Understanding Surface Acoustic Wave (SAW) Devices

for Mobile and Wireless

Applications and Design Techniques
by Colin K. Campbell, Ph.D., D.Sc.
Session 19: "An Overview of SAW Devices For
Mobile/Wireless Communications"
( 68 Questions and Answers for Year 2008 )
(Including Real-Time SAW Fourier Transformers)

(You may wish to print a copy of this web page for future reference)

WORLD-WIDE PRODUCTION LEVELS

Question 1. What is the current world-wide production level of surface acoustic
wave (SAW) devices?
Answer 1: Major SAW manufacturers/suppliers include Japan, USA, Germany,
mainland China, and Taiwan. While I have not been able to obtain up-to-date
world-wide levels, my ownunofficialestimate is that these have to be several million
SAW devices a year. For example, one company alone in one of these countries is
reportedly producing 3 million devices per day !

SOME UNUSUAL PROPERTIES OF SAW DEVICES

Question 2: Before we go any further, tell me if surface acoustic wave (SAW) filters
are analogor digital devices?
Answer 2: Tricky question! My own view is that some configurations (as in the
basic bidirectional interdigital transducer (IDT) structure of Figure 1), can be
considered to operate as passive HYBRIDanalog/digital devices! The basic SAW
filter sketched in Figure 1 is indeed a passive analog device. It is just a thin metal
film structure deposited on top of a piezoelectric crystal substrate, with no power
supplies to worry about. However, this is not the complete answer! Now for the
digital part. Look at the constituent input/output IDTs. The layout pattern of these
input/output thin metal film patterns is designed to provide the desired bandpass
filtering function H(f) = Voutput/Vinput as the SAW propagates along the
piezoelectric crystal surface. But these bidirectional IDTs may be considered to act
asspatially-sampledversions of the corresponding time-evolving Inverse Discrete
Fourier Transform (IDFT) h(t). (Remember that there is a unique correspondence
between the frequency response H(f) of a filter, and its impulse response h(t).
(Simple concepts for digital signal-processing engineers. Not so simple for old
analog circuit designers like me !). Because of this, many digital signal processing
techniques can be employed in the design of the IDT patterns. Additionally, SAW
filters find applications in many digital communications systems.

Question 3: Give me three examples of the digital signal-handling equivalence of a

SAW filter.
Answer 3: (a) Digital signal-processing window function techniques can be applied
to shape the IDT patterns, and thereby shape the filter bandpass frequency
response. Examples of these include Hamming, Cosine weighting, Kaiser, Kaiser-
Bessel, Taylor-weighting, and Dolph-Chebyshev. (See Chapter 3 of my 1998 SAW
book).
(b) The well-known (??) Remez Exchange algorithm - originally applied to the
design of optimum Finite Impulse Response (FIR) linear-phase digital filters - can
also be applied to the design of SAW bandpass filters.(See Chapter 8 of my 1989
SAW book Surface Acoustic Wave Devices and Their Signal Processing Applications
( Academic Press:Boston,1998 ), which also includes a FORTRAN Remez program
for SAW applications. Also see: J. H. McClellan, T. W. Parks and L. R. Rabiner,
"A computer program for designing optimum FIR linear phase digital filters,"
IEEE Transactions on Audio and Electroacoustics, vol. AU-21, pp. 506-526,
December 1973.)
(c) As a third hybrid-performance example, SAW Nyquist filters are employed in
Quadrature-Amplitude-Modulation (QAM) digital radio modems.(See Chapter 19
of my 1998 SAW book).
Question 4: Can SAW bandpass filters operate at harmonic frequencies?
Answer 4: Yes. They can operate at selected harmonic frequencies, depending on
the metalization ratio η = a/b in Figure 2. Rayleigh-wave delay-line filters
employing split-electrode IDTs on YZ-lithium niobate have been reported as
operating efficiently up to the 11thharmonic. (See: W. R. Smith, "Basics of the
SAW interdigital transducer," in J. H. Collins and L. Masotti (eds.)Computer-Aided
Design of Surface Acoustic Wave Devices. Elsevier: New York, 1976. Also see: W. R.
Smith and W. F. Pedler, "Fundamental- and harmonic-frequency circuit model
analysis of interdigital transducers with arbitrary metalization ratios and polarity
sequences," IEEE Transactions on Microwave Theory and Techniques, vol. MTT-23,
pp. 853-864, November 1975). The IDTs in Figure 2(a) and Figure 2(b) can operate
at selected odd-harmonic frequencies, while the IDT structure in Figure 2(c) can
operate at selected even and odd harmonics, depending on the metalization ratio.
Question 5: But why would I want to operate a SAW filter in a harmonic mode?
Answer 5::a) Say I am using SAW filters fabricated on single-crystal piezoelectric
substrates. One good reason why I might want to use a SAW filter operating in a
harmonic mode relates to possible interference from acoustic bulk waves, which
may be generated to various levels by an excited interdigital transducer (IDT), in
addition to the desired SAW. Bulk waves can propagate in any direction within the
propagating single-crystal piezoelectric substrate on which the IDTs are fabricated.
These can have three components: namely those for 1) longitudinal bulk waves, 2)
fast transverse shear waves, and 3) the slow transverse shear waves. (See Chapter 2
of my 1998 SAW book). Those components that arrive at the output IDT will
generate interfering voltages there, in addition to the desirable SAW. These can
cause undesirable passband as well as out-of-band degradation. If, however, I
operate in a high-enough harmonic mode, it may be possible to "bypass" such bulk
wave interference. (See References 37 and 38 in Chapter 6 of my 1998 SAW book).
b) Also, one good reason why I might need to operate at SAW filter (i.e., Rayleigh-
wave or leaky-SAW (LSAW) type) in a harmonic-frequency mode relates to the
operational frequency for my SAW filter. Remember that the SAW acoustic
wavelength λ ο is given by λ ο = v/fo, where v = SAW velocity and fo =
fundamental operating frequency. This makes for very small SAW devices at
frequencies above about 1.5 GHz. As an example, a packaged 1.880-GHz SAW Tx-
filter for USA Personal Communications Services (PCS), (see Figure 1.4 in my SAW
book), may only have an area in the order of 3 mm x 3 mm. (If you do not think this
is a small filter, get out a millimeter scale and think about this!)
Again consider that I want to use a high-frequency SAW filter design on a
piezoelectric crystal substrate. If the operating frequency is to be above about 1.5
GHz, then I must be concerned as to whether or not I can have the desired
photolithographic resolution in the fabrication of my IDT patterns. Recall that the
acoustic wavelength λ ο at filter center frequency fo is given by λ ο = v/fo ,
where v = SAW/LSAW velocity. Remember from our previous web-page
discussions that an electrode finger width in a SAW IDT is typically λ ο /4. So, in
order to maximize my photolithography, I would want to use a SAW substrate with
the largest acoustic velocity v. For frequencies above about 1 GHz this would
suggest the use of a LSAW substrate cut, with acoustic velocity in the order of 4000
meter/sec. If the filter fundamental frequency is to be fo = 2 GHz, this would
give λ ο = 2 . 0 micron (1 micron = 10-4 cm). For λ ο /4 IDT fingers this would
result in required finger widths of only 0.5 micron (1 micron = 10-4 cm). If I want to
make my own 2-GHz SAW filter with this fundamental frequency, I would require
use of a high-resolution photolithographic camera. As well, I could encounter
additional deterioration of the IDT finger edges in the follow-up microelectronic
lithographic etching processes. If, as a result of these degradations, the
fundamental frequency bandpass response was not achievable, or acceptable, I
could try to use a suitable Mth harmonic-frequency design , while employing IDT
finger dimensions as if for frequency fo/M. I have often fabricated SAW
intermediate frequency (IF) filter designs for operation at the 5th harmonic, because
of lithographic resolution limitations.

SAW DEVICE GENERAL CLASSIFICATIONS

Question 6: SAW devices my be classified into four (4) general groups, relating to
their mobile/wireless signal processing applications. (a) List these four groups. (b)
Give a few representative signal processing applications for each group.
Answer 6: (a) Group 1: Linear Resonator and Resonator-Filter Devices. Group 2:
Linear Devices Using Unidirectional IDTs. Group 3: Linear Devices Using
Bidirectional IDTs. Group 4: Nonlinear Devices.
(b) Group 1 : Antenna duplexers (2 to 4 W) for mobile/wireless transceivers, RF
filters for front-end interstage coupling, Resonator-filters for one-way and two-way
pagers, Resonators and resonator-filters for medical alert transmitters, Resonators
and resonator-filters for automobile keyless locks, Resonators for garage door
openers, Fixed frequency and tunable oscillator circuits.
Group 2 : Low-loss Intermediate Frequency (IF) filters for mobile and wireless
circuits, Low-loss RF front-end filters for mobile/wireless circuitry, Multimode
frequency-agile oscillators for spread-spectrum secure communications, Low-loss
delay lines for low-power time-diversity wireless receivers.
Group 3 : Nyquist filters for microwave digital radio, Voltage-controlled oscillators
(VCOs) for first or second-stage mixing in mobile transceivers, Fixed, or variable,
delay lines for path-length equalizers, Pseudo-Noise (PN)-coded delay lines for
combined Code-Division-Multiple-Access/ Time-Division-Multiple-Access (CDMA/
TDMA), Clock-recovery filters for fiber-optics communication repeater stages,
Intermediate frequency (IF) filters for mobile/wireless receivers and pagers. (See
page 223 of my 1998 SAW book for variable SAW delay lines).
Group 4: Synchronous and asynchronous convolvers for indoor/outdoor spread-
spectrum communications.

ANALOG CELLULAR TRANSCEIVERS

Question 7: (a) By way of illustrating an analog-cellular type mobile
communications system, sketch the basic circuit for a dual-heterodyne 800-MHz
band Advanced Mobile Phone Service (AMPS) transceiver and illustrate where
SAW devices can be employed in it. (b) Briefly describe the functions and merits of
these components.
Answer 7: (a) Figure 3 shows the basics of such an AMPS transceiver, employing
six (6) possible SAW components. This operates as a narrow-band frequency-
modulation (FM) system, employing Frequency Division Multiple Access (FDMA).
(See Chapter 10 and Table 10.1 in my 1998 SAW book). Mobile Tx and Rx
bandwidths are 824-859 and 869-894 MHz, respectively, with 832 channels and a
channel spacing of 30 kHz.
(b) The antenna duplexer filters can typically be leaky-SAW (LSAW) low-loss
ladder-type filters. LSAW devices are normally preferred here over Rayleigh wave
structures, as they have greater sub-surface penetration than Rayleigh waves, which
allows for higher power handling capabilities (1-2 W) before the onset of device
degradation. As well, the receiver preselect filter Rx#1 requires 1) low insertion
loss (Less than about 3 dB), 2) a highly-selective bandwidth to prevent overloading
of the follow-up Low Noise Amplifier (LNA), and 3) a dynamic range capability of
about 120 dB. The follow-up RF filter RX#2, which can be a LSAW resonator-
filter type, is required to suppress (i) harmonics, (ii) image-frequency noise, and (iii)
noise generated by Class C (remember this ?) amplifier noise. The antenna-
duplexer transmit filter Tx#1 must handle power levels of up to 30 dBm. The
preceding RF filter Tx#2 , which can be a LSAW resonator-filter type, is required to
suppress close-in noise. The SAW component in the Voltage-Controlled Oscillator
(VCO) in the first mixer stage can typically incorporate a dual-mode SAW
resonator-filter, or a wideband SAW delay line. Since the channel spacing is only 30
kHz here, the IF SAW filter must be very selective and also temperature stable.
Typically this could be a two-pole waveguide-coupled resonator- filter on a stable-
temperature cut (e.g. ST-X) of quartz piezoelectric-crystal substrate.
DIGITAL CELLULAR TRANSCEIVERS
Question 8: So far so good! Now sketch an illustrative transceiver for a digital-
cellular communications transceiver, such as for the Global System for Mobile
Communications (GSM). Again indicate the possible location of constituent SAW
components.
Answer 8: Figure 4 outlines a basic European GSM digital cellular transceiver,
using In-phase/Quadrature-phase (I-Q) modulation/demodulation, and, showing up
to seven (7) possible SAW components. As given in Table 10.3 of my 1998 SAW
textbook, this system has a Tx band from 890-915 MHz, and an Rx band from 925-
960 MHz. In contrast to the analog transceiver of Figure 3, this digital system only
has 124 channels, with 8 users per channel, but with a carrier channel spacing of
1250 kHz. The access scheme here is TDMA/FDM with Gaussian Minimum Shift
Keying (GMSK) modulation. The SAW RF components are similar to those
discussed in Figure 3. The IF filter here is spectrally shaped, however, to cater for
the power spectral distribution of MSK signals. (See page 418 and Figure 15.2 of my
1998 SAW textbook).
SAW NYQUIST FILTERS FOR MICROWAVE DIGITAL RADIO
Question 9: (a) What microwave common carrier bands are used in North America
for long-haul and data communications traffic? (b) What is the purpose of a
Nyquist filter in a digital microwave radio system? (c) Sketch a block diagram
outline for the circuitry of a basic digital microwave transmitter employing
Quadrature Amplitude Modulation (QAM), showing the location of the SAW
signal-processing Nyquist IF filter. (d) Is the Nyquist filtering only carried out in
the transmitter section?
Answer 9: (a) North American microwave common carrier bands are 4, 6, 8, and 11
GHz.
(b) To attain freedom from Inter Symbol Interference (ISI).(See page 588 of my
1998 SAW textbook)
(c) Figure 5 outlines the basic form of a typical microwave digital radio transmitter
employing Quadrature Amplitude Modulation (QAM). Note that the SAW Nyquist
filter also incorporates an X/(sinX) filter to compensate for spectral distortion when
Non-Return-To-Zero (NRZ) binary signaling is employed. (See page 581 of my 1998
SAW textbook). (d) Not necessarily. If matched filtering is required, the total
required Nyquist filter response is split evenly between IF stages in both the
transmitter and receiver. (See page 590 of my 1998 SAW textbook).

SIGNAL POWER LEVELS

Question 10: In your response in Answer 7 you used the term "dBm". (a) What
does this mean? (b) Give some illustrative dBm numbers related to SAW front-end
components and oscillators for mobile/wireless systems.
Answer 10: (a) The term "dBm" is a base-10 logarithmic parameter and means
"decibels referred to 1 milliwatt (mW)". Thus 1 mW = 0 dBm.
(b1) Consider an RF signal at the input to a wireless receiver with a voltage level of
0.8 microvolt (µ V) across a 50 ohm input impedance. The input power is (0.8 x 10-
6 2
) /50 = 1.28 x 10-14 watts. The corresponding dBm value is dBm = 10 x log(1.28 x
10-14/10-3) = ~ -109 dBm. I have typically used this signal level output from a
frequency synthesizer when testing the required Signal-Noise-Distortion (SINAD)
performance specifications for a mobile radio receiver. (For SINAD information see
page 267 of my 1998 SAW textbook).
(b2) "Off the shelf" Rayleigh-wave oscillators are typically limited to an upper
power level in the order of 15 dBm, while leaky-SAW oscillators perform up to
about 30 dBm.(See page 542 of my 1998 SAW textbook).
(b3) Some wireless pagers are required to operate with input signal levels less than
-100 dBm. Figure 6 outlines one front-end circuit for achieving this. It employs a
low-loss leaky-SAW antenna duplexer, followed by a dual-mode leaky-SAW
resonator-filter. Down conversion to the IF stage is achieved using a differential
active mixer, a differential local oscillator, feeding a differential IF stage. The
merits of the conversion circuit in Figure 6 can include 1) low front-end insertion
loss, 2) good out-of-band rejection, 3) signal swings are doubled compared with
single-ended circuits, 4) improved common-mode rejection, 5) small package size, 6)
no balance-to-unbalance transformer (Balun) required, 7) input/output impedance
matching capability, 8) reduced power consumption, and 9) frequency capability up
to 2 GHz.
( See Reference 112 in my web publication listing. Also see G. Endoh, M. Ueda, O.
Kawachi, and Y. Fujiwara, "High performance balanced type SAW filters in the
range of 900 MHz and 1.9 GHz," Proceedings of 1997 IEEE Ultrasonics Symposium,
vol. 1, pp. 41-44.)
SURFACE ACOUSTIC WAVE OSCILLATOR CONFIGURATIONS
Question 11: Illustrate the types of SAW oscillators and configurations that can be
employed in mobile/wireless communications.
Answer 11: The artistic representation of Figure 7 hopefully serves to illustrate
the wide variety of available oscillator configurations. These include fixed-
frequency oscillators, tunable oscillators, frequency-hopping oscillators and
injection- locked oscillators. Moreover, oscillator types include those employing
Rayleigh-wave propagation, leaky-SAW propagation and Surface-Skimming Bulk
Wave (SSBW) propagation. (For details of these see Chapter 18 of my 1998 SAW
book).
Question 12: Why can STW or LSAW oscillators have a higher power output
capability than Rayleigh-wave ones?
Answer 12: Because Rayleigh-wave sub-surface penetration is only about 1 acoustic
wavelength, excessive power densities can degrade the IDT metalization to the point
of destructive failure. Typically, STW oscillators can operate up to about 2 W ( + 33
dBm), before the onset of piezoelectric nonlinearities. They can also have excellent
far-out phase noise responses, and can be preferred for enhanced noise suppression
above 10-kHz Fourier frequency offset.

PHASE NOISE IN SURFACE ACOUSTIC WAVE OSCILLATORS

Question 13: How good is the phase noise capability and long-term stability of the
Rayleigh wave oscillators noted in Figure 7?
Answer 13: Typical noise floors of Rayleigh-wave resonator oscillators on ST-
quartz are down to about -176 dBc/Hz at a Fourier frequency offset of 20 kHz.
Long-term aging, attributed to random-walk processes, can be less than 1
ppm/year. Vibrational sensitivity capabilities are given as df/f = 1 x 10-9/g, (which
are at least as good as bulk-wave AT-cut devices). Multiple-pole oscillators can have
phase noises down to -80 dBc/Hz at 10-kHz Fourier frequency offset, with noise
floors of -183 dBc/Hz. Typically, four-pole VCOs can have flat group delay over
400 ppm, to compensate for 1) five-year aging, 2) temperature changes from -40 to
+70oC, and 3) frequency accuracy. The phase noise for hybrid Rayleigh-wave
VCOs can be about -100 dBc/Hz at 1 kHz offset. Power levels of Rayleigh wave
oscillators are typically limited to less than about +15 dBm. (See Chapter 18 of my
1998 SAW book).

Question 14: In your Answer 13 you use the term "dBc/Hz". (a) What does this
mean ? (b) How do you measure this?
Answer 14: (a) This term means "Decibels below the carrier in a 1-Hz bandwidth."
It relates to phase-noise measurements, and is measured at a desired frequency
offset (called the Fourier Frequency Offset), usually anywhere from a 1-kHz offset
to a 1-MHz offset from the nominal carrier frequency. Figure 8 illustrates the
phase noise of a hybrid 422-MHz Rayleigh wave oscillator that I used for a wireless
application, before and after locking with a Phase-Locked Loop (PLL) for
frequency selection. The measured frequency stability of this particular locked
oscillator was +/- 10 Hz over a 1 second measuring period.
(b) I used a commercial frequency stability analyzer which can be run to obtain the
stability in the phase domain or in the time domain. Time domain measurements
are quoted in terms of "Allan Deviation", or "Sigma y of tau" . (Note: If you want
to learn more about noise and noise measurements, a VERY good reference book is
the USA National Bureau of Standards Monograph 140, called "TIME AND
FREQUENCY: Theory and Fundamentals," (B. E. Blair, Editor), U.S. Department
of Commerce, Issued May 1974, Library of Congress Catalog Number: 73-600299.
Also, for more information on definitions used in frequency and time
measurements, see: E. Ferre-Pikal, J. R. Vig, J. C. Camparo, L. S. Cutler, L.
Maleki, W. J. Riley, S. R. Stein, C. Thomas, F. L. Walls, J. D. White, ""Draft
revision of IEEE STD 1139-1988 standard definitions of physical quantities for
fundamental frequency and time metrology - random instabilities, " Proc. 1997
IEEE International Frequency Control Symposium, pp. 338-357, 1997) .

Question 15: What kinds of phase noise do I have to consider in SAW oscillators?
Answer 15: i) White phase noise, ii) Flicker phase noise, iii) White frequency noise,
iv) Flicker frequency noise , v) Random walk. (See Table 18.1 on page 537 of my
1998 SAW text book).

Question 16: (a) What is special about the phase noise characteristic of an injection-
locked SAW oscillator listed in Figure 7? (b) What are some wireless applications of
injection-locked SAW oscillators?
Answer 16: (a) As discussed in Chapter 18 of my 1998 SAW book, within the
maximum injection-locking bandwidth, the oscillator tracks (and amplifies) the
input signal. Most importantly, the oscillator adopts the phase noise of the input
signal source. (See Ref #63 on my web publication page, as well as R. Adler, "A
study of locking phenomena in oscillators", reprinted in Proc. IEEE, vol. 61, pp.
1380-1385, Oct. 1973. (I THINK that these injection-locking relationships should
apply to ALL types of injection-locked electronic oscillators. )
(b) Applications of injection-locked SAW oscillators include 1) FM demodulation
at UHF frequencies which offers good signal-to-noise performance, as well as
fabrication simplicity over lumped Inductance-Capacitance (LC) tuning
networks, (See Ref. #49 in my web publication page), and 2) Carrier recovery at
gigahertz frequencies in Binary Phase Shift Keying (BPSK) modulation systems,
with demonstrated Bit-Error Rates (BER) of about 10-7 at a Carrier-to-Noise (C/N)
ratio of 14 dB. (See Ref. #87 in my web publication page).
LEAKY-SAW LADDER FILTERS FOR ANTENNA DUPLEXERS
Question 17: Some of the circuits you sketched above related to front-end circuitry
employing leaky-SAW (LSAW) low-loss ladder filters with antenna duplexers. (a)
What are the merits of such LSAW ladder filters? (b) Sketch a LSAW "building
block" component of such a ladder filter. (c) Sketch an illustrative LSAW antenna
duplexer employing such building blocks, and illustrate a typical frequency
response for a 2.45-GHz ladder filter in a Wireless Local Area Network (WLAN)
circuit.
Answer 17: (a) Merits include capabilities for 1) low loss operation (e.g., less than
about 3 dB for Tx and Rx stages), 2) high rejection at mutual frequency bands, 3)
power handling of at least 1 W, 4) good sidelobe suppression, 5) high rejection at
the image frequency and at second and third harmonic frequencies, and 6) very
small and light package sizes.

Question 18: What are the chief components of surface acoustic wave front-end
ladder filters and antenna duplexers?
Answer 18: One-port resonators are configured in series-shunt combinations to act
as Inductance-Capacitance-Resistance (LCR) Impedance Elements (IE). For energy
storage and resonator action the individual one-port resonators can either consist
of a long IDT with significant finger reflections, or a short IDT in conjunction with
end reflection gratings as shown in Figure 9. Because their relatively deeper sub-
surface wave penetration results in a higher power-handling capability, leaky-
SAW (LSAW) resonators (e.g. using 42o Y-X LiTaO3) are normally preferred over
Rayleigh-wave ones (e.g. using 128o LiNbO3). (See Chapter 13 of my 1998 SAW
textbook for more details).

Question 19: Sketch a basic LSAW ladder-filter antenna duplexer.

Answer 19: Figure 10 sketches an illustrative ladder-filter example. (There are
many possible variations, depending on the required filtering specifications). The
impedance/frequency characteristics for resonator elements IE-1, IE-2, IE-3, IE-4,
are selected to provide the desired Tx and Rx filtering responses.(See Chapter 13 of
my 1998 SAW textbook for more details).
Question 20: Sketch an illustrative frequency response for a 2.45-GHz Wireless
Local Area Network (WLAN) as designed using LSAW ladder-filter technology.
Answer 20: Figure 11 illustrates such a response. Ladder filters can often be
recognized by the characteristic sidelobe "wings" shown here.
WIDEBAND SAW IF FILTERS FOR SATELLITE
COMMUNICATIONS
Question 21: a) Give an example of a communications system employing wideband
linear-phase SAW IF filters with fractional bandwidths of 50%. (b) What types of
piezoelectric substrates are used for the wideband SAW filter ? c) What finger slant
angles are typically employed ? d) What are some desirable response specifications?
Answer 21: (a) 70-MHz SAW IF filters with 50% fractional bandwidth have been
employed in digital data terminals in Mobile Earth Stations (MES) for
INMARSAT-C satellite communications. Such wideband filters have employed
IDTs with slanted-finger geometry. Their characteristics include 1) extremely-flat
passband response, 2) excellent linear phase response across the passband, and 3)
large out-of-band suppression. Figure 12 illustrates one such response of a 70-
MHz slanted-finger SAW IDT structure with 50% fractional bandwidth.
(b) Typically, Y-Z LiNbO3 or 128 Y-X LiNbO3.(For more on wideband slanted-
finger IDTs see Chapter 8 of my 1998 SAW textbook).
(c) Finger slant angles of less than about 7 degrees are used to contain the SAW.
(c) Passband specifications could typically require a passband amplitude ripple of
less than about 0.6 dB, a phase ripple of less than 5 degrees, and at least 50 dB out-
of-band suppression.
(For detailed computer-aided design techniques for these slanted-finger structures
see: H. Yatsuda, "Automatic computer-aided design of SAW filters using slanted
finger interdigital transducers," IEEE Transactions Ultrasonics, Ferroelectrics, and
Frequency Control, vol. 47, pp. 140-147, January 2000.)

TIME-DIVERSITY (ASH) WIRELESS RECEIVER

Question 22: (a) In your Answer 6 above, you mention "Time Diversity
Receivers." With reference to a basic block diagram circuit, outline the difference
between a time diversity (ASH) wireless receiver and a single-conversion
superheterodyne receiver. Briefly highlight the operation of the time-diversity
(ASH) wireless receiver. (b) What are some of the merits of this time-diversity
wireless receiver?
Answer 22: (a) Figure 13 shows the basics of a time-diversity receiver, as compared
with those of single-conversion superheterodyne receiver. As shown, the time-
diversity receiver has no local oscillator for down conversion. Instead the incoming
RF data-modulated signal is time-gated into a low-loss SAW RF delay line. The
time-gating is controlled by a pulse generator which alternately switches on/off the
RF amplifiers at the input and output to the delay line. The low-loss (e.g. less than
~ 3 dB) SAW RF delay line structure can typically employ Single Phase
Unidirectional Transducers (SPUDTs). It is designed to hold hundreds of samples
per incoming data bit. Typical delays are in the order of 0.5 microsecond. Since the
input/output RF amplifiers are not "on" at the same time, there is no undesirable
feedback to cause instability. The gating pulse signals can subsequently be removed
from the message data-bit signals in the output detector stage. Signal-processing
gains obtained with the time-diversity are comparable with that of the single-
conversion superheterodyne receiver.
(b) Some of the target specifications applied to the time-diversity (Ash) wireless
receiver are as follows: 1) Center frequency 180 to 450 MHz, 2) -100 dBm
sensitivity at a 1.0-kb/s data rate, 3) 500 kHz minimum RF bandwidth, and 4)
very-low power consumption..
(For more on the time-diversity (Ash) receiver see 1) D. L. Ash, "New UHF receiver
architecture achieves high sensitivity and very low power consumption," RF Design,
pp. 32-44, December 1994, and 2) "1995 Product Data Book", RF Monolithics, Inc,
Dallas, Texas, USA).
(Also for more on low-loss SAW SPUDTs, see Chapter 12 of my 1998 SAW
textbook).

CLOCK-RECOVERY CIRCUITS FOR FIBER-OPTICS DATA-

COMMUNICATIONS NETWORKS
Question 23: What are the merits of SAW-based clock-recovery circuits in digital
regenerative repeater circuits in fiber-optic data communication networks?
Answer 23: SAW-based timing-recovery modules can have excellent jitter-free
performance in many instances. One example of their application is for digital
regenerative-repeater circuits for fiber-optic networks operating under an
Asynschronous Transfer Mode/Synchronous Optical Network/Synchronous Digital
Hierarchy (ATM/SONET/SDH) mode in data communications, as outlined in Figure
14. Bit-Error-Rate(BER) performance in each repeater is aimed at BER < 10-11, in
conjunction with reliability and long life. Depending on the fiber-optic Synchronous
Transfer Mode (STM) employed, these are clock-recovery SAW filters whose center
frequencies fb correspond to bit rates of 155.52 Mb/s (STM-1), 622.08 Mb/s (STM-
4) or 2488.32 Mb/s (STM-16). Effective Qs of these transversal SAW filters are
normally in the approximate range 700 < Q< 1500. Insertion losses for these linear-
phase clock-recovery SAW filters are typically in the range 15 to 20 dB, with very
low phase-slope ripple across the passband.
Question 24: How are these SAW clock-recovery filters employed in regenerative
repeaters?
Answer 24: Figure 15 shows the basics of an illustrative regenerative repeater for a
fiber-optic data communications system employing Non-Return-To-Zero(NRZ)
modulation. (This outlines the circuitry for the timing-recovery "block" in Figure
14). One portion of the down-converted electrical signal is applied to a clock-
frequency extraction circuit. Since the power spectrum of an NRZ signal has nulls
at the signaling ratefb and a maximum at fb/2, an indirect method is used to extract
clock frequency fb. As shown, the down-converted signal is first pre-filtered at the
power spectrum peak fb/2. This pre-filtered signal output is applied to a frequency-
doubling (squaring) circuit, for extraction of signaling frequency fb, which is then
applied to the SAW filter with center frequency fo = fb. Timing comparisons and
"0" or "1" signaling decisions are obtained, following which the regenerated
electrical signal is up-converted to the optical output and passed "down the line" to
the next repeater stage. Note that in some applications the SAW filter and central
components in Figure 15 can be combined into an Application Specific Integrated
Circuit(ASIC) for circuit packaging.
Question 25: What limits the usable Q = fo/Df(∆ f = 3-dB bandwidth) of these SAW
filters?
Answer 25: Static detuning over the entire repeater-circuit chain places a upper
limit on the usable Q value for the SAW filter. Additionally, the ringing time of the
SAW filters places a lower limit on usable Q.

Question 26: What types of SAW filters are used in these regenerative repeater
modules, and how difficult is their design?
Answer 26: Since the SAW clock-recovery filters are required to have extremely-
high phase linearity across the passband, transversal (i.e., delay-line) types of SAW
clock filters appear to be favored over SAW resonator filters. The design of SAW
filters operating at center frequency fo= 2488.32 MHz can be especially
demanding. To date, design techniques for SAW clock-recovery filters over 2 GHz
have included 1) delay-line structures operating at the fundamental center
frequency on piezoelectric crystal substrates, 2) filters operating at the third
harmonic on piezoelectric crystal substrates, and 3) thin-film filters fabricated with
composite layers of Silicon Dioxide/Zinc Oxide/Diamond/Silicon. Figure 16 shows
the response of an illustrative SAW clock filter employing Silicon Dioxide/Zinc
Oxide/Diamond/Silicon, and operating at 2.488 GHz.
(See Chapter 19 of my 1998 SAW textbook).

REAL-TIME SAW CONVOLVERS FOR INDOOR/OUTDOOR

WIRELESS COMMUNICATIONS
Question 27: What are real-time SAW convolvers used for?
Answer 27: They find application in indoor/outdoor spread-spectrum wireless for
packet-data and packet-voice communications. They also can be well suited to
combat multipath interference due to spurious reflections in indoor environments.
Question 28: What are some of the merits of SAW convolvers for wireless
communications?
Answer 28: They can have the merits of broad bandwidth, large processing gain,
and small size. Also, as I just mentioned in Answer 27, they can provide improved
performance against multipath interference. Indeed, SAW convolvers with RF
bandwidths greater than the coherence bandwidth are well suited to indoor spread-
spectrum communications in buildings with highly-reflecting structures. They can
also give good jamming protection if pseudo-noise spreading codes are employed.
( NOTE: SAW convolvers are used in IF stages, not RF ones!) .

Question 29: In their operation, are SAW convolvers designed to actually

implement the convolution of two signals ?
Answer 29: No! They are actually implemented to effect autocorrelationbetween an
incoming signal message bit and a locally-provided time-reversed reference replica
of the coding applied to the message signal.

Question 30: I really do not understand the difference between convolution and
autocorrelation. Can you demonstrate this to me in a simple, non-mathematical
way?
Answer 30: Convolution and autocorrelation relate to the way the interaction
between two signals is processed as a function of time. Maybe Figure 17 will help to
demonstrate this. Here, an autocorrelation peak occurs at a time when the animals
are identically overlapping one another.
Question 31: Now give me a block-diagram sketch of a very basic real-time SAW
convolver.
Answer 31: Figure 18 shows a basic real-time SAW convolver on a single-crystal
piezoelectric substrate. The input message-coded IF signal at frequency fis applied
at Port 1. A time-reversed replica of the message-coding sequence , also at
frequency f, is applied to Port 2. Their related SAW signals propagate under the
metal film, where autocorrelation takes place. The metal film must be long enough
to contain an entire code bit. The autocorrelated output at frequency 2f is obtained
at Port 3.

Question 32: Why is the Port 3 output signal at frequency 2f, while the input (Port
1) and reference (Port 2) signals are only at frequency f?
Answer 32: The situation here is exactly the same as for an ordinary three-terminal
analog mixer component. Since the input and reference signals have to MIX, the
convolver has to operate non linearly! To do this, at least one of the input signals
(normally at Port 2 ) has to be large enough to drive the sub-surface SAW region
into nonlinearity. Note that a Rayleigh-wave crystal cut is therefore preferred,
instead of a Leaky-SAW (LSAW) one. The reason for this is that the sub-surface
penetration of a Rayleigh wave is much less than a LSAW one. This means that
for the same input powers, the power DENSITY of the Rayleigh wave will be higher,
and make it easier to get in to nonlinear operation.
Question 33: In Figure 18 you gave an outline of a very basic real-time SAW
convolver. Sketch an outline of a more sophisticated one, and mention some of its
relative advantages.
Answer 33: OK! Figure 19 shows the basics of a dual-track real-time IF SAW
convolver. Some such convolvers have been reported with correlation interaction
times of up to 22 microsecond. The design trick here is to arrange the polarities of
the interdigital transducers (IDTs) at Port 1 input so that they excited in-phase
SAWs in both tracks. However, the polarities of the IDTs at reference Port 2 are
arranged to excite 180oout-of-phase SAWs between the two tracks. The
autocorrelated signals in Track 1 and Track 2 can be summed by a differential
summer. This is not the end of the story, however! Any spurious undesirable SAW
reflections within Track 1 and Track 2 will be in-phase, and will therefore cancel out
in the differential summer. Typical reported processing bandwidths B for this
structure are B = 50 MHz at 350-MHz center frequency, with Tme-Bandwidth (TB)
products in the order of TB = 150.
Question 34: (a) Define the convolution efficiency η c of a real-time SAW
convolver. (b) What are some typical values of convolution efficiency for real-time
SAW convolvers?
Answer 34: (a) This is normally defined as η c = 10.log10[(Pout)/(Ps.Pr)]. It is
usually expressed in (dBm)-1. In this evaluation the output power Pout at Port 3 is
normally measured with signal and reference powers Psand Pr both set at 0 dBm
(i.e. 1 mW).
(b) Representative values of convolution efficiency vary from about -70 dBm for a
dual-track basic convolver on a piezoelectric crystal substrate to about -46 dBm for
a layered structure involving ZnO/SiO2/Si. (See Chapter 17 in my 1998 SAW
textbook).

Question 35: A SAW convolver has a rated convolution efficiency η c= -46 dBm. If
the signal input power Ps is 10 dBm (10 mW) and the reference power Pr is 20 dBm
(100 mW), what is the correlated output power Pout?
Answer 35: Expressed in dBm units we have Pout = η c+ Ps + Pr . Before going
any further, however, we must remember that the IDTs at Port 1 and Port 2 are
bidirectional. This means that each IDT will lose 3 dB from the autocorrelation
process. As a result the output power at Port 3 will be Pout = (-46) + (10 - 3) + (20 -
3) = -22 dBm = 6.3 microwatt.

Question 36: If the output noise floor level in the previous SAW convolver is -75
dBm, determine the output Signal- to-Noise (S/N) ratio.
Answer 36: This gives the output signal/thermal noise ratio (at output frequency 2f)
as S/N = (-22) - (-75) = 53 dB, which also corresponds to the dynamic range in this
convolver example.

Question 37: Can a SAW convolver be used for synchronous or asynchronous

communications?
Answer 37: Yes, but a given design will only be for only one mode - not both. For
example, SAW convolvers have been designed for synchronous packet-data
communication using Binary Phase Shift Keying (BPSK)/Frequency Hopping (FH)
modulation and 255-chip orthogonal Kasami code sequences. Asynchronous types
have employed Direct Sequence (DS)/Frequency Shift Keying (FSK) or Direct
Sequence (DS)/Code Shift Keying (CSK) spectral spreading, using Pseudo-Noise
(PN) 127-chip maximal sequence generators. (See Chapter 17 in my 1998 SAW
textbook).

Question 38: What are some of the frequency bands that modems with these IF
SAW convolvers have operated in ?
Answer 38: These include 1) the 900-MHz spread spectrum band using the DS/CSK
mode, 2) Full-duplex operation in the 2-GHz spread-spectrum band, and 3) the
licence-free spread-spectrum band in Japan below 322 MHz. (See Chapter 17 in my
1998 SAW textbook).

SAW WIRELESS BAGGAGE LABEL SECURITY

IDENTIFICATION "TAGS"
Question 39: What are SAW wireless label identification "tags", and what are they
used for?
Answer 39: SAW wireless label "tags" are used for identifying a wide range of
luggage or commercial shipping-container items. Instead of scanning an item with
an optical scanner, as at a supermarket checkout counter, the SAW inspection
transmitter circuit sends a high frequency radio signal pulse (e.g., at 1000 MHz)
from a transmitter to a SAW "tag" on the item to be inspected. The SAW baggage
tag itself is a passive component. Basically, it is a coded SAW interdigital transducer
(IDT) which has a small antenna attached to it . When excited by the interrogating
radio signal pulse from the nearby RF transmitter, it can radiate a coded RF signal
back to the source, for identification, as sketched in the basic circuit of Figure 20.
These tags can be very small indeed ! (For artistic illustration the size of the SAW
label sketched in Figure 20 is very greatly exaggerated here !)` A choice of different
code-length sequences can be employed in each IDT fabrication , depending on its
length (e.g., 128 bit-codes).
Question 40: What are some of the reported merits of commercial SAW wireless
Radio Frequency Identification (RFID) "tags" ?
Answer 40: (a) SAW RFID tags are entirely passive. (b) They can be read with only
milliwatt levels of RF interrogation power. (c) They have a high level of radiation
"hardness" under gamma-ray sterilization of medical and food products
requiring sterilization with gamma radiation. (d) "Read" ranges of 3 to 20 meters
depending on the system. (d) Good electromagnetic interference filtering. (d) Tag
temperature range capabilities from -100oC to over +200oC. (e) EPC compatible
with EPC-64 and EPC-96 RFID specifications. (f) SAW tag capabilities for 24-, 32-,
48-, 64- and 96-bit capacities. (g) Operational capabilities for operation in the 1.7
GHz and 2.5 GHz frequency bands.
(For more on SAW wireless tags and their potential see, for example, C. S.
Hartmann, "Future high volume applications of SAW devices," Proceedings of
1985 IEEE Ultrasonics Symposium, vol. 1, pp. 64-73, 1985.

Question 41: When I check out my groceries at the supermarket, the optical scanner
at the checkout counter can only scan one item at a time. In the case of SAW RFIDs
using electromagnetic wave interrogation, can the SAW inspection/detection circuit
only handle one RFID at a time? What happens if there are several RFID tags close
together, with the scope of the wireless detector circuit?
Answer 41: Another tricky question! When interrogated by a single wireless
transmitter/receiver, multiple reflection signals from RFID tags could of course
occur when several of these are close together ( such as placed on a number of
different jars of jam on a shelf), within the radiation pattern of the single
interrogating antenna. This would result in a multiplicity of received codes at the
interrogator in the same time interval! To overcome this, one reported technique
uses a phase modulation of selected finger pairs on each SAW RFID device, which
places a unique identifier on the signal returned to the wireless interrogator circuit.
(See, for example, P. J. Edmonson and C. K. Campbell, United States Patent No; US
6,827,281 B2, Dec. 7, 2004, "Encoded SAW RFID tags and Sensors for Multi-User
Detection Using IDT Finger Phase Modulation).

Question 42: In your answer to Question 40 you mention the terms "EPC-64" and
"EPC-96". What do you mean by these ?
Answer 42: (a) "EPC" stands for "Electronic Product Code" and represents a
numbering scheme for the unique identification of objects. EPC may be considered
as a Radio Frequency Identification (RFID) evolution of the Universal Product
Codes (UPC) currently used as optical-scanning barcodes in supermarkets and
elsewhere. There are several proposed standards of EPC, relating to the amount of
data stored in the interrogating transponder. Current EPC standards include EPC-
64 employing 64 bits of information data and EPC-96 employing 96 bits of
information data.

Question 43: Give an example of the coding distribution for an EPC-96 system.
Answer 43: Consider that we can divide the 96-bit code into four Segments from left
to right.
Segment 1 is the Header and is 8 bits in length (0 to 7 bits), This identifies the
EPC version in use.
Segment 2 is the EPC Manager, which employs 28 bits of data (8 to 35 bits). This is
used to identify the particular Manufacturer of the product in question. The binary
number 228 gives us 228 = > 268 million identifiable Manufacturers !
Segment 3 is the Product Object Class and is 24 bits in length (36 to 59 bits) . This
gives us 224= > 16 million products to identify.
Segment 4 is the Serial Numberfor a given product, and is 36 bits in length (60 to 95
bits). This gives us 236 = > 68 billion possible serial numbers!

Question 44: But before I figure out how the above EPC data be met by a SAW
RFID tag design, first of all sketch a simple binary-coded SAW wireless RFID label
tag, and explain its operation.
Answer 44:I have sketched a simple illustrative SAW wireless tag in Figure 21,
employing IDT reflector pairs configured, for example, as a 110011011 binary
code, as governed by the individual IDT relative "polarities". The antenna is
shown as a simple one-turn loop antenna. Note that input/output IDTs have a
common bus bar. The RF pulse transmitter in Figure 20 sends an interrogation
pulse to this SAW tag. After a short time delay the SAW tag re-radiates an RF
signal as a 110011011-coded RF waveform. This is subsequently detected by the
time-gated receiver and phase-detector circuit of Figure 20. Note that an
operational requirement for this particular circuit is that the free-propagation
distance between transmitter and SAW tag must be greater than the IDT code
length.
Question 45: But am I restricted to the use of IDT sections as reflectors in Figure 21
above ?.
Answer 45:No. It is normally much easier if I use thin metal film reflectors strips -
each with modest SAW reflectivity capability - as shown in Figure 21a.

Question 46: How do these reflector strips work in the one-port device of Figure 21a
?
Answer 46:The IDT to the left is directly connected to the tag's antenna which
receives an interrogation RF signal. The RF signal is converted to a SAW which is
reflected sequentially from the various reflector strips and returned to the antenna.
These reflector strips can be placed on the piezoelectric crystal substrate (typically
128o LiNbO3) to encode the RFID tag using amplitude weighting, phase weighting or
other variables.
Question 47: (a) Give me an example of the level of bit encoding I can attain with
the RFID tag configuration of Figure 21a. Assume that I only have a maximum of
16 reflectors.
(b) Highlight, (without giving mathematical details), how you could improve the
above simple 16-bit design to meet EPC tag specifications. Also give a reference to
such a design
Answer 47:(a) First of all, consider the simplest design where the 16 reflectors are
separated at fixed intervals. Further consider that the placement of each individual
reflector strip corresponds to a binary "1", while the absence of a reflector strip
corresponds top a binary "0". This will give us a capability of only 216= 65, 000
unique tags, which would not be of any use for the EPC-64 or EPC-96 tag numbers
mentioned above.
(b) However, recent SAW design techniques involving a different type of data
encoding - using a higher number of data bits for each signal pulse, together with
phase encoding of reflector strip placements and a higher data density -- have
shown that it is possible to attain 264 = 1.8 x 1019unique RFID tag numbers using the
same size SAW device as for the simple 16-bit one considered above.
For reference to the SAW design of part (b) see C. S. Hartmann, "A global SAW ID
tag with large data capacity, Proceedings of 2002 IEEE Ultrasonics Symposium,
vol. 1, pp. 65-69, 2002.

"FBAR" (THIN) FILM BULK ACOUSTIC RESONATORS AND

FILTERS FOR THE 2 TO 5 GHz RANGE
Question 48: a) What is an "FBAR" and b) where is it used in wireless/mobile
systems ?.
Answer 48:a) "FBAR" stands for "(Thin) Film BulkAcousticResonator. By
themselves FBAR resonators can be employed as feedback elements in high
frequency VCOs. Bandpass FBAR ladder-filter modules constructed from FBAR
resonators can also be employed as front-end duplexer filters in the 2-GHz to 5-GHz
range. As well as a small package size (e.g., ~ 125 m3 in a PCS duplexer), FBAR
duplexers have good power-handling capability (e.g. > ~32 dBm in a PCS duplexer).

Question 49:What are the merits of FBAR filters compared SAW filters at these
frequencies - especially in the 5-GHz range?
Answer 49: SAW filter dimensions decrease with increasing frequency. As I noted
in Answer 5, a packaged 1.880-GHz SAW Tx-filter for USA Personal
Communications Services (PCS), (see Figure 1.4 in my SAW book), may only have
an area in the order of 3 mm x 3 mm. And as we get up into the 5-GHz range, (and
unless we may choose to operate in a harmonic mode), SAW fabrication IDT line
width dimensional limitations and tolerances become too severe for all but the most
sophisticated fabrication systems. But while SAW device fabrication resolution is
concerned with width parameters , the FBAR designs are dictated by depth
parameters thereby offering the potential for less stringent fabrication constraints.

Question 50: a) What piezoelectric thin-film materials are currently employed or

examined for FBAR filters? b) Give three important FBAR filter design
parameters? c) Why are these important?
Answer 50: a) These currently include Zinc Oxide (ZnO), Aluminum Nitride
(AlN), and PZT (PbZrxTi1-xO3). b) Three important parameters are i)
Electromechanical coupling factor k2, ii) Temperature Coefficient of Delay (TCD),
and iii) acoustic velocity v. c) i) Higherk2 values mean larger fractional bandwidth
capability ZnO has a larger k2 (~ 8.5%) than AlN (~ 6.4% in an epitaxial film),
while PZT has reportedly still-higher k2values. ii) However, the TCD of ZnO (~ 60
ppm/oC) is not as good as AlN (~ 25 ppm/oC). Low values of TCD are required for
maintaining frequency accuracy over a wide temperature range. iii) AlN has a
higher acoustic velocity (~ 10,400 m/s) than ZnO (~ 6330 m/s). A higher acoustic
velocity means that the device can operate at a higher frequency using the same
physical dimensions.
(For more on FBAR resonators and filters, see, for example, a) K. M. Lakin, "Thin
film resonators and filters," Proceedings of 1999 IEEE Ultrasonics Symposium, vol.
2, pp. 895-906, 1999, b) H. P.. Lobl et al, "Piezoelectric materials for BAW
resonators and filters," Proceedings of 2001 IEEE Ultrasonics Symposium, vol. 1,
pp. 807-811, 2001).

Question 51: Why are we now talking about bulk acoustic wave (BAW) filters and
resonators, when we have been so far discussing SAW filters and resonators?
Answer 51: Their are many circuit equivalencies in the modelling of SAW and
BAW resonator and filter circuits. For example, one equivalent circuit for SAW
filter modeling employs the Mason Equivalent Circuit that was first applied to
BAW filters and resonators.
(For more on the Mason Equivalent Circuit, see Chapter 4 of my 1998 SAW book
as well as, for example, J. F. Rosenbaum,Bulk Acoustic Wave Theory and Devices,
Artech House, Boston, 1988)
Question 52: a) Sketch the basic configuration of one type of FBAR resonator, and
highlight its operating principles. b) Give some typical response and size
parameters for GHz frequency FBAR ladder filter front-end duplexers employing
series-shunt FBAR resonators.
Answer 52: Figure 22 shows the basics of one type of FBAR resonator. The
resonator itself is composed of a piezoelectric layer contained between input/output
connectors, which is excited to implement mechanical resonance. It is deposited on
top of a highly resistive wafer substrate, such as silicon (Si). For optimum
performance the design aim is to deposit an epitaxial (i.e., single crystal)
piezoelectric layer, with a particular crystal axis orientation for a given
piezoelectric. This can be tricky ! Analogous to a microwave resonator, the
fundamental resonance frequency is that which results when the piezoelectric film
thickness is 1/2 acoustic wavelength. In order to minimize mechanical damping, the
resonator requires a large acoustic mismatch with outer boundaries. This is
achieved in the design of Fig. 22 by cutting away the bottom support base, using
micro machining or plasma etching.
b) A reported 5-GHz FBAR of this type on AlN had an unloaded series-
resonanceQs= 913 at 5.173 GHz, with a k2 x Qs product of 58. Using such an FBAR in
a 5-GHz front-end ladder filter, (in the same way as for the SAW ladder filter of
Fig. 10 above), a fractional bandwidth of 5.0% was obtained, with a 2-dB
bandwidth of 210 MHz and a 3-dB bandwidth of 260 MHz, suitable for 5-GHz
WLAN applications. It was indicated that this particular FBAR response
outperformed an equivalent SAW ladder filter in both the passband and out-of-
band responses. The filter package size in this design was 2.5 x 2.0 x 0.9 mm.
(For further details of this particular 5-GHz FBAR resonator and filter see, T.
Nishihara, T. Yokoyama, T. Miyashita, Y. Satoh, "High performance and miniature
thin film bulk acoustic wave filters for 5 GHz," Proceedings of 2002 IEEE
Ultrasonics Symposium, (to be published).

Question 53:Is the FBAR filter structure of Fig. 22 the only design under study at
this time?
Answer 53: No. Instead of having a "free-space" piezoelectric membrane as in Fig.
22, another type of FBAR under development uses a Solidly Mounted Structure
(SMR), where the bottom resonator section is not "free", but is deposited on layered
films which are configured to act as a reflecting "mirror". This layered film
structure is known as a Bragg reflector. (For more on SMR filters, see, for example,
R. Lanz, M-A Dubois, P. Muralt, "Solidly mounted BAW filters for the 6 to 8 GHz
range based on AlN thin films," Proceedings of 2001 IEEE Ultrasonics Symposium,
vol. 1, pp. 843-846, 2001).
Question 54:Sketch an LCR equivalent circuit, and illustrative frequency response
for an FBAR resonator.
Answer 54: As indicated in Fig. 23(a), the same LCR equivalent circuit
representations can be used both for both FBAR and one-port SAW resonators.(For
more on one-port and two-port SAW resonators see Chapter 11 of my 1998 SAW
book). Resonator equivalent parametersCs,Ls, and Rs establish the series resonance
with minimumimpedance at notch frequency fs in Fig. 23(b). But the resonator is
also just a capacitor , with parallel capacitance Cp and tan(delta) dissipation loss
resistanceRp. At frequencies above fs, therefore,Cp and Rpprovide a parallel
resonance with Rs, Ls, resulting in an impedance maximum at frequency fp.
Rleadrepresents contact and lead resistance here. Depending on the design some
connection inductanceLlead may also be present.
SAW COMB FILTERS

Question 55: Is a SAW filter constrained to having just a single passband response,
such as in the example of Figure 11?
Answer 55: No. This is where the analog/digital hybrid capability of the SAW filter
can be used, as mentioned in Answer 2 ! For example, we can apply digital-filter
concepts to the design of a SAW filter. One such sample design illustrated here
employed the Remez Exchange Algorithm used in linear phasedigital filter design.
This was derived in the early 1970s as a tool for designing finite impulse response
(FIR) linear phase digital filters. (See, for example, J. H. McClellan, T. W. Parks
and L. R. Rabiner, "A computer program for designing optimum linear phase
digital filters," IEEE Transactions Audio and Electroacoustics, vol. AU-21, No. 6, pp.
506-526, December 1973. Essentially, given a desired frequency response, it
supplies a finite set of impulse response coefficients for the digital filter synthesis,
thus yielding an optimum approximation to the desired linear phase response. Its
application to SAW filters is covered in some detail in Chapter 8 of my earlier 1989
SAW book listed below. Figure 24 illustrates a prototype singleSAW filter,
designed in this way to perform as a 10-band comb filter. Other Remez examples
are given in my 1989 SAW book.
SAW WIRELESS BIOSENSORS FOR VAPOR DETECTION AND
IDENTIFICATION

Question 56: (a) Can SAW resonators be used as biosensors? (b) If so, give two
examples.
Answer 56: (a) Yes.
(b) 1. Uncoated SAW resonators have been used in fast gas chromatography for
electronic nose simulation of olfactory responses. This is used to obtain a high
resolution visual image of specific vapour fragrances containing a variety of
chemicals. (See, for example, E. J. Staples, "Electronic nose simulation of olfactory
response containing 500 orthogonal sensors in 10 seconds" Proc. 1990 IEEE
Ultrasonics Symposium.)
2. Bio-coated SAW resonators have been used for on-the-spot vapour phase
detection of plastic explosives containing nitro groups such as TNT, RDX and
others, using a SAW resonator immunosensor array. Detection sensitivity is
dependent on the biolayer deposited on the surface of the SAW resonator. ( See, for
example, S-H Lee, D. D. Stubbs, W. D. Hunt, and P. J. Edmonson, "Vapor phase
detection of plastic explosives using a SAW resonator immunosensor array" Proc.
IEEE Sensors Conference, Irvine, California, 2005).

Question 57: Sketch a basicuncoated two-port SAW resonator, and highlight its
important parameters for the sensor used considered here.
Answer 57: Figure 25 depicts the basics of a two-port SAW resonator. Reflection
gratings "bounce" back SAW that would otherwise "escape" from the IDTs.
Reflection gratings can be fabricated using open or shorted metal strips. Shorted
gratings, such as shown in Figure 25, can have better reflection qualities. SAW
resonators are generally designed to have low insertion losses in the range 1 to 3 dB,
and high-Q values (greater than 1000). Where Q = fo/∆ f at resonance frequency
fo, and ∆ f is usually measured at the 3-dB points in Figure 26. For temperature
stability they are fabricated on temperature-stable substrates such as ST-cut
quartz. The resonance is critically dependent on the spacing between the IDTs and
the spacing between the reflections gratings and adjacent IDTs. The higher the Q,
the higher will be the resolution of the oscillator spectral response. Figure 26 shows
a typical frequency response, for a particular spacing between gratings and IDTs.
(See Chapter 11 of my 1998 SAW book).

Question 58: Sketch, and discuss, the basics of biocoated two-port SAW resonator
oscillator circuit, such as reported for plastic explosive detection as in your Answer
57, and highlight its important parameters.
Answer 58: Figure 27 depicts the basics of one biocoating configuration of a two-
port SAW resonator oscillator for vapor detection and identification. The biolayer
comprises an antibody coating to detect the presence of target molecules from the
vapor of the small molecules from the gas phase . This causes an immobilization of
the antibody coating of the target molecules structure, and results in a baseline shift
of the oscillator frequency. The oscillator is transmitted to a test site for analysis. A
special analyses can subsequently be applied to identify the vapor in question. A
bank of such resonator oscillators with different identifying biolayer antibody
coatings (e.g., anti-TNT or anti-RDX antibodies) can be employed for identification
of more than one vapor. The normal linear relationship between frequency shift and
mass loading of the resonator surface has been extended to cater for the more
complex case of such antibody layer perturbations. (See, for example, W. D. Hunt,
D. D. Stubbs and S-H Lee, "Time-dependent signature of acoustic wave biosensors,"
Proc. IEEE, vol. 91, pp. 890-901, 2003)

SAW SENSORS AND IDENTIFIERS USING SELECTABLE

REFLECTOR ARRAYS
Question 59: A "normal" SAW reflection grating, such as shown in Figure 25 can
be designed as an "shorted strip" one or as an "open-strip" one.
(a) How many strips are typically used in these?
(b) Are there any other ways we can effect the reflection of SAW waves, but in a
controllable "on" or "off" manner?
(c) Explain your above response in some more detail.
Answer 59:
(a) An ordinary mirror only has one reflecting surface, as it reflects all of the
incident light. However a single SAW metal strip can only reflect about 1% of an
incident SAW. That is why we need many strips - usually 100 or more -
strategically separated - so that the combined SAW reflections reinforce each
other to totally reflect an incident SAW. (But in practice, things are not always
perfect!)
(b) Yes, using split-electrode IDTs of the type shown in Figure 2(b)
(c) The split-electrode IDT shown in Figure 2(b), has some unusual properties
compared with the solid-electrode type of Figure 2(a). In Figure 2(a) each solid
electrode is one-quarter of a wavelength wide, while each of the split electrodes in
Figure 2(b) is one-eighth of a wavelength wide. That means that the electrical
resonance frequency of the split-electrode IDT is one half of its mechanical
resonance frequency. So that the mechanical reflections cancel at exactly the
electrical resonance frequency. (See Figure 6.15 in my 1998 SAW book). However,
there will still be significant SAW reflections just off the electrical resonance
frequency. But if we put a short-circuit load across the split-electrode IDT, the SAW
will pass right under it with no reflections! (See, for example, A. J. DeVries,
"Surface wave bandpass filters", in text book, Surface Wave Filters, H. Matthews
(Ed.), Chapter 6, Wiley, New York, 1977). This gives us the means for controlling
SAW reflectivity by opening or shorting a load across the split-electrode IDT. With
intermediate magnitude and phase reflectivities by using other than a short-circuit
load.

Question 60:
(a) How can we in situ open or short load across a split-electrode IDT, in order to
control its reflectivity?
(a) How many strips are typically used in these?
(b) Mention a wireless communication example of the above technique
Answer 60
(a) A fluidic channel can be built into the surface structure of a split electrode IDT,
to inject a conductive fluid across a split-electrode pair, as sketched in Figure 28,
and thereby short out the IDT in question.
(b) Individual split-electrode IDT in an array of these, as outlines in Figure 28, can
then be switched on or off, so that the output data from such an array resembles a
Pulse Position Modulation (PPM) type of data transfer. (See, P. J. Edmonson and C.
K. Campbell, US Patent No: US 6,967,428 B2, Nov. 22, 2005, "Selectable reflector
arrays for SAW sensors and identification devices')
Question 61:
Sketch a basic SAW linear FM chirp filter and briefly describe its construction and
operating principles.
Answer 61:
(a) Figure 29 illustrates the construction of a very basic SAW linear fM chirp filter.
Here the finger widths and spacings of the IDT electrodes are fabricated so that,
when impulsed, the detected signal at the (wideband) output IDT varies linearly
with frequency. This will be in the form of a frequency up-chirp or frequency down-
chirp, depending on placement of the output IDT. (Note that the phase of the
output signal will have a linear term in time t, and a quadratic term in t2.) The
signal processing gain corresponds to the time-bandwidth (TB) product, where T =
chirp filter dispersion time (normally quoted in microseconds), and B = chirp
bandwidth (normally expressed in MHz), The linear FM chirp slope µ is given
as µ = B/T (in MHz/ µ σ ε χ ). Typical TB products for linear SAW linear FM
chirp filters are TB = 10,000, while TB = 1 for a SAW filter with uniform finger
spacing).
(See Chapter 8 of my 1998 SAW book for more on various types of SAW chirp
filters),

Question 62:
(a) What do we mean by the term Fourier Transform Pair as applied to signal
processing, and especially to SAW applications? Express in general terms, without
equations.
(b) What we mean by the term Convolution as applied to signal processing?
Answer 62:
(a) The impulse response h(t) of any system is related uniquely to its frequency
response H(f) - and vice versa - by a Fourier Transform Pair. As one application to
basic SAW filter design, the IDT finger pattern is a sampled version of the impulse
response h(t) of the desired frequency response H(f), where h(t) represents the
Inverse Discrete Fourier Transform
(b) The time-domain convolution of signal functions f1(t) and f2(t) corresponds to
the multiplication of their respective frequency response functions H1(f) and H2(f).
Convolution corresponds to a reversal of one of the time responses, together with a
relative time displacement of one of the responses, so that the two signals are
mathematically manipulated as moving towards one anther, and overlapping, as in
Figure 17.

Question 63:
(a) Name three types of SAW real-time processors for mobile/wireless applications
utilizing SAW linear chirp filters and Fourier Transform techniques.
(b) Where can I find more information on these Fourier Transform Processors?
Answer 63:
(1) Single-stage real-time Fourier-Transform Processor as a compressive receiver
for spectrum analysis of signals.
(2) Two-stage real-time Fourier-Transform Processor for Cepstrum Analysis.
(3) Two-stage Fourier-Transform Processor for real-time on-line filtering.
(b) See for example, M. A. Jack, P. M. Grant, and J. H. Collins, "The theory, design
and applications of surface acoustic wave Fourier-transform processors," Proc.
IEEE, vol. 68, pp. 229-247, 1980. Also see Chapter 16 of my 1989 book: Surface
Acoustic Wave Devices and Their Signal Processing Applications.

Question 64:
(a) Sketch the basic circuitry for the single-stage real-time SAW Fourier Processor
mentioned in your Answer 63, and highlight its principles of operation. Exclude
circuit components such as compensation of inherent delays etc.
(b) Give some typical operational parameters for such s single-stage Fourier
Transform Processors.
Answer 64:
(a) A very basic circuit for this Processor is shown in Figure 30, which employs two,
or three, linear FM chirp filters with the same chirp slopeµ . This is based on the
mathematical trick that the Fourier Transform of the product of signal s(t) and the
impulse response time h(t) for the linear FM chirp filter can be expanded
mathematically into three separate terms involving a pre-multiplication,
convolution , and post-multiplication. The corresponding circuit is as shown in
Figure 30. Note that for convolution to be achieved the convolver chirp slope must
be the opposite of that for the pre-multiplier The optional output chirp filter serves
to remove a residual quadratic phase term if both the magnitude and phase of the
output are required for network analysis.(
(b) These can have 100% duty cycle, with spectral resolutions, with analytic
bandwidths up to 1 GHz. Spectral resolutions can vary from the kHz to the MHz
range. IF frequencies can be in the GHz range with processing times in the 25 to 60
microsecond range. This can be much less than for digital Fourier Transform
Processors of the same price.
Question 65:
(a) What is Cepstrum signal processing used for ?
(b) State very briefly how Cepstrum signal processing can be achieved using a two-
stage real-time Fourier Transform Processor mentioned in Answer 62.
(c) Give a classic reference paper dealing with Cepstrum analysis
Answer 65:
(a) Cepstrum signal processing is a method for analyzing the power spectrum of a
signal which contains a periodic echo. It is based around the observation that the
logarithm of the power spectrum of a signal with a small echo component has an
added periodic component due to that echo. Thus, the echo component should be
separable from the signal if a second Fourier transform is applied to the logarithmof
the power spectrum, (i.e., log(A.B) = log (A) + log(B) ).This gives the Cepstrum
response output in a pseudo-time domain, with the dimensions of seconds.
(b) The Cepstrum processor utilizes two cascaded processors of Figure 30, with a
logarithmic amplifier and detector located between the output of the first processor
and the input of the second one. In this way high-speed real-time processing can
determine pulse durations and repetition rates from about 50 nanoseconds to 50
microseconds, as well as the bit rates of binary codes.
(c) A classic Cepstrum paper - with a most unusual title - is: B. P. Bogert, M. J. R.
Healey and J. W. Tukey, The quefrency analysis of time series for echoes:
Cepstrum, pseudo-autocovariance, cross-cepstrum and saphe cracking, " in M,
Rosenblatt (ed), Proc. Symposium on Time Series Analysis, Wiley: New York, pp.
209-243, 1963.

Question 66:
How do we achieve real-time on-line filtering, using a two-stage real time Fourier
processor as mentioned in Answer 62?
Question 66:
Instead of using a logarithmic amplifier and detector between the first a nd second
processors as in Answer 64, we use a third mixer, gated by a real-time filter function
H(2π µ t). This achieves amplitude-clipping or time-gating of the signal output
from the first Fourier processor, and so allows for on-line adaptive-filtering or
fixed-filtering of spread spectrum signals for suppression of narrow-band
interference. (See Chapter 16 of my 1989 SAW book)

SOME DEFINITIONS AND ABBREVIATIONS

Question 67: I do not understand some of the phrases used to describe
mobile/wireless handset units. Tell me what the following abbreviations mean,
namely (a) GPS-enabled, (b) Bluetooth-enabled, (c) Multi-band, (d) Multi-mode, (e)
3G?
Answer 67: (a) GPS stands for Global Positioning System. This enables accurate
position determination by means of the triangulation of signals from satellites, and
lets you locate where you are (e.g. while traveling in your car, or in a boat fishing in
one of Canada's many lakes, etc.). Typically, an integrated GPS unit can use 1 or 2
front-end SAW RF filters for enhanced detection of the satellite signals. AGPS-
enabledunit means that the GPS unit can be combined with other add-on services.
(b) Bluetooth involves short-range wireless systems designed for operation in the
unlicensed 2.4-GHz Industrial, Scientific and Medical (ISM) band. Bluetooth-
enabled systems are intended for portable linking to various units such as mobile
handsets or notebooks. A Bluetooth receiver can typically employ 1 front-end RF
SAW filter. (For more on license-free spread-spectrum bands see page 528 of my
1998 SAW book).
(c) Multi-band mobile/wireless transceivers can operate in more than one frequency
band. One example is for GSM three-band Worldphones that can operate in GSM,
DCS, or PCS modes. Recall that GSM stands for Global Systems for Mobile
Communications, DCS stands for Digital Cellular System, whilePCSstands for
Personal Communications Services . The latter operate in the 1800-MHz and 1900-
MHz frequency bands. (See the Glossary definitions section on pages 613-618 of ny
1998 SAW book.)

***** Note that GSM is often referred to as the world's firstdigital wireless
technology. However, I personally consider it to be the world's second digital
wireless technology - the first digital one being Morse Code wireless transmission,
that has been around for many, many years! ******

(d) Multi-mode mobile/wireless transceivers are those that can operate in more than
one mode of operation. These modes include AMPS, GSM, TDMA. (Again, see the
Glossary definitions section on pages 613-618 of ny 1998 SAW book.)
(e) 3G refers to Third-Generation mobile/wireless systems operating in the 2100-
MHz band.

Question 68: What do we mean by Direct-Conversion Zero-IF?

Answer 68: Direct Conversion Zero-IF (ZIF) receivers are those which directly
down-convert an incoming RF signal to baseband, as opposed to traditional
superheterodyne receivers that incorporate one or more intermediate-frequency
(IF) filter stages between RF and baseband. The use of ZIF stages will, of course,
depend on the mobile/wireless system involved, and on the sensitivity specifications
placed on incoming RF signals.

***********************************************************************
************************************

My 1998 SAW text book is:

Colin K. Campbell, Surface Acoustic Wave Devices for Mobile and
Wireless Communications. Academic Press:
Boston, 633 pages, 1998. (ISBN Number 0-12-157340-0).

My 1989 SAW textbook, which includes chapters on the Remez

Exchange Algorithm, as well as on real-time SAW Fourier Transform
Processors is:
Colin Campbell, Surface Acoustic Wave Devices and Their Signal
Processing Applications. Academic Press: Boston, 470 pages, 1989.
(ISBN Number 0-12-157345-1).

Check my 1998 book contents at

http://www.apcatalog.com/cgi-bin/AP?
ISBN=0121573400&LOCATION=US&FORM=FORM2
You can see my biographical sketch and photo at
http://www3.sympatico.ca/colin.kydd.campbell/ckcbiog.htm

Or find my author and co-author list of publications

athttp://www3.sympatico.ca/colin.kydd.campbell/ckcpub.htm

NOTE: Publication #76 in my list of publications is an Invited Review

Paper in the October 1989 Proceedings of the IEEE, entitled
"Applications of Surface Acoustic and Shallow Bulk Acoustic Wave
Devices." This Review paper includes 322 References. (One of my SAW
illustrations in that paper was also used as the front cover design for
that Proceedings issue.) This paper may now be downloaded from the
IEEE web site for Ultrasonics, Ferroelectrics, and Frequency Control,
at Internet address:

http://www.ieee-uffc.org/index.asp?
page=freqcontrol/fc_reference.html&Part=5#top

:
My email address is colin.kydd.campbell@sympatico.ca

--------------------------------------------------------------------------------------------
-----------------------------------------
Some - but not all - of the above SAW topics were discussed in previous
Sessions on this web-page site. These were:

Session 1: "How Many SAW Devices Can Be Used In a Typical AMPS

Mobile Transceiver ?"
Session 2: "Using a Leaky-SAW Differential Mode Resonator Filter in
Conjunction with a Differential
Active Mixer in the Front End of a Low-Power Wireless
Receiver."
Session 3: "On the Merits of Using SAW Convolvers For Wireless
Communications."
Session 4: "Example of a Fast Frequency-Hopping SAW Oscillator
Circuit."
Session 5: "Phase Noise in Surface Acoustic Wave Oscillators."
Session 6: "Leaky-SAW Front-End Ladder Filters and Antenna
Duplexers."
Session 7: "SAW Nyquist Filters for Digital Microwave Radio."
Session 8: "SAW Clock-Recovery Filters for Fiber-Optic Data-
Communications Networks."
Session 9: "Wideband SAW IF Filters With Slanted Finger IDTs for
Satellite Communications."
Session 10: "So Far So Good, But How Do I Design a Basic SAW IF
Filter ?"
Session 11: "Why Would I Want (Or Need) To Use a SAW Filter
Operating In A Harmonic Mode?"

I have saved copies of each of the above web-page Sessions as MS 97

Word documents. Let me know if you would like me to e-mail you any
of the above session files.
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-----------------------------

Copyright © Colin Campbell, 2008

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Source: http://www3.sympatico.ca/colin.kydd.campbell/