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Providing the underlying principles of digital communication and the design
HA
techniques of real-world systems, this textbook prepares senior undergraduate
and graduate students for the engineering practices required in industry. Covering
the core concepts, including link analysis, modulation, demodulation, spread
spectrum, equalization, channel fading effects, and channel coding, it provides
COMMUNICATION SYSTEMS
THEORY AND DESIGN OF DIGITAL
design are introduced, enabling students to visualize the intricate connections
between subsystems and understand how each aspect of the design supports the
overall goal of achieving reliable communications. Throughout the book, theories
are linked to practical applications with over 250 real-world examples, whilst 370
varied homework problems in three levels of difficulty enhance and extend the text
OF DIGITAL
COMMUNICATION
material. With this textbook, students can understand how digital communication
systems operate in the real world, learn how to design subsystems, and evaluate
end-to-end performance with ease and confidence.
www.cambridge.org/Ha
Providing the underlying principles of digital communication and the design techniques of
real-world systems, this textbook prepares senior undergraduate and graduate students for
the engineering practices required in industry. Covering the core concepts, including link
analysis, modulation, demodulation, spread spectrum, equalization, channel fading effects,
and channel coding, it provides step-by-step mathematical derivations to aid understanding
of background material. In addition to describing the basic theory, the principles of system
and subsystem design are introduced, enabling students to visualize the intricate connec-
tions between subsystems and understand how each aspect of the design supports the overall
goal of achieving reliable communications. Throughout the book, theories are linked to
practical applications with over 250 real-world examples, whilst 370 varied homework
problems in three levels of difficulty enhance and extend the text material. With this
textbook, students can understand how digital communication systems operate in the real
world, learn how to design subsystems, and evaluate end-to-end performance with ease and
confidence.
Tri T. Ha is a Professor in the Department of Electrical and Computer Engineering at the Naval
Postgraduate School (NPS), Monterey, California, a position he has held since 1989. Prior to
joining NPS he worked at Fairchild Industries and GTE, and was an Associate Professor at
Virginia Tech for four years. He is an IEEE Fellow who has written two previous textbooks,
and his current research interests are in wireless communications and cyber warfare.
Theory and Design of Digital
Communication Systems
TRI T. HA
Naval Postgraduate School, Monterey, California
cambridge university press
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore,
São Paulo, Delhi, Dubai, Tokyo, Mexico City
Cambridge University Press
The Edinburgh Building, Cambridge CB2 8RU, UK
Published in the United States of America by Cambridge University Press, New York
www.cambridge.org
Information on this title: www.cambridge.org/9780521761741
A catalog record for this publication is available from the British Library
1 Introduction 1
1.1 Brief overview 1
1.2 Scope 3
1.3 Summary 8
Bibliography 9
6 Modulation 225
Introduction 225
6.1 Review of double sideband-amplitude modulation (DSB-AM) 225
6.2 Digital modulation 229
6.3 Phase shift keying (PSK) 231
6.4 Differential phase shift keying (DPSK) 234
6.5 Amplitude shift keying (ASK) 236
6.6 Frequency shift keying (FSK) 238
Power spectral density 240
6.7 Minimum shift keying (MSK) 242
Power spectral density 243
Modulator 247
6.8 Gaussian minimum shift keying (GMSK) 249
6.9 The need for M-ary modulation 251
6.10 M-ary amplitude shift keying (MASK) 252
Signal space 252
Power spectral density 253
Modulator 255
6.11 M-ary phase shift keying (MPSK) 255
Signal space 256
Power spectral density 258
Modulator 260
Offset quadrature phase shift keying (OQPSK) 260
6.12 Differential M-ary phase shift keying (DMPSK) 262
Alternative differential encoding for DQPSK 264
Direct symbol mapping 265
Modulator 265
xi Contents
7 Demodulation 305
Introduction 305
7.1 The matched filter 306
Time domain interpretation 306
Frequency domain interpretation 310
Output signal and noise waveforms 310
Decision variable 311
Summary 312
7.2 The correlator 312
7.3 The matched filter–envelope detector (noncoherent matched filter) 313
Output signal-to-noise ratio 317
Decision variable 318
Summary 318
7.4 The quadrature correlator–square law detector (noncoherent correlator) 318
7.5 The threshold detector 320
Optimum threshold 320
Maximum likelihood criterion 321
xii Contents
Problems 423
Further reading 430
Bibliography 430
Index 629
Preface
This book was written with two goals in mind: to provide the underlying principles of digital
communication and to study design techniques integrated with real world systems. The
ultimate aim of a communication system is to provide reliable transmission of information to
the user(s). This fundamental foundation was established in 1948 by Claude Shannon, the
founding father of information theory, and led eventually to the development of modern
digital communication. Analog communication is near extinction or at the very gate of it.
The full spectrum dominance of digital communication has arrived and new frontiers are
being established every decade; from cellular systems to wireless LAN and MAN, the bit
rates are being pushed ever higher for ubiquitous mobile applications.
Knowing the limit of digital transmission is vital to the design of future communication
systems, particularly mobile wireless systems, where both spectrum and power are precious
resources, and design techniques can be used to manipulate these two main resources to fit
real world applications. No single technique can cover all the requirements of a modern
communication system, which makes it necessary for students to understand the intricate
web between subsystems, each designed to support others to achieve the common goal of
reliable communication.
The book contains more than 250 examples to help students achieve a firmer under-
standing of the subject. The problems at the end of each chapter follow closely the order of
the sections. They are designed for three levels: level one covers the straightforward
application of equations; level two requires patience and deep thinking; whilst level three
requires some research of the literature to assist in finding a solution. A solutions manual for
the instructor accompanies the book.
The book was written for both senior undergraduate and graduate students studying
communications at universities and colleges. The entire book is suitable for two-
semester courses in digital communications. The first course is typically a one-semester
senior course in digital communication, which may be taken by students new to
studying communications (the conventional wisdom is that students should learn analog
communication before learning digital communications) or after completing an intro-
ductory course in communication systems (one that is heavy in analog communication
systems such as AM and FM). The second course is a one-semester course for graduate
students who already have a firm background in random variables and processes. The
practical material included in this book (much of it focused on commercial and military
systems) will be helpful for practitioners and professionals in the digital communication
field.
As in the learning of any subject, some prerequisites are required for the reading of this
book. A first course in probability theory is necessary and exposures to random processes
xvii
xviii Preface
would be helpful. Readers should also be familiar with linear system analysis. A knowledge
of analog communication is helpful but not required. For readers who do not have the
patience to go through all the design techniques but would appreciate the beauty of the
underlying principles, we recommend our favorite book, Principles of Digital
Communication, authored by the legendary Robert G. Gallager.
Acknowledgements
I would like to express my thanks to Dr. Phil Meyler of Cambridge University Press for his
enthusiastic support and for suggesting the title of the book to closely reflect its coverage.
I would like to thank the anonymous reviewers for their valuable comments that helped in
improving the book. I am grateful for the support of my friends Nathan Beltz, Professor
Vicente Garcia, Professor Jeff Knorr, Professor Frank Kragh, Donna Miller, Rita Painter,
Professor Clark Robertson, Professor Wei Su, Dr. Jan Tighe, and Dr. Charlie Victory. I also
would like to thank my students over the years for their valuable suggestions to improve the
original notes. I am grateful to my parents for providing me the opportunity to go to the
United States for higher education, and to Thuy, Khanh, Tuan, Huong and Dennis, Thu, and
Hien for their help and support over the years. This book is dedicated to the people who
work tirelessly for world peace.
xix
Symbols
xx
xxi List of symbols
d distance
d data sequence
dB decibel
d free free distance of a convolutional code
d free Euclidean free distance of TCM
di , d(i) normalized bit or symbol amplitude, di 2 f1; þ1Þ, di 2 f0; 1Þ
fdi g, fdðiÞg data sequence
dmin minimum Hamming distance, minimum Euclidean distance
d(u,v) Hamming distance between two code words
d ðx; si Þ Euclidean distance between two vectors
E energy (with or without a subscript), smallest symbol energy in MQAM or
MASK, electric-field wave, elevation angle
Eb bit energy
Eb diversity bit energy
E(d,t) free space E-field at distance d from transmitter and time t
Eh hop energy
EIRP effective isotropic radiated power
E0 free space E-field at distance d0 from transmitter
Es symbol energy
Es diversity symbol energy
EðX Þ expected value (mean value) of X
EðX 2 Þ mean-square value of X 2
e 2.718
e error word
e(k) error sequence of MSE-LE
e(t) error process
F noise figure
FfxðtÞg Fourier transform of x(t)
F ð zÞ minimum-phase transfer function, transfer function of a synthetic channel,
z-transform of the sequence f(k)
F ð1=z Þ maximum-phase function
F 1 fX ðf Þg inverse Fourier transform of X(f )
2 F1 Gauss hypergeometric function
ð1Þ
Fjhj2 ðpo ÞSNR outage signal-to-noise ratio
FX ðxÞ distribution function of X
FXY ðx; yÞ joint distribution function of X and Y
fjhj ð xÞ density function of the channel tap magnitude jhj
fXY ðx; yÞ joint density function of X and Y
fX jY ðxjyÞ conditional density function of X given Y
f frequency, Doppler shift
xxii List of symbols
fc carrier frequency
fD Doppler spread
fj instantaneous carrier frequency of FH
fL;i instantaneous local carrier frequency of a frequency synthesizer
fm maximum Doppler shift
fs sampling frequency
fX ðxÞ density function of X
fX ðxÞ density function of vector X
G amplifier gain, gain of a two-port network
G generator matrix, space-time block code matrix
G TCM asymptotic coding gain
GDC gain of a downconverter
GLNA gain of a low-noise amplifier
GR receiver antenna gain
GR =Ts antenna gain-to-noise temperature ratio of the earth station
GS =Tsat antenna gain-to-noise temperature ratio of the satellite
GT transmitter antenna gain
g parity
g(t) pulse
gn ðtÞ orthonormal pulse shapes in OFDM
g(x) code generator polynomial
H Hadamard matrix (with or without a subscript), parity check matrix,
channel tap matrix
H source entropy in bits/second
Hi hypothesis
H(f ) transfer function or frequency response
HFE ðf Þ transfer function of the front-end filter of the receiver
jHðf Þj magnitude response (amplitude response)
HT ðf Þ transfer function of transmit filter
HR ðf Þ transfer function of receive filter
H(k) N-point DFT of the sequence h(n)
H(X) entropy of the discrete random variable (discrete source) X
h Planck constant, digital modulation index, complex channel tap
h row vector of a Hadamard matrix
^
h MMSE of the vector h
hi ; hðiÞ ith channel tap
~hðiÞ complex channel tap
hL ðtÞ complex envelope of the impulse response h(t)
h(n) sequence used in OFDM
hR receive antenna height
xxiii List of symbols
W bandwidth, watt
fwn ðtÞg set of Walsh functions, n = 1, 2, . . . , M
X random variable, discrete source, output variable of a Gaussian channel or
a matched filter
X random vector, output vector of a Gaussian channel
X mean value (expected value) of X
X2 mean-square value of X 2
0
X ej2πf discrete-time Fourier transform of the sequence x(k)
X ðf Þ2 energy spectral density of the energy signal x(t)
X(f ) Fourier transform of x(t), folded spectrum
X(k) N-point DFT of the sequence x(n)
Xn nth extension of the discrete source X
XT ðf Þ Fourier transform of xT ðtÞ, 2T-truncation of x(t), T t T
X(z) z-transform of the sequence x(k), transfer function of the composite
channel in optimum MSE-LE
x value assumed by a random variable X
x value assumed by a random vector X
b xc integer part of x
xðnÞ discrete-time signal, sequence used in OFDM
x(t) continuous-time signal (with or without a subscript)
xI ðtÞ in-phase component of the bandpass signal x(t)
fxk ðtÞg set of L orthonormal basis functions, k = 1, 2, . . . , L
fxk g set of L orthonormal basis vectors, k = 1, 2, . . . , L
xL ðtÞ complex envelope (equivalent lowpass signal) of the bandpass signal x(t)
xp ðtÞ periodic signal
xQ ðtÞ quadrature component of the bandpass signal x(t)
xs ðtÞ sampled function
xT ðtÞ 2T-truncation of x(t), T t T
Y(k) N-point DFT of the sequence y(n)
y(n) sequence
y(t) continuous-time function
Z pre-mapped vector at the input of the combiner
Z(k) frequency samples of an OFDM signal (the I–Q values of symbols of
OFDM subcarriers)
Z0 amplifier transimpedance
zk ðtÞ complex envelope of the kth OFDM subcarrier
linear convolution
circular convolution
ð Þ complex conjugate
α arbitrary constant
xxviii List of symbols
2G second generation
3G third generation
A/D analog/digital conversion
AGN additive Gaussian noise
AMPS advanced mobile phone system
APD avalanche photodiode
ASK amplitude shift keying
AWGN additive white Gaussian noise
BCH Bose–Chaudhuri–Hocquenghem code
BEC binary erasure channel
BPA belief propagation algorithm
BSC binary symmetric channel
CDM code division multiplexing
CDMA code division multiple access
CDMA 2000 3G CDMA
CP cyclic prefix
CPM continuous phase modulation
CP-MFSK continuous phase M-ary frequency shift keying
CRC cyclic redundancy check
CSI channel side information
CSIR channel side information at the receiver
CSK code shift keying
D/A digital/analog conversion
DD-DF double-differential decision-feedback algorithm
D-DF differential decision-feedback algorithm
DEMUX demultiplexer
DFS decision-feedback selection
DFT discrete Fourier transform
DMC discrete memoryless channel
DMPSK differential M-ary phase shift keying
DMQAM differential quadrature amplitude modulation
DPSK differential phase shift keying
DQPSK differential quadrature phase shift keying
xxx
xxxi List of abbreviations
PN pseudo-noise
PSK phase shift keying (binary phase shift keying)
PSTN public switched telephone network
QPSK quadrature phase shift keying
RS Reed–Solomon code
SC selection combining
SCM station class mark
SFH slow frequency hop
SIMO single-input multiple-output
SINR signal-to-interference and noise ratio
SINR path signal-to-interference-and-noise ratio
SINR0 output signal-to-interference plus noise ratio
SIR signal-to-interference ratio
SIRi input signal-to-interference ratio
SIR0 output signal-to-interference ratio
SJNR0 output signal-to-jamming-plus-noise ratio
SJRi input signal-to-jamming ratio
SJRi; p input signal-to-pulse jamming ratio
SJR0 output signal-to-jamming ratio
SJR0; p output signal-to-pulse jamming ratio
SNR signal-to-noise ratio
SNR diversity symbol signal-to-noise ratio
SNR0 output signal-to-noise ratio
SPA sum product algorithm
TCM trellis coded modulation
TDMA time division multiple access
TIA/EIA Telecommunication Industry Association/Electronic Industry Association
USB upper sideband
USDC US digital cellular
VCO voltage-controlled oscillator
WCDMA wideband CDMA (3G CDMA)
WLAN wireless local area network
WMAN wireless metropolitan area network
WSCS wide-sense cyclostationary
WSS wide-sense stationary
ZF-DFE zero-forcing decision-feedback equalizer
ZF-LE zero-forcing linear equalizer
1 Introduction
This book provides the principles of digital communication and studies techniques to design
and analyze digital communication systems for point-to-point and point-to-multipoint
transmission and reception. Other than for radio broadcasting, modern communication
systems are going digital, and in the USA the conversion of analog TV broadcasting into
digital HDTV broadcasting at the beginning of 2009 signified the coming end of analog
communications. Communications between living beings began with the voice, and the
three biggest voice systems in the world are the telephone, and the cellular and radio
broadcasting systems.
The dissemination of visual activities then propelled the development of TV broadcasting
systems. The pioneer telephone network and radio broadcasting systems employed analog
communication techniques, such as AM and FM, for transmission of analog voice, as did the
analog TV broadcasting systems, which employed VSB-AM for picture transmission. The
quality of the message, such as voice and images, at the analog receiver depends on
how well the waveform that carries the message over the physical channel (twisted-pair
telephone wires, coaxial and fiber-optic cables, space, and water) can be reproduced. In
addition, the fidelity of the received message depends on the signal-to-noise ratio at the
receiver input. For good analog communications, the signal-to-noise ratio must be large, and
this requires high-power transmitters, such as are used in AM radio and TV broadcasting.
For FM radio broadcasting a large frequency spectrum is used, such as 200 kHz for radio
broadcasting, which shows that analog communications do not utilize power and bandwidth
efficiently. Furthermore, the advent of the Internet requires audio, video, imagery, and text
messages to be integrated for transmission over a common channel and this in effect rules
out analog communications such as AM and FM.
In analog communications, the message signal requires an infinite set of continuous-time
waveforms for transmission over a physical channel. This is because the message itself, such
as audio or video, must first be converted into a voltage baseband waveform with a
continuous range in amplitude that has countless possible values. When the baseband
voltage waveform is used to modulate an RF carrier for transmission, such as in AM or
FM, the modulated RF signal transmitted over the physical channel also has countless
possible values in both its amplitude and frequency ranges. The only way to recover the
1
2 Introduction
message signal is to faithfully reproduce the baseband waveform from the modulated signal.
This can be done easily in the case of no noise and no equipment imperfections, but
otherwise the fidelity of the message signal may be reduced. Digital communication does
not involve the faithful reproduction of the baseband waveform in the presence of noise
and equipment imperfections. Digital communication operates instead with a finite set of
continuous-time modulation waveforms for transmission over a physical channel. This
implies that the message signal must be represented by a finite set of voltage baseband
waveforms. Mathematically, a finite set of waveforms can only represent a finite set
of alphabets, commonly referred to as symbols. A symbol consists of a fixed number of
binary digits or bits. For example, the set of four distinct symbols {00, 01, 10, 11} can be
represented by four distinct waveforms fA cos 2πfc t, A sin 2πfc tg. The time separation of
consecutive waveforms that represent a symbol stream is called the symbol time, which is
the inverse of the symbol rate. If the waveforms are of finite duration then this duration is the
symbol time. This begs the question of how to obtain the bits or symbols that represent the
message. The process of converting a voltage baseband waveform that represents an audio
or video message into bits is referred to as the analog-to-digital conversion (or A/D). Text
messages generated by computers are inherently in bits, so with A/D conversion, audio,
video, text, and imagery can all be integrated into a single digital stream of bits. The process
of A/D, bit-symbol mapping, baseband waveform shaping, and modulation is referred to
as digital transmission. The process of demodulating the modulated signal, detecting the
symbol, symbol–bit mapping, and digital-to-analog conversion (or D/A) is called digital
reception.
Digital communication makes no attempts to reproduce the finite set of voltage baseband
waveforms. Instead, the receiver detects the energy content of each baseband waveform in
the presence of noise and equipment imperfections, and then makes a best estimate of which
transmitted symbol was received. If the signal-to noise ratio per symbol is reasonably large,
a symbol will most likely be detected correctly with high probability. If not, a symbol error
may occur. This is the essence of digital communication. For a given signal-to-noise ratio, an
analog communication receiver attempts to reproduce the voltage baseband waveform with
certain subjective fidelity. On the other hand, for a given signal-to-noise ratio per symbol, a
digital communication receiver produces symbols with a quantitative error rate. It is
important to know in advance the lower bound of the signal-to-noise ratio per symbol for
a specified error rate irrespective of the type and size of the set of modulation waveforms. In
1948 Claude Shannon established this lower bound and also provided the channel capacity
for reliable transmission [1]. Shannon’s work gives the designers of digital communication
systems the freedom to choose the set of modulation waveforms that achieve either the
best power or bandwidth efficiency, or a trade-off combination of both. As long as the
transmission rate is below the channel capacity and the signal-to-noise ratio per symbol is
above the Shannon limit, reliable communication is possible with an arbitrarily small error
rate. Guided by the Shannon channel capacity theorem (main theorem), the designer can
further integrate error-correction codes with modulation techniques to lower the signal-to-
noise ratio per symbol to achieve a specified error rate. The first error-correction code, the
Hamming code, was discovered by Richard W. Hamming in 1950, two years after Shannon
published his landmark work [2]. In addition to the main theorem, the Shannon first theorem
3 1.2 Scope
Analog
message A/D Baseband
bit-symbol
compression waveform Modulation
mapping
encoding shaping
Channel
Analog
message Decoding Demodulation
Symbol-bit Equalization signal
decompression
mapping detection processing
D/A
provided the framework for encoding a discrete source of a finite set of symbols to minimize
the bit rate at the source encoder output. This allows the compression of the A/D samples of
the message signal to remove redundancy and any insignificant information not perceptible
by the human eye or ear.
The most common compression algorithms in use today are MP3 for music, JPEG for
pictures, and MPEG for video. Figure 1.1 shows the conceptual block diagram of a digital
communication system. The material in the book is organized to cover the transmitter,
receiver, and channel.
1.2 Scope
Chapter 2 provides a general study of deterministic signals that can be analyzed with Fourier
transform and Fourier series. Simple classification of signals and the concept of power and
energy are reviewed. One important class of signal, namely orthogonal signals, such as the
Walsh functions employed in IS-95, CDMA 2000, and WCDMA, is discussed in detail.
The majority of continuous-time and finite-energy signals in practice can be conveniently
analyzed via their signal spaces. These signal spaces are displays of the signal vectors in
their respective constellations. The signal vectors which can be viewed as the A/D versions
of a signal set contain all the information about the signal set. Practical communication
systems are inherently linear time-invariant systems operating in the small-signal range.
They can be analyzed by Fourier series and Fourier transform to provide a frequency-
domain snapshot of the signal bandwidth. The concept of autocorrelation and its relationship
with energy or power spectral density are discussed for linear time-invariant systems.
The sampling theorem that governs the A/D conversion of an analog signal and the
4 Introduction
networks modeling a receiver. The system noise temperature allows the evaluation of noise
power in the receiver bandwidth, and hence the system signal-to-noise ratio. The physical
channels investigated in this chapter are the cellular and satellite channels. For the cellular
channel, we adopt the well-known Hata model to estimate the median path loss between
the transmitter and receiver. The presence of co-channel interference between cells is also
taken into account. Both narrowband cellular systems (IS-136, GSM) and wideband CDMA
cellular systems (IS-95, CDMA-2000, WCDMA) are covered. For a satellite channel,
the communication link is a point-to-point link, consisting of up- and downlinks. The
Friis formula for free-space attenuation is employed to establish the uplink or downlink
attenuation.
Chapter 6 presents modulation techniques for transmitting information over the physical
channel. The chapter essentially has two parts, namely binary modulation and M-ary
modulation. The structure of each modulation technique is studied via the signal waveform,
the power spectral density, and the modulator. For binary modulation we investigate phase
shift keying (PSK), differential phase shift keying (DPSK), amplitude shift keying (ASK)
(commonly referred to as intensity-modulated on–off keying (OOK), a technique used in
fiber optic communication), frequency shift keying (FSK), minimum shift keying (MSK),
and Gaussian MSK employed by the GSM cellular standard. Many practical applications
require either the higher spectral efficiency or higher power efficiency that binary modu-
lation techniques can provide; M-ary modulation can accommodate both. The second part of
this chapter covers M-ary amplitude shift keying (MASK), M-ary phase shift keying
(MPSK), offset quadrature phase shift keying (OQPSK), differential M-ary phase shift
keying (DMPSK), π=4 shifted differential quadrature phase shift keying (π=4-DQPSK),
M-ary quadrature amplitude modulation (MQAM), code shift keying (CSK), M-ary fre-
quency shift keying (MFSK), and continuous phase modulation (CPM). The chapter con-
tinues with a treatment of the dominant multiplexing-modulation technique, namely
orthogonal frequency division multiplexing (OFDM), which is used in many wireless
standards. The chapter ends with a look at trellis coded modulation (TCM) for bandlimited
channels. Both Ungerboeck and pragmatic TCM are investigated.
Chapter 7 provides a treatment of digital demodulation. A generic digital demodulator
consists of two major subsystems, namely the signal processor and the detector. There are
four types of signal processor: the matched filter, the correlator, the noncoherent matched
filter, and the noncoherent correlator. The first two types are employed in coherent de-
modulation while the last two types are used in noncoherent demodulation. For binary
demodulation the two fundamental detectors are threshold and maximum detectors. For
M-ary demodulation the two fundamental detectors are the minimum Euclidean distance
detector and the M-ary maximum detector. Combining the signal processor(s) and the
detector in that order produces an L-path demodulator for the set of digital signals with
L orthonormal basis functions and an M-path demodulator for the set of M orthogonal
signals. The bit error probability analysis is carried out for binary modulation techniques
such as coherent PSK, coherent DPSK, direct-detection ASK (for fiber optic communica-
tion), coherent FSK, coherent MSK, precoded MSK and GMSK, noncoherent FSK and
MSK, and noncoherent DPSK. For M-ary demodulation, the bit error probability analysis is
carried out for coherent MASK, coherent MPSK, coherent DMPSK, noncoherent DMPSK,
6 Introduction
coherent MQAM and DMQAM, coherent CSK and MFSK, noncoherent CSK and MFSK,
coherent CPM with sequence detection, coherent CPM with symbol-by-symbol detection,
and noncoherent CPM. The chapter continues with OFDM demodulation, with emphasis on
the IEEE 802.11a,g standards. Finally, the demodulation and decoding of TCM are studied
and performance analysis is investigated. The Viterbi algorithm is again used to illustrate the
decoding process.
Chapter 8 investigates two major spread spectrum communication techniques for both
commercial and military applications: direct sequence (DS) and frequency hop (FH). The
chapter begins with a presentation of the pseudo-noise (PN) sequences needed for spreading
the modulated signal. Next the concept of quadrature orthogonal covering using Walsh
functions of the same length for multiplexing DS signals with an identical symbol rate is
discussed. This concept is then extended to variable-length orthogonal covering for variable
symbol rates. IS-95 is used as a real life example for the study of the direct sequence
spread spectrum. The demodulation of DS signals in the presence of tone jamming, broad-
band jamming, and pulse jamming is analyzed. Demodulation of quadrature orthogonal
covering (IS-95 forward link) as well as noncoherent DS-CSK (IS-95 reverse link) is
presented. The analysis of code division multiple access (CDMA) with random spreading
sequences is presented together with a closed form expression and a tight upper bound for bit
error probability. For frequency hop signals, three jamming strategies are studied: partial-
band jamming, multi-tone jamming, and follower jamming. Both slow and fast hops are
considered for follower jamming.
Chapter 9 deals with intersymbol interference (ISI) in a bandlimited channel. The Nyquist
criterion for zero ISI is stated together with the corresponding pulse shapes that satisfy it.
The design of an optimum demodulator for a bandlimited channel with Gaussian noise is
carried out. The optimum demodulator relies on the signal pulse shape implemented at the
modulator. The channel is converted to an ideal channel via an equalizer implemented at the
modulator (the equalizer is a filter with a transfer function equal to the inverse transfer
function of the channel). At the demodulator, a matched filter matched to the signal pulse
shape simultaneously achieves both the maximum signal-to-noise ratio and zero ISI as long
as the pulse shape at the matched filter output satisfies the Nyquist criterion of zero ISI.
In practice, because the channel transfer function is not known or varies with time, ISI
removal is instead implemented at the demodulator. The equalizer implemented at the
demodulator can be classified into two types: linear and nonlinear. The treatment of linear
equalizers covers zero-forcing and mean-square error equalizers. The latter alleviates the
noise enhancement effect that severely degrades the former in channels with deep attenu-
ation in the passband. Nonlinear equalizers such as zero-forcing decision-feedback and
mean-square error decision-feedback can avoid the noise enhancement effect altogether,
although in channels with severe distortion the error propagation due to decision feedback
could worsen the performance. To obtain optimum performance, maximum likelihood
sequence detection may be employed to mitigate the ISI. The motivation behind sequence
detection is to use the symbol energy that resides in the ISI portion of the symbol to aid the
detection instead of throwing it away. The Viterbi algorithm is employed in practice for
sequence detection. Finally, a fractionally spaced equalizer that can mitigate timing error
is presented.
7 1.2 Scope
Chapter 10 studies the transmission and reception of a digitally modulated signal over a
fading channel. Unlike the AWGN channel, where noise is the only problem, a fading
channel is a greater challenge, as it may cause signal envelope variations, phase errors, and
intersymbol interference, all of which are detrimental to the performance of the signal. Thus,
it is necessary to understand the mechanism that causes these unwanted effects and find
ways to mitigate them. A fading channel arises from the movement of the transmitter and
receiver, commonly referred to as the time-varying effect or Doppler effect. This may cause
random amplitude attenuation and random phase rotation of the signal space. In underwater
acoustic communication, the medium also changes over time, further compounding the
problem. A fading channel also exhibits a space-varying effect, where the locations of the
transmitter and receiver and the physical structures in the environment dictate the paths that
the signal may travel. A transmitted signal representing an arbitrary symbol may arrive at the
receiver via multiple paths. Depending on the time delay between paths, signal echoes of a
symbol may overlap the next several symbols causing intersymbol interference. Both time-
varying and space-varying effects can be classified into four fading characteristics: slow
fading with random amplitude attenuation and negligible phase error, fast fading with
random amplitude attenuation and large phase error, flat fading with random amplitude
attenuation and negligible intersymbol interference, and frequency-selective fading with
random amplitude attenuation and intersymbol interference. A mobile wireless channel may
have two of these four characteristics where the random amplitude attenuation is described
by a special distribution (Rayleigh, Rice, and Nakagami-m). For analysis, it is convenient to
model a fading channel with a channel impulse response that includes both time- and space-
varying effects. From the channel impulse response, the multipath autocorrelation and
Doppler profiles are derived, which lead to the concept of the Doppler power spectrum.
Clarke–Doppler and Aulin–Doppler spectra are studied as examples. Using a mathematical
model, the performance of a modulated signal in a fading channel is analysed. First, ideal
coherent demodulation (assuming the carrier phase is always available for symbol-by-
symbol detection) is investigated and the fading channel is assumed to produce only random
amplitude attenuation. Channel tap estimation as well as the channel tap error effect is
studied to reflect real world situations.
Next, the slow fading channel with random amplitude attenuation is investigated for pilot
symbol-aided demodulation (the pilot symbols are periodically transmitted in the symbol
stream; this represents a less desirable situation than ideal coherent demodulation but
remains in line with practical applications). These investigations are extended to OFDM
(the major waveform that was adopted by IEEE 802.11a-g, 802.16 to name a few) where a
slow and frequency-selective fading channel is assumed. The fundamentals of coherent
demodulation are extended to noncoherent demodulation, where the Doppler tracking of
orthogonal signals is investigated. The next discussion centers on another major waveform
that was adopted by IS-95, CDMA 2000, and WCDMA (for use either in the forward
channel or reverse channel or both) for their respective cellular systems, namely, orthogonal
covering and spread spectrum signals. Complex spreading and despreading as well as
Doppler analysis and tracking are presented. For completeness the demodulation of the
signal used in the reverse channel of IS-95 is also presented. Once the Doppler phase error
resulting from either slow or fast fading is corrected via Doppler tracking, and the ISI
8 Introduction
resulting from frequency-selective fading is mitigated via OFDM and equalization, only
random amplitude attenuation remains to be dealt with. This particular effect can be
effectively alleviated via the use of time, frequency, antenna, or multipath delay diversity.
Diversity is a signal combining method that makes use of uncorrelated signal redundancy
for both transmission and reception to enhance symbol detection in the presence of a
deep fade which may destroy a non-diversity symbol. Diversity can be achieved via
redundant symbol interleaving for time diversity, or via uncorrelated subcarrier com-
bining in OFDM for frequency diversity. It can also be achieved via multiple transmit
antennas for transmit antenna diversity, and via multiple receive antennas for receive
antenna diversity or using a Rake receiver for multipath delay diversity. Combinations of
these methods are also possible. Three main signal combining methods are studied:
maximal ratio combining (MRC), selection combining (SC), and equal gain combining
(EGC). MRC is the optimum combining scheme for coherent or pilot symbol-aided
demodulation in AWGN and is the most commonly used method for wireless LAN,
MAN, WAN, and cellular systems. It is superior to SC and EGC, although it cannot be
used for noncoherent demodulation, unlike the other two schemes. Wireless communi-
cation in a fading channel favors the use of multiple transmit antennas for performance
enhancement. This type of antenna diversity employs orthogonal space-time block codes
with rates of ½, ¾, and 1 with MRC at the receiver. The Alamouti code with unity rate
was recommended for the IEEE 802.16 family. Integrating both transmit and receive
antenna diversity provides the receiver with a powerful method to combat random
amplitude attenuation.
The remaining parts of this chapter investigate the capacity of a fading channel. Since
a fade causes an outage that may drive the instantaneous channel capacity to zero, the
average channel capacity defined for an AWGN channel does not exist for a slow fading
channel. Therefore, the outage channel capacity is defined instead. The evaluation of
outage capacity for a slow fading channel, as well as slow fading channels with receive
antenna diversity (SIMO), transmit antenna diversity (MISO), both receive and transmit
antenna diversity (MIMO), and OFDM are presented. For a fast fading channel, the
average channel capacity is well defined since symbols fade independently and there
exists a coding system that ensures a maximum reliable rate, which is the ensemble
average rate. Fast fading is less detrimental than slow fading from the capacity point of
view but requires more complex channel coding to deal with both Doppler phase error
(virtually eliminated via Doppler tracking in slow fading) and random amplitude
attenuation.
1.3 Summary
* Measuring and establishing the required signal-to-noise ratio for a given communication coverage:
Chapter 5.
* Sending the message based on the required signal-to-noise ratio and bandwidth: Chapter 6.
* Receiving the message and providing the best detection: Chapter 7.
* Enhancing the survivability of narrowband modulation in the presence of interference via bandwidth
spreading, i.e., spread spectrum modulation: Chapter 8.
* Pulse shaping and equalizing the effect of a bandlimited channel for modulated signals: Chapter 9.
* Dealing with sending and receiving signals over a mobile channel for previously discussed modulation
techniques: Chapter 10.
Bibliography
1. C. E. Shannon, “A mathematical theory of communication,” Bell Syst. Tech. J., Vol. 27,
pp. 379–423, pp. 623–56, 1948. Also available at http://cm.bell-labs.com/cm/ms/what/
shannonday/paper.html.
2. R. W. Hamming, “Error detecting and error correcting codes,” Bell Syst. Tech. J.,
Vol. 29, pp. 147–60, 1950.
3. R. W. Hamming, Coding and Information Theory, 2nd edition, Hemel Hempstead:
Prentice-Hall, 1986.
4. R. G. Gallager, Principles of Digital Communications, Cambridge: Cambridge
University Press, 2008.
2 Deterministic signal analysis
Introduction
In this chapter we lay the foundation for the analysis and design of communication systems,
and digital communication systems in particular. We employ deterministic signals to carry
information from the transmitter to the receiver. These deterministic signals contain certain a
priori features sufficiently adequate for the receiver to retrieve the information. Note that the
information always appears random to the receiver, that is, it does not know which data it
will receive; otherwise, communications would not be needed. Deterministic signals form
a very broad class of signals; therefore, the first step is to categorize them so that their
characterization can be fully exploited. The categorization leads to the labels continuous-
time, discrete-time, periodic, aperiodic, analog, digital, energy, and power signals. Further
study leads us to orthogonal signals and the use of signal space to represent digital signals as
vectors. We also review linear time-invariant (LTI) systems and the important convolution
operation that relates the inputs and outputs of an LTI system.
We then investigate Fourier series representation of continuous-time periodic signals,
and Fourier transform of continuous-time aperiodic signals. The Fourier transform is
indispensable in the analysis and design of LTI systems. The energy spectral density of an
energy signal and the power spectral density of a power signal are studied. From here the
autocorrelation functions of both energy and power signals are examined.
The process of representing a continuous-time signal by its samples is then studied using
the sampling theorem. We also discuss the process of recovering a continuous-time signal
from its samples. Finally, we study various representations of bandpass signals, which are
commonly used in the analysis of communication systems.
I t was well toward the evening of the day following when they
reached Ben’s cabin. The trip up the river had taken them the
best part of two days. The canoemen were agreeably surprised to
see Bill and Moze awaiting them at the landing.
“Helloa, you fellows! Where have you been?” asked the trapper, as
they stepped ashore and grasped him warmly by the hand.
“Down at the lumber camp; I promised to take the boys there before
they went home,” explained Ben.
Ed and George at once started a good-natured wrestling bout with
old Moze, who seemed delighted at seeing them. Barking and
whining, he jumped about, wagging his tail, until George declared he
would lose it.
“When did you get here, Bill?” inquired the guide of his friend, after
they had entered the cabin.
“Same morning you left, I reckon. When I saw you were away, I left
a note and went on into the settlement. Got back late last night, and
I figured I’d mosey around for a day or two and see if you came
home. I brought out some mail for Westbrook and you fellows.
There’s yours over on the table yonder. By the way, Ben, Westbrook
said to tell you he expected to go in with his team and wagon the
first part of next week. He said he’d come by here on the old wood-
road, so if you wanted anything you could let him know.”
The boys quickly found the letters from home and began to read
them. From their manner Ben knew that they had received news of
some importance. When they had finished the letters they held a
low-toned conference, and then turned toward the guide, who was
watching them keenly.
“Nothing wrong, I hope?” he said.
“Nothing, except that we are ordered home,” answered Ed,
endeavoring to force a smile.
“The deuce you say!” cried Ben, in dismay.
“Yes, I guess our time is up,” declared George, rather gloomily. “You
see, our folks are going away in about two weeks, and, as we expect
to enter college in the fall, they won’t see much of us for a while.
Consequently they want us with them this summer.”
“Guess that’s only natural,” said Ben, quietly. “Say, it’s going to be
some lonesome after you fellows pull out.”
For a time the little group of friends sat about in silence. While they
were anxious and eager to see their parents, the boys nevertheless
felt badly about leaving Ben, and Bill, and Moze, and the great
peaceful forest they had learned to love.
“Well, say, there’s no need of everybody getting the ‘blues,’” laughed
the guide. “I’ll hustle around and cook some supper, and then maybe
we’ll all feel better.”
That night the boys sat up late, and Ben told Bill of their plucky
adventure at the log-jam. It was decided that they should go to the
station with Tom Westbrook and his team early the next week. Bill
said he would wait over at the cabin to see them off.
It rained all the next day, and the boys busied themselves with
packing their belongings. Not the least important were several
trophies of the hunt, which they were taking home in proof of their
prowess.
The following days were spent in the woods and on the lake with
Ben and Bill. Rare golden days they were, filled with flowers and
sunshine and song, for the long, dreamy days of early summer had
arrived. The boys learned more of the songs and calls of the birds,
and the names and uses of the many wild flowers which were
constantly bursting into bloom in the woods about the cabin. They
saw fishes guarding their gravelly nests of spawn at the bottom of
the lake. They found the eggs of turtles at the end of long, tunnel-
like excavations in sandy banks. The time sped rapidly, and at length
the day for their departure was but a night away.
“Well, this is our last snooze on balsam tips,” said Ed, when they
were finally in their bunk.
“Yes, and, do you know, sometimes it all seems like a dream. We
certainly have been through a few experiences since we left the city.
And let me tell you, Ed, each of them has done us good; I feel that
we can take care of ourselves anywhere now,” replied George. “Say,
we never found out who ‘The Old Man of the Woods’ is.”
“Well then, I’ll tell you now,” laughed Ben, who had overheard their
conversation. “You met him right here the first night, when you
worried about the flying squirrels. He has been with you ever since,
until you know him well enough to call him by his right name, which
is Experience.”
“And is that how you met him?” inquired the boys.
“That is how we must all meet him, if we expect to ever know him
well. He’s a rough old fellow, and he don’t make friends easily.
You’ve got to prove your worth before he accepts you. If you’re
game, he’ll take care of you in great shape and tell you all he knows.
But if you’re a quitter, he’ll soon drive you out of his country and
make things so unpleasant you’ll never wish to return. Now you
know him, and, furthermore, you can consider him your friend,
because you’ve made good. Good night.”
“Thank you, Ben. Good night.” And they went to sleep, happy over
the well-earned compliment.
They had just finished breakfast next morning when the loud
barking of Moze announced the arrival of Westbrook with his team.
A moment later the big woodsman stood in the doorway and
greeted them.
“Have some breakfast,” urged Ben, hospitably.
“No, thanks; I had my breakfast before I started. Thought I’d just
stop a minute to see if I could do anything for you in town.”
“You can take the boys and myself and this luggage, if you’re
traveling in light,” said Ben.
“I sure will; but, say, now, it’s too bad you fellows have to pull up
stakes so sudden like,” he said, turning to the lads. “This is the
prettiest time of the year, too. Guess you’ve had quite a time of it,
though, haven’t you?”
“Yes, indeed,” replied Ed; “we’ve enjoyed ourselves very much.”
After Ben had insisted, Westbrook drank a cup of coffee. Then they
proceeded to load the baggage into the same wagon that had
conveyed it from the station almost eight months before.
“Different-looking boys from those that came out in the fall, eh,
Ben?” laughed Westbrook, when everything was in and they were
ready to climb aboard.
“Some browner,” said Ben.
Bill came forward to say good-by, and Ed and George grasped his
hand affectionately. They thanked him for all the pleasure he had
given them, and said they hoped some day to come out and see him
again. Old Moze came wriggling toward them, and they stooped and
petted him.
Then Westbrook spoke to his team, and the wagon bumped away
over the long road. The boys waved their hats to Bill, who stood in
the doorway, holding Moze by an ear to prevent him from following
his departing friends.
At noon they halted, and Ben cooked a simple meal in the woods.
This time the boys built the fire, and the two woodsmen declared it
a proper one.
“Couldn’t have done that when you came in,” laughed Ben.
“We couldn’t do much of anything then,” replied Ed.
When they resumed their journey, the lads recalled many familiar
spots along the way. They went safely over the very place where
they had mired to the hubs before, and saw their own pile of rocks
and the poles with which they had freed the wagon. They forded the
stream which had come near capsizing the load. This time they had
no trouble. They bounced and bumped over the rough “corduroy”
bridges which had so excited their curiosity on the way to camp.
Several times they flushed grouse from close beside the road, and as
the birds rose with a roar of wings Ben looked at the lads and
smiled, and George was reminded of his first fright in the woods.
They started a deer from the edge of a swamp, and watched the
nimble-footed creature go bounding along the road ahead of them.
Thus the interesting ride continued, until late in the afternoon they
drew up before the tiny log station.
The agent remembered them, and said they were lucky to reach
there at that time, as an express was due to stop in thirty minutes.
Had they missed it they would have been obliged to remain over
until the next day. The boys quickly checked their baggage, and then
came outside to await the arrival of the train.
“Ben, I’m sure we can never thank you half enough,” said Ed, with
feeling.
“Don’t try,” laughed Ben; “I’ve enjoyed it as much as you have. The
worst of it all is this breaking up of camp; a woodsman always hates
it.” And as he turned to look up the track the boys thought they saw
moisture in his kindly eyes. “Well, it hasn’t hurt you any,” he added,
quickly recovering himself.
“I should say not,” said George. “I feel as if I could wrestle with a
bear.”
“You almost did, once,” Ben chuckled.
“Here she comes. Stand back!” cried the agent, as the great
whistling engine made its appearance around a curve.
The boys shook hands with Ben and Westbrook and then stood on
the rear platform of the last car and waved their hats at the two
broad-shouldered men left behind when the train pulled out for
home.
Two days later they were met at the great city terminal by their
fathers. Both Dr. Williams and Mr. Rand were surprised and delighted
at the improvement in the boys. They took critical note of the firm,
bronzed skin, the broadened shoulders and deepened chests, the
direct, keen glance of the eyes, and, above all, the erect, confident
carriage and free, swinging stride. The inspection ended in approval
—Ben had molded well the raw material placed in his hands, and the
result was a credit to him.
The experiment was a success; the theory was proven. The lads had
returned with interest on the investment. They had gained not only
in health and strength, but in much besides. They had a finer,
clearer, broader view of life and the living. They had learned peace
and beauty and quietness from God’s temple, the wilderness. They
had gained strength from the pine-scented air, courage from
exposure to hardship and peril, resourcefulness from dependence
upon themselves, and a sound knowledge of sound truths from
honest old Ben.
“By Jove, Doctor, your plan has worked out wonderfully,” declared
Mr. Rand. “I wouldn’t have believed it possible. Why, look at George;
he is fit for the freshman crew.” And the proud father was delighted
at the prospect, for he, too, had worked from freshman to ’varsity
oarsman in his college days.
“Well, you think it has done them as much good as your tutoring trip
through Europe, do you?” laughed the Doctor.
“More!” declared Mr. Rand, enthusiastically. “In fact, I’m inclined to
agree to that Western proposition of yours for next summer, now
that I’ve seen the results of this trip.”
“What is that?” demanded the boys, aroused at the idea of a future
trip to the wilds.
“Never mind,” laughed Dr. Williams, winking slyly; “we’ll give you a
surprise when the time comes.”
Transcriber’s Note:
Illustrations have been moved to paragraph breaks near where they are mentioned.
Punctuation has been made consistent.
Variations in spelling and hyphenation were retained as they appear in the original
publication, except that obvious typographical errors have been corrected.
A change has been made as follows:
p. 306: Illustration caption added to agree with the Table of Illustrations.
*** END OF THE PROJECT GUTENBERG EBOOK CAMPING IN THE
WINTER WOODS: ADVENTURES OF TWO BOYS IN THE MAINE
WOODS ***
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