Part A: Communication Theory: Dr. Ir. Muhammad Nasir

Information Theory and Source Coding
Part A: Communication Theory
Dr. Ir. Muhammad Nasir
Department of Electrical Engineering

The University of Lahore
October 30, 2021
1
Review DS-SS
In DS-SS modulation the bandwidth of the signal is increased by multiplying

the data with a code known to the receiver.
Dr. Ir. Muhammad Nasir (UOL) Part A: Communication Theory October 30, 2021 2 / 33
Review DS-SS (Cont’d)
data signal
f
2Rs
data signal
d(t) d(t)c(t)
f
2Rs
c(t)
PN-code signal
f
2Rc
data signal
The PSD of the spread signal is 1/Gp

less than the PSD of the un-spread
signal
DS-SS signal
d(t) d(t)c(t)
f
f 2Rc
2Rs
c(t)
PN-code signal
f
2Rc
1 1
The chip rate Rc = Tc symbol rate Rs = Ts
BWDS−SS Rc Ts
The ratio Gp = BWdata = Rs = Tc is called the processing gain or spreading
factor.
DS-SS is very robust against interference. When de-spreading the desired
signal, the interference is spread.
Only a fraction 1/Gp of the spread interference overlaps with the de-spread
data signal spectrum.
BWdata 2Rs PI
Effective Interference power: Ieff = PI BWspread−interference = PI 2R c
= Gp
Narrowband Interference de-spread data signal
DS-SS data signal Spread Interference

d(t)c(t) d(t)
c0 (t)
DS-SS code signal
Frequency Hopping Spread Spectrum
Also FH-SS modulation was originally developed for military communication
systems between 1950 - 1980 for covered communications.
In FH-SS modulation, the information signal is spread over a much wider

bandwidth than required based on the symbol rate.
Again, a narrowband signal is made wideband!
Spreading of the signal is now achieved by randomly changing the carrier

frequency of the narrowband signal according to a hopping code.
Why
Frequency Hopping Spread Spectrum
Also FH-SS modulation was originally developed for military communication
systems between 1950 - 1980 for covered communications.
In FH-SS modulation, the information signal is spread over a much wider

bandwidth than required based on the symbol rate.
Again, a narrowband signal is made wideband!
Spreading of the signal is now achieved by randomly changing the carrier

frequency of the narrowband signal according to a hopping code.
Why
To create robustness against: frequency selective fading, interference,
detection and eavesdropping.
Because of the randomly changing carrier frequency, the presence and

contents of the signals are difficult to detect.
8
FH-SS Transmitter
In FH-SS, spreading of the signal over a much wider bandwidth is achieved

by regular changing the transmit frequency according to a hopping-code,
within a set of available frequencies. The set of available frequencies
c(t) ∈ {c1 , c2 , · · · , cN } is called the hop-set.
For a BPSK modulated signal: sck (t) = Ac d(t) cos ωck t

9
FH-SS Transmitter (Cont’d)
We distinguish fast hopping and slow hopping.

Fast hopping: the transmission of a single symbol lasts several hops.
Slow hopping: multiple symbols are transmitted per hop.
The dwell-time is the duration the signal stays at a certain frequency.
BWFH−SS 2NRs
The ratio Gp = BWdata = 2Rs = N where N is the hop-set size.
10
FH-SS Transmitter (Cont’d)
The effect of the FH-SS in a frequency selective channel.
The channel quality

changes per hopping
period. By applying special
coding techniques
(interleaving), the effect of
the bad channel can be
compensated by the good
channel.
11
FH-SS Reception
12
FH-SS Reception (Cont’d)
Robustness of FH-SS against interference is due to the fact that an occupied
channel will be used during a small fraction of time.
For a hopping set of N channels, which includes the interfering channel, the
probability that the FH-frequency coincides with the occupied channel (a hit
or collision) is: G1p = N1 .
PI PI
Effective interference power: Ieff = Gp = N.
Frequency hopping with narrow- After freq. de-
band interference hoppinhg
frequency
de-hopping
Time
Time
A hit
t2 t2
t1
t1
f1 f2 fN fIF
Frequency hop-set 13
Spectral Efficiency of FH-SS
For FH-SS, with M-level modulation, the spectral efficiency is given by:
Rb
η, BT
lRs lRs l
= BT = 2NRs = 2Gp [bit/s/Hz]
The price, we pay for the increased robustness (large N) is a very low
spectral efficiency.
14
Spectral Efficiency of FH-SS
For FH-SS, with M-level modulation, the spectral efficiency is given by:
Rb
η, BT
lRs lRs l
= BT = 2NRs = 2Gp [bit/s/Hz]
The price, we pay for the increased robustness (large N) is a very low
spectral efficiency.
This can be improved by letting multiple users share the same bandwidth
(hop-set)!
15
Hopping Codes
The FH-SS hopping code determines the order in which the channels of the
hop-set are used.
Different hopping-codes allow multiple users to share the same hop-set

simultaneously. This is called frequency hopping multiple access (FHMA).
FHMA
In FHMA, it is important to minimise the probability that two or more users
occupy the same channel at the same time. With a high probability, collision
will result in loss of the transmitted information.
Two types of FH-SS codes are distinguished,
orthogonal codes.
random codes.
16
Hopping codes (Cont’d)
Orthogonal hopping codes are designed such that no ”hit” will occur: the
channels in the hop-set are never occupied by two or more signals at the
same time.
True orthogonality requires accurate hop clock synchronization between the

different users. In a practical systems with channel and multi-path delays, this
cannot be maintained perfectly, and partial hits will occur
17
Random hopping codes choose ”at random” a channel from the hop-set
independent from the choices made by other users. Now it is quite likely that
a channel is used by multiple users at the same time: collision.
The probability of a collision is related to the hop-set size N and the number
of users that share the hop-set.
18
For random hop-set of size N and K active users, the probability of a ”hit” for a
certain user is given by:
ph = 1 − pr(no hit)
K−1
= 1 − 1 − N1
≈ K−1

N , for N >> 1
For unsynchronized users and due to channel multi-path delays, the

probability of a (partial) hit increases substantially.
19
Bit Error Probability in FH-SS
How is the BER affected by occasional collisions?:
Assume a perfectly synchronised FH-SS system in an AWGN channel:

q
2Eb
Let the BER be Pe in case of no collision(e.g., for BPSK Pe = Q No )
In case of a collision, which happens with probability ph , the data ill be lost
and the BER is Pe = 12 .
Now we find for the average BER for the FH-SS system with collision:
1
PFH
e = (1 − ph ) Pe + 2 ph
This is a simplified situation, since usually systems are not synchronised. A

packet may be partially overlapped by one or more users in different ways.
20
FH-SS (Cont’d)
In FH-SS modulation, a modulated signal is transmitted of which the transmit

frequency is regularly changed according to a hopping code known by the
receiver.
21
At the receiver, the FH-SS signal is de-hopped to retrieve the data:
This system is robust against interference and multi-paths, since:

Other FH-SS signals with a different code or narrowband interference
only rarely cause a collision:
fixed frequency interference is occasionally hit or can be avoided.
signal strength variations due to ”multi-paths” are ”averaged out” over
the hop-set.
the robustness is determined by the processing gain which is equal to the
size of the hop-set.
BWFH−SS
Gp = BWdata = N.
22
At the receiver, the FH-SS signal is de-hopped to retrieve the data:
requires the same hopping code at the receiver.

requires perfect synchronisation.
This system is robust against interference and multi-paths, since:

Other FH-SS signals with a different code or narrowband interference
only rarely cause a collision:
fixed frequency interference is occasionally hit or can be avoided.
signal strength variations due to ”multi-paths” are ”averaged out” over
the hop-set.
the robustness is determined by the processing gain which is equal to the
size of the hop-set.
BWFH−SS
Gp = BWdata = N.
23
Employing FH-SS
By applying FH-SS, spectral efficiency is traded for increased robustness due

to the introduced processing gain. Similar trade-offs can be made as for
DS-SS, e.g., the spectral efficiency can be increased by:
1 Increasing the symbol rate but using the same total bandwidth.
the processing gain is decreased due to smaller hop-set.
less robust.
2 Increasing the modulation level at the same symbol and chip rate.
robustness is maintained: same processing gain.
increase of signal power may be required.
3 Allow multiple users to share the same bandwidth: FDMA
24
Narrowband vs FHMA vs CDMA
In CDMA/FDMA, the spectral resources are shared among multiple users

based on different SS codes.
Each user is identified by its own code. The cross-correlation between the
codes has to be low (ideally zero ⇒ orthogonal codes.
25
Orthogonal Frequency Division Multiplexing (OFDM)
In OFDM, a high bit rate signal with symbol rate Rs is split up in N parallel
data sub-streams of a lower symbol rate Rss = RNs .
Each of the N low rate sub-streams modulates one of N parallel independent

sub-carriers.
1 a wideband single carrier signal is converted in N narrowband
(BW = 2Rss << Bcoh )
2 the symbol time is N times increased.
3 very bandwidth efficient.
26
OFDM (Cont’d)
27
Generation of OFDM
OFDM belongs to the family of multi-carrier (MC) modulation.
An OFDM signal consists of a number of N carriers indicated as subcarrier

{1, 2, · · · , N}.
The signal should have the following characteristics:

1 Subcarriers are orthogonal.
2 Arbitrary modulation of the subcarriers: BPSK,DPSK,QPSK,QAM, etc.
3 High spectral efficiency.
4 No ISI among successive symbols due to multi path propagation: flat
fading conditions per subcarrier.
5 Relatively simple generation and detection
28
Generation of OFDM (Cont’d)
A simple way to generate the OFDM baseband signal is by using the Inverse
Fast Fourier Transform (IFFT):
N
gi = N1 wk e2πj(k−1)(i−1)/N
P
k=1
where for i = 1, · · · , N samples and for k = 1, · · · , N frequencies ⇒ 2N real
samples per OFDM symbol of duration Ts .
{gi } is the sampled complex envelope g(t) of the OFDM signal. By I and
Q-mixing the signal is brought to the desired centre frequency. 29
Generation of OFDM (Cont’d)
Some important parameters of OFDM:

1 The symbol rate is equal for each subcarrier: Rss :
2 the corresponding symbol period is therefore also fixed per subcarrier.
3 An OFDM symbol time is equal to the subcarrier symbol time Tss .
4 An OFDM symbol contains all the subcarrier symbols transmitted during
a symbol time Tss .
5 For equal L-level modulations of the subcarriers, the symbol rate is given
by:
Rb Rs
Rss = l.N = N
30
Spectral Efficiency
A single carrier system with a symbol rate Rs requires a transmission

bandwidth BT = 2Rs .
Rs
An OFDM system with N subcarriers, each with a symbol rate Rss = N
⇒ BT = (N + 1)Rss = (N + 1) RNs
Due to overlapping subcarrier spectra:≈doubling of the spectral efficiency 31
OFDM Reception
The OFDM receiver performs basically the reverse operation of the

transmitter. A direct analog implementation becomes very complex.
This has delayed the practical application of the OFDM till the end of the
1990s when fast digital signal processing components (especially hardware
implemented FFT/IFFT) became available.
32
OFDM Reception (Cont’d)
The FFT operates on N complex samples taken uniformly over Tss . The
output of the FFT are N complex amplitudes (symbol rates) belonging to each
of the subcarriers.
Accurate synchronisation in time and frequency is crucial. Error results in ISI

and inter-carrier interference(ICI), respectively
33
Distortion due to the multi-path channel
The FFT at the receiver requires that the sampled symbol is periodic in Tss .
This requirement is violated by the ISI at the start of the symbol due to the
multi path delay spread with a duration of τmax .
To prevent ISI, the actual transmitted symbol is extended with guard interval,
Tguard > τmax , which actually is a replication of the last part of the symbol. At
the receiver this guard interval, which then contains ISI from the previous
symbol and start-up effect of the current symbol, is removed.
Note that the transmitted symbol time Tss0 = Tss + Tguard > Tss
Tss
The guard time causes a reduced spectral efficiency: = Tss +Tguard !!!
34
Adaptive loading
In slowly changing channels like in fixed systems, the variable fading of the
subcarriers can be exploited to maximize the data rate.
Good subcarriers are loaded with a higher order modulation (more bits
per symbol), but maintain the same symbol rate,
Bad carriers use a low order modulation or switched off.
The subcarrier qualities have to be known at the transmitter and the assigned
modulation levels have to be known at the receiver!
35
Full OFDM Transmission System
36
OFDM Features
OFDM is especially robust against ISI and frequency selectivity.
1 Robust against ISI: each OFDM subcarrier behaves like a narrowband

signal and undergoes flat fading.
2 Frequency selectivity → subcarriers at different frequencies are received
with different quality. Good subcarriers can compensate the bad one ⇒
when appropriate coding is used!
3 The structure of the OFDM signal (sum of independent modulated sine
waves) causes that the Peak-to Average Power Ratio (PAPR) is high.
Therefore, very linear power amplifiers are required: expensive and
power inefficient!!
4 Implementation complexity and power consumption are rather high
compared to the other techniques.
37
Exercise
38

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Information Theory and Source Coding

Part A: Communication Theory

Dr. Ir. Muhammad Nasir

Department of Electrical Engineering

October 30, 2021

In DS-SS modulation the bandwidth of the signal is increased by multiplying

The PSD of the spread signal is 1/Gp

Narrowband Interference de-spread data signal

DS-SS data signal Spread Interference

In FH-SS modulation, the information signal is spread over a much wider

Again, a narrowband signal is made wideband!

Spreading of the signal is now achieved by randomly changing the carrier

In FH-SS modulation, the information signal is spread over a much wider

Again, a narrowband signal is made wideband!

Spreading of the signal is now achieved by randomly changing the carrier

Because of the randomly changing carrier frequency, the presence and

In FH-SS, spreading of the signal over a much wider bandwidth is achieved

For a BPSK modulated signal: sck (t) = Ac d(t) cos ωck t

We distinguish fast hopping and slow hopping.

The effect of the FH-SS in a frequency selective channel.

The channel quality

Different hopping-codes allow multiple users to share the same hop-set

True orthogonality requires accurate hop clock synchronization between the

For unsynchronized users and due to channel multi-path delays, the

How is the BER affected by occasional collisions?:

Assume a perfectly synchronised FH-SS system in an AWGN channel:

This is a simplified situation, since usually systems are not synchronised. A

In FH-SS modulation, a modulated signal is transmitted of which the transmit

This system is robust against interference and multi-paths, since:

requires the same hopping code at the receiver.

This system is robust against interference and multi-paths, since:

By applying FH-SS, spectral efficiency is traded for increased robustness due

In CDMA/FDMA, the spectral resources are shared among multiple users

Each of the N low rate sub-streams modulates one of N parallel independent

OFDM belongs to the family of multi-carrier (MC) modulation.

An OFDM signal consists of a number of N carriers indicated as subcarrier

The signal should have the following characteristics:

Some important parameters of OFDM:

A single carrier system with a symbol rate Rs requires a transmission

The OFDM receiver performs basically the reverse operation of the

Accurate synchronisation in time and frequency is crucial. Error results in ISI

OFDM is especially robust against ISI and frequency selectivity.

1 Robust against ISI: each OFDM subcarrier behaves like a narrowband

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