI, Y?/c), which can be ob-
tained by averaging eq. 2) over the random var-
iables * and A. Averaging (2) over * we obtain
P(YV, YQ I£ A)- I (P2'Y ITD)2 +
(4)
whereIois the modified Bessel function. Further-
more, as the sample interval approaches zero, we
obtain formally the continous-time version of (4).
Io (P Y(t)d(t)dt]2 -+ Iry (t)d(t)dtl 2
(4a)
Two forms of symbol synchronizers may result
depending on whether the data is assumed to be
known (or, decision-directed with data detector
outputs), or to be random. These are conmnonly re-
ferred to as with and without data aiding [2).
For non-data-aided (NDA) solutions we need to av-
erage (4a) over the data randomness to obtain a
likelihood function to be minimized to obtain e.
With ak's assumed to be independent random vari-
bles taking value ±1 with probability ½ it can be
shown that the likelihood functional is given by
A(e/YI, YQ) = ln p (y1., yQ/e)
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- k k2 (C) + a2( )
(5)
where
ak(s) = fy1(t)P(t-kTs + s)dt
Sk(s) = fYQ(t)P(t-kT5 + s)dt
are the inphase tgd quadrature integrate and dump
outputs of the k symbol. The MAP estimator e
will then satisfy, for the NDA case, the following
equation
aA(°)I0= t
ag
-
) + k ake Yk(
(7)
Bks 0k (c)
where a, Bk are partial derivatives of a and B
of (6) Kespect
to c, respectively.
In the with-data-aiding (DA) case the bit stream
ak is assumed known _+1 numbers. The gradient equa-
tion which the DA estimator e must satisfy can
then be found from (4a) to be
kRID(g)"lk k(e) + RQD(t)AkAk (e) = 0 (8)
where RID, RQD are thecorrelation of YI, YQ with
the known data pattern:
RID(s) f y1(t) Z a.P(t-jT + s) dt
= f yQ(t) z a.P(t-jTs + s) dt (9)
jJ
RID, RIQ actually themselves the estimators
are
of coso and sino respectively, which serve to
eliminate the * dependence on ak and Bk in (8).
Closed loop symbol synchronizers, motivated by
the MAP estimator equations (7) and (9), can be
(YQTD)21) realized as in Figures (2a) and (2b), for the NDA
and DA cases respectively. A positive and a neg-
ative pulse at the edges of each symbol, as shown
in Figure (2c), can be used to approximate the
partial derivative of P(t). The data modulation
polarity estimates ak can be obtained from the
DPSK data detector outputs ak (+1 valued) by the
operation
ak = ak ak-1 (10)
FREQUENCY HOP ACQUISITION AND DPSK FRAME SYNC
Coarse acquisition of frequency hopped signals
is usually accomplished by either a stepped ser-
ial search or matched filter detection. In the
stepped serial search scheme the received signal
is dehopped according to the local pre-set fre-
quency hop pattern to an IF signal which is band-
pass filtered and envelope detected. Accumulated
sum of the envelope values over an examination
interval is then compared to a threshold to de-
termine if frequency hop sync has been acquired.
The entire FH code phase uncertainty will be
searched until sync is found. The matched filter
scheme, on the other hand, is a passive correlator
which searches the code phase in real time by
20.3-2
 having a bank of correlators which consists of
dehop/BPF/envelope-detector circuits whose LO
frequencies correspond to a sequence of N con-
secutive frequencies in the frequency hop code.
The envelope values are added in real time to be
compared with a threshold.
Performance of either acquisition algorithms
depends on the probabilities PD and PFA of signal
detection and false alarm in the threshold com-
parison tests described above. For example, with
q cells to be searched,each with an examination
time of Te,the mean acquisition time can be shown
to be (31
T- = q (2-PD) (1 + KPFA) Te (11)
2PD
where KTe is the additional delay required by the
receiver to return to the search mode after the
occurrence of each false alarm.
where a, s are the quadrature integrate and
dump ou putg. (see, e.q., [4], [5]). Figure 4
is a functional block diagram of a DPSK detector.
For the Gaussian noise channel under perfect time
and frequency synchronization the probability of
bit error of the DPSK detector is well known:
Pe = h exp (-R) (12)
where R = STA/N0 is the symbol SNR.
Assuming independent, equally likely +1 data
the probability of DPSK detection error with a
normalized symbol sync error x (Ixl < h) can be
shown to be given by the following:
Pe (X) = 1 [eR +eR(1-21xj)2]
+¼ + ¼ Q [J lI l, 2R I( 1- I X) -

Optimum acquisition performance in terms of (13)

mean acquisition time, for example, will then -¼ Q[ (1ixi ), lXI] (13)
require the maximization of PD for a fixed level
of PFA. This can be accomplished by examining where Q (a, b) is the Q-function, which is tab-
the accumulated envelope values of the signal, ulated in literature (see [6], e.q.). Using the
which is optimum according to the likelihood ratio known equalities
test dictated by the Neyman Pearson Lemma (see,
e.q., (6]). The detector implementation is the Q(a,o) = 1
dehop/BPF/ENV DET structure described previously. (14)
For pure frequency hopping signals the BPF should Q(o,b) = e
be matched to the hop rate. The BPF bandwidth
requirement for FH/DPSK signals under consider- equation (13) can be readily seen to reduce to
ation is, however, usually much wider than the (12) when x goes to zero, as one expects. Nu-
hop rate since there can be a large number of merical va!lues of (13) are given in Figure 5.
DPSK symbols within each hop. This results in
inferior performance for PD.
Pe (x) can be averaged over the probability
density of the phase error of the synchronizer,
Detection performance can be greatly improved which can be characterized by the rms jitter a
by decision feedback,which is illustrated in (see [7], p.471) as x
Figure 3. Two DPSK detectors are implemented exp[cos 2Tx/(2Ta)2]
assuming two symbol timings separated by one half p(x = Io12~2
)2
[1/ (2-aA
I

of the symbol duration. Thus one of these de-
tectors will be in symbol sync with the received
data stream to within ¼a of a symbol, and can thus
detect the DPSK data with a degradation whish is
not too significant (< 4 dB at a BER of 10-3, see
Figure 5), provided that the hopping frequencies
are in alignment. The detected data can then be
used to wipe off the data modulation, forming,
essentially, envelope detectors whose bandwidths
are matched only to the hop rate. The maximum of
the two envelope outputs will be accumulated to
test against a fixed threshold for frequency hop
sync detection.
If a known data preamble is available during
initial acquisition it can also be used, as in-
dicated in Figure 3. The same circiut can be used
for the detection of DPSK frame sync, i.e., for
the determination of the first DPSK bit within a
hop, by testing all possible orders of the known
pattern assuming a repeated DPSK pattern is sent
during the initial acquisition phase.
EFFECTS OF SYMBOL SYNC ERROR ON DPSK DETECTION
Detection of DPSK signals is usually achieved
by performing the operation
k 9 [k ak-1 +k Sk-1]
(11)
;J) j (15)
Io
Numerical results of this evaluation are given in
Figure 6.
REFERENCES
(1) Simon, M.K. and Lindsey, W.C., "Tracking
Performance of Symbol Synchronizers for
Manchester Coded Data", IEEE Trans. on Comm.,
VOL. COM-25, No. 4, April 1977.
(2) Frank, L.E., "Carrier and Bit Synchronization
in Data Communication -A Tutorial Review",
IEEE Trans. on Comm., VOL. COM-28, No. 8,
August, 1980.
(3) Holmes, J.K., "Coherent Spread Spectrum Sys-
tems", Wiley Interscience, 1982.
(4) Park, J.H., Jr. "On Binary DPSK Detection",
IEEE Trans. on Comm., VOL. COM-26, No. 4,
Apr., 1978.
(5) Simon, M.K. , "Comments on "On Binary DPSK
Detection"," IEEE Trans. on Comm., VOL. COM-
26, No-10, Oct. 1978
(6) Whalen, A.D. "Detection of Signals in Noise",

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 Academic Press, 1971.
Figure 28 SKibol Smac Phase Dtector-ODta Aided Case
DPSK
(7) Lindsey, W.C. and Simon, M.K., "Teleconmnuni-
cations Systems Engineering", Prentice Hall,
1973.
ikP(t-kT S+)

Figure 1 Demodulator Functional Block Diagram y3(t)

Loop Filter

y0a(t).

akP(t-kTS+ )

Figure 2c Approximation of a
P(t-kT5 4)
P(t-kTs ) K- T.

Figure 2A DPSKSybol Sync Phase Detector-Non Data Aided Case

kTs - (k+I)TS c
du
1.P(t-kT +5)

-
To Loop Filter

F1qu.re 4 DPSK Data Detection

P(t-kTS4)

Hard Decision
-I Output

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 Figure 3 Frequency Hop Sync Detection With OPSK Deta Aiding

1.0
Figure.5 DPSK Probd i i f Bit Err b-1O Figure 6 DPSK Probabilityof Bit Error

Function of Fined Symbol Sync Error As Function of RMS Symbol Sync

jitterj

I X
1-
0
1
L.
LAJ
L l- 01
.102io!-i
; >\ l ;\ \ .l N naie RI .s.
0
Symb Sync 0 O.,15 j2\25 35 0
Error

I 10~ ~ ~ ~ l- Normalized RMS '0.05

10 Srn bo ISync
~~~~~~~~~~~~~~~~~~~Jitter

D 15s9 3 6
F/N (dB)
12 1 18 21
l 6
IN
21
1 u

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