PROCEEDINGS OF THE IEEE, VOL. 63, NO.

2, FEBRUARY 1975 29 1

Phase-Locked Loops

Absmcr-An attempt to systematically outline the work done in the Phase

area of phrse-locked bops which are now used in modern communica- Fi Detector 1t e r
tion system deaign is presented. The d o g phrsdocked loops are well
documented in several books butdiscrete, Pnrlog-ditd, and digital
phnre-locked loop work is scattered. Apart from discussing the various
analysis, design, rad application aspects of phaselocked loops, a num-
ber of refaences am given in the bibliogmphy.

INTRODUCTION VCO I

IP HASE-LOCKED loops are used widely in modem com-

munication systems. There are several kindsof phase-
locked receivers on the market for a variety of applica-
tions. These applications include demodulation of information
Fig. 1. Phase-locked loop (PLL).

Analog
Filter ’
carrying signals, synchronization, tracking, and ranging. Their
application is more useful in low SNR environment because of detector)
improved performance in the threshold region. Because of the
importance of the application of the phase-locked loops (PLL),
Pcos bet + O0(t))
there hasbeena tremendous amount of work done in- this
area. There are several books [ 1 ]-[ 131 which look into the
analysis and design of the PLL in one way or the other. Some
vco
VCO constant
t,
*K
books [ 31, 151, [ 81, [ 121, [ 131 devote all or a considerable (a)
amount of space to this area.
In the early development of the PLL, the work was primarily F i 1t e r
on analog phase-locked loops (APLL). All the preceding books
primarilyconsider the APLL. However, with increasing
Sine
Nonlinearity
Gain
emphasis on digital circuitry because of decreasing cost,in-
creased reliability, smaller size, and freedom from drift, there
have been effortsto develop analog-digital (hybrid) PLL,
discrete PLL, and digital PLL (DPLL). The emphasis towards Integrator
the DPLL has been on the increase lately.
This paper is an effort to bring into oneplace a general view (b)
of the PLL, analog, hybrid, discrete, and digital. Fig. 2. (a) Basic analog phase-locked loop (APLL).(b) Model of
the APLL.
ANALOGPHASE-LOCKED Loops (APLL)
Although the f&t description of the PLL appeared in a paper
ference of the input signal and output of VCO. When the loop
by Appleton [ 141, the PLL did not achieve widespread atten-
is ‘locked,” the frequency of the VCO is exactly equal to the
tion tillmuch later. The APLL, apart from the books[ 1] -[ 131,
average frequency of the input signal.
are discussed in references [ 141-[ 1391.
A number of different kinds of phase detectors have been
Basic Configuration used (viz., sinusoidal,triangular,and sawtooth) though sinu-
soidal is the most common one. In case linearity of the phase
A PLL is a device which continuously tries to track thephase
detector i s ’ important,such as in FM discrimination, the
of the incomingsignal. It is realized by a phase detector, a loop
triangularcharacteristic is more common. Also, the greater
fiiter, and a voltagecontrolled oscillator (VCO). The configu- linear range reduces distortion of the recovered signal, and
ration is shown in Fig. 1. The phase detector compares the there are improvements in noise threshold and “lock range”
phase of the input signal with that of the VCO, and its output (this being defined as how far the phase error can go without
voltage is fiitered and applied to the VCO whose output fre- the loopgoing out of lock) [21I -[ 221.
quency moves in the direction so as to reduce the phase dif- The basic APLL is shown in Fig. 2(a); n ( t ) represents the
additive noise to the incoming signal.
Manuscript received September 24, 1973; revised October 11, 1974. The APLL represented in Fig. 2(a) can be modeled as shown
This work was supported by NASA under Grant NGR 44007-049.
The author is with the Institute of Technology, Southern Methodist in Fig. 2(b) if we neglect the additive noise in the signal. The
University, Dallas, Tex. 75275. gain K includes any gain of the VCO as well as that of the phase
292 PROCEEDINGS OF THE IEEE, FEBRUARY 1975

detector. The primary difficulty in the analysis of the APLL

arises dueto noise considerationsand the sinusoidalnon-
linearity. Drift in the VCO can be another problem.

Linearized APLL
When the phase error e#) - e o ( t ) is small, then the approxi- Lob)
!
mation s i n ( e , ( t ) - e o ( t ) )= e&) - O 0 ( r ) is valid and the
sinusoidal nonlinearity can be removed from the model of Fig. Fig. 3. Linearized APLL.
2(b). In this case, the model becomes as shown in Fig. 3. The
overall transfer function of this loop is given by
TABLE I
COMMONLY USED FILTERS FOR AND
CORRESPONDING STEADY-STATE
ERRORS
AND L O O P NOISEBANDWIDTHS

*+
-

I
.

Filter ’ Steady-State Error LOOP

P(S) I Noise
Bandwidch
pLL
The loop noise bandwidth, an important consideration in the
PLL is d e f i e d for the APLL in hertz as
Type
.. . -I
Order

Kt4
-__
i- K+a

BL = -
1
2ni I,,,, H ( s ) H ( - s ) ds . (2) I
4

K(K+a)
40
A number of different kinds of filters, F(s), have been con-
sidered in this loop, depending upon what the loop is used for ,
sz+,s+b
2
stead-tate error -
0
fer frequency ramp input
K(aK+aZ-h)
4 (aK-b)

as well as steady-state error and bandwidth requirements.

Design of the Optimum Filter F(s): The optimum design of
F(s) has been carried out by using the Wiener Filtering Theory.
The problem is formulated where F ( s ) is determined by spectral
factorization by minimizing integral square phase error undera
bandwidthconstraint as given by (2). The phase-step as
input leads to filter which is just a gain. The frequency-step
input leads to a first-order filter, etc.
Analysis, when additive white noise is present, does not im-
pose any additional difficulty and as a matter of fact, optimum
F(s) can be obtained for additivewhite noise using the
Wiener Filtering Theory as carried out by Jaffe and Rechtin
[74]. In this case the optimum filter F(s) as shown in Fig. 3 is
obtained from (1)as follows:
where + means that only those terms are to be taken having
poles in the left half-plane. Also,
where Qn(s) is the input noise spectral density which for white
noise is a constant. The Lagrangian multiplier h can be deter-
mined by constraining the bandwidth of (2).
Once F(s) is known, designed optimally as previously men-
tioned or chosenotherwise, an analysis of the loop can be
easily made. One can controlthebandwidth, gain, steady-
stateerror,andstability depending uponthe application.
Table I shows transfer functions of various filters, some ob-
tained optimally and some commonly used others, also steady-
state errors,corresponding loop filters,etc. Theoptimum
fiters shown are for phase-step, frequency-step, and frequency-
ramp inputs, respectively, For other inputs, other optimum
fiters arerequiredalthough those shown here are primarily
used. What order filter to be used depends on theuse for which
the APLL is needed. The choice is made on steady-state error
and bandwidth requirements. Fornarrow
bandwidth, a Planck techniques.
second-order loop is most common. A first-order loop has
limited lock range while a third-order loop is complicateh and
can lead to instability if not properly controlled. A detailed
discussion on the choice of filters can be found in [3,p. 73-
761.
Nonlinear Model of APLL Without Noise
Thenonlinearmodel is shown in Fig. 2(b). Forthe fmt-
order loop F ( s ) = 1. In this case, for a frequency-step input
e&) = W A t + 8 , the loop has a limited “lock range” equal to
W A / K and a steady-state error of sin-’ ( w a / K ) . In order to
overcome these disadvantages, first-order filters are used. The
analysis of such loops has been done by phase plane analysis.
Details are given in Viterbi [ 5, ch. 31. Lindsey [ 13, ch. 101
gives an excellent treatment for a secondader loop. For ex-
ample, it can be shown that for F(s) = (s + a)/s and &(t) =
cdAt + e (frequency-step input), the time before the system
stops skipping cycles is given by l/a ( u A / K - 0)’ if W A / K is
large. This is also called the acquisition time or time to lock an
important consideration in the PLL. Table I1 gives the acquisi-
tion time and pull-in range for first- and second-order APLL for
different inputs.
Nonlinear Model of APLL With Noise
Ifwe consider additive Gaussian noise n ( t ) at the input to
the APLL, then the model in Fig. 2(b) is modified as shown in
Fig. 4. If n ( t ) is assumed whitebandlimitedwith spectral
height N 0 / 2 , then n ’ ( t ) shown in Fig. 4 can also be modeled as
white-noise process with spectral height N 0 / 2 .
Considerable attention has been given to the nonlinear model
of Fig. 4 and several results have been obtained by Tikhonov
[44],Viterbi [46],and others [ 81, [ 131 by using Fokker-
GUPTA: PHASELOCKED LOOPS 293

TAB= I1 A technique based on the Fourierseries and estimation has also

ACQUISITION TIMEAND PULL-INRANGE been proposed by Willsky [83altoobtainthephaseerror
FOR FIRST-AND SECOND-ORDER
PLL'S variance and the results have been quite good.
So one can see that the steady-state phase error variance is
much higher than if one assumes linearity in the APLL for
1- a < 5. If a > 5 then the linearity assumption is pretty good.
Mean frequency of skipping cycles for this loop has also been
determined as

For the second-order loop if F(s) = (s + a ) / s and the input is

&(t) = W A t + 8, the steady-state probability density of phase
error 9 is given by

and the phaseerror variance becomes

Constant I
i
acceleration)

(10)

Charles and Lindsey [ 521 have obtained approximate analyti-

cal results and have verified them experimentally, if the fiiter is
changed to [ ( $ / a )+ ll/[(s/b) + 11 ; (also see [ 13, chs. 9 and
111 ). All the previous results have been obtained without con-
sidering any modulation. With modulation some of these re-
sults can be modified.

Threshold Behavior of APLL

U When camer-to-noise ratio (CNR) at the input dropsbelow a
Fig. 4. Model of APLL with additive noise.
Probability density of the phase error 9 satisfies the Fokker-
Planck differential equation. This differential equation for a
fmt-order loop has been solved for statistical steady state. It
has been shown that [46]
p ( $ ) = probability density of phase error
certain value, there is a suddendeterioration of the performance
of the APLL. The loop begins to loose lock and the impulsive
noise is generated. This impulsive noise degrades the SNR per-
formance of the PLL. The analysis of APLL in the threshold
region using Rice's click analysis [471 has been performed by
Schilling and Billig [ 501 and Abrams, et al. [ 511 for a wide-
band second-order loop with fiiter F(s) = 1/75 + 1) preceded
byanarrow-bandfilter. For a single sine wave modulation,
they obtained the output SNR as

30' @ + 1) (CNR)
SNR =
2
where 1 + 16* @ + 1)2(CNR)e-n (CNR)lo

a=- 4 P , NO being the powerspectraldensity of noise.

KNO
To obtain variance of phase error, p ( @ )is used from (5) where K is the loop gain, CNR is at the input,0 is the modula-
tion index, and f,,, is modulation frequency.
Note that the precedingresult is independent of any loop
parameters except the loop gain, and one can determine the
threshold improvement of an APLL over a conventional FM
In the linear case discussed earlier u; = l/a. discriminator for FM demodulation. Similar results as in (1 1)
Another technique using Volterra series expansion [48] has have also been obtained for Gaussian modulation [ 5 1 I . Gen-
also been used to obtain the phaseerror variance for a f i i t - erally large frequency deviations, loop damping offset from
order loop and this technique gives fairly close results to those critical damping (normal = 0.707), and limitingat thePLL have
already given by the exact analysis. The phaseerror variance is a detrimental effect on threshold extension as given by (1 1)
given by compared to the FM discriminator.
Another approach t o the APLL threshold investigation has
1 1 13 been examined by Gupta et al. [ 591, using Niktin's approach
0; c-+-+-
a 2a2 24a3 1531. For a single sine wave modulation, the output SNR is
294 PROCEEDINGS OF THE IEEE, FEBRUARY 1975

10 ,
//
. 7. , e , I , , I I , ,
u OBCillatOr

(b)
o 4 a IL 1 6 2 0 Fig. 6. (a) Optimumdemodulator based on MAP estimation. (b) Ap
proximation to optimum demodulator.
Input CM( - db
Fig. 5. Threshold behavior of second-order APLL compared t o EM
discriminator.

obtained as

where BL is the loop noise bandwidth and X is a parameter re-

satisfying. The original work was done by k h a n andParks
lated t o probability of unlock of the loop for any given filter
[73] and Youla [73a], and has been discussed in great detail
F(s). For the fit-order loop, F(s) = 1 ;in this case by Viterbi [ 5 ] ,Van Trees [ 8] ,and Snyder [ 101 .
x 4 Assume the input to the demodulating structure as an angle
-N-
- exp(-4CNR) . modulated signal andanadditivewhiteGaussiannoiseof
BL = spectral height N o / 2 . Then we can write the input as
For thesecond-order loop with F(s) = 1/(TS + l), the parameter
A is obtained as r(t) =a
sin [act+ e&)] tn(t). (1 5)
Utilizing maximum a posteriori probability (MAP) estimation
techniques, one can obtain (see Van Trees [8,pp. 15-171) the
optimumdemodulationstructure as shown in Fig. 6a.Note
that d , ( t ) is the estimate of e i ( t ) .
* [ 4- + 27 sin-' 71 } * cash [ 2~ CNR] (14) Note that the optimum demodulator of Fig. 6(a) has an un-
where 5 is loop damping and 7 is the loop staticphase error. realizablefilterwithin theloop. However,onecanreplace
Note that in this approach SNR of (1 2)is a function of loop this unrealizable filter yith a realizable filter, and introduce an
parameters because X is a function of loop parameters. unrealizable filter postloop which can then be approximated by
The threshold extension propertyof the PLL comparedt o an a delay in postloop. These approximations are shown in Fig.
FM discriminator is shown in Fig. 5 . The curves show output 6(b). Note that it is assumed that e&) is also an estimate of
SNR versus input CNR fora second-orderPLLand FM e&).
discriminator. The PLL results are from (1 1) and (12). If the fiter in the loop is assumed t o have bandwidth<<
Other threshold investigations of the APLL have also been 2a,, the preceding loop can be modeled as shown in Fig. 7.
performed and references are given in the bibliography. A dis- This is similar t o the APLL of Fig. 4.
cussion is also available in [8,pp. 161-1641.
Kalman-Bucy Approach to the Design of Optimum Filter in
APLL as an Optimum Angle Demodulator APL L
So far we have studied theAPLL based on an already assumed The fdtep in the APLLwhichcanbedesignedby Wiener
structure whichworks.However, if we proceed to find an Filtering Theory, as discussed earlier, can also be designed by
optimum demodulating structure for an angle modulated sig- Kalman-Bucy filtering. This is discussed thoroughly
by
nal, and under certain approximations, it is the APLL which Snyder [ 101 andVanTrees [7, pp.515-5751, [8, pp.93-
we havebeenconsidering all along. This is of course very 1001. To apply the Kalman-Bucy technique one has t o f m t
GUPTA: PHASE-LOCKED LOOPS
(b)
Fig. 8. (a) Message model for the FM systemwithfmt-order Butter-
worth spectrum, (b) APLL for FM demodulation using Kalman-
Bucy approach for fmt-order Butteworth message spectrum.
express the message and observationmodelin state variable
form. For an FM system with a first-order Butterworth mes-
sage spectrum of 2k/(wz + kz) the message is modeled as
shown in Fig. 8(a). The state variable equations then are
where
and u ( t ) is a white-noise process with a covariance function
E[u(r)u(~)]= 2k6(t - T) . (18)
The phase which is modulated on the carrier can be expressed
from Fig. 8(a) as
e,(?) = [+, 01 x ( t ) = cx(t) . (1 9 4
For an additivewhite Gaussian noise n ( f ) with spectral
density N o / 2 on the modulated carrier, the total signal can be
written as
r ( t ) = @sin (w,t + di(t)) + n(t).
The Kalman-Bucy approach for demodulation
solution of the following equations:
$ ( t ) = FE(t) + z ( t ) [ r ( t )- C P ( ~ ) J
2P
Ft+tFT-tCT*-*C5+C-2k-GT=0 (22)
NO
where x^(t) is the estimate of x(?) and E is the steady-state
mean-square error vector. Equation ( 2 2 ) is the steady-state
Riccati equation.
The demodulation structure from the preceding equations is
shown in Fig. 8(b), which becomes our standard APLL when
rearranged as shown in Fig. 9. The filter is shown in the box.
This technique is quite cumbersome but it is useful for the
case where the loop fiiter is time varying; (this would be the
case if the time at step change of frequency of the input is
295
1
5 t
Fig. 9. Alternate representation of Fig. 8(b).
known). The technique also enables one to consider different
types of message spectrums easily.
Other Considerations for APLL
The analysis and design procedures for the APLL have been
summarized in the previous sections. APLL-type structures can
also be used forthedemodulationfor multiplicativenoise
(fading phenomenon)apartfromthe additive noise. Snyder
[ 10, p. 671 has considered the case of the Rayleigh channel
and he has developed a demodulationstructure which is a
modified form of the APLL. Korgel [ 120al has also considered
the effectsof fading on the APLL design.
Performance bounds using rate distortion theory can be de-
veloped forthe APLL. These will be curves relating mean-
square phase error versus CNR. Details can be foundin
Van Trees [8,p. 1381 and Cruise [821.
General Discussion on APLL
An effort was made in the last few pages to give abroad
tutorial view of the development of APLL theory.It was
shown how the basic structure of the APLL could be obtained
either by basic modeling or by using nonlinear estimation
theory. Once the basic structure was obtained, techniques for
the design or choice of the filter were shown. The choice and
design procedures for the phase detector and the VCO were
not given but can be found in any of the books given in the
reference section. The important considerations for the APLL
are theoperation withnonlinearity as well as the threshold
performance. The parameters to consider are the bandwidth,
steady-state phase error, mean-square phase error, lock-in, pull-
in range, acquisition time, filter parameters, and SNR behavior
for low CNR at the input. It should also be noted that a band-
(19b) pass limiter is used at the input toenable the APLL to adapt it-
involves the self to varying CNR input.
All the parameters previously mentioned can be juggled to
obtainthe right ones for a given application. As mentioned
(20) earlier, the main applications of the APLL are for, acquisition,
tracking, ranging, and demodulation of FM signals, especially,
for low SNR conditions. Several books [ 1] -[ 131 go into such
detailed design because a lot of approximations can 'be made
for different applications.
Gardner's [3] was the first one widely used for design pur-
poses while Viterbi [ 51 gives a systematic development of the
APLL. Van Trees [8] gives the modem treatment to the sub-
jectand requires the knowledge of nonlinear estimation
theory. Mapper and Frankle [ 121 is a good recent addition as
a design aid and, in great detail, goes into APLL parameters.
Lindsey [ 13I gives a very thorough treatment of APLL and his
is the most comprehensive work on the APLL to date. The re-
maining bibliography onthe APLL is divided into several
categories butthey are listed only once. References [ 141 -
[36] are general APLL papers. Some of the earlier ones give
296 PROCEEDINGS OF THE IEEE, FEBRUARY 1975

the early development of the APLL and its uses. References

[371-[41]gointothe linearanalysis of theAPLL.Refer-
ences [42] -[ 721 go into the nonlinear analysis of the APLL
including threshold investigations. References [ 731 -[ 831 go
into optimum design of the APLL or some other optimal con-
I D i g i t a lF i l t e r
I
siderations. References [ 841 -[ 1031 consider the acquisition
behavior of the APLL. References [1041-[1201 consider the
trackingbehavior of the APLL. Finally,references [ 1211-
[ 1391 go into some general applications such as in television,
-K
in motor speed control [ 139a], etc.
A paper by Grebene [ 1371 is worth mentioning. He gives the
details of a PLL as a low-cost monolithic package which can be 1000
built with the present IC technology for application in a) FM
demodulation such as broadcast FM detection, AM/FM telem-
etry decoding,andfrequency-shiftkeying(FSK)demodula-
tion;b)frequencysynchronization;c) signal conditioning;
d) frequency multiplication/division; e) frequency translation; 100
and f) AM detection.Anotherpaperon this subject is by
Schmoock [ 1391.
It should be mentioned, that many more references on the
APLL may not have been included on the list provided here. 10
There are also a considerable number of company and other
technical reports on the subject. Some of these references are
available in Klapper and Frankle [ 12, pp. 355-3801. It should
alsobe noted,thata considerable amount of the APLL
1
material, notreferenced in this paper, has been published in the
,667
Russian journalsAutomatika Telemekhanika and Electrosvyaz’
and Radiotechnika. The English translation of these journals
is available as Automation and RemoteControl and Tele-
communications and Radio Engineering, respectively. .1

ANALOG-DIGITAL OR HYBRIDPHASE-LOCKED Loops

(HJw
The hybrid phase-locked loop (HPLL) is an APLL where one
or more, but not all elements in the loop, are digital. Usually a
sampler is also present in the loop. Digitizing the loop partially
enablesone to use moreefficientelementssuch as a digital
computer in the loop and in some cases improve performance.
Forexample,arecentreportbySantarpiaand McGunigal
[143a]describesa digital VCO in great detail. It is demon-
strated that the digital VCO has advantage of a wide frequency-
pullingrange without sacrificing frequencystability of the
VCO. This is especially suitable for systems where large dop-
pler shifts are encountered such as laser communication systems.
ThefirstHPLL was consideredby Westlake [1401.The
analog VCO was replacedby digital VCO. Thesampler was
introduced after the filterin the loop. The digital VCO is more
reliable and provides better performance over a wide dynamic
range. Stability of this loop is more restrictive because high
gains like those of the APLL cannot be used (otherwise the
loop becomes unstable). However, with properly chosen gain
and sampling rate, this HPLL can be used in lieu of the APLL.
Another HPLL has been considered by Judd [ 1411, where
the phase detector is replaced by a flip-flop which is triggered (4
bythezerocrossings of the sinusoidalreference signal. The Fig. 10. (a) Optimum hybrid phase-locked loop (HPLL) proposed by
digital counter is used t o reduce the frequency feedback from Gupta 1421. (b) BLIT versus gain and versus pole location of fmt-
order digitalfilterfor HPLL. (e) EL/T versus gain and versuspole
the VCO within one cycle to that of the reference. The loop zero locations of second-order digital filterfor HPLL.
has been analyzed for transient response with various types of
fiiters.
shown in Fig. 10(a). The discrete filter is obtained
by
An optimum HPLLhasbeenconsideredby Gupta [ 1421,
minimizing
whereby the filter in the loop is optimally obtained by using - -
Weiner Filtering Theory. The linearized model of this HPLL b F = n i ( t ) + Ap2(nT) (23)
GUFTA: PHASELOCKED LOOPS 291

where n o ( t ) is the output noise due to input noise n ( t ) alone.

The Lagrangian multiplier X, is obtained by constraining the
loop noise bandwidth

BL = 5 Jo
1
dm Jr H(z, m)H(z-', m) d z (24) D i g i t a l Clock

(a)
where H(z, m ) is the overall transfer functionof the loop in the
z domain. Sampler and
SinusoidalNonlinear- Discrete
The important result of this optimization is that the order of i t y of theDetector F i l tD
e r( ? I
the digital filter is one degree higher than the corresponding
analog filter emphasizingthat the digitized version of the APLL Gain K

is not the optimum digital loops.

D i g i t a lC l o c k ,
Assuming a step change in phase, the optimum filter is not a r - 1
constant gain as in the case of the APLL but a fiit-order dis-
cretefiiterwithtransferfunction in the z domain given by (b)
D ( z ) = 6 z / ( z - p ) . Fig. 10(b) gives the noise bandwidth divided Fig. 11. (a) Discrete phaseqocked loop (PLL) proposedby Gill and
Gupta [ 1471. (b) Equivalent model of the discrete PLL. Note that
by the sampling period ( B L / T )versus gain 6 and also versus p z is just an operatordenotingunit advance and is not the z asso-
which gives the pole location of the filter. In t h i s loop we can- ciated with the z transform.
not have B L / T < 0.667Hz/s.Thestability is muchmore
critical than for the APLL. For a ramp change in phase, the
optimum discrete filterin the z domain becomes a second-order
fiter given by

Fig. 1 q c ) gives the B L / T versus z o , p l , p 2andgain r / K T .

Proper choice of these parameters can thus be made. In this
>
case, we cannot have B L / T 6.67 Hz/% Again stability is
guaranteed i€ none of these restrictions is broken.
b T ( 1 ) - T(2)

Fig. 12. Incoming

-i w-
waveform.
signal
A HPLL has also been cohsidered by Eisenberg [ 1451, where
the digital element is the phase detector composed of a gate
dicted by the discrete loop. The x mark on the extreme left is
and a capacitor. The VCO is followedbyapulsegenerator.
placed not at a zero crossing but intentionally off the zero
This type of loop is used to extract timingfroma"burst."
crossing to give an initial phase error to the loop. This initial
Static behavior, stability, and transient response is considered.
phase error is a phase-step input t o the loop. If the maximum
Finally an HPLL for the generation of an FM signal has been
amplitude of the waveform is normalized to unity and c(0) is
proposed by Sepe [ 1431. Stability analysis of another HPLL
the value of the initial sample, then it is implied that the clock
has also been considered with emphasis on locking properties
is lagging behind by sin-' c ( 0 ) radians to begin with.
[ 1461.Gupta gives asurvey of the workon the HPLL in
First, the sampler takes the initial sample, say of magnitude
[1441.
c(0). The next time period T ( l ) of the clock is given by
DISCRETE
PHASE-LOCKED LOOPS T( 1) = T - ~(0).
A discretePLL is modeled as shown in Fig. 1l(a).The
This instant is still nearer to the corresponding zero crossing
sampler detects the error in the phase and thedigital clock cor-
thanthe previous cases. In Fig. 12thelooptakesthenext
rects it at discrete instants occurring once per cycle of the in-
sample at a zero crossing. This is shown by the actual calcula-
coming signal.
tions where the size of the phase step is 1.5 rad. Thus in a few
This type of digital loop is drawing considerable attention
samplinginstants,the digital loop hascaughtupwiththe
because it can be implemented completely by discrete elements
positive-going zero crossings of the incoming signal. Similarly,
and works very well. The loop was first proposed by Gill and
for an initial phase ramp the frequency error lies within a cer-
Gupta [ 1471, [ 147a1, but additional work has been done by
tain range and the PLL locks with the steady-state phase error.
Weinbergand Liu [ 1481. The operation of the loop is best
This loop leads to a doubly nonlinear equation because of
understood if thefilter is assumed unity gain resulting in a
the nonuniform sampling as well as the sinusoidal nonlinearity,
first-order loop. The function of the clock is defined by
and thus it becomes more difficult to analyze than the APLL.
T ( j ) = T - ~ ( j (25)
-1)
The model of the
loop
for analysis
purposes is redrawn
in
Fig. 1 l(b). For most rapid convergence to steady state or best
where T ( j ) is the clock period at the jth sampling and c ( j - 1) tracking performance it has been shown that thegain K is unity.
is the correction signal at the ( j - 1 )th-sampling instant. However,oscillatorysteady state can be obtained for K > 2 for
The operation of the loop is explained here in the case of a fmt-order loop and other values of K for a second-order loop
only a phase-step input for the sake of simplicity. ,For a clear [ 1481. The loop equation for K = 1 is given by [ 147al
illustration, see Fig. 12 where the sinusoidal waveform repre-
TD(z)
sents the incoming signal of a constant frequency. Thex marks eo(&) = -
show the locations in time where the zero crossings are pre- z- 1
298 PROCEEDINGS O F THE IEEE, FEBRUARY 1975

where T = basic clock period = 2n/wo.

For a phase-ramp input of slope (w - 00) and for a f i t -
order loop [D(z)= 11, the lock range of the loop is given by
2n w 2n
<-<-. 2n- 1
2n+1 Wo

This first-order loopcan also be usedfortrackinganangle

modulated carrier sin (uot+ p sin 0
, t ) . The condition for
locking is given by
Pam 1
0<-<-
WO 2n- 1
For a zero steady-state error, the first-order loop is not satis-
factoryandonehas to use a secondsrderloopwithfilter
D(z) = K(z + z1 )/(z + p1). In this case one has to watch for
stability which is guaranteed only if - 1 < z1 < 0, p1 = - 1 and
O<K<~U~/(U(~-Z~)).
Both the first-order andsecond-order loops havebeen .t

analyzedwithnoisy inputs by WeinbergandLiu [1481for

phase-step and frequency-step inputs. The probability density
function and phaseerror variance, as in the case of APLL, have
been obtained. Mean nuinber of steps to skip cycle for a f i t -
order loop have also been obtained.
ThediscretePLLdeveloped in [ 147alhas also beenex-
amined as an FM demodulator in the presence of noise. It has
I
been shown [ 1491 that for this discrete PLL it is possible to
achieve a performance at least as good as an FM discriminator ’ ei-l
for high CNR and a better threshold behavior than an FM dis- fig. 13. Digital phase-locked loop (DPLL) suggested by Larimore [ 1 5 1 1.
criminatorforlowSNRprovided f,- pfm >> ( T / a ) f m ,
where f, and f, are carrier and modulating frequencies, re- tions in adaptive loops to track signals during fading and jam-
spectively, and p is the modulation index. ming, and in multiple-signal tracking.
DPLL’s have also been proposed by Natali [ 1521, [1641.
DIGITALPHASE-LOCKED Loops (DPLL) These DPLL’s are usefulforsubcarriertracking and bit
Although the work on the APLL is fairly well documented, synchronization, and have also been used for coherent detec-
the work on DPLL is scattered because the emphasis on this tion ofPSK. The DPLL and its baseband model is shown in
loop is fairly recent. Several intuitive schemes for the DPLL Fig. 14(a) and (b),respectively. The loop has been analyzed by
havebeenexamined. Also, theoptimumor near-optimum constructingan s planeequivalent model. of Fig. 14(b). No
DPLL structures have been obtained using nonlinear estimation direct discrete analysis is available. Another DPLL has been
theory approach. In this paper, f i t intuitive schemes are ex- consideredby
Gota [ 1551, but in none of the afore-
amined and then the optimum DPLL is considered. mentioned, is there any noise analysis.
A DPLL proposed by Drogen[ 1501 is realized from an APLL A DPLL described by Pasternak and Whalin [ 1531 requires
whereby all the analog components are replaced by digital de- no filter or VCO, and the basic component is an EXCLUSIVE
vices. It has a double integration scheme and the DPLLis used OR comparator whichdevelopsan output gating function
as aVHFomnidirectionalradio-rangefinder.Although no which is dependentuponthe phaserelation of itsinput.
theoretical analysis is available, it is claimed that this DPLL Severalclock signals provide input to the register circuitry.
has no errors due to even harmonic distortion or dc amplifier The DPLL works with a high degreeof stability.
drift. Another DPLL proposed by Larimore[ 15 11 ,is based on Another fist-order DPLL t o provide tracking for the sub-
the assumption that any approximately band-limited linear sys- carrier signal foracommandsystemhasbeenanalyzedby
tem operating on analog signal can be replaced by a sampling Holmes [ 1561,[159].Secondader DPLLhasalsobeen
device, and a set of discrete linear operations to be performed considered by Holmes and Tegnelia [ 1601, [ 1621, [ 162al.
on the samples at the sampling rate. This performs the same The tracking is accomplished by sampling the input waveform
mathematical operation on a received signal as an APLL. The at zero crossing, accumulating m of these samples, and incre-
digital equivalent is shown in Fig. 13. The incoming signal is menting the phase of clock in such a direction as to bring the
processed independent of the estimate. This avoids the need value of the accumulation toward zero. The DPLL is shown
for a VCO, and allows for nonreal time processing. Reference in Fig. 15.
frequency removes carrier; integrate and dump circuits mini- The f m h r d e r loop is analyzed for a square-wave input with
mize noise. Sine-cosine function generator, digital filter, and white Gaussian noise in [ 1561, [ 1591 and for more general
digital mixer replace the functions of VCO,loop filter, and the inputs in [ 1591. Random-walk models are used. Results for
mixer of the APLL, respectively. The filter coefficients could the mean time to f i t slip and the timing error variance are
be evaluated using Kalman-Bucy techniques. This has applica- given. Performance is also studiedforbiasdue t o doppler
GUPTA: PHASE-LOCKED LOOPS 299

I 1
Fig. 16. Binary DPLL analyzed by Cessna and Levy [ 1581.

Signal + Noise

t“‘-
I r - - - - ---1 I
DIGITAL CLOCK

Fig. 14.(a)Block diagram of the DPLL suggestedby Natali [ 1641.

(b) Baseband model of DPLL [ 1641.

Phase D e t e c t o r
-- -----.
(b)
Fig. 17.(a)Block diagram of the DPLL proposed by Reddy and
Gupta [ 167). (b) General model of the DPLL [ 1671.

and steadystate analysis is performedforadditivewhite

Gaussian noise. It is shown that the performanceof the loop is
as good as that of the APLL except for large SNR. Loop band-
widthandothercommonly usedparametersarediscussed.
This loop isuseful primarily for bit synchronization.
Fig. 15. DPLL analyzed by Holmes [ 1591. Another DPLL, in some ways similar to the one previously
mentioned, has been reported by Reddy and Gupta [ 1671,
andeffectofmodulationonsynchronization. This DPLL [ 1681whichcanbeused forsynchronizationandtracking
is not designedbased onanyoptimalitycriterion.Forthe of phase of sinusoidal signals. The basic loop and its model are
second-order loop, it has been found [ 1601 that static phase shown in Fig. 17(a) and (b), respectively. The basic analysis
error removal increases the’ timing error variance by a small of the loop without noise is performed in [ 1671, while the
amount. sinusoidalsynchronization is discussed in [ 1681.Forthe
The secondarder loop [ 162al considered has the capability noisy case [ 1681, the analytical approach taken for the filter
of tracking relative frequency offsets on the subcarrier up to design is similar t o [ 1581.Forsynchronization of the
with negligible trackingerror bias compared to the fiist- sinusoidal signal, results for discrete phaseerror probabilities,
order loop having excessive bias. This loop has been analyzed rms phase error, transient response and mean time for cycle
for both acquisition and steadystate behavior and can track slipping for different loop parameters areprovided. For FM
anyperiodic
waveform with
excellent
performance. The demodulation, it is shown that the loop is as good as the FM
loop offers significant advantages over the APLL except for discriminatorforthehigh SNR andbetterinthethreshold
large frequency offsets. region.
Cessna and Levy [ 1581,[163] have also considered the A DPLL for harmonic signal filteration has been proposed
DPLL. Theirscheme is similar totheone describedpre- by Zhadzishsky [ 1651.Theeffects of level and timesyn-
viously and to Simon’s [ 1571, except that the binary outputs chronization are considered.
in this case are obtained from a phase comparator consisting Finally a DPLL has been reported by Garodnick, Greco, and
of integrate and dump circuits controlled by the clock, and the Schilling’[161a]for FM demodulationwherebytheinput
sequences of binary outputs areprocessed throughthe se- is a uniform sample sequence of the FM signal, and the output
quential loop filter t o increase the probability of proper phase is the sample sequence of the demodulated message. All the
update.The basicDPLL is showninFig.16.Thetransient operations within the loopare digital and are performed within
300 PROCEEDINGS OF THE IEEE, FEBRUARY 1975

(b)
Fig. 19. (a) Analog communicationmodel. (b) Discretecommunica-
tion model.

loops is shown in Fig. 18(d) for sinusoidal modulation. Note

thatthethird-order DPLLperformsworsethaneventhe
f i t - o r d e r DPLL, indicating that higher order thanthe second-
order DPLL may not offer improved results. The SNR results
are based on experiments and no theoretical results are given.

Optimum DPLL
Theoptimumstructure of the DPLLcanbe obtainedby
considering optimum digital angle demodulation using non-
linear estimationtheory. This approach is anextension of
Snyder's [ 101 , [ 1691 state-variable communication model t o
includediscrete-time
a observationsequence thatcan be
treated with Jazwinski's [ 1701-[ 1721 approach t o continuous-
d l
discreteestimation.Approximatesolutionswhenapplied to
35-
the communication model lead t o realizable DPLL structures.
This work has been carried out by Kelly and Gupta [ 1741-
/# [1761and Polkand Gupta[177]-[ 1791 forthe additive
noise case, and by Dharamsi, Takhar, and Gupta [ 18 11-[ 1841
for the Rayleigh and Rician fading channels. McBride [ 1801
has also considereda DPLL-type structure for optimumsampled
FM demodulation. Sampling and quantization considerations
for these DPLL'shave beenconsidered by Hurst and Gupta
[ 1851-[ 1871.
I)-

1010
8 4
,i 20 rs 30 3s 4b A
Si/,Im
d l
In order t o develop the optimum DPLL structure, one first
considers, for example, for an FM system, the basic equations
( 1 6 H 1 9 ) of the optimum APLL design usingKalman-Bucy
approach.Theanalogcommunicationmodelbasedonthese
equations is shown in Fig. 19(a). The discrete communication
(dl model is nowobtainedbyessentiallydiscretizing(16)-(19)
Fig. 18. (a) DPLL proposed by Garodnick et al. [ 16181. (b) Fiit-order and is shown in Fig. 19(b). The corresponding equations are:
DPLL. (c) Third-order DPLL. (d)SNR behavior of DPLL for
sinusoidal modulation. (Experimental results given.)

the samplingperiod. This loophasbeenconstructed and

tested. The block diagram of the DPLL is shown in Fig. 18(a).
The fitstorder loop is shown in Fig. 18(b). The second-rder
1003 can be obtained from Fig. 18(b) by adding an integrator
in the forward path.. The thirdaderloop is shown in
Fig. 18(c). Various design parameters like steady-state errors,
loop noise bandwidth, and stability considerations have been
developed [ 161al.The signal-to-noisebehavior of these
GUPTA: PHASELOCKED LOOPS 301

Fi,(k) Phase E s t i m t e ~ i;[k) Phase E s t i m t e

$(k) Message Estimate v i (k) Message E s t i m t e

I W(k,k-1)

Fig. 21. Linearized DPLL model.

Fig. 20. DPLL realization [ 174)-[ 1781. Note that I = [ 1,0,0 * . -1 and
Y d k ) is the posterror variance.

where the following definitions have been made:

-
DI

E 100 I ~ +
102 .3 lo3 .3 1o4
A [SNR i n Message
Bandwidth)

The parameters 0 and A are the bandwidth expansion ratio

and the SNR inthe message bandwidth, respectively. (See
[8, p. 881 for a discussion of the parameters 0 and A.) The
term ~ ( k can
) be interpreted, under the conditions ofuniform
sampling, as the ratio of the sampling frequency to the half-
power frequency of the message power spectral density.
Development of DPLL: Approximate estimation algorithms,
which have been derived for discrete nonlinear systems, may
nowbeapplied t o thediscretecommunicationmodel. This 102 .3 lo3 .3 10’4
approach is similar to theone whichhasbeenapplied for A (SW i n Nessage
Bandwidth)
optimum APLLdesign as discussed earlier. Here,however,
discreteestimationalgorithmsmustbeapplied.Such algo-
Fig. 22. Simulated performance results for quasi-optimum DPLL.
rithms [ 17 1] have been applied by Kelly et al. [ 1741-[ 1781
leading to a DPLL structure as shown in Fig. 20. Under high
SNR conditionstheloopfilter is the Kalman Filter. Inthis
case the DPLL is realized in Fig. 2 1. tion,thesealgorithmscan be usedand afteracquisition,
DPLL Perfomance:Theperformance ofquasi-optimum K h a n design equations can be used. If the DPLL is incor-
DPLL is defiied as inverse mean-square error in the message porated in a digital computer, this is simply a matter of pro-
and prior phase estimates as a function of SNR in the message gramming.
bandwidth, and this is similar to the oneemployedforthe Threshold Performance: The threshold performance of the
APLL by Snyder [ 101 and Van Trees [ 81. Simulated perfor- DPLL has been investigated by Polk and Gupta [ 1791 by con-
mance forthe DPLLas shown in Fig. 21 utilizing various sidering the characteristic function of the prior error in the
estimation algorithms (viz., Kalman, MAP, extended Kalman, stateestimate. This approach neglects the higher orderfre-
modifiedGaussian, truncated second order)areshownin quency terms in developing the basic DPLL model. However,
Fig. 22 [ 1741-[178]. Note that the threshold characteristics Hurst and Gupta [ 1871 have pointed out that unlike theAPLL
forthe Kalman approximations areverysimilar toother where there is low-pass filter in the loop for filtering thehigh-
approximations. frequencyterms,the DPLL does not filterhigh-frequency
It has also been shown by Polk and Gupta [ 1781, that the terms and they must be retained. These terms are negligible
transient response is better for the DPLL based on the MAP for high SNR but for low SNR they aresignificant. Retention
and extended Kalmandesignsuggesting thatduring acquisi- of these terms leads to a better threshold analysis than pro-
 PROCEEDINGS OF THE IEEE, FEBRUARY 1975

Other Considerations
The DPLL type of structuresfor Rayleigh and Rician
channels have been obtained recently by Dharamsi, Takhar, and
Gupta [ 18 1] -[ 1841 . First a discrete communication model of
these channels is developed, and then various estimation algo-
rithms are applied similar to the nonfading case for the DPLL
already mentioned. Simulation for the FM system shows very
good agreement betweentheoretical andsimulationresults.
Threshold analysis has also been made.
Bounds on performance of the DPLL type of structures using
rate distortion theory has also been obtained [ 1881.

CONCLUSIONS
A survey of PLL is presented in this paper. Both classical
and modem approaches are discussed. Although the design
of the APLL is fairly well documented, moreneeds to be
done to pinpoint thetformal design of the DPLL. The primary
c
use of the PLL has been in more sophisticated communication
102 2.102 5r102 lo3
systems,however, withthe rapiddevelopment of IC Tech-
SliR i n Hcsuge h o d v i d t h nology, time is not farwhen PLL’s will be used widely in
Fig. 23. DPLL versus APLL performance in the threshold region. consumer electronics.

ACKNOWLEDGMENT
Theauthor is thankful to his graduate student Dr. I. J.
Ransom for his assistance incollecting the bibliography on
APLL.

REFERENCES
[ 1 ] A.
V. Balakrishnan, Advances in CommunicationSystems.
New York: Academic Press, 1965, pp. 98-102.
[ 21 P. F. Panter, Modulation,Noise and Spectral Analysis. New
York: McGnw-Hill, 1965, pp. 495-503.
[ 31 F. M. Gardner, Phaselock Techniques. New York: Wiley, 1966.
[ 4 ] M. Schwartz, W. R. Bennett,and S. Stein, Communication
Systems and Techniques. New York: McGraw-Hill, 1966,
pp. 161-163,
[ 5 1 A. J. Viterbi, Principles of CoherentCommunication. New
York: McGraw-Hill, 1966.
[ 6 ] A. V. Balakrishnan, Communication Theory. New York:
McGraw-Hill, 1968, p. 97.
171 H. L. Van Trees, Lktection, Estimation, and Modulation
Theory, Part I. New York: Wiley, 1968.
S1IB. in M s u e Bandwidth
[SI H. L. Van Trees, Derection, Esrimation, and Modulation
Theory, Part 11. New York: Wiley, 1971.
Fig. 24. DPLL, APLL, and FM discriminator performance. 191 D.J. Sakrisan, Notes on Analog Communications. Princeton,
New Jersey: Van Nostrand, 1970, sec. 2 , ch. 5.
[ 101 D. L. Snyder, The State Variable Approach t o Continuous
vided in [ 1791, and one canpredict by analyticalmeans, Estimation with Applications
Communication
to neory.
Cambridge, Mass.: M.I.T. Press, 1969.
unlike APLL. Simulation results
augment thetheoretical [ 111 J. J. Stiffler, Theory of Synchronous Communications. Engle-
results obtained. wood Cliffs, N.J.: Prentice-Hall, 1971.
Figs. 23 and 24 +ow the inverse phaseerror variance and [ l 2 ] J. Klapper and J.T. Frankle, Phase-Locked and Frrquency-
Feedback System. New York: Academic Press, 1972.
inverse messageerror variance versus SNR (in message band- [ 13) W. C. Lindsey, SynchronizationSystems in Communications.
width) in the threshold region for the DPLL. Also shown are Englewood Cliffs, N.J.: Prentice-Hall, 1972.
the APLL curves obtainedbysimulationfrom [ l o ] . On
Fig. 24, the FM discriminator curve is also shown for compari- General APLL Papers
son purposes with APLL and DPLL. [ 141 E. V. Appleton, “Automatic synchronization of triode oscilla-
SamplingandQuantizingConsiderations in DPLL: Hurst tors,” Roc. Cambridge Phil. SOC., vol. 21, pt. 111, p. 231,
1922-1923.
and Gupta [ 1861 have looked into the problem of the proper [ 1 5 1 I. R. Woodyard, “Application of the autosynchronized oscilla-
choice of sampling period and quantizers for the DPLL. The tor to frequency demodulation,” Roc. I R E , vol. 25, pp. 612-
constraint on the width of the basic quantizer step4ize q o , is 61 9,May 1937.
[ 16) S. Sakaroff,“Frequency-controlledoscillators,” Communica-
obtained in terms the amplitude of input signal, modulation tions,vol. 19, pp. 7-9, no. 50, 1939.
index,and SNR, and it is shown under what conditions [ 171 E. Labin,“Theory of synchronizationbycontrol of phase,”
quantizererrorbe assumed a uniformzero meanwhite se- PhUipsRes. Rep.,vol. 24, pp. 291-315, 1949.
[ 18) R. Leek, “Phase-lock AFC loops,” Electron. Radio Eng., vol. 34,
quence. The effect of sampling period on predicted phase- pp. 141-146, Apr. 1957; pp. 177-183, May 1957.
error variance is examined, and procedures are developed- for [ 1 9 ] G.W. Preston, “Basic theory of lockedoscillators in tracking
FM signals,” IRE Tmns. S p a n Electron.Telem., vol. SET-5,
proper choice of the samplingperiod. Simulation results pp. 30-32, Mar. 1959.
are provided. [ l o ] K. A. Pullen, “A theory of frequency tracking for narrowband
GUFTA: PHASELOCKED LOOPS 303

communications,” in Conf. Rec.,6th Nut. Commun.Symp., [48] H.L.Van Trees, “Functional techniques for the analysis of the
pp. 83-89, OCt. 1960. nonlinear behavior of phase-locked loops,” Roc. IEEE, vol. 52,
[2l] C. J. Byme,“Propertiesand design of thephase-controlled pp. 894-91 1, Aug. 1964.
oscillatorwithasawtoothcomparator,” Bell Syst. Tech. J., [ 4 9 ] T. J. Rey, “Further on the phase-locked loops in the presence
VOl. 41, pp. 559-602, 1962. of noise,”Roc. IEEE, vol. 53, pp. 4 9 4 4 9 5 , May 1965.
[22] A. J. Goldstein, “Analysis of the phase-controlled loop with a [SO] D. L. Schilling andJ. Billig, “On the thresholdextension
sawtoothcomparator,” Bell Syst. Tech. J., vol. 41, pp. 603- capability of the PLL and FDMFB,” Roc. IRE, vol. 52, p. 621,
633,1962. May 1964.
[23] D.L. Schilling, “Theresponse of an automatic phase control B. S. Abrams, J. F. Oberst, M. Berkoff,and D. L. Schilling,
system to FM signals and noise,” Roc. IEEE, vol. 51, pp. 1306- “Phase locked loop investigations,” Polytech. Inst. of Brooklyn,
1315, Oct. 1963. Brooklyn; N.Y., Rep. 1274-65, Memo. 73, June 1965.
1241 R. M. Gagliardi, “Errorprobabilitiesin PCM/FM with phase- F. J. Charles and W. C. Lindsey, “Some analytical and experi-
lock loop discriminators,” ZEEE Trans. Aerosp. Electron. Syst., mental PLL resultsforlow SNR,” Roc. IEEE, vol. 54, pp.
vol. AES-2, pp. 608-611, Sept. 1966. 1152-1166, Sept. 1966.
[25] W.C. Lindsey,“Phase-shift-keyed signal detectionwith noisy N. P. Nikitin, “Cutsff in tracking in a network of phase auto-
referencesignals,” IEEE Trans. Aerosp. Electron.Syst., vol. maticfrequencycontrol,”AutomaticaandTelemekhanika,
AES2, pp. 393401, July 1966. vol. 26, pp. 669-675, Apr. 1965.
(261 P.H. Lewis and W.E. Weingarten, “A comparison of second, W. C. Lindsey and F. J. Charles, “A model distribution for the
third,andfourthorder phase-locked loops,” IEEE Trans. phase error in second-order phase-locked loops,” IEEE %ns.
Aerosp. Electron. Syst., vol. AES3, pp. 720-727, July 1967. Commun. Technol., vol. COM-14, pp. 662-664, Oct. 1966.
[27] W. C. Lindseyand R.C. Tausworthe, “A surveyof phase- B. M. Smith, “A semi-empirical approach to the PLL threshold,”
lockedtheory,” in Con5 Rec., IEEE Int. Commun. Conf., IEEE Trans. Aerosp. Electron. Syst., vol. AES-2, pp. 4 6 3 4 6 8 ,
June 1967. July 1966.
[28] J. V. Murphy, “Frequency measurement using the phase- C.L. Brittand D.F. Palmer, “Effects of CW interference on
controlledoscillator,” Roc. IEEE, vol. 5 5 , pp. 1144-1153, narrowband second order PLL,” IEEE Trans. Aerosp. Electron.
July 1967. Syst., vol. AES3, pp. 123-135, Jan. 1967.
1291 R. I. Ridgway and J. E. Carter, “More comments on the phase- D. L. Schilling and M. Smirlock,“Intermodulationdistortion
locked loop threshold,” Roc. ZEEE (Lett.), vol. 5 5 , pp. 1531- of a phase locked loop demodulator,” IEEE Trans. Commun.
1533, Aug. 1967. Technol., vol. COM-15, pp. 222-228, Apr. 1967.
1 301 J. J. Stiffler, “On theselection of signals for phase-locked R.
C. Tausworthe, “A Methodforcalculating phase-locked
loops,” ZEEE Trans. Commun. Technol., vol. COM-16, pp. loop performance nearthreshold,” ZEEE Trans. Commun.
239-244, Apr. 1968. Technol.. vol. COM-15. DD. 502-506. AUE. 1967.
1 31 ] F. D. Natali and W. J. Walbesser, “Phase-locked-loop detection 1 591 S. C. Gupta, J. W. Baiiess,and D: R.Hummels,“Threshold
of binary PSK signals utilizing decision feedback,”IEEE m n s . investigation of phase-locked discriminators,” IEEE Trans.
Aerosp. Electron. Syst., vol. AES-5, pp. 83-90, Jan. 1969. Aerosp. Electron. Syst., vol. AES-4, pp. 855-863, Nov. 1968.
[ 321 T. J. Rey, E. Bozzoni, and U. Mengali, “Comments on ‘compari- 1601 F. D. Nataliand W. J. Walbesser, “Interferencerejection in a
sonbetweenthe oscillating limiterandthefirst-order phase- phase-locked loop with decision feedback,” in EASCON Rec.,
locked loop’,’’Roc. IEEE (Lett.), vol. 57, p. 726, Apr. 1969. pp. 187-192, Sept. 1968.
[33] V. Z. Viskanta,“Compound phase-locked loopreceiver,”in [ 61 1 P. W. Osborne and D. L. Schilling, “Expected number of spikes
Roc. Nut. Telemetering Conf., Apr. 1969. of phase locked loop demodulators,” in Roc. Znt. Telemetering
[34] F. Carassa and F. Rocca, “Advances in phase-lock demodula- Conf., pp. 248-258, Oct. 1968.
tion,” IEEE Trans. Commun. Technol., vol. COM-18, pp. 182- [62] A. G. Lindgren, R. F. Pinkos,and R. H. Berube, “Noise
191, June 1970. dynamics of the phase-locked loop with signal clipping,” IEEE
[35] M. K. Simon, “On the equivalence in performance of several Trans. Aerosp. Electron. Syst., vol. AESS, pp. 66-76, Jan.1969.
phase-locked loop
configurations,” IEEE Trans. Commun. [ 631 W. C. Lindsey, “Phase-density distribution of phase-locked loop
Technol., vol. COM-18, pp. 4 4 9 4 5 2 , Aug. 1970. incascade,” IEEE Trans. Commun. Technol., vol. COM-17,
[36] F. Carden, W. E. Thompson,and E. Cheng, “A multifilter p. 503, Aug. 1969.
phase-lock loop,” IEEE Trans. Commun. Technol. (Special [ 6 4 ] F. Cardenand I. A. Stewart, “Some solutionsandstability
Isrue on Error Corecting Codes), vol. COM-19, pt. 11, pp. 669- criteria for the phase lockloopequations,”in Conf. Rec.,
675, Oct. 1971. Mervin J. Kelly Commun. Conf., Oct. 1970.
(651 J. K. Holmes, “On a solution to the second-order phase-locked
Linear APLL loop,” IEEE Trans. Commun. Technol., vol. COM-18, pp. 119-
126, Apr. 1970.
[37] W. J. Gruen,“Theory of AFC synchronization,” Roc. IRE, [66] K. E. Dominiakand R.L. Pickholtz,“Transientbehaviorofa
vol. 41, p. 1171, Sept. 1953. phase-locked loop in the presence of noise,” IEEE Trans.
1 381 C. S. Weaver, “A new approach to thelinear design and analysis Commun. Technol., vol. COM-18, pp. 452-456, Aug. 1970.
of phase-locked loops,” IRE Trans. SpaceElectron. Telem., 167 1 L. L. Cleland, “Experimental results on phase-locked loops with
vol. SET-5, p. 166, Dec. 1959. added nonlinearities,” in Conf. Rec., Menin J. Kelly Commun.
1391 C.R. Cahn, “Piecewise linearanalysis of phase-lock loops,” Conf., Oct. 1970.
IRE Trans. SpaceElectron. Telem., vol. SET-8, pp. 8-13, (681 P. W. Osborneand D.L. Schilling, “Threshold analysis of the
Mar. 1962. phase-locked-loop demodulators using most likely noise,”IEEE
(401 F.G. Splitt, “Design andanalysis of a linear PLL of wide Trans. Commun. Technol., vol. COM-19, pp. 3 1 4 1 , Feb. 1971.
dynamic range,” ZEEE Trans. Commun. Technol., vol. COM-14, 169) K. Suzukiand T. Namekawa,“Dynamics of the phase-locked
pp. 4 3 2 4 4 0 , Aug. 1966. loop without a limiter,” IEEE Trans. Aerosp. Electron. Syst.,
[41] D.P. Olsen and J.C. Lmdenlaub, “A phase lock loop with an VOI. AES7, pp. 798-803, Sept. 1971.
extended linear range phase detector,” in Con5 Rec., Mervin [ 701 G.D. O’clock, Jr., “phase detector data distortion in phase-lock
J. Kelly Commun. Conf., Oct. 1970. loop receivers,” IEEE Trans. Aerosp. Electron. Syst., vol.
AESB, pp. 391-393, May 1972.
Nonlinear APLL 1 711 R. C. Tausworthe, “Simplified formulaformean cycle-slip
time of phase-locked loops with steady-state phase error,”IEEE
(421 S. G. Margolis, “Theresponse of a phase-locked loopto a Trans. Commun. Technol., pt! I, vol. COM-20, pp. 331-337,
sinusoid plus noise,” IRE Trans. Inform. Iheory, vol. IT-3, June 1972.
pp. 136-142, June 1957. I721 J. E. Ohlson, “Phase-locked loop operation in the presence of
[43] A. J.Viterbi,“Acquisitionandtrackingbehavior of phase- impulsive and Gaussian noise,” IEEE Trans. Commun. Technol.,
locked loops,” in Roc. Symp. Active Networks and Feedback vol. COM-21, pp. 991-996, Sept. 1973.
Systems, vol. 10, pp. 583-619, Apr. 1960. a) J. E. Ohlson and A. Rutherford, “Transient statistics of the
[44] V.I. Tikhonov, “Phase-lock automatic frequency control appli- fmt-order phase-locked loop,” ZEEE Trans. Commun. Technol.,
cationsinthe presence of noise,” Automaticaand Telemek- vol. COM-22, pp. 698-703, May 1974.
hanika, vol. 23, no. 3, 1960.
I451 J. A. Develet, “A threshold criterion for phaseqock demodula-
tion,” Roc. ZEEE, vol. 51, p. 580, Apr. 1963. Optimal APLL
[46] A. J.Viterbi, “Phase-locked loop dynamics in the presence of
noise by Fokker-Plank Techniques,” Roc. IEEE, vol. 51, 1731 F. Lehan and R. Parks, “Optimumdemodulation,’’ in IRE
pp. 1737-1753, Dec. 1963. Nut. Con. Rec., pt. 8 , pp. 101-103, 1953.
[47] S. 0. Rice, ‘‘Noise in FM Receivers,” in ZKme Series Analysis, a) D.C. Youla, “The use of the method of maximum likelihood
M. Rosenblatt, Ed. New York: Waley, 1963, ch. 25. in estimating continuous-modulated intelligence whichhas been
NGS 304 FEBRUARY IEEE, O F THE 1975

corrupted by noise,” IRE Trans. Inform.Theory, vol. IT-3, 1001 J. R. Woodbury, “Phase-locked loop pull-in range,”IEEE Tram.
pp. 90-106, Mar. 1954. Commun.Technol., vol. COM-16,pp.184-186,Feb..1968;
I741 R. Jaffe and E. Rechtin, “Design and performance of phase-lock also H. H. Fleischmann, R. Leonhardt,and J. R. Woodbury,
circuitscapableof nearsptimum performanceoverawide “Comments on‘transportation
or
communications’,” IEEE
rangeof input signal and noiselevels,” IRE Trans. Inform. Trans. Commun. Technol. (Corresp.), vol. COM-17-, pp. 89-90,
Theory,vol. IT-1, p. 66, Mar. 1955. Feb. 1969.
[75] G. Frenkel,“Oscillatorstabilityandthesecondorderphase- [ 101] B. R. Eisenberg, “Approximations to the pull-in frequency of
locked loop,” IEEE Trans. Space Electron. Telem., vol. SET-10, highorderlinearandnonlinearloops,” IEEE Trans. Aerosp.
pp. 65-69, June 1964. Electron. Sys?., vol. AES-5, pp. 748-755, Sept. 1969.
[76] S. C. Gupta and R. J. Solem, “Optimum filters for second- and a) D. R. Hummels,“Somesimulationresults for the time to
third-order phase-locked loops by an error function criterion,” indicatephaselock,” IEEE Trans. Commun.Technol, vol.
IEEE Trans. Space Electron.Telem., vol. SET-11, pp. 54-62, COM-20, pp. 37-43, Feb. 1972.
June 1965. [ 102 1 S. L. Goldman,“Second-orderphase-locked-loopacquisition
(771 S. A. Meer, “Aclassof Wiener filtersusefulinPLLapplica- timeinthepresenceofnarrowbandGaussiannoise,” IEEE
tions,”Roc. IEEE,vol. 53, p. 2121, Dec. 1965. Trans. Commun.Technol., vol. COM-21, pp. 297-300,Apr.
I781 M. E. Ellis and G.F. Sage, “Optimum control loops design for 1973.
synchronous FM tone demodulators,” in R o c . Not. Telemetering [ 1031 B.N. Biswas and P. Banerjee,“Rangeextensionofaphase-
Conf., pp. 238-242, May 1966. locked loop,” IEEE Trans. Commun.Technol., vol. COM-21,
(791 T. Rachel,“Performanceofoptimum FM demodulatorsfor pp. 293-296, Apr. 1973.
various message spectra,” M. Sc. Thesis, Dep. ofElec. Eng. a) L. J. Greenstein,“Phase-locked loop pull-in frequency,”
M.I.T., Cambridge, Mass., Aug. 1966. IEEE Trans. Commun. Technol., vol. COM-22, pp. 1005-1013,
[80] R. W. Sannemanand S. C. Gupta,“Optimumstrategies for Aug. 1974.
minimumtimefrequencytransitionsinphase-locked loops,”
IEEE Trans. Aerosp. Electron. Syst., vol. AES-1, pp. 570-581,
Sept. 1966. Tracking
[ 811 C. M. Thomas,“Optimizationofphase-lockdemodulatorfor [ 104) C. S. Weaver, “Increasing the dynamic tracking range of a phase
single channel voice,” in R o c . Inr. Commun. Conf., June 1966; lock loop,”hoc. IRE, vol. 48, p. 952, May 1960.
also in Microwave J., vol. 10, no. 7, pp. 43-47, 1967.
[ 1051 A. K. Rue and P.A. Lux, “Transient analysis of a phase-locked
[ 821 T. J. Cruise, “Communication using feedback channels,” Ph.D. loopdiscriminator,” I R E Trans. Space Electron.Telem., vol.
dissertation, M.I.T., Cambridge, Mass., Jan. 1969. SET-7, pp. 105-111, Dec. 1961.
I831 T..J. Jones,“Phase-locked loopoptimization basedupon the [ 1061 C. S. Weaver, “Thresholds and tracking ranges in phase-locked
mean-squareminimizationoferroranderrorrate,”in Conf. loops,’’ IRE Trans. Space Electron.Telem., vol. SET-7, pp.
Rec. Marvin J. Kelly Commun. Conf., Oct. 1970. 60-70, Sept. 1961.
a) A. S. Willsky, “Fourierseriesandestimationonthecircle I1071 S. C. Gupta,“Transientanalysisofaphase-lockedloopopti-
with applications to synchronous communication-Part 11; Im- mized for a frequency ramp input,” IEEE Trans. Space Elec-
plementation,’’ IEEE Trans. Inform.Theory, vol.IT-20, pp. tron. Telem., vol. SET-10, pp. 79-84, June 1964.
584-590, Sept. 1974. [ 1081 R. W. Sanneman and J. R. Rowbotham, “Unlock characteristics
oftheoptimumtype I1 phase-locked loop,” IEEE Trans.
!isition Aerosp. Navig. Electron., vol. ANE-11, pp. 15-24, Mar. 1964.
[ 1091 P. H. Alexander and S. N. Kalra, “Unlock characteristics of a
D. Tucker, “The synchronization by control of phase,” Phillips phase-locked loop,” R o c . IEEE (Lett.), vol.
53,p. 1138,
Res. Rep. 24, pp. 294-315. Aug. 1965.
G. N. Preston and I. C. Tellier, “The lockin performance of an I l l 0 1 B. M. Smith,“The phase-lock loopwithfilter:frequency of
AFC circuit,”Roc. IRE,vol. 41, pp. 249-251, Feb. 1953. skippingcycles,” R o c . IEEE (Lett.),vol.54, p. 296, Feb.
D. Richman, “The DC Quadricorrelator: A two-mode synchroni- 1966.
zation system,” R o c . IRE, vol. 42, pp. 288-299, Jan. 1954. [ 1111 R.C. Tausworthe,“Cycleskippinginphase-lockedloops,”
A. J. Goldstein and C. I. Byme, “Pull-in frequencyofthe IEEE Trans. Commun.Technol., vol.COM-15,pp. 417-421,
phasecontrdled oscillator,” Roc. IRE (Lett.), vol. 49, p. 1209, June 1967.
July 1961. [ 1121 L.L. Cleland and B. J. Leon,“Phase-locked loops forlarge
J. P. Frazier and J. Page, “Phase-lock loop frequency acquisition signal tracking,” in h o c . 11th Midwest Symp. Circuit Theory,
study,” IRE lhuw Space Electron.Telcm., vol. SET-8,pp. pp. 2-9,May 1968.
210-227, Sept. 1962. [ 1131 R. L. Didday and W. C. Lindsey, “Subcarrier tracking methods
J. A. Develet,“Theinfluenceof time delay on second-order andcommunicationsystem design,” IEEE Tmns. Commun.
phase-locked loop acquisition range,” in Roc. Inr. Telemetering Technol.,vol. COM-16, pp. 541-550, Aug. 1968.
Conf., vol. 1, pp. 4 3 2 4 3 1 , Sept. 1963. [ 1141 D. T. Hess, “Cycle slipping in a fmt-order phase-locked loop,”
J. M. Holtzmanand A.
K. Rue,“Regionsof asymptotic IEEE Trans. Commun.Technol., vol. COM-16,pp. 255-260,
stabilityfor phase-lockloops,” IEEE Dam. Space Electron. Apr. 1968.
Telem. (Corresp.), vol. SET-10, pp. 4 5 4 6 , Mar. 1964. [ 1151 J.J. Uhran, Jr., “Cycle-slippingeffects on theoutput signal
K. Hiroshige,“Asimpletechnique for improving the pull-in ofaphase-locked demodulator,” R o c . IEEE (Lett.), vol. 56,
capabilityofphase-lock loops,’l IEEE Trans. Space Electron. pp. 80-81, Jan. 1968.
Telem.,vol. SET-11, pp. 4 0 4 6 , Mar. 1965. [ 1161 S. I. Evtyanov and V. K. Snedkova, “Dependence of the hold-in
S. A. Meer, “Analysisofphase-locked loopacquisition-A range of a phase lock AFC system on the characteristics of the
quasi stationary approach,” in IEEE Int. Conv. Rec., vol. 14, phase detectorwithproportional plusintegralfilter,” Tele-
pt. 7, pp. 85-106, 1966. commun. Radio Eng., pt. 2, vol. 24, no. 4, 1969.
S. A. Meer, “A generalized analysis for the acquisition time and [ 1171 E. N. Protonotarios, “The effect of phase jitter on the perfor-
pull-in range of phase-locked loops,” in Conf. Rec., Conf. F k - mance of a fmt-order phase-locked loop,” IEEE Trans. Com-
quencyCmemtion andContr.RadioSyst.; pp.144-148, mun. Technol., vol. COM-18, pp. 74-76, Feb. 1970.
May 1967. [ 1181 L. Schuchman,“Time to cycleslip in f m t and second order
J.J. Uhm and J. C. Lindenlaub, “Effects of a class of phase phase lock loops,” in Conf. Rec., In?. Commun. Conf., pp. 34.1-
comparatorsonthethresholdandlock rangeofphase lock 34.9, June 1970.
loop systems,” in R o c . 3rd Inr. Conf. Commun., June 1967. [ 119) E.A. Bozzoni, G. Marchetti, U. Mengali, and F. Russo, “An
D. Ludwig, “A general sdution for the shortest acquisition time extension of Viterbi’s analysis of the cycle slipping in a fmt-
in type I1 phase-lock loops,” IEEE Trans. Aerosp.Electron. order phase locked loop,” IEEE Trans. Aerosp. Electron. Syst.,
Sysr. (Lett.), vol. AES4, pp. 639-640, July 1968. vol. AES6, pp. 4 8 4 4 8 9 , July 1970.
P.D. Shaft and R.C. Dorf, “Minimization of communication- [ 1201 P. H. Garrett, “AdaptiveMaximumLikelihoodReceiver for
signal acquisition time in tracking loops,” IEEE Trans. Commun. Direct-RangingApplications,” IEEE Trans. Aerosp.Electron.
Technol., vol. COM-16, pp. 495-499, June 1968. Syst., vol. AES-7, pp. 863-874, Sept. 1971.
J.
R. Woodbury,“Phase-iocked loop pull-inrange,” IEEE a) 12.C. Korgel, “The effects of atmospheric fading on a second
Trans. Commun. Technol., vol. COM-16, p. 495, June 1968. orderphase-locked loop precededbyabandpasslimiter,”in
P. K. Rajasekaran and M. D. Srinath. “Switchless control R o c . 1974 Int. Commun. Conf., pp. 3E-1-3E-5.
strategiesforminimumtimefrequencytransitions in phase-
locked loops,” IEEE Trans. Aerosp. Electron. Syst., vol. AESS,
pp. 984-988, Nov. 1969. General Applications
E. N. Protonotarios, “Pull-in performance of a piecewise linear
phase-locked loop,” IEEETrans. Aerosp. Electron. Syst., vol. [ 1211 K. R. Wendt and G.L. Fredendall, “Automatic frequency and
A E S S , pp. 376-386, May 1969. phase control of synchronization in television receivers,” Roc.
GUPTA: PHASELOCKED LOOPS
IRE, VOI. 31, pp. 7-15, Jan. 1943.
[ 1221 T. S. George, “Analysis of synchronizingfordot-interlaced
color television,”Roc. IRE, vol. 39, pp. 124-131, Feb. 1951.
[ 123) D. Richman, “APC color sync for NTSC color television,”IRE
Nat. Conv. Rec., pt. 4 , Broadcasting and Television, pp. 13-17,
1953.
I1241 D. Richman, “Color-carrier reference phase synchronization
accuracyin NTSC colortelevision,” Roc. IRE, vol. 42, pp.
106-133, Jan. 1954.
[ 125) M. Peter and M. W.P. Strandberg, “Phase stabilization of micro-
wave oscillators,”Roc. IRE,vol. 43, pp. 869-873, July 1955.
[ 126) J. P. Costas, ‘Synchronous communications,” R o c . IRE, vol.
44, pp. 1713-1718, DeC. 1956.
[ 1 2 7 ] J. K. Clappand F.D. Lewis, “A uniquestandard-frequency
multiplier,”inIRENat. Conv. Rec., pt. 5, pp. 131-136, 1957.
[ 1281 A. J. Viterbi, “System design criteria for space television,”
Brit. Inst. Radio Eng., vol. 19, no. 9, pp. 561-570, 1959.
[ 1291 R. L. Choate, “Analysis of a phase-modulation communication
system,” IRE Trans. Commun. Syst., vol. CS-8,pp. 221-227,
Dec. 1960.
[ 1301 G. Thirup, “The application of phase-locking techniques to the
design of apparatus for measuring complex transfer functions,”
J. Brit. Inst. Radio Eng., vol. 20, pp. 387-396, 1960.
[ 131) M. Breese, R. Colbert, W. Rubin,and P. Sferrazza, “Phase-
locked loops forelectronicallyscannedantennaarrays,” IRE
Trans. Space Electron.Telem., vol. SET-7, pp. 95-100, Dec.
1961.
[ 1321 W. Hannan and T. Olson, “An automatic-frequency-controlled
phase-shift-keyeddemodulator,” RCARev., vol. 22, no. 3,
pp. 729-752, 1961.
[ 1 3 3 ] R.
C. Booton, Jr., “Demodulationofwidebandfrequency
modulation utilizing phase-lock technique,” in h o c . Nat. Tele-
metering Conf., May 1962.
[ 1341 A. Benjaminson, “Phase-locking microwave oscillators to im-
prove stability and frequency modulation,” Microwve J., vol.
6 , pp. 88-92, 1963.
[ 1 3 5 ] C.R. Laughlin, “Thediversity-locked IoopA coherentcom-
biner,” IEEE Trans. SpaceElectron.Telem., vol. SET-9, pp.
84-92, Sept. 1963.
[ 1361 L. P. Chu, “Phase-locked AM radioreceiver,” IEEE %ns.
~~ ~
Brwdcast Telev.Receivers, vol. BTR-15, pp. 300-308, Dec.
1969.
1371 A.B. Grebene, “The monolithic phase-locked loop-A versatile
building block,” IEEE Spectrum, vol. 8, pp. 3 8 4 9 , Mar. 1971.
1381 Chi-Hau Chen, “Phase-locked loopbandwidthand signal-to-
noise ratio requirements fordeep-space communications,” IEEE
Trans. Aerosp. Electron. Syst., vol. AES-7, pp. 988-994, Sept.
1971.
1391 J. C. Schmoock, “A monolithic PLL systemfor FSK and
tone detection,” in Roc. 7th ASILMOR Con5 Circuits, Systems
and Computers, Nov. 1973.
a) A.W. Moore, “Phase-locked loops for motor speed control,”
IEEE Spectrum, vol. 10, pp. 61-67, Apr. 1973.
Analog-Digital or HPLL
[140] P.R. Westlake, “Digital phase control techniques,”IRE 7 h u .
Commun. Syst., vol. C S 8 , pp. 237-246, k c . 1960.
[ 1411 L. F. Judd, “Sample data analysis of digital phase locked
loops,”in SWIEECO Rec., pp. 22.4-1-22.4-6, Apr. 1967.
[ 142 1 S. C. Gupta, “On optimum digital phase locked loops,” IEEE
Trans. Commun.Technol., vol. COM-16, pp. 340-344, Apr.
1968.
[ 1431 R. B. Sepe, “Utilizing a digital control loop,” Comput. Des’gn,
pp. 54-63, May 1968.
a) D. E. Santarpiaand T. E. McGunigal, “‘A,,digital voltage-
controlled
oscillator
for phase-locked loops, NASA Tech.
Memo D-4521, May 1968.
I 1441 S. C. Gupta, “Status of digital phase-locked loops,” Document
No. WP-7225, Collins Radio Co., Dallas, Tex., May 1969.
An abbreviated version appears in 1970 R o c . 3rd Hanuii Conf.
1451 B.R. Esenberg, “Gated phase-locked loop study,”IEEE %ns.
Aerosp. Electron. Syst., vol. AES7, pp. 4 6 9 4 7 7 , May 1971.
1461 R.W. Chang, J. E. Mazo, and J. Salz, “Stability analysis of a
digital ratedockedloop,” IEEE Thns. Commun.Technd.,
VOI. COM-20, pp. 11 36-1 139, D ~ C1972.
.
a) L. Schiff,“Burstsynchronization of phase-locked loops,”
IEEE mans. Commun. Technol., v d . COM-21, pp. 1091-1099,
Oct. 1973.
Discrete PLL
[147] G. S. Gill and S. C. Gupta, “ F i o r d e r discrete phase-locked
loopwithapplications t o demodulationofangle-rnodhted
carrier,” IEEE muu Commun. Technd.. vol. COM-20, pp.
30 5
4 5 4 4 6 2 , June 1972.
a) G. S. Gill and S. C. Gupta, “On higher order discrete phase-
locked loops,” IEEE Trans. Aerospace Electron. Syst., AES-8,
pp. 615-623, Sept. 1972.
[ 148) A. Weinberg and B. Liu, “Discrete time analyses of non-uniform
sampling f m t - andsecond-order digital phase-locked loops,”
IEEE Trans. Commun.Technol., vol. COM-22, pp. 123-137,
Feb. 1974.
I1491 C. P. Reddy and S. C. Gupta, “Demodulation of FM signals by a
discrete phase-locked loop,” in R o c . Int. Telemetering Conf.,
vOI. VIII, pp. 124-1 33, Oct. 1972.
DPL L
[ 1501 E. M. h o g e n , “Steering on course to safer air travel,” E&C-
J. tronics, pp. 95-102, Nov. 27, 1967.
[ 151 1 W. E. Larimore, “Synthesis of digital phase-locked loops,” in
1968 EASCONRec., pp. 14-20, Oct. 1968.
[ 1521 F. D. Natali. “Accurate digital detectionof angle modulated
signals,” in 1968 EASCON Rec., pp. 4 0 7 4 1 2 , Oct. 1968.
531 G. Pastmack and R.L. W ha n
il, “Analysis and synthesis of a
digital phase locked loopfor FM demodulation,” Bell Syst.
Tech. J., pp. 2207-2237, Dec. 1968.
541 W. J. Hurdand T. 0. Anderson, “Digital TransitionTracking
SymbolSynchronizerfor LOW SNRCodedSystems,” IEEE
Tram. Commun.Technol., vol. COM-18, pp. 141-147, Apr.
1970.
1 5 5 ) H. Gota, “A digital-phase locked loop for synchronizing digital
networks,” in Roc. Int. Con5 Commun., June 1970.
1 5 6 ) J. K. Holmes, “On a solution t o a f m t order digital phase-locked
IOOD.” in Conf.Rec.. Mervin J. KellyCommun.Conf., Oct.
19iO.
[ 157 1 M. K. Simon, “The steady state performance of a data-trans-
actiontypeof fmt order digital phase lockedloop,”Jet
Propulsion Labs., Pasadena, Calif., Rep. SPS 37-66, pp. 59-68,
Dec. 1970.
[ 1581 J. R. Cessna and D. M. Lay, “Phase noise and transient times
forabinaryquantized digital phase-locked loop in white
Gaussian noise,” IEEE %ns. Commun. Technol., v d . COM-20,
pp. 94-104, Apr. 1972.
[ 1591 J. K. Holmes, “Performance of a fmt-order transition sampling
digital phase-locked loop using random-walkmodels,” IEEE
Commun Technol.,vol. COM-20, pp. 119-1 31, Apr. 1972.
[ 1601 J. K. Holmes, “Digital command system second-order subcarrier
tracking loop,”in Roc. In?. Conf. Commun., June 1972.
[ 1611 J. Greco, J. Garodnick, and D. L. Schilling, “An all digital phase
locked loop for FM demodulation,” in Roc. Int. Con5 Com-
mun., June 1972.
a) J. Garodnick, J. Greco, and D. L. Schilling, “Response of an
all digital phase-locked loop,” IEEE 7hns. Commun. Technol.,
vol. COM-22, pp. 751-764, June 1974.
[1621 C. R. Tegnelia, “Asimplesecond-order digital phase-locked
* loop,” i n R o c . . Int.Te&mteringConf., v d . VIII,pp. 108-
118, Oct. 1972.
a) J. K. Holmes and C. R. Tegnelia, “A secondorder all digital
phase-locked loop,” IEEE Tmns. Commun. Technol., vol.
COM-22, pp. 62-68, Jan. 1974.
11631 J. R. Cessna, “Digital phase locked loops with sequential loop
filters: A case for coarse quantization,” in hoc.Inf Tekmeter-
ing Conf., vol. VIII, pp. 1 3 6 1 4 8 , Oct. 1972.
6 4 1 F. D. Natali, “All digital coherent demodulator techniques,”in
R o c . Int. Telemetcring Conf., vol. VIII, pp. 89-108, Oct. 1972.
165) M. I. Zhodzishsky, “The analysis of digital phase-locked loops
for harmonic signal filteration,” Radiotechnika (MOSCOW),v d .
28, pp. 979-984, Apr. 1973.
[ 1 6 6 ] J. T. Ransom and S. C. Gupta, “Performance of a ftnite phase
statebitsynchronizationloopwithsecond-andthird-order
sequential filters,” IEEE Trans. Commun.TechnoL, t o be
published.
[ 1671 C. P. Reddyand S. C. Gupta, “A class of all digital phase
locked loops: Modelling and analysis,” IEEE Tkans. Ind. Elec-
tron. Contr. Inrtncm., vol IECI-20, pp. 239-251, Nov. 1973.
I1681 C. P. Reddy and S. C. Gupta, “An all digital phase locked loop
for synchronization of a sinusoidal signal embedded in white
Gaussian noise,” in Roc. Nat. Telemtering ConK, Nov. 1973.
I1691 D. L. Snyder, “The state variable approach in analog communi-
cation theory,” IEEE 7hns. Inform.Zheory, vol. IT-14, pp.
94-104, Jan. 1968.
1170) A. H. Jazwinski,“Stochastic processes withapplication to
fdtering theory,’’ Analytical Mechanics h o c .Inc., Seabrook,
Maryland, Rep. 66-6.1966.
[ 171 1 A.H. Jazwinski, “Fdtering for nonlinear dynamical systems,”
IEEE Automat. Contr.. vol. AC-11, pp. 765-766, Oct. 1966.
[ 1721 A. H. Jazwinski, Stochastic €+oa?&ses and RWtehg Thcory,
New York: Academic Res, 1970, ch. 9.
[ 1731 A. P. Sage and J. L. M e h , Eszhurion Theory: Mth Applica-
 306 PROCEEDINGS O F THE IEEE, VOL. 63, NO. 2, FEBRUARY 1975

tions fo Communications and Control. New York: McGraw- Elec. Eng.Dep., Southern Methodist Univ.,Dallas,Tex., Oct.
Hill, 1971. 1973.
[174] C. N. Kelly, “Discrete time
demodulationof
continuous [ 1821 M. T. Dharamsi and S. C. Gupta, “Discrete-time demodulation
timesignals,” Ph.D. dissertation,Inform.Contr. Sci.
Dep., of angle modulated analog signals in fading channeh,” J. Inform.
Southern Methodist Univ., Dallas, Tex., May 1971. Sn’., 1975.
[ 1751 C.N. Kelly and S. C. Gupta, “The digital phase locked loop as a [183] M. T. Dharamsiand S. C. Gupta,“Quasi-optimum digital FM
near optimum FM demodulator,” ZEEE Trans. Commun. demodulatorforfadingchannels,” Compur. Elec. Eng., Mar.
Technol., vol. COM-20, pp.406-41 1, June 1972. 1975.
[176] C. N. Kelly and S. C. Gupta,“Discretetime demodulation of [ 1841 G. S. Takhar, “On signals over multipath channels for aeronauti-
continuoustime signals,” IEEE
IT-18, pp. 4 8 8 4 9 3 , July 1972.
Trcms. Znfonn. lheory, vol. cal
communication,” Ph.D. dissertation,
Elec. Eng. Dep.,
Southern Methodist Univ., Dallas, Tex., Oft. 1974.
[ 1771 D.R. Polk, “Quasi-optimum digital phase locked loops,” Ph.D. [ 1851 G.T. Hurst,“Sampling,quantizingand low signal t o noise
dissertation,Inform. Contr. Sci. Dep., Southern Methodist ratio considerations in digital phase locked loops,” Ph.D. d w r -
Univ., Dall&, Tex., June 1972. tation, Inform. and Contr. Sci. Dep., Southern Methodist Univ.,
1781 D. R. Polk and S. C. Gupta,“Quasiaptimumdigitd phw Dallas, Tex., Apr. 1973.
locked loops,” ZEEE Tnuu. Commun. Technol., vol. COM-21, [ 186) G. T. Hurst and S. C. Gupta, “Quantizing and samplingcon-
179)
pp. 75-82, Jan. 1973.
-, “An approach t o t h e analysisofperformance of quasi-
siderations indigital phase locked loops,” IEEE
Technol., vol. COM-22, pp. 68-72, Jan. 1974.
Tnuu. Commun
ootimum
- -~~~~ dimtalohase-locked loom,” IEEE Trans Commun [ 1871 G.T. Hunt and S. C. Gupta, “On the performance of digital
TechnoL, voi. COM-21, pp. 733-738,June 1913. phase locked loops in the threshold region,” IEEE 7hm. Com-
[ 1801 A. L. McBride, “On optimum sampleddata FM demodulation,” m u n Technol., vol. COM-22, pp. 724-726, May 1974.
IEEE Trans. Commun.Technol., vol. COM-21, pp.40-50, [ 1881 D.
R. Polk, S. C. Gupta,and D. L. Cohn,“Boundsonthe
Jan. 1973. performanceofaclassofdigitalcommunicationsystems,”
[le11 M. T. Dharamsi,“Discrete-timedemodulationofanglemodu- ZEEE i’hns. Inform.Theory, vol. IT-19,pp.811-815, Nov.
latedanalogsignalsoverfadingchannels,” Ph.D. dissertation, 1973.

Spurious Signals Generated by Electron Tunneling

on Large Reflector Antennas
WALTER H.HIGA, SENIOR MEMBER, IEEE

- Abstmct-Large reflector antennas are currently fabricated by as-

sembling a large number of glun light aluminum panels onto a super-
A l q e number of aluminum-to-duminum joints are
iuhere-ntlyexposedtoRFndirtiononsuchmmtenna.Itisshown
m~prperthitthenrturilaxidelryeron.luminumisofthecorrect
thidrness to permit ekctmn tunneling through the Al-Al2Os-M
antennacontainsalargenumber
(MIM) junctions which
currents.
are
exposed
of metal-insulator-mea
to antennasurface

It is thepurpose of this paper to demonstratethatthese

junctioa The nonlineuitydue to the junctions then generates spurious
aignrbwhenthesemtennu,musedforsimult8neoustrrnsrmseon . . pad
reception of signah at different frequencies. Moreover, the large num-
ber of junctions (rivets) on an mtennr can combine to produce sexbus
intedemnce in these diplexd systems.
I. INTRODUCTION
ARGE reflector-type antennas are currently fabricatedin mitters are used simultaneously at different frequencies.
MIM junctions give rise to spurious signals when illuminated by
high-powermicrowaveradiation.Inparticular, it will be
shown that MIM junctions comprised of Al-Al203-Al form
nonlinear circuit elements due to electrons tunneling through
the thin insulators. These nonlinear elements then give rise t o
noise .when subjected to high-power microwave radiation or to
intermodulation product (IMP) signals whentwo’or moretrans-

IL a fairly standard way: lightweight thin aluminum panels The Deep Space Network (DSN) is comprised of 26-m- and
are riveted (using aluminumrivets) t o stiffening members, 64mdiameter paraboloidalantennaswhichareoperatedby
which in turn are joined to the main antenna structure to form the Jet Propulsion Laboratory for NASA to trackplanetary
the paraboloidal reflector. Thus the principal element of the spacecraft. These antennas are typically used for simultanepus
transmission (at 21 15 MHz) of commands and reception (at
2295 MHz) of telemetry signals from the spacecraft. Future
Manuscript received January 30, C974; revised September 16, 1974. multiple spacecraft planetary missions will require simultaneous
This work was supported by NASA under Contract NAS 7-100.
The author is with the Jet Propulsion Laboratory,California Institute transmissions attwodifferentfrequenciesandreceptionat
of Technology, Pasadena,Calif. multiple frequencies. In these applications the antenna pointing