Injection-Locking in Mixed-Mode Signal

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Fei Yuan

Injection-Locking
in Mixed-Mode
Signal Processing
Injection-Locking in Mixed-Mode Signal
Processing
Fei Yuan

Injection-Locking
in Mixed-Mode Signal
Processing

123
Fei Yuan
Electrical and Computer Engineering
Ryerson University
Toronto, ON, Canada

ISBN 978-3-030-17362-3 ISBN 978-3-030-17364-7 (eBook)

https://doi.org/10.1007/978-3-030-17364-7

© Springer Nature Switzerland AG 2020

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Preface

The injection-locking or synchronization of an oscillator by an external periodic

signal hereafter referred to the injection signal whose frequency is in the proximity
of the natural frequency, more specifically the frequency of the first harmonic,
of the oscillator under injection shifts the frequency of the oscillator from its
natural frequency to the frequency of the injection signal. The frequency of the
injection-locking signal can also be either a superharmonic or a subharmonic of
the natural frequency of the oscillator under injection to realize frequency division
or frequency multiplication. First-harmonic injection-locking achieves frequency
synchronization by utilizing the frequency dependence of the amplitude and phase
of the output of the oscillators under injection, whereas superharmonic/subharmonic
injection-locking achieves frequency-locking by utilizing the internal nonlinear
mechanism of the oscillator to generate the desired frequency component and
the internal frequency selection mechanism of the oscillator to select the desired
frequency component generated by the nonlinear mechanism of the oscillator.
The absence of an explicit frequency detector, a charge pump, and a loop filter
that typically exist in a frequency-locked loop (FLL) greatly shortens frequency-
locking process and lowers power consumption. Injection-locking also provides
a better frequency accuracy as compared with conventional FLLs. Not only the
frequency of the oscillator under injection is shifted to that of the injection signal,
the phase noise of the oscillator under injection will also become comparable to that
of the injection signal once the oscillator is locked to the injection signal whose
phase noise is superior, thereby allowing low-cost oscillators whose phase noise is
typically inferior to function as oscillators with superior phase noise performance.
Injection-locking has found a broad range of emerging applications including the
pre-scalar of frequency synthesizers, forwarded-clock (FC) or source synchronous
parallel links, the frequency calibration of passive wireless microsytems (PWMs),
and low phase noise phase-locked loops, to name a few. The success of the injection-
locking of an oscillator critically depends upon the lock range of the oscillator,
which is the range of the difference between the frequency of the injection signal and
the natural frequency of the oscillator in which the establishment of the lock state
of the oscillator under injection is guaranteed. The lock range of an oscillator is not

v
vi Preface

only determined by the characteristics of the oscillator but also by the characteristics
of the injection-locking signal. Many novel design techniques to increase the lock
range of oscillators and analysis methods to quantify the characteristics of injection-
locking of oscillators have emerged since the inception of the synchronization of
oscillators using external signals approximately a century ago. A comprehensive
treatment of both the fundamentals of the injection-locking of oscillators and an in-
depth assessment of the pros and cons of the techniques that have been proposed
to increase the lock range of injection-locked oscillators are not available. This
monograph is an attempt to provide a comprehensive treatment of the principles
and design techniques of injection-locking in mixed-mode signal processing.
The book is organized as follows:
Chapter 1 provides an overview of injection-locking and its applications in
mixed-mode signal processing. The classification of oscillators is provided. It
browses through the development of the injection-locking of oscillators with
an emphasis on the characterization rather than the design of injection-locked
oscillators. First-harmonic methods for analyzing harmonic oscillators in weak
injection are presented. It is followed with the presentation of first-harmonic
methods for the analysis of harmonic oscillators in both weak and strong injection.
Frequency regenerative injection specifically tailored for frequency multiplication
and frequency division is explored. First-harmonic balance method capable of
analyzing harmonic oscillators in first-harmonic, superharmonic, and subharmonic
injections is studied. The progressive multiphase injection of ring oscillators with
multiple injections is examined. The effective injection signaling arising from the
nonlinearity of oscillators under injection and obtained by analyzing the Volterra
circuits of the oscillators under injection is described. The chapter also briefly
browses through the key representative applications of the injection-locking of
oscillators.
Chapter 2 presents the fundamentals of the oscillation of harmonic oscillators
first. It is followed with a close examination of the noise spectrum of harmonic
oscillators. The modeling of injection-locked harmonic oscillators using a nonlinear
system and the first-harmonic injection-locking of harmonic oscillators are investi-
gated. Both linear and nonlinear approaches capable of deriving the lock range of
harmonic oscillators are studied. The chapter also investigates the superharmonic
injection-locking of harmonic oscillators. Both the second-order and third-order
superharmonic injection-locking of harmonic oscillators are studied. Divide-by-2
and divide-by-3 injection-locked frequency dividers, which are the representative
applications of the superharmonic injection-locking of harmonic oscillators, are
studied in detail. The subharmonic injection-locking of harmonic oscillators is
investigated. The intrinsic relations among the lock range of harmonic oscillators
in first-harmonic, superharmonic, and subharmonic injection-locking are explored.
Finally, the phase noise of injection-locked harmonic oscillators is studied.
Chapter 3 explores the factors that affect the lock range of harmonic oscillators
and the techniques that increase the lock range of harmonic oscillators. Our focus is
on injection-locked frequency dividers where injection-locked harmonic oscillators
are mostly encountered. The chapter further investigates the dependence of the lock
Preface vii

range of harmonic oscillators on injection signaling. Specifically, we investigate

the lock range of harmonic oscillators with two unitone injections injected into
two symmetrical locations of the oscillators and the relation between the lock
range and the phase of the injection signals. Various techniques to increase the
lock range of harmonic oscillators including inductor series-peaking, transformer
series-peaking, inductor shunt-peaking, current-reuse direct injection, quality factor
reduction, resistor feedback, second harmonic extraction, transformer feedback, and
dual injections are studied.
Chapter 4 investigates the oscillation of ring oscillators, in particular, how
Barkhausen criteria can be used to analyze ring oscillators. The modeling of
harmonic oscillators is investigated. The modeling of relaxation oscillators is
explored with a special attention to the distinct nonlinear characteristics of these
oscillators as compared with ring oscillators. The representation of a nonharmonic
oscillator with a set of harmonic oscillators whose frequencies are harmonically
related so as to allow linear system analysis tools such as Laplace transform valid for
analysis of harmonic oscillators and the known knowledge of harmonic oscillators
to be fully utilized in analysis of nonharmonic oscillators. The fundamentals of
Volterra series are reviewed. Two representative nonlinearities widely encountered
in integrated circuits, specifically the channel current of MOS transistors and the
capacitance of pn-junctions, are studied. The concept of the Volterra elements of
a nonlinear element and the Volterra circuits of a nonlinear circuit are introduced,
and the process of how to obtain them is exemplified. The modeling of voltage
comparators is studied. We show that the nonlinear voltage transfer characteristics of
comparators can be depicted using a hyperbolic tangent function and the hyperbolic
tangent function can be approximated using its third-order Taylor series expansion
in the vicinity of the state transition of the comparator. The Volterra circuits of
an injection-locked nonharmonic oscillator are derived, and the characteristics of
the Volterra circuits are investigated. The chapter explores how the Volterra circuit
approach can be used to analyze the dual-comparator relaxation oscillator under the
injection of a pair of differential currents and how the high-order Volterra circuits of
the oscillator contribute to the effective injection signals of the first-order Volterra
circuit of the oscillator. Finally, the lock range of the dual-comparator relaxation
oscillator is investigated.
Chapter 5 deals with the techniques that increase the lock range of nonharmonic
oscillators. It studies the impact of the degree of the nonlinear characteristics of
nonharmonic oscillators on the lock range of these oscillators and investigates the
lock range of dual-comparator relaxation oscillators with single unitone injection
and that with dual unitone injections. The lock range of dual-comparator relaxation
oscillators with dual multitone injections is derived. It compares the lock range
of dual-comparator relaxation oscillators with single multitone injection and that
with dual multitone injections. The impact of the duty cycle of multitone injection
signals on the lock range of nonharmonic oscillators is investigated. The impact
of the frequency attenuation mechanism on the lock range of both harmonic and
nonharmonic oscillators is investigated and compared.
viii Preface

The monograph is intended to cover the state of the art of injection-locking

in mixed-mode signal processing. Readers are assumed to have the fundamental
knowledge of electric networks, semiconductor devices, microelectronic circuits,
signals and systems, analog and digital communication systems, and analog and
digital integrated circuits and systems. A rich collection of recently published work
on the injection-locking of oscillators is provided at the end of the monograph
for readers to seek further information on the subjects that are presented in the
monograph.
Although an immense effort was made in preparation of the manuscript, flaws
and errors will surely still exist due to both erring human nature and the limited
knowledge of the author on the presented subjects. Suggestions and corrections from
readers will be gratefully appreciated by the author.

Toronto, ON, Canada Fei Yuan

February 2019
Acknowledgments

I am grateful to the Natural Sciences and Engineering Research Council of

Canada; CMC Microsystems, Kingston, ON, Canada; Ryerson University; and other
research partners for their financial support to our research. The support from
the Department of Electrical, Computer, and Biomedical Engineering of Ryerson
University, Toronto, ON, Canada, where I introduced and taught a number of
senior undergraduate and graduate courses on CMOS mixed-mode circuits, CMOS
circuits and systems for data communications over wire channels, and CMOS radio-
frequency circuits and systems is gratefully acknowledged. Special thanks go to
my former graduate students who worked with me on various research projects in
the field of the injection-locking of oscillators from which many of the original
contributions presented in this monograph emerged. The recently granted sabbatical
leave by the university gave me much needed time release to complete this long
overdue project.
The editorial staff of Springer, especially Mr. Charles Glaser, Editorial Director
for Electrical and Computer Engineering: Circuits and Systems, Design Automa-
tion, Embedded Systems, and Computer Architecture, and Ms. Brinda Megasya-
malan, Project Coordinator and Production Editor, have been warmly supportive
from the submission of the proposal to the publishing of the book. This is the fifth
book that I have published with Springer. It has been an enjoyable experience of
working with Springer.
Finally and most importantly, this book could not have been possible without
the unconditional support of my family. I am indebted to my wife Jing for her
love, patient, and understanding during the preparation of the manuscript and her
tolerance of my occasional bad temper due to the stress of the writing and proof-
reading of the manuscript.

ix
Contents

1 Injection-Locking of Oscillators: An Overview . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Classification of Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.3 Injection-Locking of Oscillator: Before 1946 . . . . . . . . . . . . . . . . . . . . . . . . 3
1.4 Adler: Weak First-Harmonic Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.5 Paciorek: General First-Harmonic Injection. . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.6 Miller: Frequency Regenerative Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.7 Schmideg: Superharmonic and Subharmonic Injection. . . . . . . . . . . . . . 12
1.8 Progressive Multiphase Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.9 Effective Injection Signaling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.10 Applications of Injection-Locking of Oscillators . . . . . . . . . . . . . . . . . . . . 18
1.10.1 Frequency Division . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.10.2 Parallel Links. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.10.3 Frequency Calibration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.10.4 Phase-Locked Loops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.11 Chapter Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2 Injection-Locking of Harmonic Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.2 Harmonic Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.3 Phase Noise of Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.4 Modeling of Harmonic Oscillators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
2.5 First-Harmonic Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.5.1 Nonlinear System Approach. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.5.2 Linear System Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.6 Superharmonic Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
2.6.1 Second-Order Superharmonic Injection . . . . . . . . . . . . . . . . . . . . 63
2.6.2 Third-Order Superharmonic Injection . . . . . . . . . . . . . . . . . . . . . . 66
2.6.3 Divide-by-2 Injection-Locked Frequency Dividers . . . . . . . . 68
2.6.4 Divide-by-3 Injection-Locked Frequency Dividers . . . . . . . . 76

xi
xii Contents

2.7 Subharmonic Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

2.7.1 Second-Order Subharmonic Injection. . . . . . . . . . . . . . . . . . . . . . . 80
2.7.2 Third-Order Subharmonic Injection. . . . . . . . . . . . . . . . . . . . . . . . . 82
2.8 Lock Range Relation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
2.8.1 Lock Range Relation: Superharmonic Injection. . . . . . . . . . . . 85
2.8.2 Lock Range Relation: Subharmonic Injection . . . . . . . . . . . . . . 86
2.9 Phase Noise of Injection-Locked Harmonic Oscillators . . . . . . . . . . . . . 87
2.10 Chapter Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
3 Injection-Locking Techniques for Harmonic Oscillators . . . . . . . . . . . . . . . . 93
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
3.2 Injection Signaling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
3.3 Inductor Series-Peaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
3.4 Inductor Shunt-Peaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
3.5 Current-Reuse Direct Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
3.6 Quality Factor Reduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
3.7 Resistor Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
3.8 Second Harmonic Extraction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
3.9 Transformer Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
3.10 Dual Injections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
3.11 Chapter Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
4 Injection-Locking of Nonharmonic Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
4.2 Injection-Locking of Nonharmonic Oscillators . . . . . . . . . . . . . . . . . . . . . . 136
4.3 Modeling of Ring Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
4.4 Modeling of Relaxation Oscillators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
4.5 Representation of Nonharmonic Oscillators. . . . . . . . . . . . . . . . . . . . . . . . . . 148
4.6 Fundamentals of Volterra Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
4.7 Volterra Element and Volterra Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
4.8 Modeling of Comparators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
4.9 Volterra Circuits of Relaxation Oscillator . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
4.10 Effective Injection Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
4.11 Lock Range . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
4.12 Chapter Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
5 Injection-Locking Techniques for Nonharmonic Oscillators. . . . . . . . . . . . 179
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
5.2 Degree of Nonlinearity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
5.2.1 Nonlinearity Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
5.2.2 Volterra Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
5.2.3 Effective Injection Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
5.2.4 Lock Range. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
5.2.5 Relaxation Oscillators and Ring Oscillators:
A Comparison . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
Contents xiii

5.3 Single Unitone Injection versus Dual Unitone Injections . . . . . . . . . . . 193

5.4 Dual Multitone Injections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
5.4.1 Multitone Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
5.4.2 Volterra Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
5.4.3 Effective Injection Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
5.4.4 Lock Range. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
5.5 Single Multitone Injection Versus Dual Multitone Injections . . . . . . . 207
5.6 Duty Cycle of Multitone Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
5.7 Harmonic Attenuation Mechanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
5.8 Chapter Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
About the Author

Fei Yuan received the B.Eng. degree in electrical engineering from Shandong
University, Jinan, China, in 1985 and the M.A.Sc. degree in chemical engineering
and the Ph.D. degree in electrical engineering from the University of Waterloo,
ON, Canada, in 1995 and 1999, respectively. During 1985–1989, he was a Lecturer
in the Department of Electrical Engineering, Changzhou Institute of Technology,
Jiangsu, China. In 1989, he was a Visiting Professor at Humber College of Applied
Arts and Technology, Toronto, ON, Canada, and Lambton College of Applied
Arts and Technology, Sarnia, ON, Canada. He was in Paton Controls, Sarnia,
ON, Canada, during 1989–1994 where he designed distributed process control
systems for petrochemical processes worldwide. Since 1999, he has been with
the Department of Electrical, Computer, and Biomedical Engineering, Ryerson
University, ON, Canada, where he is currently a Full Professor. He served as the
Chair of the Department during 2010–2015.
Dr. Yuan is the Editor of Low-Power Circuits for Emerging Applications in
Communications, Computing, and Sensing (CRC, 2018); the Editor and a lead
Contributor of CMOS Time-Mode Circuits: Principles and Applications (CRC,
2015); the Author of CMOS Circuits for Passive Wireless Microsystems (Springer,
2010), CMOS Active Inductors and Transformers: Principle, Implementation,
and Applications (Springer, 2008), and CMOS Current-Mode Circuits for Data
Communications (Springer, 2006); and the lead Coauthor of Computer Methods
for Analysis of Mixed-Mode Switching Circuits (Kluwer Academic, 2004). He is the
Author/Coauthor of 10 book chapters and over 230 research papers in refereed inter-
national journals and conference proceedings. He was awarded Dean’s Teaching
Award in 2017, Ryerson Research Chair Award in 2005, Dean’s Research Award in
2004, Early Tenure from Ryerson University in 2003, Doctoral Scholarship from the
Natural Sciences and Engineering. Research Council of Canada in 1997 and 1998,
Teaching Excellence Award from Changzhou Institute of Tech. in 1988, and Science
and Technology Innovation Award from Changzhou Municipal government in 1988.
He is a Fellow of IET, a Senior Member of IEEE, and a Registered Professional
Engineer in the province of Ontario, Canada.

xv
Symbols

Cox Gate capacitance per unit area of MOS transistors

Cgs Gate-source capacitance of MOS transistors
Cgd Gate-drain capacitance of MOS transistors
CJ Capacitance of an pn-junction
gm Transconductance of MOS transistors
gm,n Transconductance of NMOS transistors
gm,p Transconductance of PMOS transistors
gds Channel conductance of MOS transistors in triode
go Output conductance of MOS transistors in saturation
k Boltzmann’s constant
Kf Flicker noise coefficient of MOS transistors
Ho Open-loop transfer function
Hc Closed-loop transfer function
H (ωout , ωin ) Aliasing transfer function
iDS Channel current of NMOS transistors
IDS Channel current of NMOS transistors (DC)
ids Channel current of NMOS transistors (AC)
iSD Channel current of PMOS transistors
ISD Channel current of PMOS transistors (DC)
isd Channel current of PMOS transistors (AC)
L Channel length of MOS transistors
rds Channel resistance of MOS transistors in triode
ro Output resistance of MOS transistors in saturation
Q Quality factor
Sin Power spectral density of input
Sout Power spectral density of output
s Laplace variable (s = j ω)
VT n Threshold voltage of NMOS transistors
VTp Threshold voltage of PMOS transistors
vGS Gate-source voltage of NMOS transistors
VGS Gate-source voltage of NMOS transistors (DC)

xvii
xviii Symbols

vgs Gate-source voltage of NMOS transistors (AC)

vSG Source-gate voltage of PMOS transistors
VSG Source-gate voltage of PMOS transistors (DC)
vsg Source-gate voltage of PMOS transistors (AC)
vDS Drain-source voltage of NMOS transistors
VDS Drain-source voltage of NMOS transistors (DC)
vds Drain-source voltage of NMOS transistors (AC)
vSD Source-drain voltage of PMOS transistors
VSD Source-drain voltage of PMOS transistors (DC)
vsd Source-drain voltage of PMOS transistors (AC)
W Channel width of MOS transistor
μn Surface mobility of free electrons
μp Surface mobility of holes
γ Thermal noise coefficient of MOS transistors
ΔωL Lock range of injection-locked oscillator
ωo Natural or free-running frequency of an oscillator
ωinj Frequency of an injection signal
φinj Phase of an injection signal
 Perturbation constant for the use of Volterra series
Acronyms

ASK Amplitude-Shift Keying

BER Bit Error Rate
CDR Clock and Data Recovery
CMOS Complementary Metal-Oxide Semiconductor
CML Current-Mode Logic
DAC Digital-to-Analog Converter
dB Decibel
DC Direct Current
DFF D Flip-Flop
DLL Delay-Locked Loop
EPC Electronic Product Code
FC Forwarded-Clock
FET Field-Effect Transistor
FF Flip-Flop
FFT Fast Fourier Transform
FIR Finite Impulse Response
FLL Frequency-Locked Loop
Gbps Gigabits per second
GHz Gigahertz
High-Q High-Quality factor
Hz Hertz
IBM International Business Machines Corporation
IC Integrated Circuit
IF Intermediate Frequency
IIR Infinite Impulse Response
ILFD Injection-Locked Frequency Divider
IoT Internet-of-Things
kHz Kilohertz
KCL Kirchhoff’s Current Law
KVL Kirchhoff’s Voltage Law
LC Inductor Capacitor

xix
xx Acronyms

MDLL Multiplying Delay-Locked Loop

MHz Megahertz
MIM Metal-Insulator-Metal
MOS Metal-Oxide Semiconductor
MOSFET Metal-Oxide Semiconductor Field-Effect Transistor
NMOS N-type Metal-Oxide Semiconductor
OPAMP Operational Amplifier
PFD Phase-Frequency Detector
PI Phase Interpolator
PLL Phase-Locked Loop
PMOS P-type Metal-Oxide Semiconductor
PSD Power Spectral Density
PVT Process, Voltage, and Temperature
PWM Passive Wireless Microsystem
RC Resistor Capacitor
RF Radio Frequency
RFID Radio Frequency Identification
RL Resistor Inductor
RLC Resistor Inductor Capacitor
UHF Ultra High Frequency
UI Unit Interval
V2I Voltage-to-Current
SR Set-Reset
SPICE Simulation Program with Integrated Circuit Emphasis
VCO Voltage-Controlled Oscillator
Chapter 1
Injection-Locking of Oscillators: An
Overview

1.1 Introduction

The injection-locking or synchronization of an electronic oscillator by an external

periodic signal hereafter referred to as the injection signal whose frequency is
in the proximity of the natural or free-running frequency, more specifically the
frequency of the first harmonic, of the oscillator under injection shifts the frequency
of the oscillator from its natural frequency to the frequency of the injection signal
without a frequency-locked loop, which is more costly in terms of both silicon
area and power consumption. First-harmonic injection-locking achieves frequency
synchronization by utilizing the frequency dependence of the amplitude and phase
of the output of the oscillators under injection, whereas superharmonic/subharmonic
injection-locking achieves frequency-locking by utilizing the internal nonlinear
mechanism of the oscillator under injection that functions as a frequency mixer
to generate the desired frequency component and the internal frequency selection
mechanism of the oscillator to select the desired frequency component generated
by the nonlinear mechanism of the oscillator. In both cases, Barkhausen criteria
for oscillation must be satisfied. The absence of an explicit frequency detector, a
charge pump, and a loop filter that typically exist in a FLL not only greatly shortens
the frequency-locking process, but also significantly lowers power consumption.
Injection-locking is capable of achieving rapid frequency-locking pivotal to a broad
range of applications. Not only the frequency of the oscillator under injection is
shifted to that of the injection signal, the phase noise of the oscillator under injection
will also become comparable to that of the injection signal once the oscillator is
locked to the injection signal whose phase noise performance is superior. This
unique characteristic of injection-locked oscillators allows low-cost oscillators
whose phase noise is inferior typically to behave as oscillators with superior phase
noise performance once the oscillators are locked to a clean signal.
This chapter provides an overview of the injection-locking of oscillators and its
applications in mixed-mode signal processing. The classification of oscillators is

© Springer Nature Switzerland AG 2020 1

F. Yuan, Injection-Locking in Mixed-Mode Signal Processing,
https://doi.org/10.1007/978-3-030-17364-7_1
2 1 Injection-Locking of Oscillators: An Overview

provided in Sect. 1.2. Section 1.3 briefly browses through the development of the
synchronization of oscillators prior to 1946 in which the ground-breaking work of
Adler on the injection-locking of harmonic oscillators was published. Section 1.4
presents Adler’s first-harmonic method for analysis of harmonic oscillators in weak
injection. It is followed with the presentation of the first-harmonic method for anal-
ysis of harmonic oscillators in strong injection in Sect. 1.5. Frequency regenerative
injection specifically tailored for frequency multiplication and frequency division
is explored in Sect. 1.6. Section 1.7 studies the first-harmonic balance method
capable of analyzing harmonic oscillators in first-harmonic, superharmonic, and
subharmonic injections. The progressive multiphase injection of ring oscillators
with multiple injections is examined in Sect. 1.8. Further development of this
method for multiphase harmonic oscillators and injection-locked ring oscillator
frequency dividers is also referenced. Section 1.9 briefly presents a Volterra series-
based approach to investigate the impact of the degree of the nonlinearity of
an oscillator under injection on the lock range of the oscillator. Section 1.10
presents some key applications of the injection-locking of oscillators. The chapter
is summarized in Sect. 1.11.

1.2 Classification of Oscillators

Oscillators can be loosely classified into harmonic oscillators and nonharmonic

oscillators. The former have a sinusoidal output in the time domain and a unitone
spectrum in the frequency domain, whereas the latter have a non-sinusoidal output
in the time domain and a multitone spectrum in the frequency domain. The typical
examples of harmonic oscillators are LC (inductor-capacitor) oscillators with either
a spiral inductor/transformer resonator or an active inductor/transformer resonator.
The representative nonharmonic oscillators include ring oscillators and relaxation
oscillators.
Architecturally a harmonic oscillator is made of two distinct blocks, namely
(a) a nonlinear transconductor that functions as an amplitude limiter needed to
sustain oscillation and a frequency mixer where various frequency components
are generated from the injection signal and the output of the oscillator when the
oscillator is under the injection of an external signal and (b) a linear frequency
discriminator that functions as a high-Q band-pass filter to select the desired output
frequency. Figure 1.1a shows the simplified block diagram of a harmonic oscillator
under the injection of unitone external signal vinj . Similarly, a nonharmonic
oscillator is composed of a nonlinear transconductor that functions as both an
amplitude limiter and a frequency mixer when the oscillator is under injection of
an external signal and a linear RC block that functions as a low-pass filter, as shown
in Fig. 1.1b.
Harmonic oscillators distinct themselves from nonharmonic oscillators with a
small frequency tuning range and low phase noise, accredited mainly to the higher
quality factor of the frequency discriminator of the oscillators. The superior phase
1.3 Injection-Locking of Oscillator: Before 1946 3

Fig. 1.1 Block diagram of

oscillators under injection:
(a) harmonic oscillators. (b)
Nonharmonic oscillators

noise performance of harmonic oscillators allows them to be used in wireless com-

munication systems where a stringent constraint on the phase noise of oscillators
exists. Nonharmonic oscillators, on the other hand, are advantageous over their
harmonic counterparts in silicon area, power consumption, and frequency tuning
range. They are widely used in digital systems as clock generators.

1.3 Injection-Locking of Oscillator: Before 1946

The earliest observation of the synchronized oscillation of two oscillating systems

is perhaps the synchronized pendulums of two pendulum clocks by C. Huygens
(1629–1695), a Dutch physicist and the inventor of the pendulum clock, in 1665.
Huygens noticed that no matter how the pendulums on these clocks began, within
about half an hour, they ended up swinging in exactly the opposite directions from
each other. Perhaps the earliest reported work on the synchronization of oscillators
are those by J. Vincent in 1919 [84] and E. Appleton in 1922 [2]. One of the first
theoretical analyses of the nonlinear characteristics of oscillators was provided by
van der Pol in 1934 [81]. An early application of modulating the frequency of
an electronic oscillator by an external signal is the frequency-modulation receiver
by G. Beers in 1944 where the frequency of the oscillator of the receiver is
modulated in accordance with the frequency of an external modulating signal [6].
An in-depth study of forced oscillation in oscillator circuits was conducted by D.
Tucker in 1945 [79, 80]. In Tucker’s approach, an oscillator was partitioned into
two functionally distinct blocks, specifically a frequency discriminating block that
functions as a band-pass filter and a maintaining block whose transfer voltage ratio
is only dependent of the amplitude of the input and independent of the frequency of
4 1 Injection-Locking of Oscillators: An Overview

the input of the block. Using the phasor representation of the injection signal, the
behavior of forced oscillators was analyzed.

1.4 Adler: Weak First-Harmonic Injection

In 1946, R. Adler, an American physicist (1913–2007), published his widely cited

theoretical work on locking phenomena in oscillators [1]. Adler’s approach was
developed for harmonic oscillators under the injection of a weak continuous-wave
injection signal. The following three constraints were imposed:
(a) The frequency of the injection signal is in the proximity of the natural also
known as free-running frequency of the oscillator under injection.
(b) The strength of the injection signal is significantly smaller as compared with the
output of the oscillator, i.e., weak injection.
(c) The feedback time from the output of the oscillator to the node at which
the output voltage of the oscillator is subtracted from the injection signal is
negligible as compared with beat period 1/(ωinj − ωo ) where ωinj and ωo are
the frequency of the injection signal and the natural frequency of the oscillator
under injection, respectively.
Although the derivation of Adler’s theoretical results was rigorous and correct,
no experimental validation of the theoretical results was provided in the paper.
Given the significance of Adler’s work on the injection-locking of oscillators
and its profound impact on the investigation of the injection-locking of oscillators,
a brief representation of Adler’s approach on the injection-locking of oscillators is
clearly warranted and well justified. In what follows we use the simple LC oscillator
shown in Fig. 1.2 to briefly present Adler’s approach on analysis of the injection-
locking of oscillators. As lock range is of our primary interest, we will focus on the
lock range of the oscillator.

Fig. 1.2 Injection-locking in harmonic oscillators

1.4 Adler: Weak First-Harmonic Injection 5

Consider the simplified schematic of the LC oscillator shown in Fig. 1.2. It is a

tuned common-source amplifier with the addition of an inverting amplifier of unity
gain. Since
√ the RLC network functions as a pure resistor at its resonant frequency
ωo = 1/ LC, the common-source tuned amplifier only provides a phase shift of
−180◦ at ωo . An additional −180◦ phase shift needed for oscillation is provided
by the unity-gain inverting amplifier. When the injection signal of frequency ωinj
is injected into the oscillator with ωinj in the close proximity of ωo , the frequency
of the oscillator will start to shift from its natural frequency ωo to ωinj . Let the
instantaneous frequency of the oscillator during the locking process be ω. The
instantaneous variation of the frequency also known as the beat frequency of the
oscillator is given by ω − ωo . Further let θ be the phase between the injection signal
Iinj and the output of the oscillator Io . Since when Iinj is absent, IT and Io will be
in phase, Iinj is therefore the cause of both frequency shift Δω and phase angle φ
between IT and Io . Referring to Fig. 1.2, the law of sine gives

Iinj Io
= (1.1)
sin φ sin θ

from which we obtain

Iinj
sin φ = sin θ. (1.2)
Io

If Iinj  Io , i.e., weak injection, φ will be small and

sin φ ≈ φ (1.3)

will hold. Equation (1.2) can be simplified to

Iinj
φ≈ sin θ. (1.4)
Io

As mentioned earlier, the injection signal causes the frequency of the oscillator
to deviate from its natural frequency ωo and gives rise to a phase angle between IT
and Io . Since the frequency of the injection signal is in the proximity of ωo , the rate
of the variation of φ with respect to frequency

dφ
A= (1.5)
dω
can be considered to be constant. We therefore have

φ ≈ A(ω − ωo )
= A (Δω + ΔωL ) . (1.6)
6 1 Injection-Locking of Oscillators: An Overview

where

Δω = ω − ωinj (1.7)

is the instantaneous beat frequency and

ΔωL = ωinj − ωo (1.8)

is the undisturbed beat frequency. Equating (1.4) and (1.6) and noting that

dθ
ω= + ωinj , (1.9)
dt
we arrive at
dθ 1 Iinj
+ ΔωL = sin θ. (1.10)
dt A Io

The impedance of the parallel RLC network is given by

1 s
Z(s) = . (1.11)
C s 2 + s RC
1
+ 1
LC

It can be shown that the phase of Z(j ω), denoted by  Z(j ω), is given by
 
R ωo2 − ω2
 Z(j ω) = − tan−1 . (1.12)
ωL ωo2

When the injection signal is absent,

Io = gm ZT (j ωo )IT , (1.13)

where gm is the transconductance of the transistor. Note Z(j ωo ) = R. Io and IT are

in phase in this case. When the injection current Iinj is present,

Io = gm ZT (j ωinj )IT . (1.14)

Io and IT in this case are not in phase but rather have a phase angle  Z(j ωinj ),
which is φ. We therefore have
 
R ωo2 − ω2
φ = − tan−1 . (1.15)
ωL ωo2

Since ω is in the vicinity of ωo ,

1.4 Adler: Weak First-Harmonic Injection 7

ωo2 − ω2 = (ωo + ω)(ωo − ω)

≈ 2ωo (ωo − ω). (1.16)

Further noting that the quality factor of the RLC network is given by1

ωL
Q= (1.17)
R
and making use of the identity of trigonometric functions
  π
tan−1 x −1 = − tan−1 x, (1.18)
2
we arrive at
2Q
tan φ ≈ − (ωo − ω). (1.19)
ωo

For weak injection, φ is small,

tan φ ≈ φ (1.20)

holds. Equation (1.19) can be approximated as

2Q
φ≈− (ωo − ω). (1.21)
ωo

It follows that
dφ 2Q
A= = . (1.22)
dω ωo

Equation (1.10) becomes

dθ ωo Iinj
+ ΔωL = sin θ. (1.23)
dt 2Q Io

When the frequency of the oscillator is the same as that of the injection signal,
i.e., the oscillator is locked to the injection signal, their phase difference will be
stationary. As a result,

1 The parallel RLC network in Fig. 1.2 is derived from the network consisting of a series RL

network depicting the spiral inductor and a parallel capacitor. The quality factor is dictated by
the RL network.
8 1 Injection-Locking of Oscillators: An Overview

dθ
= 0. (1.24)
dt
Equation (1.23) in this case becomes

ωo Iinj
ΔωL = sin θ. (1.25)
2Q Io

ΔωL is maximized when

π
θ= . (1.26)
2
The maximum lock range is given by

ωo Iinj
ΔωL,max = . (1.27)
2Q Io

ΔωL,max is termed the maximum lock range or simply the lock range of the
oscillator. Clearly the lock range of the oscillator is inversely proportional to the
quality factor of the oscillator and directly proportional to the relative injection
strength Iinj /Io of the oscillator.
Adler’s theoretical treatment of the injection-locking of oscillators was validated
experimentally by Huntoon and Weiss [31]. The theoretical results obtained by
Adler assumed that the injection signal was a continuous wave. Fraser extended
Adler’s theory on the injection-locking of oscillators to oscillators under the injec-
tion of a periodically interrupted wave [21]. Mackey demonstrated experimentally
that Adler’s theory of the injection-locking of oscillators also accurately describes
the locking phenomena of microwave X-band reflex klystron oscillators [49].

1.5 Paciorek: General First-Harmonic Injection

Alder’s formula on the lock range of injection-locked harmonic oscillators is valid

only if the strength of the injection signal is significantly smaller as compared with
the output of the oscillator, i.e., weak injection. The other two constraints upon
which Adler’s formula was derived are usually not of a concern. This is because
the frequency of the external injection signal is always chosen to be within the
lock range of the oscillator under injection for the given injection strength. For
applications where the strength of the injection signal is not small, is Adler’s formula
of lock range still valid? To answer this question, in this section we briefly present
Paciorek’s formula on the lock range of injection-locked oscillators that removes
the weak injection constraint imposed on Adler’s formula. Paciorek’s formula was
developed nearly 20 years after the inception of Adler’s formula [61].
1.5 Paciorek: General First-Harmonic Injection 9

We use the same LC oscillator shown in Fig. 1.2 to present Paciorek’s general
formula of the lock range of injection-locked oscillators. The law of sine gives

Io Iinj
= , (1.28)
sin(θ − φ) sin φ

from which we obtain

Iinj sin θ
tan φ = . (1.29)
Io + Iinj cos θ

Equation (1.15) gives the phase of the RLC network and is repeated here for
convenience

R ωo2 − ω2
tan φ = − . (1.30)
ωL ωo2

Since ω is in the vicinity of ωo ,

ωo2 − ω2 ≈ 2ωo (ωo − ω). (1.31)

Equation (1.30) can be simplified to

2Q(ω − ωo )
tan φ ≈ . (1.32)
ωo

Equating (1.29) and (1.32) and noting

ω − ωo = (ω − ωinj ) + (ωinj − ωo ) = Δω + ΔωL (1.33)

yield

dθ ωo Iinj sin θ
+ ΔωL = . (1.34)
dt 2Q Io 1 + Iinj cos θ
Io

Let us comment on the preceding results prior to further development:

(a) It is seen through the steps of the derivation of (1.34) that no any constraint was
imposed. Equation (1.34) is therefore valid for both weak injection and strong
injection. Note that in the derivation of Adler’s formula, Iinj  Io was imposed.
(b) Equation (1.34) is similar to (1.23) except the denominator and can be simplified
I
to (1.23) if Iinjo cos θ  1, i.e., weak injection.
(c) When the oscillator is locked to the injection signal, dθ dt = 0 will hold. We
therefore arrive from (1.34)
10 1 Injection-Locking of Oscillators: An Overview

ωo Iinj sin θ
ΔωL = . (1.35)
2Q Io 1 + Iinj cos θ
Io

(d) The optimal θ ∗ at which the lock range is maximized can be obtained by letting

d (ΔωL )
= 0. (1.36)
dθ
The result is given by

Iinj
cos θ ∗ = − . (1.37)
Io

Substituting (1.37) into (1.35) yields the maximum lock range

ωo Iinj 1
ΔωL,max =   2 . (1.38)
2Q Io Iinj
1− Io

If Iinj  Io , Eq. (1.38) is simplified to

ωo Iinj
ΔωL,max ≈ . (1.39)
2Q Io

Equations (1.39) and (1.39) show that Paciorek’s maximum lock range formula
given in (1.38) is simplified to Adler’s maximum lock range formula given in
(1.27) in the case of weak injection.
Paciorek’s formula of the lock range of harmonic oscillators was also derived
by Mirzaei et al. with a geometrical interpretation so as to provide a graphical
interpretation of the locking process of harmonic oscillators [54, 56].

1.6 Miller: Frequency Regenerative Injection

In 1939, R. Miller proposed a frequency regenerative injection-locking scheme that

can be used for injection-locked frequency multiplication/division [53]. Figure 1.3
shows the block diagram of an injection-locked oscillator that uses Miller’s
frequency regenerative injection-locking scheme. It consists of two nonlinear blocks
f1 and f2 that are used to generate various frequency components, a multiplier that
multiplies the output of the nonlinear block f1 and that of the nonlinear block f2 ,
and a linear frequency discriminator that functions as a high-Q band-pass filter. The
nonlinear blocks can be characterized with their Taylor series expansion
1.6 Miller: Frequency Regenerative Injection 11

Fig. 1.3 Block diagram of an injection-locked oscillator using Miller’s frequency regenerative
injection-locking scheme


v1 = f1 (vin ) ≈ m
am vin , (1.40a)
m=1


v2 = f2 (vo ) ≈ bn von . (1.40b)
n=1

Let

vin = Vin cos(ωin t + φ), (1.41a)

and

vo = Vo cos(ωo t), (1.41b)

we have
 
 
y= m
am Vin cosm (ωin t + φ) bn Von cosn (ωo t) . (1.42)
m=1 n=1

The mixer will generate various frequency components. Only those that are at
ωo will pass through the band-pass filter and reach the output of the oscillator. The
oscillator can therefore perform either frequency multiplication if ωo is a multiple of
ωin or frequency division if ωo is a fraction of ωin , depending upon the configuration
of the nonlinear blocks. A further development of Miller’s approach was given by
Verma et al. where the two nonlinear blocks in Fig. 1.3 were combined into one so
as to account for any interaction between them [83].
12 1 Injection-Locking of Oscillators: An Overview

1.7 Schmideg: Superharmonic and Subharmonic Injection

The approaches of Adler and Paciorek for analysis of injection-locked harmonic

oscillators are similar except that Paciorek’s approach removes the weak inversion
constraint imposed on Adler’s formula. As a result, Paciorek’s formula is valid for
both weak and strong injection. Both Adler and Paciorek’s approaches can only
be used to analyze the first-harmonic injection of harmonic oscillators, i.e., the
frequency of the injection signal needs to be located close to the natural frequency
of the oscillator under injection. They cannot be used to analyze both superharmonic
injection where the frequency of the injection signal is a superharmonic of the
natural frequency of the oscillator or subharmonic injection where the frequency
of the injection signal is a subharmonic of the natural frequency of the oscillator.
In 1971, Schmideg proposed a first-harmonic balance method capable of analyzing
injection-locked harmonic oscillators under the injection of either a superharmonic
or a subharmonic signal [68]. Schmideg’s approach forms the basis for analysis
of injection-locked frequency dividers [63, 83]. In this section, we briefly present
Schmideg’s approach.
As mentioned earlier that a harmonic oscillator can be partitioned into a nonlinear
block that performs frequency mixing and a high-Q band-pass filter that performs
frequency discrimination, as shown in Fig. 1.4. Let the output of the oscillator in
the lock state be a single tone of frequency ω in the vicinity of the passband center
frequency ωo of the bandpass filter, i.e.,
Vo  j ωt 
vo = Vo cos(ωt) = e + e−j ωt . (1.43)
2
Further let the injection signal be a single tone whose frequency is the kth harmonic
of the output of the oscillator and the phase of the injection signal be φ.
Vinj  j kωt j φ 
vinj = Vinj cos(kωt + φ) = e e + e−j kωt e−j φ . (1.44)
2
The nonlinear block is depicted by the Taylor series expansion of the governing
equation of the nonlinearity

y = a1 x + a2 x 2 + a3 x 3 + · · · . (1.45)

Fig. 1.4 Schmideg’s model of injection-locked harmonic oscillators

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character. Their fatal misjudgment marks the fundamental divergence
in ethical thought and feeling between the “culture” of Teutonism and
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ethical sense with which to perceive the motives which inspired the
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war of revenge or a war of conquest, but they are incapable of
conceiving the workings of a national mind which can undertake a
costly and bloody war merely to uphold the sacredness of a treaty—a
war for a mere scrap of paper.
In engineering this war of wanton aggression Germany committed
one capital mistake—a result of the atrophy of her moral sense: she
failed to gauge the ethical soul of the British people. She neither
anticipated nor adequately prepared for the adhesion of Great Britain
to France and Russia. And to ward off this peril when it became visible
she was ready to make heavy sacrifices—for the moment. One of
these was embodied in the promise not to annex any portion of French
territory. But here, again, this undertaking would not have hindered her
from encouraging Italy to incorporate Nice and Savoy, as an
inducement to lend a hand in the campaign. Her assumption that
England would not budge was based largely on the impending civil war
in Ireland, the trouble caused by the suffragettes, the spread of
disaffection in India and Egypt, and above all on the paramountcy of a
Radical peace party in Great Britain which was firmly opposed to war,
loathed Russian autocracy, and contemplated with dismay the
prospect of Russian victories. These favourable influences were then
reinforced by the vague promise to conclude a convention of neutrality
with Great Britain at some future time on lines to be worked out later,
by the undertaking to abstain from annexing French territory in Europe,
and at last by the German Ambassador’s suggestion that the British
Government should itself name the price at which Britain’s neutrality
during the present war and her connivance at a deliberate breach of
treaty could be purchased.
That all these promises and promises of promises should have
proved abortive, and that Austria and Germany should have to take on
France, Russia, and Great Britain when they hoped to be able to
confine their attentions to little Servia, was gall and wormwood to the
Kaiser’s shifty advisers. For it constituted a superlatively bad start for
the vaster campaign, of which the Servian Expedition was meant to be
but the early overture. A new start already seems desirable, and
overtures for the purpose of obtaining it were made by the German
Ambassador at Washington, who suggested that the war should be
called a draw and terms of peace suggested by Great Britain. But the
allies had already bound themselves to make no separate peace, and
their own interests oblige them to continue the campaign until Prussian
militarism and all that it stands for have been annihilated. None the
less, it is nowise improbable that as soon as the allies have scored
such successes as may seem to bar Germany’s way to final and
decisive victory, she may endeavour, through the good offices of the
United States, to obtain peace on such terms as would allow her to
recommence her preparations on a vaster scale than ever before,
amend her schemes, correct her mistakes, and make a fresh start
when her resources become adequate to the magnitude of her
undertaking. And if the allies were ill-advised or sluggish enough to
close with any such offers, they would be endeavouring to overtake
their Fate and to deserve it. What would a peace treaty be worth, one
may ask, as an instrument of moral obligation if the nation which is
expected to abide by it treats it on principle as a scrap of paper? There
can be no peace except a permanent peace, and that can be bought
only by demolishing the organization which compelled all Europe to
live in a state of latent warfare. As Mr. Lloyd George tersely put it: “If
there are nations that say they will only respect treaties when it is to
their interests to do so, we must make it to their interests to do so.”
And until we have accomplished this there can be no thought of
slackening our military and naval activity.
One word more about German methods. Intelligent co-ordination of
all endeavours and their concentration on one and the same object is
the essence of their method and the secret of their success. German
diplomacy is cleverly and continuously aided by German journalism,
finance, industry, commerce, literature, art, and—religion. Thus, when
the Government think it necessary, and therefore right, to break an
international convention, violate the laws of war, or declare a treaty a
mere scrap of paper, they charge the State on whose rights they are
preparing to trespass with some offence which would explain and
palliate, if not justify, their illegality. It was thus that the German
Secretary of State, when asked by our Ambassador whether the
neutrality of Belgium would be respected, said evasively that certain
hostile acts had already been committed by Belgium—i.e. before the
end of July! In the same way, tales of Belgian cruelty towards German
soldiers and German women—as though these, too, had invaded King
Albert’s dominions—were disseminated to palliate the crimes against
Louvain, Malines, and Termonde. And now Great Britain is accused of
employing dum-dum bullets by the Kaiser, whose soldiers take
hostages and execute them, put Belgian women and children in the
first firing line, whose sailors are laying mines in the high seas, and
whose most honest statesmen are industriously disseminating
deliberate forgeries among neutral peoples. Prince Bülow, the ex-
Chancellor, in an appeal to civilized peoples for their sympathy with
Germany in this iniquitous war, operates with the forged speech
mendaciously attributed to Mr. John Burns, in which England is
accused of having assailed Germany from behind out of brutal
jealousy and perpetrated the crime of high treason against the white
races!
The present Imperial Chancellor, von Bethmann Hollweg, reputed
to be the most veracious public man in Germany, has quite recently
issued a memorial for the purpose of substantiating the charges of
atrocity levelled against Belgians as a set-off to German savagery in
Louvain, Malines, and elsewhere. The Chancellor relies upon the
evidence of one Hermann Consten, a Swiss subject and a member of
the Swiss Red Cross Society, a gentleman, therefore, whose political
disinterestedness entitles him to be heard, and whose presence at
Liége during the siege is an adequate voucher for his excellent source
of information.
But inquiry has elicited the facts that the description of this witness
given by the honest Chancellor is wholly untrue. The Chief of Police at
Basle, in Switzerland, has since testified that Consten is a German,
that he conducted a German agency in Basle which is believed to have
been an espionage concern, that he was charged with fraud, and after
a judicial inquiry expelled from Switzerland on September 10th, that he
was under police surveillance for two years, that he is not a Swiss
subject, nor a member of the Red Cross Society, and that, as he
resided in Switzerland during all the time that the siege of Liége was
39
going on, he could not have seen any of the atrocities he alleges.
 When the Chief of a Government descends to slippery expedients
like these to find extenuating circumstances for acts of fiendish
savagery that have staggered the world, he is unwittingly endorsing
the judgment against which he would fain appeal. And if Germany’s
most veracious statesman has no scruple to palm off barefaced lies on
American and European neutrals, what is one to think of the less truth-
loving apostles of Prussian culture?
What we in Great Britain have to expect from Germany, if now or at
any future time the anti-Christian cultural religion and inhuman maxims
on which her military creed rests get the upper hand, has been
depicted in vivid colours by Germans of all professions and political
parties. Delenda est Carthago. But the very mildest and fairest of all
these writers may be quoted to put us on our guard. Professor
Ostwald, the well-known German chemist, is a pacifist, a man opposed
on principle to war. In a document addressed to American pacifists for
their enlightenment as to the aims and scope of the present contest,
this bitter adversary of all militarism makes an exception in favour of
that of his own country. An enthusiast for civilization, he would gladly
see that of the British Empire destroyed. He writes:

According to the course of the war up to the present time,

European peace seems to me nearer than ever before. We
pacifists must only understand that, unhappily, the time was not
yet sufficiently developed to establish peace by the peaceful way.
If Germany, as everything now seems to make probable, is
victorious in the struggle not only with Russia and France, but
attains the further end of destroying the source from which for two
or three centuries all European strifes have been nourished and
intensified, namely, the English policy of World Dominion, then will
Germany, fortified on one side by its military superiority, on the
other side by the eminently peaceful sentiment of the greatest part
of its people, and especially of the German Emperor, dictate peace
to the rest of Europe. I hope especially that the future treaty of
peace will in the first place provide effectually that a European war
such as the present can never again break out.
I hope, moreover, that the Russian people, after the conquest
of their armies, will free themselves from Tsarism through an
 internal movement by which the present political Russia will be
resolved into its natural units, namely, Great Russia, the
Caucasus, Little Russia, Poland, Siberia, and Finland, to which
probably the Baltic Provinces would join themselves. These, I
trust, would unite themselves with Finland and Sweden, and
perhaps with Norway and Denmark, into a Baltic Federation, which
in close connection with Germany would ensure European peace
and especially form a bulwark against any disposition to war which
might remain in Great Russia.
For the other side of the earth I predict a similar development
under the leadership of the United States. I assume that the
English Dominion will suffer a downfall similar to that which I have
predicted for Russia, and that under these circumstances Canada
would join the United States, the expanded republic assuming a
certain leadership with reference to the South American
Republics.
The principle of the absolute sovereignty of the individual
nations, which in the present European tumult has proved itself so
inadequate and baneful, must be given up and replaced by a
system conforming to the world’s actual conditions, and especially
to those political and economic relations which determine
40
industrial and cultural progress and the common welfare.

The peace which this distinguished pacifist is so eager to establish

on a stable basis can only be attained by the “mailed fist,” fortified on
one side by its military superiority, and on the other by the eminently
peaceful sentiment of the German Emperor. And the means to be
employed are the utter destruction of the British Empire and the break-
up of Russia into small States under German suzerainty. This is a
powerful wrench, but it is not all. The “absolute sovereignty of the
individual nations is to be made subordinate to Germany in Europe,
and, lest Americans should find fault with the arrangements, to the
41
United States on the new Continent.”
No peace treaty with a nation which openly avows and cynically
pursues such aims as these by methods, too, which have been
universally branded as infamous, would be of any avail. It is essential
to the well being of Europe and the continuity of human progress that
the political Antichrist, who is waging war against both, shall be
vanquished, and that peace shall be concluded only when
Prussianized Germany has been reduced to a state of political,
military, and naval impotency.
 APPENDIX
DIPLOMACY AND THE WAR

THE RUSSIAN ORANGE BOOK

(From “The Morning Post,” September 21st,
1914)
Under the title of “Recueil de Documents Diplomatiques.
Négociations ayant précédé la guerre,” the Russian Ministry for
Foreign Affairs has published at St. Petersburg an important Orange
Book giving full details of the diplomatic negociations which
preceded the war. Although dated August 6th (July 24th Old Style), it
only reached London last evening. The first document is a telegram
from M. Strandtman, the Russian Chargé d’Affaires at Belgrade,
under date July 23rd, in which he informs the Minister for Foreign
Affairs in St. Petersburg that the Austrian Minister has just sent to M.
Patchou, who is representing M. Pasitch, the Servian Minister of
Finance, at six o’clock in the evening, an ultimatum from his
Government, fixing a delay of forty-eight hours for the acceptance of
the demands contained in it. M. Pasitch and the other Ministers, who
were away on an electioneering tour, had been communicated with,
and were expected to return to Belgrade on Friday morning. M.
Patchou added that he asked the aid of Russia, and declared that no
Servian Government would be able to accept the demands of
Austria. The same day M. Strandtman telegraphed to his
Government, stating what were the alleged grievances of the Austro-
Hungarian Government against Servia. The Servian Government
was to suppress the “criminal and terrorist” propaganda directed
against Austria with a view to detaching from the Dual Monarchy the
territories composing part of it. Servia was called upon to publish on
the first page of the Servian “Official Journal” of July 13th a notice to
this effect, while expressing regret for the fatal consequences of
these “criminal proceedings.”

Austria’s Impossible Demands.

Moreover, the Servian Government was to undertake (1) to
suppress all publications designed to excite people to hatred and
contempt of the Austrian Monarchy; (2) to dissolve at once the
“Narodna Odbrana” Society; (3) to eliminate from the curriculum of
the public schools anything tending to foment an anti-Austrian
propaganda; (4) to dismiss military and civil officers guilty of similar
propaganda; (5) to accept the collaboration of Austria in the
suppression of the said “subversive movement”; (6) to open a judicial
inquiry against the partisans of the conspiracy of June 28th still in
Servia; (7) to arrest Commandant Voija Tankositch and Milan
Ciganovitch, a Servian official; (8) to prevent illicit traffic in arms and
explosives across the frontier, and dismiss and punish severely the
Servian officials at the Schabatz-Loznica frontier guilty of having
helped the authors of the crime of Sarajevo by facilitating their
passage across the frontier; (9) to give the Austrian Government
explanations as to the declarations hostile to Austria made by high
Servian officials in interviews after the crime of June 28th; (10) to
advise the Austrian Government without delay that the above
demands have been complied with. To these demands a satisfactory
reply must be given at latest by Saturday, July 25th, at six o’clock in
the evening. On the following day, July 24th, the Minister for Foreign
Affairs at St. Petersburg sent a telegram to the Russian Chargé
d’Affaires at Belgrade, in which he pointed out that the
communication of the Austrian Government gave a wholly
insufficient length of time to the Powers for dealing with the
complications which had arisen. In order to guard against the
incalculable consequences, which were equally serious for all the
Powers, that might follow from the action of the Austrian
Government, it was indispensable first of all that the delay accorded
to Servia should be extended. At the same time M. Sazonoff
despatched an identical message to the Russian Ambassadors in
England, France, Germany, and Italy, in which he said he hoped that
the Governments to which they were accredited would support the
Russian Government in the view that it took.

Servia’s Position.
The Prince Regent of Servia, on the same date, July 24th, wrote
to the Emperor of Russia a letter, in which, after referring to the
Austrian Note, he said that Servia, recognizing its international
duties, at the very first opportunity after the horrible crime, declared
that it condemned that crime and was ready to open an inquiry if the
complicity of certain Servian subjects should be proved in the course
of the investigations made by the Austrian authorities. “However,” he
continued, “the demands contained in the Austrian Note are
unnecessarily humiliating to Servia and incompatible with her dignity
as an independent State. We are ready to accept those Austrian
conditions which are compatible with the position of a sovereign
State as well as any which your Majesty may advise us to accept,
and all the persons whose participation in the crime shall be
demonstrated will be severely punished by us. Among the demands
made by Austria are some which could not be satisfied without
certain changes in our legislation, which would require time.”
On July 25th the Russian Chargé d’Affaires at Belgrade, in a
telegram to his Government, which did not reach Petrograd till July
27th, sent a copy of the Servian reply to the Austrian demands, in
which it was stated that Servia had many times given proofs of a
pacific and moderate policy during the Balkan crisis. The Servian
Government could not accept responsibility for manifestations of a
private character such as were contained in newspaper articles and
the peaceful work of societies, manifestations which take place in
nearly all countries in the ordinary way, and which are not subject to
official control. The Servian Government had been painfully
surprised at the allegations to the effect that certain persons in
Servia had taken part in preparing the crime at Sarajevo.

Assurances and Concessions.

The Servian Government proceeded to repeat its assurance that
it was willing to make all efforts to find out the guilty without regard to
rank or station, and to punish them for any complicity in that crime;
further, the Servian Government transmitted a long announcement,
which it undertook to publish on the front page of the Journal Officiel
of July 26th. It was largely based upon the Austrian demands, and
undertook, while formally repudiating all idea of interfering in
Austrian affairs, to warn its civil and military authorities, as well as
the entire population of the Kingdom, that it would proceed with the
utmost severity against all persons who should be guilty of such
acts. The Government undertook besides to introduce at the first
sitting of the Skupschtina a Press Law enacting severe penalties for
any attempt to excite the people to hatred and contempt of the
Austrian Monarchy, and it promised that at the forthcoming revision
of the Constitution Article 22 should be amended in such a way that
such publications could be confiscated, which under the existing law
was impossible. The Government did not possess any proof, and the
Note of the Austrian Government did not furnish any proof, that the
Narodna Odbrana Society and other similar associations had
committed any criminal act. Nevertheless, the Servian Government
would accept the demand of the Austrian Government, and would
dissolve the Narodna Odbrana Society and any other society which
might act in a manner hostile to Austria. Other points on which the
Servian Government offered to meet the Austrian demands were the
elimination from the curriculum of the Servian public elementary
schools of any propaganda against Austria which could be shown to
exist, and to dismiss from the Servian service any officers who might
be shown to have been guilty of acts directed against the integrity of
Austrian territory.
 The Servian Government, while protesting that it did not clearly
understand the sense and the tendency of the demand of the
Austrian Government that it should accept upon its territory the
collaboration of the Austrian Government, declared that it was ready
to admit any collaboration consistent with the principles of
international law and criminal procedure, as well as with neighbourly
relations. The Government considered it its duty to open a judicial
inquiry with regard to the conspiracy of June 28th, but could not
accept the participation of Austrian delegates, as this would involve
the violation of the Servian Constitution. On the very evening,
however, of the receipt of the Austrian Note the Government
proceeded to arrest Commandant Voija Tankositch. With regard to
Milan Ciganovitch, who was an Austrian subject, they had not been
able to find him. The Government would undertake to extend the
measures taken to prevent the illicit traffic in arms and explosives
across the frontier, and would at once order an inquiry and punish
severely the frontier officials on the line Schabatz-Loznica who
neglected their duty by permitting the passage of the authors of the
crime of Sarajevo. The Government would willingly give explanations
as to the opinions expressed by its agents after the crime, as soon
as the Austrian Government would communicate the statements in
question and show that they had really been made. “In case,” it was
added, “the Austrian Government should not be satisfied with this
reply, the Servian Government, considering that it is to the common
interest not to precipitate a solution of this question, is ready, as at all
times, to accept a pacific understanding, while remitting this question
to the decision either of the International Tribunal of The Hague or to
the Great Powers which took part in the elaboration of the
declaration which the Servian Government made on March 31st,
1909.”

Germany’s Duties.
On July 23rd the Russian Chargé d’Affaires in Paris telegraphed
to the Minister of Foreign Affairs in St. Petersburg: “To-day a morning
newspaper publishes in a form not entirely accurate the declarations
made yesterday by the German Ambassador, following them up with
commentaries representing them in the light of a threat. The German
Ambassador, much impressed by these revelations, paid a visit to-
day to the Acting Director of the Political Department, and informed
him that his words did not bear the construction put upon them. He
declared that Austria had presented its Note to Servia without any
precise understanding with Berlin, but that nevertheless Germany
approved the point of view of Austria, and that certainly ‘the arrow
once shot’ (these were his exact words) Germany could only be
guided by its duties as an ally.”
M. Sazonoff on July 26th telegraphed to the Russian
Ambassador at Rome the following significant words: “Italy could
play a rôle of the first importance in favour of the maintenance of
peace by exercising the necessary influence on Austria and adopting
an unfavourable attitude towards the conflict, for that conflict could
not be localized. It is desirable that you should express the
conviction that it is impossible for Russia not to come to the
assistance of Servia.”
On the same day that this was written the Acting Russian Consul
at Prague telegraphed to St. Petersburg the news that the
mobilization in Austria-Hungary had been decreed.
A number of documents follow which do not deal with matters
that are not more or less public property, although incidentally they
show how strenuously Sir Edward Grey was working for peace.

Austria’s Last Word.

Even so late as July 28th the Russian Ambassador at Vienna
was still seeking a modus vivendi. In a telegram of that date to his
Minister for Foreign Affairs he related how he had seen Count
Berchtold, and told him in the most friendly terms how desirable it
was to find a solution which, while consolidating the good relations
between Austria and Russia, would give the Austrian Monarchy
serious guarantees with regard to its future relations with Servia.
Count Berchtold replied that he was perfectly aware of the gravity of
the situation and of the advantages of a frank explanation with the
Cabinet of St. Petersburg. On the other hand, he declared that the
Austrian Government, which had taken energetic measures against
Servia much against the grain, could no longer back out or submit to
discussion any of the terms of the Austrian Note. Count Berchtold
added that the crisis had become so acute, and public opinion had
become so excited, that the Government could not consent to do this
even if it would, the more so as the Servian reply afforded proof of a
want of sincerity in its promises for the future.

Deceptive Representations.
On July 29th the Russian Ambassador in France sent to his
Government a telegram saying: “Germany declares that it is
necessary to exercise a moderating influence at St. Petersburg. This
sophistry has been refuted at Paris, as at London. At Paris Baron de
Schoen has in vain tried to get France to join with Germany in
pressing on Russia the necessity of maintaining peace. The same
attempts have been made at London. In both capitals the reply was
that such action ought to be taken at Vienna, because the excessive
demands of Austria, her refusal to discuss the slight reserves made
by Servia, and her declaration of war against that country threatened
to provoke a general war.”
On July 30th the Russian Minister of Foreign Affairs made to the
German Ambassador in St. Petersburg the following declaration,
urging that it should be transmitted without delay to Berlin: “If Austria,
recognizing that the Austro-Servian question has assumed the
character of a European question, declares itself ready to eliminate
from its ultimatum the points directed against the sovereign rights of
Servia, Russia undertakes to cease her military preparations.”
 Summing up the Position.
Communiqué from the Minister of Foreign Affairs concerning the
events of the last few days.
August 2nd, 1914.
A statement distorting the events of recent days having
appeared in the foreign Press, the Minister of Foreign Affairs holds it
to be his duty to publish the following aperçu respecting the
diplomatic negociations that have taken place during the period
above mentioned.
On July 23rd the Austro-Hungarian Minister at Belgrade
presented to the Servian Minister-President a Note in which the
Servian Government was accused of having favoured the pan-
Servian movement which had resulted in the assassination of the
Heir to the Austro-Hungarian Throne. Consequently Austria-Hungary
demanded of the Servian Government that it should not alone
formally (sous une forme solennelle) condemn the aforementioned
propaganda, but further, under the control of Austria-Hungary, should
take sundry measures with the object of bringing to light the plot,
punishing those Servian subjects who had taken part in it, and
ensuring in the future the prevention of any such outrage within the
Kingdom. The Servian Government was allowed a period of forty-
eight hours in which to reply to this Note.
The Imperial Government, to whom the Austro-Hungarian
Ambassador at St. Petersburg had communicated the text of the
Note seventeen hours after it had been sent to Belgrade, having
taken cognizance of the demands therein contained, was forced to
recognize that some of them were fundamentally impossible of
execution, while others were presented in a form incompatible with
the dignity of an independent State. Holding as inadmissible the
lowering of Servia’s dignity involved in these demands, also the
inclination of Austria-Hungary to ensure its preponderance in the
Balkans displayed in these same requirements, the Russian
Government pointed out in the most friendly manner to Austria-
Hungary the desirability of submitting the points contained in the
Austro-Hungarian Note to fresh examination. The Austro-Hungarian
Government did not think it possible to consent to any discussion
respecting the Note. The pacific action of the other Powers at Vienna
met with a like non-success.

Servia’s Readiness to Give Satisfaction.

Despite the fact that Servia had denounced the crime and had
shown herself ready to give satisfaction to Austria to an extent
exceeding that foreseen not only by Russia but also by the other
Powers, the Austro-Hungarian Minister at Belgrade considered the
Servian reply insufficient and left that city.
Recognizing the exaggerated nature of the demands presented
by Austria, Russia had already declared that it would be impossible
for her to remain indifferent, but at the same time without refusing to
use all her efforts to discover a peaceful issue which should be
acceptable to Austria and should spare its amour propre as a Great
Power. At the same time Russia firmly declared that a peaceful
solution of the question could only be admitted on a basis which
should imply no diminution of the dignity of Servia as an independent
State. Unfortunately all the efforts of the Imperial Government in this
direction remained without effect.

Austria’s Refusal of Mediation.

The Austro-Hungarian Government, after having rejected all
conciliatory intervention on the part of the Powers in its dispute with
Servia, proceeded to mobilize; war was officially declared against
Servia, and on the following day Belgrade was bombarded. The
manifesto which accompanied the declaration of war openly accuses
Servia of having prepared and carried out the crime of Sarajevo.
This accusation, involving as it does an entire people and a whole
State in a crime against the common law, by its evident inanity
served to enlist on behalf of Servia the broad sympathies of Europe.

Russia’s Mobilization.
In consequence of this method of action by the Austro-
Hungarian Government, despite Russia’s declaration that she would
not remain indifferent to Servia’s fate, the Imperial Government
deemed it necessary to order the mobilization of the military
circumscriptions of Kieff, Odessa, Moscow, and Kazan. This decision
was necessary because since the date of the sending of the Austro-
Hungarian Note to the Servian Government and Russia’s first
intervention five days had elapsed; nevertheless, the Viennese
Cabinet had taken no steps to meet our pacific efforts. On the
contrary, the mobilization of half the Austro-Hungarian Army had
been decreed.
The German Government was informed of the measures taken
by Russia; it was at the same time explained that these measures
were simply the consequence of Austria’s arming and were in no
way directed against Germany. The Imperial Government declared
that Russia was ready to continue the pourparlers with a view to a
pacific solution of the dispute, either by means of direct negociations
with the Viennese Cabinet, or, in accordance with the proposals of
Great Britain, by a conference of the four Great Powers not directly
interested, namely, England, France, Germany, and Italy.
This effort on the part of Russia also failed. Austria-Hungary
declined a further exchange of views with us, and the Viennese
Cabinet renounced participation in the projected conference of the
Powers.

Russia’s Efforts for Peace.

 Russia nevertheless did not cease her efforts in favour of peace.
Replying to the German Ambassador’s question, on what conditions
we would suspend our warlike preparations, the Minister of Foreign
Affairs said the conditions were that Austria-Hungary should
recognize that the dispute with Servia had become a European
question, and that Austria-Hungary should not insist on demands
incompatible with the sovereign rights of Servia. Russia’s proposition
was judged by Germany to be unacceptable on the part of Austria-
Hungary, and simultaneously St. Petersburg received news of the
proclamation of a general mobilization in Austria-Hungary.
Meanwhile hostilities on Servian territory continued, and there was a
renewed bombardment of Belgrade.
The non-success of our pacific proposals obliged us to increase
our military precautions. The Cabinet of Berlin having addressed to
us a question on the subject, the reply was made that Russia was
forced to begin arming in order to be prepared against all
eventualities. While taking these precautions Russia continued to
seek to the utmost of her ability for an issue out of the situation, and
declared herself ready to accept any solution consistent with the
conditions she had already laid down.
In spite of this conciliatory communication the German
Government, on July 31st, addressed to the Russian Government, a
demand that they should suspend their military measures by midday
on August 1st. At the same time the German Government
threatened that if Russia did not comply they would order a general
mobilization. On August 1st the German Ambassador, in the name of
his Government, transmitted a declaration of war to the Minister for
Foreign Affairs.

Telegram to Russian Ambassadors.

On August 2nd the Russian Minister of Foreign Affairs sent the
following telegram to the representatives of his country abroad:
 “It is quite clear that Germany is trying to throw upon us the
responsibility for the rupture. Our mobilization is due to the
enormous responsibility that we should have assumed if we had not
taken all precautions at a time when Austria, confining her
negociations to dilatory pourparlers, was bombarding Belgrade and
carrying out a general mobilization. His Majesty the Emperor had
given his word to the German Emperor not to undertake any
aggressive act as long as the discussions with Austria should last.
After such a guarantee and all the proofs which Russia had given of
her love of peace, Germany had no right to doubt our declaration
that we would accept with joy any peaceful issue compatible with the
dignity and independence of Servia. Any other course, while
completely incompatible with our own dignity, would have shaken the
European equilibrium and assured the hegemony of Germany. The
European, even world-wide, character of the conflict is infinitely more
important than the pretext on which it has been commenced. By her
declaration of war against us while negociations were going on
between the Powers, Germany has assumed a heavy responsibility.”

Austria’s Declaration of War.

The Austro-Hungarian Ambassador at St. Petersburg remitted to
the Russian Minister of Foreign Affairs the subjoined note at six
o’clock on the evening of August 6th:
“By order of his Government, the undersigned Ambassador of
Austria-Hungary has the honour to notify to his Excellency as
follows: Considering the menacing attitude of Russia in relation to
the conflict between the Austro-Hungarian Monarchy and Servia,
and in view of the fact that as a result of this conflict Russia, after a
communication from the Cabinet of Berlin, has thought right to begin
hostilities against Germany, which consequently finds itself in a state
of war with Russia, Austria-Hungary, from the present moment
considers herself equally in a state of war with Russia.”
Printed in Great Britain by Hazell, Watson & Viney, Ld.
London and Aylesbury.—1414759
 FOOTNOTES
1
Cf. Westminster Gazette, September 9th, 1914.
2
Cf. Sir M. de Bunsen’s supplementary despatch, which is
reproduced in full on pp. 129–140.
3
“The Price of a German-English Entente.” By Professor Hans
Delbrück. (February, 1911.)
4
“Solange es Herrn Dillon erlaubt sein wird, in der
Contemporary Review über deutsche Politik seine aus Hass
und Argwohn erzeugten Phantasien vorzutragen, solange
arbeiten umsonst, die da glauben, dass durch Schiedsverträge
der Frieden zwischen unsern Nationen gesichert werden
könne.”—Preussische Jahrbücher, Mai, 1911.
5
Cf. Westminster Gazette, September 14th.
6
There is prima facie evidence for the statement that labour
strikes were being actually engineered in Russia during the
crisis which culminated in the present war by agents supplied
with money from Germany. I cannot fairly say that this has
been proven.
7
I understand that this was one of the modifications which the
Kaiser himself made in the Austrian ultimatum. I know that he
also altered something in that document, and made it sharper
than was at first intended.
8
I endeavoured to draw the friendly attention of the French
Government to these striking defects in an unsigned article