4

FREQUENCY MODULATION

An inherent problem with AM is its susceptibility to noise superimposed on the modu­

lated carrier signal. If this noise falls within the passband of the receiving system and
its amplitude is large enough, it will interfere with the detected intelligence. To improve
on this shortcoming, Major Edwin E. Armstrong has been credited with developing in
1936 the first frequency modulation (FM) radio communication system, a system that is
much more immune to noise than its AM counterpart.
Since its inception, FM has remained one of the most prevalent forms of modula­
tion techniques in the telecommunications industry, being used in applications such as
cellular and cordless telephony, paging systems, modem technology, television, com­
mercial FM broadcast, amateur radio, and more. It is the best choice for fidelity and of­
fers a much higher signal-to-noise ratio than its AM counterpart.
In this chapter, the principles of FM are examined. We do not present an entire
analysis of an FM transmitter and receiver; it would take several chapters to do justice
to that lengthy subject. A brief comparison of phase modulation (PM) is presented, how­
ever, so the student understands that both FM and PM are regarded as angle modula­
tion. Unlike amplitude modulation. FM is difficult to treat mathematically due to the
complexity of the sideband behavior resulting from the modulation process. For this rea­
son, mathematical presentations are limited to the conventional treatment, using both
charts and table derivations.

4.1 ANGLE MODULATION

In AM, the amplitude of the carrier signal varies as a function of the amplitude of the
modulating signal. The intelligence of the modulating signal can be conveyed by vary­
ing the frequency or phase o f the carrier signal. W hen this is the case, we have angle
modulation. Angle modulation can be subdivided into two categories: frequency modu­
lation (FM), and phase modulation (PM). Figure 4-1 illustrates the FM and PM wave­
forms for sine wave modulation. They are defined as follows.
Frequency Modulation. The carrier’s instantaneous frequency deviation from its un­
modulated value varies in proportion to the instantaneous amplitude of the modulating
signal.
49
50 I Frequency Modulation

V
A

v
A

FM wave

AA A A AA A A A A
(d) ►t PM wave

V iv v 1/ V/ v V

FIGURE 4-1
The FM and PM w aveform s for sine wave modulation: (a) earner wave; (b) modulation
wave; (c) FM wave; (d) PM wave. *(Note: The derivative of the modulating sine wave is
the cosine wave shown by the dotted lines. The PM wave appears to be frequency m odu­
lated by the cosine wave.)

Phase Modulation. The carrier’s instantaneous phase deviation from its unmodulated
value varies as a function of the instantaneous amplitude of the modulating signal; in
other words, the carrier deviation is proportional to the rate of change of the modulat­
ing signal. In calculus, this is the derivative of the modulating signal.
The mathematical derivations for the equations representing the FM and PM wave­
forms are best explained through use of integral calculus. We will spare the reader from
the complexity of these derivations, however, and present only their solutions! Thus, for
FM. the instantaneous voltage for the waveform with sine wave modulation is;

"The mathematical derivations for equations (4 -l) and (4-2) can be found in most electronic communications texts
written for engineering students.
 4.2 Modulation Index I 51

<?j-m = A, sin (coct + nif sin ojmt) (4-1)

and. for PM,
ePM = A(. sin (coj + <fim sin a)mt) (4-2)
where eFM = instantaneous voltage of the FM wave
epM = instantaneous voltage of the PM wave
Ac = peak amplitude of the carrier
a>c = angular velocity of the carrier
com = angular velocity of the modulating signal
asct = carrier phase in radians
comt — modulation phase in radians
nif = FM modulation index
4>m = maximum phase deviation in radians caused by the modulating signal
(also regarded as the PM modulation index)

4.2 MODULATION INDEX

From the waveforms and equations for FM and PM, it is apparent that an immediate dis­
tinction cannot be made between the two. It is necessary to know the modulation func­
tion. That is, the waveform alone cannot be used to distinguish between FM and PM.
It is their modulation indices. mf and that differ.
The modulation index for an FM signal is defined as the ratio of the maximum/re-
quency deviation to the modulating signal's frequency. It is given by

tnf = ~ - (4-3)
Im
where mf = modulation index for FM
S = maximum frequency deviation of the carrier caused by the amplitude of
the modulating signal.
f,„ = frequency of the modulating signal
Note that the modulation index, mf. for FM is proportional to the amplitude of the
modulating signal through 5 and is also inversely proportional to the frequency of the
modulating signal. Herein lies the subtle difference between FM and PM. Although
the modulation index, 4>m, for a PM signal is proportional to the amplitude of the
modulating signal, in contrast to FM, it is also dependent upon the modulation frequency
whereas FM is not. Figure 4-2 illustrates these subtle differences between FM and PM.

4.3 FREQUENCY ANALYSIS OF THE FM WAVE

Recall that in AM, the frequency components consist of a fixed carrier frequency with
upper and lower sidebands equally displaced above and below the carrier frequency. The

Transmission Systems fo r Communications, 4th ed. (Bell Laboratories. Inc. 1971). pp. I l l , 112.
 52 I Frequency Modulation

FIGURE 4-2 5, <#>„,

Comparison of FM and PM. Frequency or phase ▲
deviation versus: (a) modulation voltage:
(b) modulation frequency.

fai

S.Qrr

frequency components of the upper and lower sidebands are mirror images of each other
and identical to that of the modulating signal, except that they translate up to the carrier
frequency. The frequency spectrum of the FM wave is much more complex, however. In
equation (4-1). a single sinusoid used to modulate the FM carrier produces an infinite
number of sidebands. Furthermore, the complexity of the sideband activity increases
with frequency complexity in the modulating signal.
Analysis of the frequency components and their respective amplitudes in the FM
wave requires use of a complex mathematical integral known as the Bessel function of
the first kind of the nth order: Evaluating this integral for sine wave modulation yields
eFM = A. .F, l/n,-) sin ioct (4-4)
+ At. {J\ (mo [sin(ay + co„,)t — sinfay. — com)t]}
+ A c {J2 (no [sinfay + 2wm)t — sin(oy —2a>m)t}}
+ A C{J, ( mo [sin(dy. -+- — sinl& y —
+ Ar {74 (mu [sinfny — 4 a>m)t — sintay —4w,„)f]}
+ .... etc.
where eFM = the instantaneous amplitude of the modulated FM wave
A(. = the peak amplitude of the carrier
Jn = solution to the nth order Bessel function for a modulation index mf.
mf = FM modulation index

'Leon W. Couch II. Digital and Analog Communication Systems, 2nd ed. (New York: MacMillan. 1987). p. 280.
 4.3 Frequency Analysis of the FM Wave I 53

and
Ac70(m/)sin a>ct = the carrier frequency component
Ac{ /t (/Wf)[sin(toc + a>m)t — sin(<uc — ojm)t]} = the first-order sideband
AC{J2 (Wf)[sin(a>c + 2cum)t —sin(wc —2wm)?]} = thesecond-order sideband
A c{J3 + 3com)t —sin(wc —3«,„)?]} = thethird-order sideband
A(.{Jn {nif)[sinfoy. + ncom)t —sin(wr —nw„,)r]} = the«th-order sideband
It is apparent from equation (4-4) that the FM wave contains an infinite number of side­
band components whose individual amplitudes are preceded by J„(my) coefficients. Each set
of upper and iower sidebands is displaced from the carrier frequency by an integral multi­
ple of the modulation frequency. These are the Bessel functions; tabulated Bessel functions
to the sixteenth order for modulation indices ranging from 0 to 15 are listed in Table 4-1
on page 54. The successive sets of sidebands are referred to as first-order sidebands,
second-order sidebands, and so on. A plot of the Bessel functions, as shown in Figure 4-3,

FIGURE 4-3
Spectral com ponents of a carrier of frequency, f c, frequency m odulated by a sine wave
w ith frequency f m. (Source: James Martin, Telecommunications and the Computer, 2nd.
ed. [Prentice-Hall, Englewood Cliffs, N.J., 19761, p. 218. Reprinted w ith permission from
the publisher.)
tfl

TABLE 4-1
Bessel functions of the first kind
n or order of sidebands

C arrier
Modulation Frequency
Index Unj) Ja Jt Ji Ji J* J, J<, ./7 Jx </ H) J 11 .hi J 14 J 15 J\h
0.00 1.00 —

0.25 03)8 0.12 — -- —

0.5 0.94 0.24 0.03 - —
I.O 0.77 0.44 0.1l 0.02 ... -
1.5 0.5 I 0.56 0.23 !).()(> o.oi
0.22 0.58 0.35 0.13 0.03 — — — ....
2.0 — — —

2.3 -0.05 0.50 0.45 0.22 0.07 0.02 — — — — — — — __ ~

3.0 0.26 0.34 0.49 0.31 0.13 0.04 0.01 — — — — — —
4.0 -0.40 -0.07 0.36 0.43 0.28 0.13 0.05 0.02 — — — — — — — — ~
5.0 -0.I8 -0.33 0.05 0.36 0.39 , 0.26 0.13 0.05 0.02 — — — — — — — —

0.15 -0.28 -0.24 0.I l 0.36 ' 0.36 0.25 0.13 0.06 0.02 — — — — — ___ —
6.0
7.0 0.30 0.00 -0.30 -0.17 0.16 0.35 0.34 0.23 0,13 0.06 0.02 — — — — —
8.0 0.17 0.23 O il -0.29 - o.io 0.19 0.34 0.32 0.22 0.13 0.06 0.03 — — - —
9.0 0.09 0.24 0.14 -0.18 - 0.27 -0.06 0.20 0.33 0.30 0.21 0.12 0.06 0.05 0.01 —
10.0 -0.25 0.04 0.25 0.06 -0.22 0.23 0.01 0.22 0.31 0.29 0.20 0.12 0.06 0.03 0.01 —

12.0 0,05 -0.22 -0.08 0.20 0.18 -0.07 -0.24 0.17 0.05 0.23 0.30 0.27 0.20 0.12 0.07 0.03 0.01
15.0 - 0 .0 1 0.21 0.04 — 0.19 -0.I2 0.13 0.21 0.03 - o. 17 0.22 -0.09 0.10 0.24 0.28 0.25 0.18 0.12

Source: li. O im b i. Bessel i-'unciions, Dover Publications, Inc., New York, N.Y., PMX. Courtesy ol (he publisher.
 4.3 Frequency Analysis of the FM Wave I 55

illustrates the relationship between the carrier and sideband amplitudes for sine wave
modulation as a function of modulation index, m. From the curves or the table, we can
obtain the amplitudes of the carrier and sideband components in relation to the unmodu­
lated carrier.

EXAMPLE Find the carrier and sideband amplitudes to the fourth-order sideband for a modulation
4.1 index of mf = 3. The peak amplitude of the carrier, Ac , from equation (4-4), is 10 V.
Solution:
From Table 4-1 or Figure 4-3. we have
Jo(fn 3) = —0.26
Ji(m3) = 0.34
J2(m3) = 0.49
Jn(m3) = 0.31
J4(m3) = 0.13
and therefore
J0 = -0 .2 6 X 10 V = -2 .6 V
J, = 0.34 X 10 V = 3.4 V
J2 = 0.49 X 10 V = 4.9 V
J3 = 0.31 X 10 V = 3.1 V
J4 = 0.13 X 10 V = 1.3 V

From Table 4-1 and Figure 4-3, the FM signal is characterized as:
■ The FM wave is comprised of an infinite number of sideband components whose in­
dividual amplitudes are preceded by ) coefficients.
■ Each set of upper and lower sidebands are displaced from the carrier frequency by
an integral multiple of the modulation frequency.
■ As the modulation index increases from mf = 0, the spectral energy shifts from the
carrier frequency to an increasing number of significant sidebands. This suggests that
a wider bandwidth is necessary to recover the FM signal.
■ The magnitudes of tne sideband amplitudes, Jn(mf) coefficients, decrease in value
with increasing order, n.
■ For higher-order sidebands, the magnitudes of the sideband amplitudes, Jn{mf) coef­
ficients, increase in value with increasing modulation index, mf .
■ Sideband amplitudes with negative Jn(nif) coefficients imply a 180° phase inversion.
Since a spectrum analyzer displays only absolute amplitudes, the negative signs have
no significance.
■ The carrier component, 70, and various sidebands, Jn, go to zero amplitude at spe­
cific values of modulation index, mf.
 56 I Frequency Modulation

4.3.1 Carrier Frequency Eigenvalues

As stated earlier, in some cases, the carrier frequency component, J0, and the various side­
bands, J„, go to zero amplitudes at specific values of m. These values are called eigen­
values. Table 4-2 lists the values of the modulation index for which the carrier amplitude
goes to zero, and this implies that one can easily estimate the modulation index for an
FM signal with sine wave modulation by use of a spectrum analyzer. The displayed num­
ber of sidebands and their respective amplitudes are simply noted and used in conjunc­
tion with Figure 4-3. Table 4-1. and Table 4-2 to determine the modulation index.
TABLE 4-2
Modulation index values for w hich :ne carrier amplitude is zero
Order of Carrier Frequency Eigenvalues Modulation Index, mf

1 2.40
2 5.52
3 8.65
4 11.79
5 14.93
6 18.07
n (n > 6) 18.07 + 77(71 —6)

Source: Spectrum A nalysis A m plitude and Frequency M odulation, H ew lett-P ackard A pplication N ote 150-1,
November 1971. pp. 9-11.

EXAMPLE A spectrum analyzer is used to verify an FM signal with a carrier frequency of 100.3
4.2 MHz, a modulation frequency of 15 kHz. and a modulation index of mf — 2.4. Determine
the following:
(a) The number of significant sideband pairs.
(b) Predict the spectrum-analyzer display for the signal, and show the relative ampli­
tudes of each sideband pair.
(c) Compute the frequency deviation, 8.
Solution:
(a) The number of significant sideband pairs can be found from the Bessel functions
listed in Table 4-1. For a modulation index of 2.4, we can estimate (using mf = 2.5
from the table) that the number of significant sideband pairs is 5: J } through J5.
(b) From 'fable 4-2. a modulation index of 2.4 corresponds to the first carrier frequency
null or eigenvalue. We know that the carrier frequency component is zero, and the
relative amplitudes of the sidebands can be determined from Table 4-1 and Figure
4-3. Figure 4-4 illustrates the frequency spectrum for the FM signal. The five side­
bands on either side of the carrier frequency, fc, and their relative amplitudes corre­
spond to a modulation index of mf = 2.5, which is a close approximation.
(c) From equation (4-3).
S

and therefore
8 = mf ■f„, = 2.4 X 15 kHz = 36 kHz
 4.3 Frequency Analysis of the FM Wave I 57

Relative Amplitude

FIGURE 4-4
Frequency spectrum of an FM signal w ith a modulation index of m f = 2.4 (first carrier
null or eigenvalue). Note that the carrier amplitude goes to zero. Relative amplitudes are
approximated from Table 4-1 using m f = 2.5.

4.3.2 Bandwidth Requirements for FM

In theory, the FM wave contains an infinite number of sidebands, thus suggesting an in­
finite bandwidth requirement for transmission or reception. In practice, however, the
sideband amplitudes become negligible beyond a certain frequency range from the car­
rier. This range is a function of modulation index, mf . that is, the ratio of carrier fre­
quency deviation to modulating frequency (equation [4-3]). The higher the modulation
index, the greater the required system bandwidth. This was shown earlier, in the listing
of Bessel functions (Table 4-1). Figure 4-5 is a more graphical illustration of how the
FM system’s bandwidth requirements grow with an increasing modulation index. Here,
the modulation frequency. f,„. is held constant, whereas the carrier frequency deviation,
5, is increased (and, consequently, mt as well) in proportion to the amplitude of the mod­
ulation signal.
Based on the Bessel functions listed in Table 4-1. Table 4-3 lists the number of
significant sideband components corresponding to various modulation indices. By "sig­
nificant.” we usually mean all of those sidebands having a voltage of at least 1%, or
—40 dB (20 log -—-), of the voltage of the unmodulated carrier. The bandwidth re­
quirements for an FM signal can be computed by
BW = 2 (n ■f,„) (4-5)
where n = the highest number of significant sideband components f„, = the highest
m odulation frequency

4.3.2.1 Carson's Rule. From our previous discussion, it is evident that the bandwidth
of an FM signal must be wider than that of an AM signal. In establishing the quality of trans­
mission and reception desired, a limitation must be placed on the number of significant side­
bands that the FM system must pass. In 1938, J. R. Carson first stated in an unpublished
memorandum that the minimum bandwidth required for the transmission of an angle
 58 I Frequency Modulation

1 -.98
m f = 0.25
0.5
.12 .12
| 1
c f'c * f m

Bandwidth

m f = 5
on 0.5
.26 « - 36 -33 .ae-3,9^
.33
.02.05-13 I I | .05 | 1 05 | l I I,3 05 02
-> f
■8f„ fc fc +
Bandwidth —w

FIGURE 4-5
A m plitude versus frequency spectrum for various modulation indices (fm fixed, 5 varying):
(a) m f = 0.25; (b) rry = 1; (c) m f = 2; (d) m f = 5; (e) mf = 10.
 4.3 Frequency Analysis of the FM Wave I 59

TABLE 4-3
M odulation index versus the number of significant sidebands
Modulation Index, mf Significant Sidebands, n
0.00 0
0.25 1
0.50 2
1.00 3
2.00 4
3.00 6
4.00 7
5.00 8
7.00 10
10.00 14
15.00 16

modulated wave is equal to two times the sum of the peak frequency deviation, <5, plus the
highest modulating frequency, fm, to be transmitted.* This rule is known as Carson's Rule:
BW = 2 (8 + f j (4-6)

EXAMPLE The FCC permits commercial FM broadcast stations to transmit audio signals up to 15
4.3 kHz, with a maximum permissible deviation of 75 kHz. Compute the following:
(a) the modulation index, mf .
(b) the BW of the FM signal using equation (4-5) and Table 4-3.
(c) the BW of the FM signal using Carson’s Rule.
Solution:
(a) Using equation (4-3), we have
<5 75 kHz
1 fm 15 kHz
(b) Using equation (4-5) and Table 4-3, we have
BW = 2(n • f j = 2 (8 ■15 kHz) = 240 kHz
(c) Using Carson’s Rule and equation (4-6), we have
BW = 2 (5 + fm) = 2 (75 kHz + i5 kHz) = 180 kHz
Carson’s Rule gives results that agree with the bandwidths used in the telecom­
munications industry. It should be noted, however, that this is only an approximation
used to lim it the number o f significant sidebands for m inim al distortion.

4.3.2.2 Broadcast FM. The commercial FM broadcast band, as shown in Figure

4-6, extends from 88 to 108 MHz and is divided into 100 channels. The FCC has allo-

*Transmission Systems fo r Communications, 4th ed. (Bell Laboratories, 1971), p. 115.

05
O

88 MHz 108 MHz

20 MHz Commercial FM Band - -.... — ►

(( CH CH
99 100
i

F-ioo =:
107.9 MHz
N 300

N = 5 (f - 47.9)
where N = FM broadcast number
f = frequency in MHz
I'rri.ix ~ 475 kHz
fm -= 15 kHz
'" m a x
BW = 200 kHz per channel

FIGURE 4-6
Commercial FM broadcast band.
 4.4 Power in the FM Wave I 61

cated a bandwidth of 200 kHz and designated a numerical value, N, for each channel.
Channels range from 88.1 MHz, where N = 201, to 107.9 MHz, where N = 300. Thus
FM broadcast stations can only be tuned at odd intervals of 200 kHz (e.g., 100.1 MHz,
100.3 MHz, and so on). The channel number, N, or its corresponding broadcast fre­
quency can be computed as follows:
N = 5 ( f ~ 47.9)
or
/V
/ = — + 47.9 (4-7)
5
where N = the FM broadcast channel number
/ = the frequency in MFIz
The maximum permissible carrier deviation, <5, is ±75 kHz. The transmitter is per­
mitted to modulate its carrier frequency with a band of frequencies ranging from 50 Hz
to a 15-kHz maximum. Thus the modulation index can range from as low as 5 for f,„ =
15 kHz (75 kHz/15 kHz) and as high as 1500 for fm = 50 Hz (75 kHz/50 Hz). The ±75-
kHz carrier deviation results in an FM bandwidth requirement of 150 kHz for the re­
ceiver. A 25-kHz guard band above and below the upper and lower FM sidebands makes
up the remaining 50 kHz of the 200-kHz channel and prevents the sidebands from in­
terfering with adjacent channels.

4.3.2.3 Narrowband FM. In contrast to the relatively wide bandwidth of broad­

cast FM, narrowband FM refers to FM systems in which the FCC has allocated band-
widths ranging from 10 to 30 kHz. The demand for use of the spectrum has led to the
popularity of narrowband FM. Modulation indices are generally kept near unity so that
the FM bandwidth can be computed in the same manner as the AM bandwidth. In
other words. BW is simply 2 X f,„. Examples of narrowband FM include mobile radio
systems for police, fire, and taxi services; cellular telephony; amateur radio; and so on.

4.4 POWER IN THE FM WAVE

The total power in an FM wave is distributed in the carrier and the sideband compo­
nents. If we sum the power in the carrier and all of the sidebands for any given modu­
lation index, it will equal the total power of the unmodulated carrier. Thus it can be
shown that for an unmodulated carrier (mf = 0),

Pt = (4-8)
where PT = the total rms power of the unmodulated wave
Vr rms = the rms voltage of the carrier signal
R = resistance of the load
For a modulated carrier,
Pt - P /o + P yi + P 72 + P./:< + • ■■ + P j„ (4-9)
_ Vyo2 | 2(V „)2 | 2(VJ2)2 | 2(Vy3)2 2 ( V j„)2
+ ... + (4-10)
R R R R R
 62 I Frequency Modulation

where Pt = the total rms power of the FM wave

Pyo = rms power in the carrier
P/, = rms power in the first set of sidebands
Py2 = rms power in the second set of sidebands
P./3 = rms power in the third set of sidebands
Py„ = rms power in the nth set of sidebands
Vjo through V = the rms voltage of the carrier through the nth sideband,
respectively.

EXAMPLE In Example 4.1. the carrier and sideband amplitudes to the fourth order were solved for
4.4 a modulation index of 3 and a peak carrier amplitude of 10 V. Use the solutions from
Example 4.1 to prove that the total power in an unmodulated FM wave equals the total
power in the modulated FM wave. Assume that the modulated and unmodulated wave
is delivered to a 50-12 load.
So lu tio n :
We need to prove that equation (4-8) equals equation (4-9). Using equation <4-8). we
have
Vcrms (0.707 X 10 V)-
Pt 1.00 W
R 50Q
From Example . the peak carrier and sideband amplitudes can be converted to their rms
values:
J0 = 0.707 X -2 .6 V = -1.838 V
J, = 0.707 X 3.4 V = 2.404 V
J2 = 0.707 X 4.9 V = 3.465 V
Jn = 0.707 X 3.1 V = 2.192 V
J4 = 0.707 X 1.3 V = 0.9192 V
Using these values with equations (4-9) and (4-10), we have
P t = Pyo + Pyi + P/2 + P/; + Pya
_ V jq 2 2 ( Y j ,)2 | 2 ( V j 2)2 t 2 (V j 3)2 , 2 ( V /4)2
R R R R ' R
( - 1.838 V)2 , 2(2.404)2 2(3.465)2 i 2(2.192)2 2(0.9192)2
50 O 50 Q 50 U ' 50 O 50 f)
= 0.06756 + 0.2312 + 0.4802 + 0.1922 + 0.03380
= 1.005 W
The solution to equation (4-8) is 1.00 W; the solution to equation (4-9) is 1.005 W. These
results are slightly different because the sideband amplitudes, originally taken from the
Bessel function table, are rounded values. We have proved that the total power in an un­
modulated FM carrier wave is the same as it is when it is modulated. The power is sim­
ply distributed in the carrier and sidebands when modulation occurs and is independent
of the modulation index. The student is encouraged to prove this using other modula­
tion indices.
 4.5 FM Noise I 63

FM NOISE
Noise affects the performance of any communications system, and it must be treated
meaningfully. In Chapter 2, we learned that there are many sources of noise, and that its
frequency, amplitude, and occurrence in time can be random or predictable. If the noise
falls within the passband of the receiver, it can mix and add with the incoming signal,
causing the original intelligence to become distorted.
The increased bandwidth of an FM system over an AM system may be used to en­
hance the signal-to-noise ratio (SNR) performance of the receiver system. This is one
of the primary advantages of FM over AM. Recovering the modulation signal has an in­
herent noise suppression capability that AM does not; however, to take advantage of this,
it is necessary to use large indices of modulation, in which case higher-order sidebands
become increasingly important. Thus a wider bandwidth is required for the transmission
and reception of an FM signal.

4.5.1 Phasor Analysis of FM Noise

In FM, noise added to the carrier signal causes a shift in frequency and phase from its
normal state. The potential effect of the noise can be explained through use of phasor
diagrams.
Recall that a phasor is essentially a vector that portrays both magnitude and di­
rection for vector quantities. In Figure 4-7, Vc is a phasor representing the magnitude
and direction of an FM signal’s carrier rotating at a frequency o\ . For simplicity, we will
consider a single noise component represented by the phasor VN, whose rotating fre­
quency is cum- Ideally only the modulating voltage phasor would be superimposed on the
carrier’s phasor.
From our illustration, it can be seen that the phasor sum of Vc and VN at any in­
stant in time is represented by a resultant phasor R. It is this resultant phasor that the
FM receiver processes. The magnitude of R is its length from tail to head, which can lie
anywhere on the circumference of the circle outlined by rotating phasor VN. The resul­
tant phasor’s amplitude, R, and phase deviation, a, continuously change with respect to
time. The new signal is therefore amplitude, phase, and frequency modulated by the
noise.

FIGURE 4-7
Phasor addition of noise on an FM signal's carrier frequency causes a phase shift w hose
m axim um value is a.
 64 I Frequency Modulation

The FM receiver is insensitive to the amplitude variations caused by noise, whereas

the AM receiver is not. A circuit in the FM receiver, called a limiter, removes any vari­
ations in signal amplitude before detection or demodulation of the signal. The noise is
essentially “clipped o ff’ by the limiter. The culprit is not the amplitude variations; the
phase variation, a, produced by the noise voltage generates the undesirable frequency
variation.
The angle, a. established between the carrier and resultant phasor represents the
maximum phase deviation caused by the noise. The AM receiver will not be affected by
the phase changes for voice communications, whereas the FM receiver will not be af­
fected by the amplitude changes caused by the noise. It is the phase deviation, a, that
distorts the FM signal. The maximum phase deviation occurs when R and VN are at right
angles to each other and can be computed by
-I VN
a = sin ---- (4-11)
V,
where a = the maximum phase deviation of the carrier frequency caused by the
noise.
VN = noise voltage
Vc = carrier voltage
The ratio of carrier voltage to noise voltage, is the SNR:

SNR = — (4-12)
VN
and therefore equation (4-11) can also be written as
a = sin (4-13)
SNR
EXAMPLE The input signal to an FM receiver has noise voltage of 25 /TV superimposed on its car­
4.5 rier frequency, whose amplitude is 100 /TV. Compute the following: (a) phase deviation,
a , caused by the noise; (b) SNR.
Solution:
VN 25 /TV
(a) a = sin ---- = sin ------------= 14.48° = 0.253 radians
Vc. 100 /TV
Vt. 100 /TV
(b) SNR = — = ------— = 4 (or 4:1)
VN 25 fiV

Since the modulation index for FM is defined as the ratio of the carrier’s peak
frequency deviation to the modulation frequency, a represents the equivalent modu­
lation index produced by the noise. Using the following equation, we can compute
the peak frequency deviation. Sn. produced by the noise if we are given a modula­
tion frequency. f,„.
Sn = « ' f„, (4-14)
where <5N = peak carrier frequency deviation produced by the noise voltage, VN
a = maximum phase deviation of the carrier frequency expressed in radians
f,„ = modulation frequency
 4.5 FM Noise I 65

Note the similarity between equations (4-14) and (4-3), which states that mf =
8/fm. For commercial FM broadcast stations, the maximum modulation frequency is
kFIz. Therefore the peak carrier frequency deviation caused by the noise in Example 4.5
can be computed as
SN = a ■f„, = 0.253 X 15 kHz = 3.795 kHz
This degree of frequency deviation, which ideally should be zero under the condition of
no noise (VN = 0), may or may not be significant. Equation (4-14) shows that the higher
the modulation frequency, f,„. the worse the deviation becomes. Also, since f,„ is directly
related to the modulation index (mf = 8/fm). we can also say that for low modulation in­
dices (resulting from increasing tm). the worse the deviation becomes. What must be
considered is the relative deviation caused by the noise in comparison to the maximum
allowed deviation. 5, of the FM system. For example, since the maximum 8 for an FM
broadcast system is 75 kHz, then 3.795 kHz is only a 5% shift in frequency.
It is also possible to compute the overall SNR improvement resulting from the FM
process alone. The maximum allowed frequency deviation. 5, is caused by the maximum
modulation amplitude, and the maximum frequency deviation caused by the noise am­
plitude is <5n. Therefore the ratio of the two represents the overall FM SNR:

SNRfm = —— (4-15)
9n
In Example 4.5. the input signal had SNR of 4:1. Applying equation (4-14). we found
that the noise produced a peak carrier deviation of 3.795 kHz for a modulation frequency
of 15 kHz. Using 75 kHz as the maximum deviation for the FM signal! That is. mf = 5.
the resulting SNR is
5 75 kHz
SNR™ = = 19.8 (or 19.8:1)
8s 3.79o kHz
This is an overall improvement of 13.9 dB from the original 4:1 SNR (20 • log 19.8 -
20 • log 4). Of course, this assumes the FM receiver’s internal noise contribution is neg­
ligible. In an AM receiver, a 4:1 SNR at the input would result in the same ratio at the
output.

EXAMPLE The input SNR to a narrowband FM receiver is 3:1. The maximum modulation fre­
4.6 quency, f,„. is 3 kHz. with a maximum deviation, 5, of 10 kHz. Compute the modula­
tion index. mf, and the overall SNR improvement from input to output. Assume there is
no other noise contribution to the system.
So lu tio n :
The m odulation index is com puted using equation (4-3):
5 10 kHz
mf = — = ----------= 3.33
J f,„ 3 kHz
Using equation (4-13), the maximum phase deviation of the carrier frequency caused by
the noise is
a = sin~1 = s u T l( j ) = 19.47° = 0.3398 radians
66 I Frequency Modulation

The maximum frequency deviation caused by the noise is computed using equation
(4-14):
<5N = a ■f,„ = 0.3398 X 3 kHz = 1.019 kHz
Using equation (4-14), we have
d 10 kHz
sn rf = 9.85 (or 9.85:1)
8n 1.015 kHz
The SNR improvement from input to output went from 3:1 to 9.85:1. This increase can
be computed in decibels as follows:
SNR = 3 = 20 • log 3 = 9.54 dB
SNR = 9.85 = 20 • log 9.85 = 19.87 dB

Thus the overall improvement in SNR is

19.87 dB - 9.54 dB = 10.3 dB

Note that the SNR improvement in Example 4.6 is not as great as that in Example
4.5. in which a 8 of 75 kHz and f„, of 15 kHz were used. The SNR was nearly 20:1 for
a modulation index of 5. This shows that the greater the modulation index or lower the
modulation frequency, the greater the improvement in SNR.

4.5.2 Pre-emphasis and De-emphasis

As discussed earlier, the effect of noise on an FM carrier signal is directly proportional
to the modulation frequency. Increasing the modulation frequency. f,„. degrades the
SNR. Unfortunately, in most cases, the modulation frequency is not fixed, as in the pre­
vious examples; instead, the modulation frequency is continually changing, depending
on the nature of the intelligence. For example, voice, data, and music contain many fre­
quencies. which are distributed throughout the given modulation passband. Therefore the
SNR is not uniform throughout.
To circumvent this. FM transmitters must boost the signal levels of the higher-
modulating frequencies before the modulation process. This is to maintain a uniform
SNR for the higher modulation frequencies and is called pre-emphasis. Since the origi­
nal intelligence representing the higher frequencies has been artificially boosted in am­
plitude to a higher level, they no longer represent their original amplitudes. The FM re­
ceiver must de-emphasize these signals to the same extent, which is called de-emphasis
and takes place after the FM signal has been demodulated. A simple high-pass filter is
used for pre-emphasis of the signal and a low-pass filter for de-emphasis of the signal.
The FCC requires commercial FM broadcast stations to include in their transmit­
ters an inductance-resistance (L/R) pre-emphasis network with a time constant of 75 ps.
This implies that the receiver must include a de-emphasis network with the same time
constant; an L/R time constant corresponds to a break frequency of 2122 Hz [ 1/(27rL/R)]-
Figure 4-8 illustrates a pre-emphasis and a de-emphasis circuit. Note that the sum ot
their frequency response curves is unity gain.
 4.6 FM Generation I 67

+V„

i^ S .s
RC = 75 Lts

(-----o Audio output Audio input -o Audio output

(pre-emphasized) (pre-emphasized) (de-emphasized)
C

(a) (b)

Ay, dB
+ 6 dB/octave

= 2,122 Hz

= 2,122 Hz

(c)

FIGURE 4-8
(a) Pre-emphasis circuit in FM transm itter w ith 75-fj.s tim e constant; (b) de-emphasis circuit
in FM receiver w ith 75-/as tim e constant; (c) combined frequency response.

4.6 FM GENERATION
There are two basic methods of generating the FM signal: direct, and indirect. The di­
rect method occurs when the modulation signal (or intelligence) is used to directly
change the carrier signal’s frequency or phase. The indirect method uses the modulation
signal to change the phase of the carrier signal, which indirectly changes its frequency.
Indirect FM is often referred to as the Armstrong method o f FM generation, which is
named after its inventor, Major Edwin E. Armstrong. There are many types of direct and
indirect FM generating circuits, but we limit our discussion to a few that are commonly
used.
68 I Frequency Modulation

4.6.1 Varactor-Tuned Modulators

Varactor-tuned modulators utilize varactor diodes (also known as varicaps) in tank cir­
cuits for generating the direct FM signal. A varactor diode is a semiconductor diode that
has been specifically manufactured to have its depletion region optimized for variable
capacitance effect under the reverse-bias condition. Figure 4-9 shows the varactor diode
symbol, its equivalent circuit, and its characteristic curve. Although all P-N junctions ex­
hibit some degree of capacitance, what is unique about the varactor diode is its large
timing ratio. A varactor diode's tuning ratio is defined as the ratio of its junction ca­
pacitance. CT, measured at a reverse-bias potential of 4 VDC. divided by its junction ca­
pacitance. measured at a reverse-bias potential of 60 VDC. Typical tuning ratios are 3:l
but can be as high as 5: l.
Two varactor-tuned modulator circuits are shown in Figure 4-10. A Co/pitts oscil­
lator configuration is shown in Figure 4 - 10(a). The varactor diode. VR1. is reverse-
biased through the DC supply potential, Vc c . and transistor Q ,'s emitter potential. VF.
Feedback to sustain oscillations is tapped off of the tank circuit and fed to the emitter
of Q,. The audio input signal modulates the varactor diode's junction capacitance, hence
the resonant frequency of the tank circuit changes with the instantaneous voltage of the
modulating signal. The FM signal is produced at the output.
Figure 4 -10(b) illustrates a Pierce oscillator. In this configuration, feedback to sus­
tain oscillation is provided by the series resonant crystal. XTAL,. Unlike the Colpitts
oscillator, whose resonant frequency is a function of the tuned tank circuit, the Pierce
oscillator has been configured for crystal control. There is no resonant tank circuit; in-

FIGURE 4-9
Varactor diode: (a) electrical symbol; (b) equivalent circuit; (c) characteristic curve.
 4.6 FM Generation I 69

FM output

Modulation
voltage input

(b )

FIGURE 4-10
Varactor-tuned FM modulator circuits: (a) Colpitis oscillator; (b) Pierce oscillator.

stead, the frequency of the crystal holds the resonant frequency to a high degree of ac­
curacy. The audio input signal modulates the capacitance of the varactor diode. VRI,
which in turn is said to "pull” the crystal frequency above and below its natural reso­
nant frequency. The resulting FM signal is generated at the output of transistor Q,. Use
of a crystal provides a high degree of frequency accuracy. Pulling its frequency is lim­
ited, however, so large frequency deviations are difficult to achieve. It also should be
noted that there are several variations of the Colpitts and Pierce oscillator configurations
as presented here.
70 I Frequency Modulation

4.6.2 Reactance Modulator

A reactance modulator is another popular method of direct FM generation. A reactance
modulator is the equivalent of a variable inductor or capacitor. The circuit is placed
across the tank circuit of the carrier frequency oscillator and the reactance is made to
vary as a function of the modulating signal.
Figure 4-11 shows the circuit diagram of a JFET (Junction field-effect transistor)
reactance modulator. This particular circuit is designed to look capacitive across the AB
terminals. A small-signal analysis of the circuit results in the equivalent capacitance:
Ceq = gm RC (4-16)
R < < Xc at f(.
where Ceq the equivalent capacitance across terminals AB
gm the transconductance of the JFET in Siemens
R the value of resistance in Ohms
C the value of capacitance in Farads
The modulation voltage is applied across the gate-to-source terminals of the JFET.
As the modulation voltage changes, the transconductance. g,„. and hence the equivalent
capacitance. Ceq. changes in accordance with equation (4-16). For equation (4-16) to be
accurate, however, the value of R must be much less than the capacitive reactance of C
at the resonant frequency. f(. of the carrier signal.

4.6.3 Indirect FM Using the Armstrong Method

Carrier frequency stability is an absolute requirement for many communication systems.
For example, commercial FM broadcast stations must transmit their carrier frequencies
in the 88- to 108-MHz band within an allowable tolerance of 2000 Hz. For an FM sta­
tion transmitting in the center of this band, this is approximately 20 parts per million in
terms of frequency accuracy. An inherent problem with the conventional LC oscillator

A
■o----
▲

Carrier
Ceq “ 9m frequency ■o FM output
osillator
Modulation T0
voltage
input
i
a
B

FIGURE 4-11
Reactance modulator.
 4.6 FM Generation I 71

is its tendency to drift in frequency far beyond 20 parts per million. This degree of ac­
curacy requires the frequency stability of a crystal.
The Armstrong modulator, named after its inventor, Major Edwin E. Armstrong, is
one of the oldest and most reliable FM modulators in use. It is considered indirect FM
because it uses the modulation signal to indirectly deviate the phase of a crystal oscil­
lator, which indirectly causes its frequency to change. Because of its relative complex­
ity, a block diagram with corresponding phasor diagrams are illustrated in Figure 4-12.
The Armstrong modulator derives its frequency stability from the RF crystal os­
cillator. which is shown in the block diagram. Its frequency is shifted by -9 0 ° and
mixed with the conditioned modulation voltage. The purpose of the —90° phase-shift­
ing circuit is to ensure that the phasor sum of the upper- and lower-sideband compo­
nents out of the balanced modulator remains in quadrature (90° out of phase) with the
carrier frequency component that is summed together with it at the summing amplifier.
Phase modulation (PM) is produced.
The mixing is accomplished with a balanced modulator. Recall from Chapter 3 that
the balanced modulator produces sum and difference products and suppresses the car­
rier signal (double-sideband suppressed carrier, or DSBSC). In Figure 4 -12(b), the pha­
sor diagram representing the output of the balanced modulator, point A, is shown. Note
that the phasor sum of the upper and lower sidebands, VUSB and VLSB, results in the
modulation voltage, V,„. As stated earlier, the modulation voltage is always in quadra­
ture to the carrier frequency, wm, generated by the crystal oscillator. The phasor diagram
for the carrier signal is shown at point B. and the summation of these two signals by the
Summing amplifier results in the phasor diagram shown at point C. Here the resultant
modulation voltage. V„„ can be seen phase modulating the carrier frequency, co,„, as it
shifts at a right angle to it. Unfortunately, the resulting PM signal, VPM, at point C also
generates an incidental AM signal as Vm changes in amplitude. The Limiter’s function
is to eliminate this incidental AM signal, thus producing the resultant PM signal at point
D. Finally, the purpose of the frequency multiplier is to increase the phase deviation
from a i to 0 2 and the carrier frequency from u>C] (narrowband FM) to cuC2 (wideband
FM), thereby producing the given FM output signal.
-J
ro

Wideband FM output

FIGURE 4-12
Armstrong FM modulator: (a) block diagram; (b) phasor diagrams depicting the various out­
puts of each stage of the block diagram.
 Problems I 73

PROBLEMS
11y Define FM.
(fa\ Define PM.
i . Write the equation representing the instantaneous voltage for an FM wave, and identify the
carrier frequency component, the modulation frequency component, and the modulation
index in that equation.
4. Write the equation representing the instantaneous voltage for a PM w ave, and identify the
carrier frequency component, the modulation frequency component, and the modulation
index in that equation.
5. Given an FM wave with a frequency deviation. 8, of 10 kHz and a modulation frequency, fm,
of 2.5 kHz. compute the modulation index. mf.
6. Compute the modulation frequency, f,„. for an FM wave with a modulation index, r,if, of 0.25
and a frequency deviation. S. oi 10 kHz.
7. Using Table 4-1 or Figure 4-3. find the carrier and sideband amplitudes for an FM wave with
a modulation index. mf. of 4. Assume sine wave modulation and a peak carrier amplitude,
Ac , of 5 V.
8. Using Table 4-1 or Figure 4-3. find the earner and sideband amplitudes for an FM wave with
a modulation index. mr, of 2.5. Assume sine wave modulation and a peak carrier amplitude,
Ac . of 3 V.
9. Define eigenvalue.
10. What is the modulation index corresponding to the second order of the carrier frequency
eigenvalue?
spectrum analyzer is used to verity an FM signal with a carrier frequency of 106.5 MHz,
a modulation frequency of 7.5 kHz. and a modulation index of 3.0.
a . Determine the number of significant sideband pairs.
b. Predict the spectrum analyzer display for the signal, and show the relative amplitudes of
each sideband pair.
c . Compute the frequence deviation. 8.
12. Repeat problem 11 for a modulation frequency of 10 kHz and a modulation index of 2.0.
"13?\Given a modulation frequence of 3 kHz and a frequency deviation of 30 kHz, compute the
—Hollowing:
a . The modulation index. m f.
b. The bandevidth of the FM signal using equation (4-5) and Table 4-3.
c. The bandevidth of the FM signal using Carson’s Rule.
14. Repeat problem 13 for a modulation frequency of 15 kHz and a frequency deviation of 60 kHz.
15. Compute the total power in the FM wave of problem 7. Assume a 50 Q load.
16. Compute the total pow'er in the FM w ave of problem 8. Assume a 50 fl load.
17. The input signal to an FM receiver has a noise voltage of 10 /xV superimposed on it» carrier
frequency, whose amplitude is 150 gtV. Compute the following:
a . The phase deviation, a. caused by the noise.
b. The signal-to-noise ratio. SNR.
18. Repeat problem 17 for a noise voltage of 50 /xV superimposed on the same carrier ampli­
tude.
19. The input SNR to a narrow -band FM receiver is 5:1. For a modulation frequency of 15 kHz and
a maximum frequency deviation of 75 kHz, compute the modulation index and the overall SNR
improvement from input to output. Assume no other noise is contributed to the system.
20. What is the purpose of pre-emphasis and de-emphasis in FM?
21. Define a varactor diode's tuning ratio.