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Absmct-This paper describes and summarizes the characteristics of The modulation schemes are comparedwith respect to ideal
the modulation techniques most applicable to digitalradio. The modulation performance, spectral properties, signaling speed, complexity
techniquesdiscussed
are
on-off-keying
(OOK) with
coherent and
and theeffectson performance of interference, fadingand
noncoherentdetection. quadratureamplitude
modulation (QAM),
quadrature partial response(QPR), frequency-shift-keying (FsK) with delay distortion.
noncoherent detection, continuous phase FSK (CP-FSK)with coherent and
noncoherentdetection,
minimum-shift-keying (MSK), binary and
quaternaryphase-shift-keying (BPSK, QPSK)
with
coherent
and 11. DESCRIPTIONS OF THE REPRESENTATIVE
differentially coherent detection, offset-keyed QpSK (OK-QpSK), M-ary MODULATION SCHEMES
PSK withcoherentdetection (M = 8, 16),and16-aryamplitudeand
phase-shift-keying (APK). Functional descriptions of these schemes are There are. three basic modulation techniques: amplitude
providedandtheirperformance iscompared in aseriesof tables modulation (AM), frequency modulation (FM), and phase
summarizingtheresultsof theliterature of thepast20 years. The
modulation (Ph4). Each of these basic techniques has a large
modulation schemes are compared with respect to ideal (white Gaussian
noise) performance, spectral properties,signaling speed, complexity, and number of variants, the most relevant of which will be dis-
the effectson performance of interference, fading and delaydistortion. cussed briefly in this section. In recent years hybrid schemes
(e.g., amplitude-and-phase-shift-keying-APK)have received
increased attention because of their inherent economical use
I. INTRODUCTION of bandwidth. Therefore, 16-ary APK is included as being rep-
resentative of this large class of modulation techniques [ 1771 .
T HE crowded conditions prevailing in many regions of the
radio spectrum combined with the increased emphasis on
digital transmission have created a need for improved spectrum
The primary components of a system for transmitting digital
data over a radio channel are illustrated in Figure 1. All of the
utilization techniques. The intelligent application of efficient digital modulation schemes discussed in this paper can be con-
digital modulation techniques provides one means of achieving ceptualized in terms of radio frequency sinusoids (carriers)
improved spectral efficiency at a reasonable cost. This survey modulatedby low frequency (baseband modulation) signals
identifies and describes some of the more important modula- that convey the digital information. These baseband modula-
tion schemesapplicable to digital radio, includingsome that tion signals may be filtered, weighted, or otherwiseshaped
have been developed in recent years and are not discussed in prior to modulating the carrier in order to achieve desirable
the classic textbooks. This paper should be of interest to any- results. At the receiver, the baseband information is recovered
one involved in communications planning and communications by a detectionprocess. Coherent detection requires a sinusoidal
system engineering. reference signal perfectlymatched in both frequencyand
Much previously publishedmaterialhasbeendevoted to phase to the received carrier. This phase reference may be ob-
comparing the performance of digital modulation methods. In tained either from a transmitted pilot tone or from the modu-
many cases, comparisons were limited to one performance cri- lated signal itself. Noncoherent detection, being based on
terion (e.g., performance in a restricted band [26], spectral waveform characteristics independent of phase (e.g., energy or
occupancy [76] , effects of phase distortion [ 1161 , or cross- frequency) does not require a phase reference:
talk [118, 1151). In other cases [77,98, 165, 1921 ,relatively Usually, detection is followed by a decision process that
few modulation schemes were considered. This paper presents converts the recovered baseband modulation signal into a se-
an up-to-date comparison of the modulation methods of par- quence of digital bits. This process requires bit synchroniza-
ticular applicability to digital radio channels, and provides an tion, which is generally extracted from the received waveform.
indexed bibliography for readers interested in greater depth. With most modulation schemes, decisions can be made on a
Section I1 provides functional descriptions of the modula- bit-by-bit basis with no loss in performance,but withsome
tion schemes considered to be representative of the techniques schemes an advantage can be gained by examining the signal
appropriate for digital radio applications. Section 111 summar- over several bit intervals prior to making eachbitdecision.
izes the performance characteristics of the representative The portion of the received waveform examined bythe de-
modulation schemes by means of a series of tables together cision device in making a single bit decision is called the ob-
withsourcereferenceswhere complete detaiirmn be found. servation interval.
ManuscriptreceivedJanuary 16, 1979; revised July 17, 1979. This Amplitude Modulation (AM) Techniques
work was supported in part by the Naval Research Laboratory under
Contract N00173-76-C-0253.
The author is with the Communications and Information Technology
The simplest digital AM technique is double sideband (DSB)
Division.Booz.Allen & Hamilton,Inc.,Bethesda, MD 20014. AM [79,pp.173ff]modulated by a binary signal. The double
OEMOOULATOR
When m ~ ( tis) the Hilbert transform of mI(t),QAM reduces to
SSB. When mI(t) and m Q ( t )are independent binary data sig-
L ---_-___ J
nals, QAM is as efficient in required power and bandwidth as
ideal SSB without the stringent filtering requirements. If mI(t)
Figure I : Primary Components of a Digital Radio System
and m s ( t ) are three-level duobinary signals (+l, -1 or 0 )
coded in such a way as to minimize intersymbol interference
sideband waveform is represented as: caused by filtering, the result is quadrature partial response
(QPR),whichhasbeenproposed for use in the Canadian 8
A GHz frequency band [ 1781 . All of these techniques require
fDsB(t) = - [ l + m(t)]COS o,t (1)
coherent detection. Any phase tracking errors that occur result
2
in interference between theIand Q channels, thereby degrading
where m(t) is the modulating signal and w, is the carrier fre- performance.
quency (in radians per second). For the case of 100 percent When m,(t) and m Q ( t )take on the values * I , QAM is iden-
modulation by a non-return-to-zero (NRZ) binary data wave- tical to quaternary phase-shift-keying (QPSK) discussed in the
form (m(t) = k l ) , we have on-off-keying (OOK) modulation. section on phase modulation techniques. These two techniques
Such an OOK waveform can be detected either coherently or will differ, hqwever, when mI(t)and mQ(t)are not rectangular
noncoherently,butthe difference in performance is slight pulses.2
compared to the required increase in complexity so that co-
herent detection of OOK is not employed over radio channels. Frequency Modulation (FM) Techniques
The properties of the DSB waveform can be modified by re- The simplest FM technique is frequency-shift-keying (FSK)
placing the NRZ m(t) by some other type of binary baseband involving binary signaling by the use of two frequencies separ-
signall (e.g., the “partial response” signal [18, 20, 341). ated by Af Hz, where Af, the frequencydeviation, is small
Since the carrier conveys no information, efficiency can be compared to the carrier frequency, f , . With FSK schemes, it is
improved by the use of double sideband suppressed carrier common practice to specify the frequency spacing in terms of
(DSB-SC) AM. The general form of the DSB-SC signal is: the modulation index,d , defined as:
TABLE 1 TABLE 2
IDEAL PERFORMANCEO F REPRESENTATIVE MODULATION RELATIVE SiGNALING SPEEDS OF REPRESENTATIVE
SCHEMES MODULATION SCHEMES
SPEED
TYPE M O D U L A T I O N SCHEME lb/r PER Hz) IdBI’ REFERENCE E8INO
I OK-OPSK I I I I
8-ary PSK ~ COHERENT DETECTION 57 12.8 2.6
* * DISCRIMINATOR
DETECTION
4 A modified version of MSK knownassinusoidalFSK(SFSK) 5 In most cases, a simple three-pole filter or a Gaussian filter was
achieves an attenuation of 95 dB I15 I . used.
1756 TRANSACTIONS
IEEE
COMMUNICATIONS,
ON VOL. COM-27, NO. 1 2 , DECEMBER 1979
TABLE 3 , TABLE 4
PERFORMANCE OF REPRESENTATIVE MODULATION SCHEMES PERFORMANCE O E REPRESENTATIVE MODULATION SCHEMES
IN THE PRESENCE OF cwINTERFERENCE O N A RAYLEIGH FADING CHANNEL
OPR
FM I CP-FSK - NONCOHERENT
Id = .71
DETECTION
I I . I
C P - F S K - NONCOHERENTDETECTION
Id = .71
18". 174
MSK Id = .5l
OK-OPSK
simulation results are available for any of the CP-FSK schemes TABLE 5
or for OK-QPSK. PERFORMANCE O F REPRESENTATIVE MODULATION SCHEMES
IN THE PRESENCE O F DELAY DISTORTION (d/T = 1)
Effects o f Fading
Fading is another problem oftenencountered on digital
radiolinks. If the fading is caused by two resolvable multi-
path components, then the results of .Table 3 can be utilized
(the CW interferer can represent the signal from the secondary
path). If the fading is caused by a large, number .of equal ampli-
tude components, the Rayleigh fading model [79, p. 3481 is
more appropriate.6 Table 4 presents the performanceresults
for a Rayleigh fading channel. Because of the severe effects of
Rayleigh fading, a requiredbiterror rate of is assumed
in this table (although this error rate is rather high for digital
radioapplications,error control coding could be used to
achieve the desired ;ate). Because thk values of Table 4 repre-
sent simply a weighted average of the ideal performance curves,
the'relative performance of the schemes does not differ
markedly fromthat indicated by Table 1. Itshould be em- 1
phasized that for the AM and AM/PM schemes, the fading is OK-OPSK 98 15 8 116
assumed to be slow. enough that tde decision threshold can be 8-ary PSK - COHERENT DETECTION -25 <25 175
ACKNOWLEDGMENT
The author wishes to acknowledge Mr. D. I. Himes of the
Naval Research Laboratory, Washington, D.C., for suggesting
LOW COMPLEXITY
1 1 1 11 1 the study that eventually led to this paper.
HIGH
tt t t t DOPSK
APPENDIX A: SUBJECT INDEX
LL
L
-
LCPFSK. DPSI
DlSCRlMlNATOR DETECTION
FEK N O N C O H E R E N T O E T l C T l O N
-
OOK ENVELOPE O L T t C T l O N Amplitude Modulation
Fisure 3 : Relative Complexity ot'Representative Modulation Schemes AM-FSK:30
Binary Coherent
suffers severe degradation fromquadratic delay distortion, general: 32,70,77,80, 119,192
while the coherent biorthogonal schemes (QAM, MSK, and the spectrum: 75,105
variations of QPSK) are degraded significantly by linear delay filtering: 26
distortion. Thus, delay distortion can be an important criterion synchronization: 90
in the selection of a modulation scheme for digital radio. delay distortion: 1 16
fading: 109
Cost and Complexity
Binary Noncoherent: 70,192
Finally,some mention should be made of the costand
complexity of the modulation schemes discussed in this paper. M-ary: 52, 192
In general, it is difficult to evaluate the cost of a particular
OK-QASK: 4 5 , 6 2
scheme withoutconductinga full-scale investigation of the
cost and complexity tradeoffs involved with the many alterna- OOK: 3 5 , 7 0
tive implementationoptions. Nevertheless, themodulation
QAM
methods can be ranked according to their inherent complexity,
and the results of such a ranking are presented in Figure 3. general: 67, 80
spectrum: 98, 145
Application of the Results filtering: 9 8
experimental: 98, 145
The results presented in this section in conjunction with the synchronization: 89
referenced source material can be used to solve systems engi- delay distortion: 116
neering problems. In many applications, most of the alterna- interference: 9 8
tives can be eliminated simply bydetermining and applying
the physical and economic constraints. QASK: See Amplitude and Phase Modulation,
Suppose, for example, that it is desired to determine the QPR: 188
best modulation scheme fortransmitting90 Mbits/s over a
40 MHz radio channel. A quick glance at Table 2 shows that Partial Response: 1 8 , 2 0 , 3 4 , 9 0
only QPR, 8-ary or 16-ary PSK, and 16-ary APK can achieve Radios (digital transmission over): 67
the necessary signaling speed (2.25 bits/s/Hz). Oftheseschemes,
QPR is the most efficient (smallest required E,/N,,) and the Frequency Modulation
least complex. These considerations have promptedat least Chirp modulation: 55
one proposal to employ QPR in the Canadian 8 GHz frequency
band [ 1781 . CP-FSK
general: 1,40, 71 157
IV. CONCLUSIONS spectrum: 2 1 , 7 6
This paper has treated some of the more important consid- filtering: 71,72, 165
erations relevant to the selection of modulation schemes for experimental: 66,71, 165
digital radio applications. In the process, we have summarized demodulation: 123, 157, 164
a portion of the vast body of digital modulation literature of delay distortion: 165
the past 20 years. Hopefullythis work will prove useful to interference: 73, 118, 155, 165
communication engineers both as a summary of modulation frequency stability: 165
characteristics and as a guide to the available literature. M-ary: 1, 118, 165
Clearly,this paper does not cover every aspect of digital
modulation. Many factors(e.g., the effects of frequency offset, Digital FM
imprecise carrler phase recovery andlimiting)are omitted spectrum: 2 1 , 7 5
from the discussion. Many of these topics are covered in detail. filtering: 2 5 , 7 4 , 8 2
in the references at the end'of this paper. As an aid to using experimental: 63,113,122
these references,Appendix A presents acomplete subject demodulation: 126, 133
index. interference: 104, 113
1758 IEEE TRANSACTIONS ON COMMUNICATIONS,VOL. COM-27, NO. 1 2 , DECEMBER 1979
fading: 65 DPSK
biphase FM: 148
capture effect: 9 1 general: 67, 71,77, 108, 164,192
threshold performance: 43 filtering: 38,71,87, 115, 165
experimental: 13,22,66,71, 112, 144, 165
FSK (coherent) frequency uncertainty: 178
general: 86, 192 demodulation: 16,61, 114, 163, 164
spectrum:141 phase reference: 100, 1 12
experimental:124 interference: 52, 73, 104, 142, 147, 165
demodulation: 102 fading: 14,38, 39
delay distortion: 116 nonlinearities: 144, 159, 172
phase reference: 1 10 DQPSK
fading: 39
M-ary:124 general: 71
spectrum: 98
FSK (noncoherent) filtering: 71,98, 165
general: 24,30,80, 192 experimental: 6 6 , 7 1 , 9 8 , 1 1 2 , 1 4 4 , 1 6 5
filtering: 26, 27, 30 phase reference: 100, 112, 172
demodulation: 82, 121, 164 interference: 98, 147, 165
delay distortion: 1 16 fading: 37
frequency uncertainty: 178 nonlinearities: 144, 172
interference: 41 frequency stability: I65
fading: 28, 39, 158 Ail-ary PSK (Coherent)
nonlinearities: 85
M-ary: 23, 165, 192 general: 179, 192
spectrum:175
MSK (See also SFSK, TFM) filtering: 3,49, 57, 58, 175
general: 17,42, 59, 151, 160 experimental: 175
spectrum: 1 5 , 7 6 , 8 4 , 166 delay distortion: 175
filtering: 44, 71,72,84,97, 180 interference: 5'2,58, 175, 179, 191
experimental: 68,71,96, 144 fading: 161, 181
demodulation: 59, 156, 171 nonlinearities: 144, 186, 187
delay distortion: 96 OK-QPSK
phase reference: 169
interference: 118, 153, 155, 171, 182 general: 17, 60
nonlinearities: 144, 180, 186, 187 spectrum:17
M-ary: 155 filtering: 17,71, 180, 193
multiamplitude (MAMSK): 167 experimental: 71, 144
differential MSK: 17 1 demodulation:103
synchronization: 45, 184
SFSK (Sinusoidal FSK): 153, 156, 170, 171 phase reference: 50, 173
TFM (Tamed FM): 166 interference: 153, 155
fading: 1 81
Phase ModuZation nonlinearities: 94, 144, 17, 180, 186, 193
Binary PSK (BPSK) QPSK (coherent)
general: 67,77,80,86: 119, 192 general: 86
spectrum: 76,75, 150 spectrum: 144
filtering: 8, 10, 12, 26, 107,1 1 1 , 136, 143, 154, 162, filtering: 9 5 , 9 6
168 experimental: 144, 145
experimental: 22, 139, 144 phase reference: 101, 149, 152, 173
demodulation: 164 interference: 47, 161
delay distortion: 1 16 fading: '181
phase reference: 4 6 , 6 9 , 88, 101, 129, 149 nonlinearities: 31, 51, 93, 96,99, 144, 172, 187
interference: 33,48, 56, 118, 143, 147, 149, 162 equalization: 1 1
fading: 39,47, 161
nonlinearities: 2 , 4 , 6 , 9 3 , 9 9 , 144, 159, 168, 172, SQPSK (see OK-QPSK)
183,185
Amplitude and Phase Modulation (APK): 37,52, 167, 176,
DPEK: 98,164,165 189,190
OETTING: MODULATION TECHNIQUES FOR DIGITAL RADIO 1759
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*
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~ , . 1977. John D. Oetting (S'69-"73) was born in
pp. 475-525. Merchantville,New Jersey on July 3 I . 1947. H e
174. M . Ramadam. "Practical Considerations in the Design of Minimum- received the B.S.E.E. (summacum laude). the M.S.
Bandwidth. 90 M B . 8-PSK Digital
Microwave System." i n and the Ph.D. degrees from the University o f
Proc.eeditrps / € E € /nrernrrrionol Cmf: on C~~mmrrt~icoriotrs. June 1976. Pennsylvania. Philadelphia, Pennsylvania. in 1969.
pp. 29-I to 29-6. 1971 and 1973,respectively.
175. H . Ishio. M . Washio. M . lnokuchi and S . Sekev, "A New Multilevel For the past five years. Dr. Oetting has been with
Modulation and Demodulation System Carrier forDigital Booz.Allen and Hamilton in Bethesda. Maryland.
Transmission." in Proc. / E € € /ntt~rtrationcrlConf: on Cotnmunictrtiorrs. workingin theareas o f coding and modulation
June 1976.pp. 29-7to 29-12. analysis. Low Probability o f Intercept (LPI) and
176. M. K . Simon and J . G . Smith."HexagonalMultiple Phase-and- Anti-jam
(AJ)
communication techniques. and
Amplitude-Shift-KeyedSignal Sets." /E€€ Trrrrrs. otr Cornm..Oct. digitalsignalprocessing.Priorto that. he worked in the field o fH F
1973.pp. I 108-1 I 1s. communications and over-the-horizon radar at I l T Electro-Physics
177. J . C . Henry. "DPSK Versus FSK With Frequency Uncertainty." / € € E Laboratories in Columbia. Maryland. While in graduate school. he spent two
Trtrns. on Comm.. Dec. 1970.pp. 8 11-8 16. summers as a research assistant at the Los Alamos Scientific Laboratory in L n s
I7X. J . J . Spiker. Jr.. Di,qittr/Cf),,r,nu,ric.rrtinrrs b ~ S o t e l l i t eEnglewood
. Cliffs: Alamos.NewMexico. and one summer working on his dissertation topic
Prentice-Hall. Inc.. 1977. (formant extraction by linear prediction)at Philco-Ford Corporation inWillow
179. D. J. Gooding."ModulationStudy".FinalTechnical Report on Grove. Pennsylvania.
Contract N67269-76-M-2163. Oct. 28. 1975.DDC No. AD-AO17165. Dr. Oettingi s a member o f T a u Beta Piand Eta Kappa Nu.