PCS Module 3 - FM/PM Notes (Editable Soft Copy)

MODULE - 3
Fundamentals of Frequency Modulation (FM) and Phase
Modulation (PM)
Prepared by Sachin B.M. | Converted into editable soft copy from the uploaded handwritten notes.
Note: The red handwritten notes and margin additions from the source pages have been integrated into the
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Contents
 5.1 Basic Principles of Frequency Modulation
 Frequency Shift Keying (FSK)
 5.2 Principles of Phase Modulation
 Relationship between Modulating Signal and Carrier Deviation
 Converting PM to FM
 Phase Shift Keying (PSK)
 5.3 Modulation Index and Sidebands
 Bessel Functions
 FM Signal Bandwidth
 5.4 Noise Suppression Effects of FM
 Noise and Phase Shift
 Pre-emphasis and De-emphasis
 Appendix: Original Page Images

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)

5.1 Basic Principles of Frequency Modulation

 In frequency modulation (FM), the carrier amplitude remains constant, while the carrier frequency
changes according to the amplitude of the modulating or message signal. This process is called
frequency modulation (FM).
 As the amplitude of the information signal varies, the carrier frequency shifts proportionately.
 When the modulating signal amplitude increases, the carrier frequency increases. When the modulating
signal amplitude decreases, the carrier frequency decreases.
 The amount of change in carrier frequency produced by the modulating signal is called frequency
deviation, denoted by f_d.
 Maximum frequency deviation occurs at the maximum amplitude of the modulating signal.
 The frequency of the modulating signal determines the frequency deviation rate, i.e., how many times
per second the carrier frequency deviates above and below its center frequency.
FM Waveform Explanation
 An FM signal is illustrated in Fig. 5-1(c). Normally, the carrier shown in Fig. 5-1(a) is a sine wave, but it is
drawn as a triangular wave in the notes to simplify the illustration.
 The modulating information signal in Fig. 5-1(b) is a low-frequency sine wave.
 As the sine wave goes positive, the frequency of the carrier increases proportionately. The highest
carrier frequency occurs at the peak positive amplitude of the modulating signal.
 As the modulating signal amplitude decreases, the carrier frequency decreases. When the modulating
signal is at zero amplitude, the carrier frequency is at its center frequency.
 When the modulating signal goes negative, the carrier frequency decreases and continues to decrease
until the peak of the negative half-cycle.
 As the modulating signal increases toward zero again, the carrier frequency also increases again.
 In Fig. 5-1(c), this can be visualized as the carrier sine waves first being compressed and then stretched
by the modulating signal.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)

Figure 5-1: FM and PM signals - carrier, modulating signal, FM signal and PM signal.

Frequency Shift Keying (FSK)

 Frequently, the modulating signal is a pulse train or a series of rectangular waves, such as serial binary
data.
 When the modulating signal has only two amplitudes, the carrier frequency changes from one value to
another, instead of having an infinite number of values as it would with a continuously varying analog
signal.
 Thus, for a binary modulating signal, the carrier frequency has only two values. This is illustrated in Fig.
5-2.
 When the modulating signal is binary 0, the carrier frequency is the center frequency value.
 When the modulating signal is binary 1, the carrier frequency abruptly changes to a higher frequency
level.
 The amount of frequency shift depends on the amplitude of the binary signal.
 This kind of modulation is called frequency-shift keying (FSK).

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 FSK is widely used in the transmission of binary data, such as in Bluetooth, wireless speakers, and
many industrial wireless systems.

Figure 5-2: Frequency modulation of a carrier with binary data produces FSK.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)

Problem 1: FM Deviation of TV Sound

A TV operates on a frequency of 715 MHz. The maximum FM deviation is ±12.5 kHz. Find the maximum
and minimum frequencies that occur during modulation.
Maximum frequency = 715 MHz + 12.5 kHz = 715.0125 MHz

Minimum frequency = 715 MHz - 12.5 kHz = 714.9875 MHz

5.2 Principles of Phase Modulation

 When the amount of phase shift of a constant-frequency carrier is varied in accordance with the
modulating signal, the resulting output is a phase modulation (PM) signal.
 A phase modulator may be imagined as a circuit whose basic function is to produce a phase shift, i.e., a
time separation between two sine waves of the same frequency.
 The amplitude of the modulating signal causes the amount of phase shift to vary.
 The greater the amplitude of the modulating signal, the greater the phase shift.
 Positive alternations of the modulating signal are assumed to produce a lagging phase shift, while
negative alternations produce a leading phase shift.
How PM Produces Frequency Variation
 If a constant-amplitude, constant-frequency carrier sine wave is applied to a phase shifter whose phase
shift is varied by the intelligence signal, the output of the phase shifter is a PM wave.
 Due to the dynamic nature of the modulating signal, frequency variation is produced at the output of the
phase shifter.
 To understand this better, consider Fig. 5-3(a). The modulating signal is a triangular wave whose
positive and negative peaks have been clipped off at a fixed amplitude.
 During time t0, the signal is zero, so the carrier is at its center frequency.
 When this modulating signal is applied to a frequency modulator, it produces the FM signal shown in Fig.
5-3(b).
 During the rising portion of the waveform (t1), the frequency increases.
 During the time of constant positive amplitude (t2), the FM output frequency remains constant.
 During t3, the amplitude decreases and goes negative, so the frequency decreases.
 During the constant-amplitude negative alternation (t4), the frequency remains constant at a lower
frequency.
 During t5, the frequency increases again.
PM Signal with the Same Modulating Signal
 For the PM signal shown in Fig. 5-3(c), frequency changes are produced only during the intervals when
the amplitude of the modulating signal is changing.
 During changing-amplitude intervals such as t1, t3 and t5, a varying frequency is produced.
 During the constant-amplitude positive and negative peaks, no frequency change takes place.
 The output of the phase modulator is simply the carrier frequency shifted in phase.
 This shows that when a modulating signal is applied to a phase modulator, the output frequency
changes only during the time the amplitude of the modulating signal is varying.
 The maximum frequency deviation produced by a phase modulator occurs during the time when the
modulating signal is changing at its most rapid rate.
 For a sine-wave modulating signal, the rate of change is greatest when the modulating wave changes
from plus to minus or from minus to plus.
 As shown in Fig. 5-3(c), the maximum rate of change of the modulating voltage occurs exactly at the
zero-crossing points.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 In contrast, in an FM wave, maximum deviation occurs at the peak positive and negative amplitudes of
the modulating voltage.
 Therefore, although phase modulation does produce FM-like frequency variation, maximum deviation
occurs at different points of the modulating signal.

Figure 5-3: Frequency shift occurs in PM only when the modulating signal amplitude varies.

Relationship between the Modulating Signal and Carrier Deviation

 In FM, the frequency deviation f_d is directly proportional to the amplitude of the modulating signal V_m.
 In FM, maximum deviation occurs at the peak positive and negative amplitudes of the modulating signal.
 In PM, the frequency deviation is also related to the amplitude of the modulating signal, because the
amplitude determines the amount of phase shift.
 In PM, the maximum amount of leading or lagging phase shift occurs at the peak amplitudes of the
modulating signal.
 This effect for both FM and PM is illustrated in Fig. 5-4(a).
 Fig. 5-4(b) shows that the frequency deviation of an FM signal is constant for any value of modulating
frequency when the modulating amplitude is constant.
 In FM, only the amplitude of the modulating signal determines the amount of deviation.
 In PM, the deviation varies with different modulating signal frequencies.
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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 The higher the modulating signal frequency, the shorter the period and the faster the voltage changes.
 Higher modulating voltages produce greater phase shift; this produces greater frequency deviation.
 Higher modulating frequencies also produce a faster rate of change of modulating voltage, and therefore
greater frequency deviation.
 Therefore, in PM, carrier frequency deviation is proportional to both the modulating frequency (slope of
the modulating voltage) and the amplitude.
 In FM, f_d is proportional only to the amplitude of the modulating signal.

Figure 5-4: Relationship between modulating signal amplitude/frequency and carrier deviation.

Converting PM to FM
 To make PM compatible with FM, the deviation produced by frequency variations in the modulating
signal must be compensated.
 This compensation can be done by passing the intelligence signal through a low-pass RC network, as
illustrated in Fig. 5-5.
 This low-pass filter is called a frequency-correcting network, predistorter, or 1/f filter.
 The network causes higher modulating frequencies to be attenuated.
 Higher modulating frequencies produce a greater rate of change and therefore greater frequency
deviation. This is offset by the lower amplitude of the modulating signal, which produces less phase shift
and therefore less frequency deviation.
 The predistorter compensates for the excess frequency deviation caused by higher modulating
frequencies.
 The result is an output that is the same as an FM signal. This is also called indirect FM generation using
a phase modulator.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)

Figure 5-5: Low-pass filter/integrator used to roll off audio modulating signal amplitude with frequency.

Phase Shift Keying (PSK)

 PM is also used with binary signals, as shown in Fig. 5-6.
 When the binary modulating signal is 0 V (binary 0), the PM signal is simply the carrier frequency.
 When a binary 1 voltage level occurs, the modulator, which acts as a phase shifter, changes the phase
of the carrier and not its frequency.
 In Fig. 5-6, the phase shift is 180°. Each time the signal changes from 0 to 1 or from 1 to 0, there is a
180° phase shift.
 The PM signal still has the carrier frequency, but its phase has changed with respect to the original
carrier corresponding to binary 0 input.
 The process of phase modulating a carrier with binary data is called phase-shift keying (PSK) or binary
phase-shift keying (BPSK).
 The PSK signal shown uses a 180° phase shift from the reference, but other phase-shift values such as
45°, 90°, 135° or 225° can also be used.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 The important point is that no frequency variation occurs. The PSK signal has a constant frequency, but
its phase changes with respect to a reference as the binary modulating signal occurs.

Figure 5-6: Phase modulation of a carrier by binary data produces PSK.

5.3 Modulation Index and Sidebands

 Any modulation process produces sidebands.
 When a constant-frequency sine wave modulates a carrier, two side frequencies are produced.
 These side frequencies are the sum and difference of the carrier frequency and the modulating
frequency.
 In FM and PM, as in AM, sum and difference sideband frequencies are produced.
 In addition, a large number of pairs of upper and lower sidebands are generated.
 As a result, the frequency spectrum of an FM or PM signal is usually wider than that of an equivalent AM
signal.
 It is also possible to generate a special narrow-band FM signal whose bandwidth is only slightly wider
than that of an AM signal.
 Figure 5-7 shows the frequency spectrum of a typical FM signal produced by modulating a carrier with a
single-frequency sine wave.
 The sidebands are spaced from the carrier f_c and from one another by a frequency equal to the
modulating frequency f_m.
 If the modulating frequency is 1 kHz, the first pair of sidebands is 1000 Hz above and below the carrier.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 The second pair of sidebands is above and below the carrier by 2 × 1000 Hz = 2000 Hz, or 2 kHz, and
so on.
 The amplitudes of the sidebands vary.
 If each sideband is assumed to be a sine wave with the frequency and amplitude indicated in Fig. 5-7,
and all the sine waves are added, the FM signal producing them will be created.
 Theoretically, the FM process produces an infinite number of upper and lower sidebands and therefore
an infinitely large bandwidth.
 In practice, only the sidebands with the largest amplitudes are significant in carrying information.
 Typically, any sideband whose amplitude is less than 1 percent of the unmodulated carrier is considered
insignificant.
 Thus, FM can be passed by circuits and communication media with finite bandwidth.

Figure 5-7: Frequency spectrum of an FM signal showing carrier and sidebands.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
Modulation Index
 The ratio of frequency deviation to the modulating frequency is known as the modulation index, denoted
by m_f.
m_f = f_d / f_m

 Here, f_d is the frequency deviation and f_m is the modulating frequency.
 Sometimes the lowercase delta symbol δ is used instead of f_d to represent deviation.
m_f = δ / f_m

Example 5-2: Deviation Ratio

What is the deviation ratio of TV sound if the maximum deviation is 25 kHz and the maximum modulating
frequency is 15 kHz?
m_f = f_d / f_m = 25 / 15 = 1.667

Bessel Functions
 Given the modulation index, the number and amplitudes of significant sidebands can be determined
using the basic equation of an FM signal.
 The FM equation, whose derivation is beyond the scope of the notes, is:
v_m = V_c sin(2πf_c t + m_f sin 2πf_m t)

 Here, v_m is the instantaneous value of the FM signal and m_f is the modulation index.
 The term whose coefficient is m_f is the phase angle of the carrier.
 This equation expresses the phase angle in terms of the sine-wave modulating signal.
 This equation is solved by a complex mathematical process known as Bessel functions. The solution
result is represented as:
V_FM = V_c{ J0 sin(ωc t) + J1[sin(ωc + ωm)t - sin(ωc - ωm)t] + J2[sin(ωc + 2ωm)t +
sin(ωc - 2ωm)t] + J3[sin(ωc + 3ωm)t - sin(ωc - 3ωm)t] + J4[sin(ωc + 4ωm)t + sin(ωc -
4ωm)t] + J5[...] + ... }

 ωc = 2πf_c = carrier angular frequency.

 ωm = 2πf_m = modulating signal angular frequency.
 V_c = peak value of the unmodulated carrier.
 The FM wave is a composite of sine waves of different frequencies and amplitudes that, when added,
give an FM time-domain signal.
 The first term is the carrier with amplitude given by the J0 coefficient.
 The next term represents a pair of upper and lower side frequencies equal to the sum and difference of
the carrier and modulating signal frequencies; the amplitudes of these side frequencies are determined
by J1.
 The next term represents another pair of side frequencies equal to the carrier ± 2 times the modulating
signal frequency.
 Other terms represent additional side frequencies spaced from one another by an amount equal to the
modulating frequency.
 The amplitudes of the sidebands are determined by Jn coefficients, which are determined by the value of
the modulation index.
J_n(m_f) = (m_f / 2n)^n [1 - (m_f)^2/{2(2n+2)} + (m_f)^4/{2·4(2n+2)(2n+4)} -
(m_f)^6/{2·4·6(2n+2)(2n+4)(2n+6)} + ...]

 ! = factorial.
 n = sideband number (1, 2, 3, etc.).
 n = 0 represents the carrier.
 m_f = f_d / f_m = frequency deviation ratio.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 In practice, these coefficients do not have to be calculated manually because tables giving them are
widely available.
 The Bessel coefficients for a range of modulation indexes are shown in Fig. 5-8. For complete table
values, refer to the textbook.
 The carrier and sideband amplitudes and polarities are plotted on the vertical axis, and modulation index
is plotted on the horizontal axis.
Selected Bessel Coefficient Values from the Notes
Modulation Carrier 1st Pair 2nd Pair 3rd Pair 4th Pair 5th Pair 6th Pair
Index
0.00 1.00 - - - - - -
0.25 0.98 0.12 - - - - -
0.5 0.94 0.24 0.03 - - - -
1.0 0.77 0.44 0.11 0.02 - - -
1.5 0.51 0.56 0.23 0.06 0.01 - -
2.0 0.22 0.58 0.35 0.13 0.03 - -

Figure 5-8: Carrier and sideband amplitudes for different modulation indexes based on Bessel functions.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
Example 5-3: Maximum Modulating Frequency
What is the maximum modulating frequency that can be used to achieve a modulation index of 2.2 with a
deviation of 7.48 kHz?
f_m = f_d / m_f = 7.48 kHz / 2.2 = 3.4 kHz

FM Signal Bandwidth
 As stated previously, the higher the modulation index in FM, the greater the number of significant
sidebands and the wider the bandwidth of the signal.
 Bandwidth can be determined with the simple formula:
B.W. = 2 f_m N

 Here, N is the number of significant sidebands in the FM signal bandwidth.

 Another way to determine the bandwidth of an FM signal is to use Carson’s rule.
 Carson’s rule recognizes only the power in the most significant sidebands with amplitudes greater than 2
percent of the carrier, i.e., 0.02 or higher in Fig. 5-8.
B.W. = 2 [ f_d(max) + f_m(max) ]

Example 5-5: Maximum Bandwidth

What is the maximum bandwidth of an FM signal with a deviation of 30 kHz and a maximum modulating
signal of 5 kHz, as determined by (a) Fig. 5-8 and (b) Carson’s rule?
m_f = f_d / f_m = 30 kHz / 5 kHz = 6

 From Fig. 5-8, for m_f = 6, there are nine significant sidebands spaced 5 kHz apart.
B.W. = 2 f_m N = 2(5 kHz)(9) = 90 kHz

 Using Carson’s rule:

B.W. = 2[30 kHz + 5 kHz] = 2(35 kHz) = 70 kHz

5.4 Noise Suppression Effects of FM

 Noise is interference generated by lightning, motors, automotive ignition systems, and any power-line
switching that produces transient signals.
 Such noise is typically narrow spikes of voltage with very high frequencies. These spikes add to a signal
and interfere with it.
 The potential effect of such noise on an FM signal is shown in Fig. 5-11.
 If noise signals are strong enough, they could completely obliterate the information signal.
 However, FM signals have a constant modulated carrier amplitude, and FM receivers contain limiter
circuits that deliberately restrict the amplitude of the received signal.
 Any amplitude variations occurring on the FM signal are effectively clipped off, as shown in Fig. 5-11.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)

Figure 5-11: FM signal with noise and clipping by limiter circuits.

 This clipping does not affect the information content of the FM signal, because the information is
contained solely in the frequency variations of the carrier.
 Because of the clipping action of the limiter circuits, noise is almost completely eliminated.
 Even if the peaks of the FM signal itself are clipped or flattened, the resulting signal may be distorted, but
the information can still be recovered from frequency variations.
 One of the primary benefits of FM over AM is superior noise immunity.
 The process of demodulating or recovering an FM signal actually suppresses noise and improves the
signal-to-noise ratio.
Noise and Phase Shift
 Noise amplitude added to an FM signal introduces a small frequency variation or phase shift, which
changes or distorts the signal.
 Figure 5-12 shows how this works using phasors.
 The carrier signal is represented by a fixed-length amplitude phasor S.
 Noise is usually a short-duration pulse containing many frequencies at many amplitudes and phases,
according to Fourier theory.
 To simplify the analysis, assume a single high-frequency noise signal varying in phase.
 In Fig. 5-12(a), this noise signal is represented as a rotating phasor N.
 The composite signal of the carrier and the noise, labelled C, is a phasor whose amplitude is the phasor
sum of the signal and noise. Its phase angle is shifted from the carrier by an amount φ.
 If the noise phasor rotates, the composite signal varies in amplitude and phase angle with respect to the
carrier.
 Maximum phase shift occurs when the noise and signal phasors are at right angles to each other, as
illustrated in Fig. 5-12(b).
 This angle can be computed using the arcsine or inverse sine relation:
φ = sin⁻¹(N/C) [also approximated using N/S in the example]

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 It is possible to determine how much frequency shift a particular phase shift produces using:
δ = φ f_m

 Here, δ = frequency deviation produced by noise, φ = phase shift in radians, and f_m = frequency of the
modulating signal.

Figure 5-12: How noise introduces a phase shift.

Noise-to-Signal Ratio
 The noise-to-signal ratio is N/S.
 The reciprocal of this value gives the FM signal-to-noise ratio:
S/N = 1 / (N/S)

Example 5-6: Noise-Induced Deviation and Output S/N

The input to an FM receiver has an S/N of 2.8. The modulating frequency is 1.5 kHz. The maximum
permitted deviation is 4 kHz. Find (a) the frequency deviation caused by noise and (b) the improved output
S/N.
φ = sin⁻¹(N/S) = sin⁻¹(1/2.8) = sin⁻¹(0.3571) = 20.92° = 0.3652 rad

δ = φ f_m = (0.3652)(1.5 kHz) = 547.8 Hz

N/S = 547.8 / 4000 = 0.13695

S/N = 1 / (N/S) = 7.3

Pre-emphasis
 Noise can interfere with an FM signal, especially with the high-frequency components of the modulating
signal.
 Since noise is primarily sharp spikes of energy, it contains a large number of harmonics and other high-
frequency components.
 These noise frequencies can be larger in amplitude than the high-frequency content of the modulating
signal, causing frequency distortion that can make the signal unintelligible.
 Most of the content of a modulating signal, particularly voice, is at low frequencies.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
 In voice communication systems, the bandwidth of the signal is limited to about 3 kHz, which permits
acceptable intelligibility.
 Since the high-frequency components are usually at a very low level, noise can obliterate them.
 To overcome this problem, most FM systems use a technique known as pre-emphasis, which helps
offset high-frequency noise interference.
 At the transmitter, the modulating signal is passed through a simple network that amplifies the high-
frequency components more than the low-frequency components.
 A simple form of such a circuit is a high-pass filter, as shown in Fig. 5-13(a).
 The specifications indicate a time constant τ of 75 μs, where τ = RC. Any combination of resistors and
capacitors, or resistor and inductor, giving this time constant will work.
f_L = 1 / (2πRC) = 1 / (2πτ) = 1 / [2π(75 μs)] = 2123 Hz

 Thus, the circuit has a cutoff frequency of 2123 Hz.

 Frequencies higher than 2123 Hz are linearly enhanced.
 The output amplitude increases with frequency at the rate of 6 dB per octave.
 The pre-emphasis circuit increases the energy content of high-frequency signals so that they become
stronger than high-frequency noise components.
 This improves the signal-to-noise ratio and increases intelligibility and fidelity.
 The pre-emphasis circuit also has an upper break frequency f_U at which the signal enhancement
flattens out, as shown in Fig. 5-13(b).
f_U = (R1 + R2) / (2π R1 R2 C)

 The value of f_U is usually set well beyond the audio range and is typically greater than 30 kHz.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)
Figure 5-13(a,b): Pre-emphasis circuit and pre-emphasis curve.

Pre-emphasis and De-emphasis Definitions

 Pre-emphasis is the process of increasing the amplitude of high-frequency modulating signals before
modulation. It uses a high-pass filter (HPF).
 De-emphasis is the process of decreasing the amplitude of high-frequency modulating signals after
demodulation. It uses a low-pass filter (LPF).

Figure 5-13: Noise power spectral density, voice signal PSD, and pre-emphasis/de-emphasis definitions.

De-emphasis
 To return the frequency response to the normal flat level, a de-emphasis circuit is used at the receiver.
 The de-emphasis circuit is a simple low-pass filter with a time constant of 75 μs, as shown in Fig. 5-
13(c).
 Signals above the cutoff frequency of 2123 Hz are attenuated at the rate of 6 dB per octave.
 The response curve is shown in Fig. 5-13(d).
 As a result, the pre-emphasis performed at the transmitter is exactly offset by the de-emphasis circuit in
the receiver, providing a flat frequency response.
 The combined effect of pre-emphasis and de-emphasis is to increase the signal-to-noise ratio for high-
frequency components during transmission, so that they become stronger and are not masked by noise.
 Figure 5-13(e) shows the overall effect of pre-emphasis and de-emphasis.

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 PCS Module 3 - FM/PM Notes (Editable Soft Copy)

Figure 5-13(c,d,e): De-emphasis circuit, de-emphasis curve and combined frequency response.

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