DIGITAL
`COMMUNICATIONS
`Fundamentals and Applications
`
`;
`
`I
`
`Information
`source
`
`From other
`sources
`
`I n f o rm a t i o n
`
`sink
`
`Optional
`
`• Essential
`
`T o other
`destinations
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 1
`
`

`

`DIGITAL
`COMMUNICATIONS
`Fundamentals and Applications
`
`BERNARD SKLAR
`
`The Aerospace Corporation, El Segundo, California
`and
`University of California, Los Angeles
`
`P T R Prentice Hall
`Englewood Cliffs, New Jersey 07632
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 2
`
`

`

`Library of Congress Cataloging-in-Publication Data
`
`SKLAR, BERNARD (date)
`Digital communications.
`
`Bibliography: p.
`Includes index.
`I. Title.
`1. Digital communications.
`TK5103.7.S55 1988
`621.38'0413
`ISBN 0-13-211939-0
`
`87-1316
`
`Editorial/production supervision and
`interior design: Reynold Rieger
`Cover design: Wanda Lubelska Design
`Manufacturing buyers: Gordon Osbourne and Paula Benevento
`
`© 1988 by P T R Prentice Hall
`Prcntice-Hall, Inc.
`A Paramount Communications Company
`Englewood Cliffs, New Jersey 07632
`
`All rights reserved. No part of this book may be
`reproduced, in any form or by any means,
`without permission in writing from the publisher.
`
`Printed in the United States of America
`
`20 19 18 17
`
`i s b n o - i a - a i n B ^ - D
`
`Prentice-Hall International (UK) Limited, London
`Prentice-Hall of Australia Pty. Limited, Sydney
`Prentice-Hall Canada Inc., Toronto
`Prentice-Hall Hispanoamericana, S.A., Mexico
`Prentice-Hall of India Private Limited, New Delhi
`Prentice-Hall of Japan, Inc., Tokyo
`Simon & Schuster Asia Pte. Ltd., Singapore
`Editora Prentice-Hall do Brasil, Ltda., Rio de Janeiro
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 3
`
`

`

`To my mother, Ruth Sklar,
`the memory of my father, Julius Sklar,
`my wife, Gwen, and our children,
`Debra, Sharon, and Dean
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 4
`
`

`

`f
`
`Contents
`
`PREFACE
`
`xxi
`
`1 SIGNALS AND SPECTRA
`
`1.1 Digital Communication Signal Processing, 3
`1.1.1 Why Digital?, 3
`1.1.2 Typical Block Diagram and Transformations, 4
`1.1.3 Basic Digital Communication Nomenclature, 9
`1.1.4 Digital versus Analog Performance Criteria, 11
`1.2 Classification of Signals, 11
`1.2.1 Deterministic and Random Signals, 11
`1.2.2 Periodic and Nonperiodic Signals, 12
`1.2.3 Analog and Discrete Signals, 12
`1.2.4 Energy and Power Signals, 12
`1.2.5
`The Unit Impulse Function, 13
`1.3 Spectral Density, 14
`1.3.1 Energy Spectral Density, 14
`1.3.2 Power Spectral Density, 15
`1.4 Autocorrelation, 17
`1.4.1 Autocorrelation of an Energy Signal, 17
`1.4.2 Autocorrelation of a Periodic (Power) Signal, 17
`1.5 Random Signals, 18
`1.5.1 Random Variables, 18
`1.5.2 Random Processes, 20
`
`vii
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 5
`
`

`

`1.5.3 Time Averaging and Ergodicity, 22
`1.5.4 Power Spectral Density of a Random Process, 23
`1.5.5 Noise in Communication Systems, 27
`1.6 Signal Transmission through Linear Systems, 30
`1.6.1
`Impulse Response, 31
`1.6.2 Frequency Transfer Function, 31
`1.6.3 Distortionless Transmission, 32
`1.6.4
`Signals, Circuits, and Spectra, 38
`1.7 Bandwidth of Digital Data, 41
`1.7.1 Baseband versus Bandpass, 41
`1.7.2 The Bandwidth Dilemma, 43
`1.8 Conclusion, 46
`References, 46
`Problems, 47
`
`2 FORMATTING AND BASEBAND TRANSMISSION
`
`51
`
`2.1
`2.2
`2.3
`
`2.4
`
`2.5
`
`2.6
`
`2.7
`
`2.8
`
`2.9
`
`Baseband Systems, 54
`Formatting Textual Data (Character Coding), 55
`Messages, Characters, and Symbols, 55
`2.3.1 Example of Messages, Characters, and
`Symbols, 55
`Formatting Analog Information, 59
`2.4.1 The Sampling Theorem, 59
`2.4.2 Aliasing, 66
`2.4.3
`Signal Interface for a Digital System, 69
`Sources of Corruption, 70
`2.5.1
`Sampling and Quantizing Effects, 70
`2.5.2 Channel Effects, 71
`2.5.3
`Signal-to-Noise Ratio for Quantized Pulses, 72
`Pulse Code Modulation, 73
`Uniform and Nonuniform Quantization, 74
`2.7.1
`Statistics of Speech Amplitudes, 74
`2.7.2 Nonuniform Quantization, 76
`2.7.3 Companding Characteristics, 77
`Baseband Transmission, 78
`2.8.1 Waveform Representation of Binary Digits, 78
`2.8.2 PCM Waveform Types, 78
`2.8.3
`Spectral Attributes of PCM Waveforms, 82
`Detection of Binary Signals in Gaussian Noise, 83
`2.9.1 Maximum Likelihood Receiver Structure, 85
`2.9.2 The Matched Filter, 88
`2.9.3 Correlation Realization of the Matched Filter, 90
`2.9.4 Application of the Matched Filter, 91
`2.9.5 Error Probability Performance of Binary
`Signaling, 92
`
`2.10
`
`2.11
`
`2.12
`
`2.13
`
`Mult
`2.10
`Intel
`2.11
`2.11
`Parti
`2.12
`2.12
`2.12
`2.12
`2.12
`
`2.12
`Corn
`Refe
`Prob
`
`3 BANDPA
`
`3.1
`3.2
`
`3.3
`
`3.4
`
`3.5
`
`3.6
`
`Why
`Sign.
`3.2.
`3.2..
`Digil
`3.3.
`3.3..
`3.3..
`3.3,
`3.3..
`Dete
`3.4.
`3.4.
`Cohi
`3.5.
`3.5.
`3.5.
`
`3.5.
`Non
`3.6.
`3.6.
`3.6.
`3.6.
`
`viii
`
`Contents
`
`Contents
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 6
`
`

`

`2.10 Multilevel Baseband Transmission, 95
`2.10.1 PCM Word Size, 97
`2.11 Intersymbol Interference, 98
`2.11.1 Pulse Shaping to Reduce ISI, 100
`2.11.2 Equalization, 104
`2.12 Partial Response Signaling, 106
`2.12.1 Duobinary Signaling, 106
`2.12.2 Duobinary Decoding, 107
`2.12.3 Precoding, 108
`, 2.12.4 Duobinary Equivalent Transfer Function,
`2.12.5 Comparison of Binary with Duobinary
`Signaling, 111
`2.12.6 Poly binary Signaling, 112
`2.13 Conclusion, 112
`References, 113
`Problems, 113
`
`109
`
`BANDPASS MODULATION AND DEMODULATION
`
`3.1 Why Modulate?, 118
`3.2 Signals and Noise, 119
`3.2.1 Noise in Radio Communication Systems, 119
`3.2.2 A Geometric View of Signals and Noise, 120
`3.3 Digital Bandpass Modulation Techniques, 127
`3.3.1
`Phase Shift Keying, 130
`3.3.2 Frequency Shift Keying, 130
`3.3.3 Amplitude Shift Keying, 131
`3.3.4 Amplitude Phase Keying, 131
`3.3.5 Waveform Amplitude Coefficient, 132
`3.4 Detection of Signals in Gaussian Noise, 132
`3.4.1 Decision Regions, 132
`3.4.2 Correlation Receiver, 133
`3.5 Coherent Detection, 138
`3.5.1 Coherent Detection of PSK, 138
`3.5.2
`Sampled Matched Filter, 139
`3.5.3 Coherent Detection of Multiple Phase Shift
`Keying, 142
`3.5.4 Coherent Detection of FSK, 145
`3.6 Noncoherent Detection, 146
`3.6.1 Detection of Differential PSK, 146
`3.6.2 Binary Differential PSK Example, 148
`3.6.3 Noncoherent Detection of FSK, 150
`3.6.4 Minimum Required Tone Spacing for Noncoherent
`Orthogonal FSK Signaling, 152
`
`Contents
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 7
`
`

`

`3.7.2
`
`3.7.3
`
`3.7.4
`
`3.7.5
`3.7.6
`
`3.7 Error Performance for Binary Systems, 155
`Probability of Bit Error for Coherently Detected
`3.7.1
`BPSK, 155
`Probability of Bit Error for Coherently Detected
`Differentially Encoded PSK, 160
`Probability of Bit Error for Coherently Detected
`FSK, 161
`Probability of Bit Error for Noncoherently Detected
`FSK, 162
`Probability of Bit Error for DPSK, 164
`Comparison of Bit Error Performance for Various
`Modulation Types, 166
`M-ary Signaling and Performance, 167
`Ideal Probability of Bit Error Performance, 167
`3.8.1
`M-ary Signaling, 167
`3.8.2
`Vectorial View of MPSK Signaling, 170
`3.8.3
`BPSK and QPSK Have the Same Bit Error
`3.8.4
`Probability, 171
`Vectorial View of MFSK Signaling, 172
`3.8.5
`3.9 Symbol Error Performance for M-ary Systems (M > 2), 176
`3.9.1 Probability of Symbol Error for MPSK, 176
`3.9.2 Probability of Symbol Error for MFSK, 177
`3.9.3 Bit Error Probability versus Symbol Error Probability
`for Orthogonal Signals, 180
`3.9.4 Bit Error Probability versus Symbol Error Probability
`for Multiple Phase Signaling, 181
`3.9.5 Effects of Intersymbol Interference, 182
`3.10 Conclusion, 182
`References, 182
`Problems, 183
`
`4.4
`
`4.5
`
`4.6
`
`4.7
`
`4.8
`4.9
`
`Lin
`4.4
`
`4.4
`
`4.4
`
`4.4
`
`Noi
`Ter
`4.5
`
`4.1
`
`4.L
`
`4.L
`
`4.1
`
`4.1
`Sar
`4.1
`
`4.1
`
`4X
`Sat
`4.:
`
`4.:
`Sy:
`Co
`Re1
`Pre
`
`5 CHANN
`
`5.1
`
`5.2
`
`5.3
`
`Wi
`5.
`5.
`5.
`5.
`5.
`5.
`Ty
`5.
`5.
`Sti
`5.
`5.
`5.
`5
`
`3.8
`
`COMMUNICATIONS LINK ANALYSIS
`
`187
`
`4.1 What the System Link Budget Tells the System
`Engineer, 188
`4.2 The Channel, 189
`4.2.1
`The Concept of Free Space, 189
`4.2.2
`Signal-to-Noise Ratio Degradation, 190
`4.2.3
`Sources of Signal Loss and Noise, 190
`4.3 Received Signal Power and Noise Power, 195
`4.3.1
`The Range Equation, 195
`4.3.2 Received Signal Power as a Function of
`Frequency, 199
`4.3.3 Path Loss Is Frequency Dependent, 200
`4.3.4 Thermal Noise Power, 202
`
`x
`
`Contents
`
`Contents
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 8
`
`

`

`ted
`
`2), 176
`
`bility
`
`bility
`
`4.4 Link Budget Analysis, 204
`4.4.1 Two EJNq Values of Interest, 205
`4.4.2
`Link Budgets Are Typically Calculated in
`Decibels, 206
`4.4.3 How Much Link Margin Is Enough?, 207
`4.4.4
`Link Availability, 209
`4.5 Noise Figure, Noise Temperature, and System
`Temperature, 213
`4.5.1 Noise Figure, 213
`4.5.2 Noise Temperature, 215
`4.5.3
`Line Loss, 216
`4.5.4 Composite Noise Figure and Composite Noise
`Temperature, 218
`System Effective Temperature, 220
`4.5.5
`Sky Noise Temperature, 224
`4.5.6
`4.6 Sample Link Analysis, 228
`4.6.1
`Link Budget Details, 228
`4.6.2 Receiver Figure-of-Merit, 230
`4.6.3 Received Isotropic Power, 231
`4.7 Satellite Repeaters, 232
`4.7.1 Nonregenerative Repeaters, 232
`4.7.2 Nonlinear Repeater Amplifiers, 236
`4.8 System Trade-Offs, 238
`4.9 Conclusion, 239
`References, 239
`Problems, 240
`
`5 CHANNEL CODING: PART 1
`
`245
`
`187
`
`249
`
`5.1 Waveform Coding, 246
`5.1.1 Antipodal and Orthogonal Signals, 247
`5.1.2 M-ary Signaling, 249
`5.1.3 Waveform Coding with Correlation Detection,
`5.1.4 Orthogonal Codes, 251
`5.1.5 Biorthogonal Codes, 255
`5.1.6 Transorthogonal (Simplex) Codes, 257
`5.2 Types of Error Control, 258
`5.2.1
`Terminal Connectivity, 258
`5.2.2 Automatic Repeat Request, 259
`5.3 Structured Sequences, 260
`5.3.1 Channel Models, 261
`5.3.2 Code Rate and Redundancy, 263
`5.3.3 Parity-Check Codes, 263
`5.3.4 Coding Gain, 266
`
`Contents
`
`Contents
`
`X I
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 9
`
`

`

`\
`
`271
`
`288
`
`269
`5.4 Linear Block Codes,
`Vector Spaces, 269
`5.4.1
`5.4.2
`Vector Subspaces, 270
`A (6, 3) Linear Block Code Example,
`5.4.3
`5.4.4
`Generator Matrix, 272
`5.4.5
`Systematic Linear Block Codes, 273
`5.4.6
`Parity-Check Matrix, 275
`5.4.7
`Syndrome Testing, 276
`5.4.8
`Error Correction, 277
`5.5 Coding Strength, 280
`5.5.1 Weight and Distance of Binary Vectors, 280
`5.5.2 Minimum Distance of a Linear Code, 281
`5.5.3 Error Detection and Correction, 281
`5.5.4 Visualization of a 6-Tuple Space, 285
`5.5.5 Erasure Correction, 287
`5.6 Cyclic Codes, 288
`Algebraic Structure of Cyclic Codes,
`5.6.1
`Binary Cyclic Code Properties, 290
`5.6.2
`Encoding in Systematic Form, 290
`5.6.3
`Circuit for Dividing Polynomials, 292
`5.6.4
`Systematic Encoding with an (n — k)-Stage Shift
`5.6.5
`Register, 294
`Error Detection with an (n — k)-Stage Shift
`Register, 296
`5.7 Weil-Known Block Codes, 298
`5.7.1 Hamming Codes, 298
`5.7.2 Extended Golay Code,
`5.7.3 BCH Codes, 301
`5.7.4 Reed-Solomon Codes,
`5.8 Conclusion, 308
`References, 308
`Problems, 309
`
`5.6.6
`
`301
`
`304
`
`CHANNEL CODING: PART 2
`
`314
`
`Convolutional Encoding, 315
`Convolutional Encoder Representation, 317
`6.2.1 Connection Representation, 318
`6.2.2
`State Representation and the State Diagram, 322
`6.2.3 The Tree Diagram, 324
`6.2.4 The Trellis Diagram, 326
`Formulation of the Convolutional Decoding Problem, 327
`6.3.1 Maximum Likelihood Decoding, 327
`6.3.2 Channel Models: Hard versus Soft Decisions, 329
`6.3.3 The Viterbi Convolutional Decoding Algorithm, 333
`
`6.1
`6.2
`
`6.3
`
`xii
`
`Contents
`
`6.3.4
`
`6.3.5
`Prope
`6.4.1
`6.4.2
`
`6.4.3
`
`6.4.4
`6.4.5
`6.4.6
`6.4.7
`Other
`6.5.1
`6.5.2
`
`6.5.3
`Interli
`6.6.1
`6.6.2
`6.6.3
`Codir
`Audic
`6.7.1
`6.7.2
`6.7.3
`Concl
`Refer
`ProbL
`
`6.4
`
`6.5
`
`6.6
`
`6.7
`
`6.8
`
`7 MODULA'
`
`7.1 Goals
`7.2 Error
`7.3 Nyqu
`7.4
`Sham
`7.4.1
`7.4.2
`7.4.3
`7.5 Band
`7.5.1
`
`7.5.2
`
`7.6
`
`Powe
`
`Contents
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 10
`
`

`

`6.3.4
`
`An Example ofViterki Convolutional
`Decoding, 333
`Path Memory and Synchronization, 337
`6.3.5
`6.4 Properties of Convolutional Codes, 338
`6.4.1 Distance Properties of Convolutional Codes, 338
`6.4.2
`Systematic and Nonsystematic Convolutional
`Codes, 342
`6.4.3 Catastrophic Error Propagation in Convolutional
`Codes, 342
`6.4.4 Performance Bounds for Convolutional Codes, 344
`6.4.5 Coding Gain, 345
`6.4.6 Best Known Convolutional Codes, 347
`6.4.7 Convolutional Code Rate Trade-Off, 348
`6.5 Other Convolutional Decoding Algorithms, 350
`6.5.1
`Sequential Decoding, 350
`6.5.2 Comparisons and Limitations of Viterbi and
`Sequential Decoding, 354
`6.5.3 Feedback Decoding, 355
`Interleaving and Concatenated Codes, 357
`6.6.1 Block Interleaving, 360
`6.6.2 Convolutional Interleaving, 362
`6.6.3 Concatenated Codes, 365
`6.7 Coding and Interleaving Applied to the Compact Disc Digital
`Audio System, 366
`6.7.1 CIRC Encoding, 367
`6.7.2 CIRC Decoding, 369
`6.7.3
`Interpolation and Muting, 371
`6.8 Conclusion, 374
`References, 374
`Problems, 376
`
`6.6
`
`7 MODULATION AND CODING TRADE-OFFS
`
`381
`
`314
`
`(22
`
`a, 327
`
`329
`333
`
`7.1
`7.2
`7.3
`7.4
`
`7.5
`
`7.6
`
`Goals <pf the Communications System Designer, 382
`Error Probability Plane, 383
`Nyquist Minimum Bandwidth, 385
`Shannon-Hartley Capacity Theorem, 385
`7.4.1
`Shannon Limit, 387
`7.4.2 Entropy, 389
`7.4.3 Equivocation and Effective Transmission Rate, 391
`Bandwidth-Efficiency Plane, 393
`7.5.1 Bandwidth Efficiency of MPSK and MFSK
`Modulation, 395
`7.5.2 Analogies between Bandwidth-Efficiency and Error
`Probability Planes, 396
`Power-Limited Systems, 396
`
`Contents
`
`Contents
`
`X I I I
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 11
`
`

`

`7.7 Bandwidth-Limited Systems, 397
`7.8 Modulation and Coding Trade-Offs, 397
`7.9 Bandwidth-Efficient Modulations, 399
`7.9.1 QPSK and Offset QPSK Signaling, 399
`7.9.2 Minimum Shift Keying, 403
`7.9.3 Quadrature Amplitude Modulation, 407
`7.10 Modulation and Coding for Bandlimited Channels, 410
`7.10.1 Commercial Telephone Modems, 411
`7.10.2 Signal Constellation Boundaries, 412
`7.10.3 Higher-Dimensional Signal Constellations, 412
`, 7.10.4 Higher-Density Lattice Structures, 415
`7.10.5 Combined-Gain: N-Sphere Mapping and Dense
`Lattice, 416
`7.10.6 Trellis-Coded Modulation, 417
`7.10.7 Trellis-Coding Example, 420
`7.11 Conclusion, 424
`References, 425
`Problems, 426
`
`8 SYNCHRONIZATION
`Maurice A. King, Jr.
`
`8.1 Synchronization in the Context of Digital
`Communications, 430
`8.1.1 What It Means to Be Synchronized, 430
`8.1.2 Costs versus Benefits of Synchronization
`Levels, 432
`8.2 Receiver Synchronization, 434
`8.2.1 Coherent Systems: Phase-Locked Loops, 434
`8.2.2
`Symbol Synchronization, 453
`8.2.3 Frame Synchronization, 460
`8.3' Network Synchronization, 464
`8.3.1 Open-Loop Transmitter Synchronization, 465
`8.3.2 Closed-Loop Transmitter Synchronization, 468
`8.4 Conclusion, 470
`References, 471
`Problems, 472
`
`429
`
`j
`
`9 MULTIPLEXING AND MULTIPLE ACCESS
`
`475
`
`9.1 Allocation of the Communications Resource, 4761
`9.1.1 Frequency-Division Multiplexing/Multiple
`Access, 478
`
`9.1.2
`9.1.3
`9.1.4
`
`9.1.5
`9.1.6
`
`9.2 Multi
`Arch
`9.2.1
`9.2.1
`9.3 Acce
`9.3.i
`9.3.:
`9.3.:
`9.3.<
`
`9.3..
`9.4 Mult
`INT:
`9.4.
`
`9.4..
`
`9.4..
`9.4,
`9.4..
`9.5 Mull
`9.5.
`9.5.
`9.5.
`
`9.6 Con
`Refe
`Pro!
`
`10 SPREAD
`
`10.1
`
`Spn
`10.1
`
`10.1
`
`10.1
`10.1
`
`xiv
`
`Contents
`
`Contents
`
`!L~
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 12
`
`

`

`no
`
`429
`
`475
`
`9.1.2 Time-Division Multiplexing!Multiple Access, 484
`9.1.3 Communications Resource Channelization, 487
`9.1.4
`Performance Comparison of FDMA and
`TDMA, '488
`9.1.5 Code-Division Multiple Access, 491
`9.1.6
`Space-Division and Polarization-Division Multiple
`Access, 493
`Multiple Access Communications System and
`Architecture, 495
`9.2.1 Multiple Access Information Flow, 496
`9.2.2 Demand-Assignment Multiple Access, 497
`Access Algorithms, 498
`9.3.1 ALOHA, 498
`9.3.2
`Slotted ALOHA, 500
`•
`9.3.3 Reservation-ALOHA, 502
`9.3.4 Performance Comparison of S-ALOHA
`and R-ALOHA, 503
`Polling Techniques, 505
`9.3.5
`Multiple Access Techniques Employed with
`INTELSAT, 507
`9.4.1 Preassigned FDMIFMIFDMA or MCPC
`Operation, 508
`9.4.2 MCPC Modes of Accessing an INTELSAT
`Satellite, 510
`SPADE Operation, 511
`9.4.3
`9.4.4 TDMA in INTELSAT, 516
`9.4.5
`Satellite-Switched TDMA in INTELSAT, 523
`Multiple Access Techniques for Local Area Networks,
`9.5.1 Carrier-Sense Multiple Access Networks, 526
`9.5.2 Token-Ring Networks, 528
`9.5.3 Performance Comparison of CSMAICD
`and Token-Ring Networks, 530
`Conclusion, 531
`References, 532
`Problems, 533
`
`•
`
`9.2
`
`9.3
`
`9.4
`
`9.5
`
`9.6
`
`526
`
`10 SPREAD-SPECTRUM TECHNIQUES
`
`536
`
`10.1 Spread-Spectrum Overview, 537
`10.1.1
`The Beneficial Attributes of Spread-Spectrum
`Systems, 538
`10.1.2 Model for Spread-Spectrum Interference
`Rejection, 542
`10.1.3 A Catalog of Spreading Techniques, 543
`10.1.4 Historical Background, 544
`
`Contents
`
`Contents
`
`xv
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 13
`
`

`

`10.2 Pseudonoise Sequences, 546
`10.2.1 Randomness Properties, 546
`10.2.2
`Shift Register Sequences, 547
`10.2.3 PN Autocorrelation Function, 548
`10.3 Direct-Sequence Spread-Spectrum Systems, 549
`10.3.1 Example of Direct Sequencing, 550
`10.3.2 Processing Gain and Performance, 552
`10.4 Frequency Hopping Systems, 555
`10.4.1 Frequency Hopping Example, 557
`10.4.2 Robustness, 558
`10.4.3 Frequency Hopping with Diversity, 559
`10.4.4 Fast Hopping versus Slow Hopping, 560
`10.4.5 FFHIMFSK Demodulator, 562
`10.5 Synchronization, 562
`10.5.1 Acquisition, 563
`10.5.2 Tracking, 568
`10.6 Spread-Spectrum Applications, 571
`10.6.1 Code-Division Multiple Access, 571
`10.6.2 Multipath Channels, 573
`10.6.3 The Jamming Game, 574
`10.7 Further Jamming Considerations, 579
`10.7.1 Broadband Noise Jamming, 579
`10.7.2 Partial-Band Noise Jamming, 581
`10.7.3 Multiple-Tone Jamming, 583
`10.7.4 Pulse Jamming, 584
`10.7.5 Repeat-Back Jamming, 586
`10.7.6 BLADES System, 588
`10.8 Conclusion, 589
`References, 589
`Problems, 591
`
`11 SOURCE CODING
`Fredric J. Harris
`
`595
`
`11.1 Sources, 596
`11.1.1 Discrete Sources, 596
`11.1.2 Waveform Sources, 601
`11.2 Amplitude Quantizing, 603
`11.2.1 Quantizing Noise, 605
`11.2.2 Uniform Quantizing, 608
`11.2.3
`Saturation, 611
`11.2.4 Dithering, 614
`11.2.5 Nonuniform Quantizing, 617
`11.3 Differential Pulse Code Modulation, 627
`11.3.1 One-Tap Prediction, 630
`11.3.2 N-Tap Prediction, 631
`
`11.4
`
`11.5
`
`11.6
`
`11.7
`
`11.3
`11.3
`Bio
`11.4
`11.4
`11.4
`11.4
`Syn
`11.5
`11.5
`Red
`11.6
`
`11.6
`11.6
`Con
`Refi
`Prol
`
`12 ENCRYP'
`
`12.1
`
`12.2
`
`12.3
`
`12.4
`
`Moc
`12.1
`
`12.1:
`
`12.1
`12.1.
`The
`12.2.
`12.2.
`12.2.
`12.2.
`Prac
`12.3.
`12.3.
`12.3.
`12.3.
`12.3.
`Stre,
`12.4.
`
`12.4.
`
`12.4.
`
`xvi
`
`Contents
`
`Contents
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 14
`
`

`

`11.5
`
`11.3.3 Delta Modulation, 633
`11.3.4 Adaptive Prediction, 639
`11.4 Block Coding, 643
`11.4.1 Vector Quantizing, 643
`11.4.2
`Transform Coding, 645
`11.4.3 Quantization for Transform Coding, 647
`11.4.4
`Subband Coding, 647
`Synthesis/Analysis Coding, 649
`11.5.1 Vocoders, 650
`11.5.2
`Linear Predictive Coding, 653
`11.6 Redundancy-Reducing Coding, 653
`11.6.1
`Properties of Codes, 655
`11.6.2 Huffman Code, 657
`11.6.3 Run-Length Codes, 660
`11.7 Conclusion, 663
`References, 663
`Problems, 664
`
`12 ENCRYPTION AND DECRYPTION
`
`668
`
`595
`
`12.3
`
`12.4
`
`12.1 Models, Goals, and Early Cipher Systems, 669
`12.1.1 A Model of the Encryption and Decryption
`Process, 669
`System Goals, 671
`12.1.2
`12.1.3 Classic Threats, 671
`12.1.4 Classic Ciphers, 672
`12.2 The Secrecy of a Cipher System, 675
`12.2.1
`Perfect Secrecy, 675
`12.2.2 Entropy and Equivocation, 678
`12.2.3 Rate of a Language and Redundancy, 680
`12.2.4 Unicity Distance and Ideal Secrecy, 680
`Practical Security, 683
`12.3.1 Confusion and Diffusion, 683
`12.3.2
`Substitution, 683
`12.3.3
`Permutation, 685
`12.3.4
`Product Cipher System, 686
`12.3.5
`The Data Encryption Standard, 687
`Stream Encryption, 694
`12.4.1 Example of Key Generation Using a Linear
`Feedback Shift Register, 694
`12.4.2 Vulnerabilities of Linear Feedback Shift
`Registers, 695
`Synchronous and Self-Synchronous Stream
`Encryption Systems, 697
`
`12.4.3
`
`is
`
`Contents
`
`Contents
`
`xvii
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 15
`
`

`

`12.5
`
`Public Key Cryptosystems, 698
`12.5.1
`Signature Authentication Using a Public Key
`Cryptosystem, 699
`12.5.2 A Trapdoor One-Way Function, 700
`12.5.3
`The Rivest-Shamir-Adelman Scheme, 701
`12.5.4
`The Knapsack Problem, 703
`12.5.5 A Public Key Cryptosystem Based on a Trapdoor
`Knapsack, 705
`12.6 Conclusion, 707
`References, 707
`Problems, 708
`
`A A REVIEW OF FOURIER TECHNIQUES
`
`710
`
`A.l
`A.2
`
`A.3
`
`A.4
`
`A.5
`
`A.6
`
`711
`
`720
`
`Signals, Spectra, and Linear Systems, 710
`Fourier Techniques for Linear System Analysis,
`A.2.1 Fourier Series Transform, 713
`A. 2.2
`Spectrum of a Pulse Train, 716
`A.2.3 Fourier Integral Transform, 719
`Fourier Transform Properties, 720
`A.3.1
`Time Shifting Property, 720
`A.3.2 Frequency Shifting Property,
`Useful Functions, 721
`A.4.1 Unit Impulse Function, 721
`A.4.2
`Spectrum of a Sinusoid, 721
`Convolution, 722
`A.5.1
`Graphical Illustration of Convolution,
`A.5.2
`Time Convolution Property, 726
`A. 5.3
`Frequency Convolution Property, 726
`A.5.4
`Convolution of a Function with a Unit
`Impulse, 728
`A.5.5
`Demodulation Application of Convolution,
`Tables of Fourier Transforms and Operations,
`References, 732
`
`726
`
`729
`731
`
`B.2
`
`B.3
`
`Decis
`B.2.1
`B.2.2
`
`B.2.3
`Signa
`B.3.1
`B.3.2
`Refer
`
`C RESPONS
`
`D OFTEN Ui
`
`E A CONVO
`COMPUTE
`
`F LIST OF S
`
`INDEX
`
`B FUNDAMENTALS OF STATISTICAL DECISION
`THEORY
`
`733
`
`B.l
`
`Bayes' Theorem, 733
`R.I.I Discrete Form of Bayes'Theorem, 734
`B.l.2 Mixed Form of Bayes'Theorem, 736
`
`X V I I I
`
`Contents
`
`Contents
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 16
`
`

`

`B.2 Decision Theory, 738
`B.2.1 Components of the Dedision Theory Problem, 738
`B.2.2
`The Likelihood Ratio Test and the Maximum
`A Posteriori Criterion, 739
`The Maximum Likelihood Criterion, 739
`B.2.3
`Signal Detection Example, 740
`B.3.1
`The Maximum Likelihood Binary Decision, 740
`B.3.2
`Probability of Bit Error, 741
`References, 743
`
`B.3
`
`C RESPONSE OF CORRELATORS TO WHITE NOISE
`
`744
`
`710
`
`D OFTEN USED IDENTITIES
`
`E A CONVOLUTIONAL ENCODER/DECODER
`COMPUTER PROGRAM
`
`F LIST OF SYMBOLS
`
`INDEX
`
`746
`
`748
`
`759
`
`765
`
`733
`
`Contents
`
`Contents
`
`xix
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 17
`
`

`

`Preface
`
`This book is intended to provide a comprehensive coverage of digital commu­
`nication systems for senior-level undergraduates, first-year graduate students, and
`practicing engineers. Even though the emphasis of the book is on digital com­
`munications, necessary analog fundamentals are included, since analog wave­
`forms are used for the radio transmission of digital signals.
`The key feature of a digital communication system is that it deals with a
`finite set of discrete messages, in contrast to an analog communication system in
`which messages are defined on a continuum. The objective at the receiver of the
`digital system is not to reproduce a waveform with precision; it is, instead, to
`determine from a noise-perturbed signal which of the finite set of waveforms had
`been sent by the transmitter. In fulfillment of this objective, an impressive as­
`sortment of signal processing techniques has arisen over the past two decades.
`The book develops these important techniques in the context of a unified
`structure. The structure, in block diagram form, appears at the beginning of each
`chapter; blocks in the diagram are emphasized, as appropriate, to correspond to
`the subject of that chapter. Major purposes of the book are (1) to add organization
`and structure to a field that has grown rapidly in the last two decades, and (2) to
`ensure awareness of the "big picture" even while delving1 into the details. The
`signals and key processing steps are traced from the information source through
`the transmitter, channel, receiver, and ultimately to the information sink. Signal
`transformations are organized according to functional classes: formatting and
`source coding, modulation, channel coding, multiplexing and multiple access,
`spreading, encryption, and synchronization. Throughout the book, emphasis is
`
`xxi
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 18
`
`

`

`placed on system goals and the need to trade off basic system parameters such
`as signal-to-noise ratio, probability of error, and bandwidth (spectral) expenditure.
`
`ORGANIZATION OF THE BOOK
`
`It is assumed that the reader is familiar with Fourier methods and convolution.
`Appendix A reviews these techniques, emphasizing those properties that are par­
`ticularly useful in the study of communication theory. It is also assumed that the
`reader has a knowledge of basic probability and has some familiarity with random
`variables. Appendix B builds on these disciplines for a short treatment on statis­
`tical decision theory with emphasis on hypothesis testing—so important in the
`understanding of detection theory. Chapter 1 introduces the overall digital com­
`munication system and the basic signal transformations that are highlighted in
`subsequent chapters. Some basic ideas of random variables and the additive white
`Gaussian noise (AWGN) model are reviewed. Also, the relationship between
`power spectral density and autocorrelation, and the basics of signal transmission
`through linear systems, are established. Chapter 2 covers the signal processing
`step, known as formatting, the step that renders an information signal compatible
`with a digital system. Chapter 2 also emphasizes the transmission of baseband
`signals. Chapter 3 deals with bandpass modulation and demodulation techniques.
`The detection of digital signals in Gaussian noise is stressed, and receiver optim­
`ization is examined. Chapter 4 deals with link analysis, an important subject for
`providing overall system insight; it considers some subtleties usually neglected
`at the college level. Chapters 5 and 6 deal with channel coding—a cost-effective
`way of providing improvement in system error performance. Chapter 5 empha­
`sizes linear block coding, and Chapter 6 emphasizes convolutional coding.
`Chapter 7 considers various modulation/coding system trade-offs dealing
`with probability of bit error performance, bandwidth efficiency, and signal-to-
`noise ratio. Chapter 8 deals with synchronization for digital systems. It covers
`phase-locked-loop implementation for achieving carrier synchronization; bit syn­
`chronization, frame synchronization, and network synchronization; and some fun­
`damentals of synchronization as applied to satellite links.
`Chapter 9 treats multiplexing and multiple access. It explores techniques
`that are available for utilizing the communication resource efficiently. Chapter
`10 introduces spread-spectrum techniques and their application in such areas as
`multiple access, ranging, and interference rejection. This technology is particu­
`larly important for most military communication systems. The subject of source
`coding in Chapter 11 deals with data formatting, as is done in Chapter 2; the main
`difference between formatting and source coding is that source coding additionally
`involves data redundancy reduction. Rather than considering source coding im­
`mediately after formatting, source coding has purposely been treated in a later
`chapter. It is felt that the reader should be involved with the fundamental pro­
`cessing steps, such as modulation and channel coding, early in the book, before
`examining some of the special considerations of source coding. Chapter 12 covers
`
`some basic
`concepts, as
`public key c
`If the t
`the first six c
`second term
`the course r
`and 10.
`
`ACKNOWLEDGME
`
`This book is
`Los Angele:
`Corporation
`pleasure to
`carefully re^
`tinual assist;
`nization. Pn
`improvemen
`thanks to D
`with much e
`I also \
`considerable
`12. Professo
`of beneficial
`and Andrea:
`portant impi
`stitute, Dr. ^
`fessor Ron
`valuable rev
`MA/COM L
`in the chapt<
`Aerospace C
`to pay speci
`whose uniqi
`The bl<
`the cover ol
`Sklar, "A St
`IEEE Comn
`IEEE to rep
`My stu
`ters of this fc
`students whi
`want to exf
`
`X X I I
`
`Preface
`
`Acknowledgr
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 19
`
`

`

`em parameters such
`jectral) expenditure.
`
`ids and convolution,
`aperties that are par-
`lso assumed that the
`niliarity with random
`: treatment on statis-
`-so important in the
`; overall digital com-
`at are highlighted in
`nd the additive white
`elationship between
`f signal transmission
`he signal processing
`on signal compatible
`mission of baseband
`adulation techniques.
`, and receiver optim-
`mportant subject for
`es usually neglected
`ing—a cost-effective
`2. Chapter 5 empha-
`utional coding,
`m trade-offs dealing
`iency, and signal-to­
`il systems. It covers
`:hronization; bit syn-
`sation; and some fun-
`
`explores techniques
`efficiently. Chapter
`tion in such areas as
`;chnology is particu-
`'he subject of source
`l Chapter 2; the main
`:e coding additionally
`lg source coding im-
`:en treated in a later
`he fundamental pro-
`i in the book, before
`ig. Chapter 12 covers
`
`some basic encryption/decryption ideas. It includes some classical encryption
`concepts, as well as some of the proposals for a class of encryption systems called
`public key cryptosystems.
`If the book is used for a two-term course, a simple partitioning is suggested:
`the first six chapters to be taught in the first term, and the last six chapters in the
`second term. If the book is used for a one-term only course, it is suggested that
`the course material be selected from the following chapters: 1, 2, 3, 4, 5, 6, 8,
`and 10.
`
`ACKNOWLEDGMENTS
`
`This book is an outgrowth of my teaching activities at the University of California,
`Los Angeles, and my work in the Communications Division at The Aerospace
`Corporation. A number of people have contributed in many ways and it is a
`pleasure to acknowledge them. Dr. Maurice King, my colleague at Aerospace,
`carefully reviewed and made important contributions to each chapter. His con­
`tinual assistance has been invaluable. He also contributed Chapter 8, Synchro­
`nization. Professor Fred Harris of San Diego State University suggested many
`improvements and contributed Chapter 11, Source Coding. I want to pay special
`thanks to Dr. Marvin Simon of the Jet Propulsion Laboratory for providing me
`with much encouragement and many valuable suggestions.
`I also want to thank Professor Jim Omura of UCLA for sharing with me his
`considerable knowledge of encryption and thereby helping me improve Chapter
`12. Professor Raymond Pickholtz of George Washington University gave me lots
`of beneficial advice throughout the writing process. Professors William Lindsey
`and Andreas Polydoros of the University of Southern California suggested im­
`portant improvements. Professor James Modestino of Rensselaer Polytechnic In­
`stitute, Dr. Adam Lender of Lockheed Palo Alto Research Laboratory, and Pro­
`fessor Ron litis of the University of California, Santa Barbara, each provided
`valuable reviews. Dr. Todd Citron of Hughes Aircraft, Dr. Joe Odenwalder of
`MA/COM Linkabit, and Dr. Unjeng Cheng of Axiomatics were extremely helpful
`in the chapters on channel coding. Mr. Don Martin and Mr. Ned Feldman of The
`Aerospace Corporation made numerous suggestions and contributions. I also want
`to pay special thanks to Professor Wayne Stark of the University of Michigan,
`whose unique critical talents enhanced the manuscript's continuity.
`The block diagrams in Figures 1.2 and 1.3, at each chapter opening, and on
`the cover of the book, first appeared in the two part paper: © 1983 IEEE; B.
`Sklar, "A Structured Overview of Digital Communications—A Tutorial Review,"
`IEEE Communications Magazine, August and October, 1983. Permission from
`IEEE to reprint these figures throughout the book is gratefully acknowledged.
`My students at UCLA and those at Aerospace used early versions of chap­
`ters of this book and made many helpful contributions. I am indebted to all those
`students who have taken my courses and thus helped me with this project. I also
`want to express my appreciation to my management at Aerospace, Mr. Hal
`
`Preface
`
`Acknowledgments
`
`xxiii
`
`Petitioner Sirius XM Radio Inc. - Ex. 1012, p. 20
`
`

`

`McDonnell and Mr. Fred Jones, for their indulgence and moral support. I want
`to acknowledge and thank Ms. Cynthia Dickson for her diligence and speed in
`typing the entire manuscript.
`Finally, I want to thank my wife, Gwen, for her very unselfish support, her
`understanding, and her endurance of the many