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2)
AD-A328861 (revised)
January 2000
Approved for public release. Distribution is unlimited.
NOTICES
Disclaimer
The findings in this report are not to be construed as an official Department of the Army position, unless so designated by other authorized documents. The citation of trade names and names of manufacturers in this report is not to be construed as official Government endorsement or consent or approval of commercial products or services referenced herein.
Table of Contents
Preface.... 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Applications and Requirements. Quartz Crystal Oscillators. Quartz Crystal Resonators Oscillator Stability Quartz Material Properties... Atomic Frequency Standards Oscillator Comparison and Specification.. Time and Timekeeping. Related Devices and Applications FCS Proceedings Ordering, Website, and Index..
iii
v 1 2 3 4 5 6 7 8 9 10
Preface
John R. Vig
iv
1-1
Atomic Frequency Standards (see chapter 6) Hydrogen maser Cesium beam frequency standard Rubidium cell frequency standard
~ 10 ~ 300 ~ 20,000 $200,000 $50,000 $2,000 $2M $15M $40M
1-2
Navigation
Precise time is essential to precise navigation. Historically, navigation has been a principal motivator in man's search for better clocks. Even in ancient times, one could measure latitude by observing the stars' positions. However, to determine longitude, the problem became one of timing. Since the earth makes one revolution in 24 hours, one can determine longitude form the time difference between local time (which was determined from the sun's position) and the time at the Greenwich meridian (which was determined by a clock): Longitude in degrees = (360 degrees/24 hours) x t in hours. In 1714, the British government offered a reward of 20,000 pounds to the first person to produce a clock that allowed the determination of a ship's longitude to 30 nautical miles at the end of a six week voyage (i.e., a clock accuracy of three seconds per day). The Englishman John Harrison won the competition in 1735 for his chronometer invention. Today's electronic navigation systems still require ever greater accuracies. As electromagnetic waves travel 300 meters per microsecond, e.g., if a vessel's timing was in error by one millisecond, a navigational error of 300 kilometers would result. In the Global Positioning System (GPS), atomic clocks in the satellites and quartz oscillators in the receivers provide nanosecond-level accuracies. The resulting (worldwide) navigational accuracies are about ten meters (see chapter 8 for further details about GPS).
1-3
(B)
Time
Analog signal
Digitized signal
1-5
Synchronization plays a critical role in digital telecommunication systems. It ensures that information transfer is performed with minimal buffer overflow or underflow events, i.e., with an acceptable level of "slips." Slips cause problems, e.g., missing lines in FAX transmission, clicks in voice transmission, loss of encryption key in secure voice transmission, and data retransmission. In AT&T's network, for example, timing is distributed down a hierarchy of nodes. A timing source-receiver relationship is established between pairs of nodes containing clocks. The clocks are of four types, in four "stratum levels."
Stratum 1 2 3 4 Accuracy (Free Running) Long Term Per 1st Day 1 x 10-11 1.6 x 10-8 4.6 x 10-6 3.2 x 10-5 N.A. 1 x 10-10 Clock Type GPS W/Two Rb Rb Or OCXO Number Used 16 ~200 1000s ~1 million
1-6
ta
Substation Substation A A Insulator Sportsman
tb
Substation Substation B B
X L
When a fault occurs, e.g., when a "sportsman" shoots out an insulator, a disturbance propagates down the line. The location of the fault can be determined from the differences in the times of arrival at the nearest substations:
Fault locator error = xerror=1/2(cterror); therefore, if terror 1 microsecond, then xerror 150 meters 1/2 of high voltage tower spacings, so, the utility company can send a repair crew directly to the tower that is nearest to the fault.
1-8
Space Exploration
Schematic of VBLI Technique
t
Mean wavelength
Local Local Time & Time & Frequency Frequency Standard Standard Microwave mixer Wavefront
(t)
Recorder Recorder
Local Local Time & Time & Frequency Frequency Standard Standard Data tape Data tape Correlation Correlation and and Integration Integration
Microwave mixer
Recorder Recorder
c t Lsin
Amplitude
/L sin
1-9
( ) Angle
Interference Fringes
Military Requirements
Military needs are a prime driver of frequency control technology. Modern military systems require oscillators/clocks that are: Stable over a wide range of parameters (time, temperature, acceleration, radiation, etc.) Low noise Low power Small size Fast warmup Low life-cycle cost
1-10
Example
t2
Radio R2
t1
Radio R1
tR
To defeat a perfect follower jammer, one needs a hop-rate given by: where tm message duration/hop 1/hop-rate
1-13
Let R1 to R2 = 1 km, R1 to J =5 km, and J to R2 = 5 km. Then, since propagation delay =3.3 s/km, t1 = t2 = 16.5 s, tR = 3.3 s, and tm < 30 s. Allowed clock error 0.2 tm 6 s. For a 4 hour resynch interval, clock accuracy requirement is: 4 X 10-10
Identification-Friend-Or-Foe (IFF)
Air Defense IFF Applications
AWACS FRIEND OR FOE? F-16
FAAD
PATRIOT
1-15
STINGER
Transmitter Transmitter
fD
Receiver
Doppler Signal
fD f
Echo = Doppler-shifted echo from moving target + large "clutter" signal (Echo signal) - (reference signal) -- Doppler shifted signal from target Phase noise of the local oscillator modulates (decorrelates) the clutter signal, generates higher frequency clutter components, and thereby degrades the radar's ability to separate the target signal from the clutter signal.
1-16
Bistatic Radar
Conventional (i.e., "monostatic") radar, in which the Illuminator illuminator and receiver are on the same platform, is vulnerable to a variety of countermeasures. Bistatic radar, in which the illuminator and receiver are widely separated, can greatly reduce the vulnerability to countermeasures such as jamming and antiradiation weapons, and can increase slow moving target detection and identification capability via "clutter tuning Receiver (receiver maneuvers so that its motion compensates for the motion of the illuminator; creates zero Doppler shift for the area being searched). The transmitter can remain far from the battle area, in a "sanctuary." The receiver can remain "quiet. The timing and phase coherence problems can be orders of magnitude more severe in bistatic than in monostatic radar, especially when the platforms are moving. The Target reference oscillators must remain synchronized and syntonized during a mission so that the receiver knows when the transmitter emits each pulse, and the phase variations will be small enough to allow a satisfactory image to be formed. Low noise crystal oscillators are required for short term stability; atomic frequency standards are often required for long term stability.
1-17
4km/h Man
100 1K
or Slow
Moving
Vechile
Doppler Shifts
700km/h - Su
2,400 k m/h
X-Band RADAR
bsonic A ircraft
- Mach 2 Aircra ft
Crystal Oscillator
Tuning Voltage
Amplifier
2-1
Oscillation
At the frequency of oscillation, the closed loop phase shift = 2n. When initially energized, the only signal in the circuit is noise. That component of noise, the frequency of which satisfies the phase condition for oscillation, is propagated around the loop with increasing amplitude. The rate of increase depends on the excess; i.e., small-signal, loop gain and on the BW of the crystal in the network. The amplitude continues to increase until the amplifier gain is reduced either by nonlinearities of the active elements ("self limiting") or by some automatic level control. At steady state, the closed-loop gain = 1.
2-2
If a phase perturbation occurs, the frequency must shift f to maintain the 2n phase condition, where f/f=-/2QL for a series-resonance oscillator, and QL is loaded Q of the crystal in the network. The "phase slope," d/df is proportional to QL in the vicinity of the series resonance frequency (also see "Equivalent Circuit" and "Frequency vs. Reactance" in Chapt. 3). Most oscillators operate at "parallel resonance," where the reactance vs. frequency slope, dX/df, i.e., the "stiffness," is inversely proportional to C1, the motional capacitance of the crystal unit. For maximum frequency stability with respect to phase (or reactance) perturbations in the oscillator loop, the phase slope (or reactance slope) must be maximum, i.e., C1 should be minimum and QL should be maximum. A quartz crystal unit's high Q and high stiffness makes it the primary frequency (and frequency stability) determining element in oscillators.
2-3
Oscillator Acronyms
XO..Crystal Oscillator VCXOVoltage Controlled Crystal Oscillator OCXOOven Controlled Crystal Oscillator TCXOTemperature Compensated Crystal Oscillator TCVCXO..Temperature Compensated/Voltage Controlled Crystal Oscillator OCVCXO..Oven Controlled/Voltage Controlled Crystal Oscillator MCXOMicrocomputer Compensated Crystal Oscillator RbXO.Rubidium-Crystal Oscillator
2-5
XO, crystal oscillator, does not contain means for reducing the crystal's f vs. T characteristic (also called PXO-packaged crystal oscillator). TCXO, temperature compensated crystal oscillator, in which, e.g., the output signal from a temperature sensor (e.g., a thermistor) is used to generate a correction voltage that is applied to a variable reactance (e.g., a varactor) in the crystal network. The reactance variations compensate for the crystal's f vs. T characteristic. Analog TCXO's can provide about a 20X improvement over the crystal's f vs. T variation. OCXO, oven controlled crystal oscillator, in which the crystal and other temperature sensitive components are in a stable oven which is adjusted to the temperature where the crystal's f vs. T has zero slope. OCXO's can provide a >1000X improvement over the crystal's f vs. T variation.
2-6
+1000C
T
-10 ppm
-450C
f f
+1 ppm +1000C
T
XO XO
-1 ppm
-450C
f f
+1 x 10-8 -1 x 10-8
+1000C
T
Hierarchy of Oscillators
Oscillator Type* Accuracy**
10-5 to 10-4 10-6 10-8 to 10-7 10-8 (with 10-10 per g option) 10-9 10-12 to 10-11
Typical Applications
Computer timing Frequency control in tactical radios Spread spectrum system clock Navigation system clock & frequency standard, MTI radar C3 satellite terminals, bistatic, & multistatic radar Strategic C3, EW
Microcomputer compensated
crystal oscillator (MCXO)
* Sizes range from <5cm3 for clock oscillators to > 30 liters for Cs standards Costs range from <$5 for clock oscillators to > $50,000 for Cs standards. ** Including environmental effects (e.g., -40oC to +75oC) and one year of aging.
2-8
b c
Pierce
Colpitts
Clapp
c b
Butler
Modified Butler
2-9
Gate
Output
Oven
Each of the three main parts of an OCXO, i.e., the crystal, the sustaining circuit, and the oven, contribute to instabilities. The various instabilities are discussed in the rest of chapter 3 and in chapter 4.
2-10
1/2
d(ff )
where QL = loaded Q of the resonator, and d(ff) is a small change in loop phase at offset frequency ff away from carrier frequency f. Systematic phase changes and phase noise within the loop can originate in either the resonator or the sustaining circuits. Maximizing QL helps to reduce the effects of noise and environmentally induced changes in the sustaining electronics. In a properly designed oscillator, the short-term instabilities are determined by the resonator at offset frequencies smaller than the resonators half-bandwidth, and by the sustaining circuit and the amount of power delivered from the loop for larger offsets.
2-11
(= 5 X 10-4) causes 1 X 10-7 frequency change, and a CL aging of 10 ppm per day causes 2 X 10-9 per day of oscillator aging.
Drive level changes: Typically 10-8 per ma2 for a 10 MHz 3rd SC-cut. DC bias on the crystal also contributes to oscillator aging.
2-12
f f oscillator
Q dC dL c c + c L Q C c c
where BW is the bandwidth of the filter, ff is the frequency offset of the center frequency of the filter from the carrier frequency, QL is the loaded Q of the resonator, and Qc, Lc and Cc are the tuned circuit's Q, inductance and capacitance, respectively.
2-13
Oscillator Outputs
Most users require a sine wave, a TTL-compatible, a CMOScompatible, or an ECL-compatible output. The latter three can be simply generated from a sine wave. The four output types are illustrated below, with the dashed lines representing the supply voltage inputs, and the bold solid lines, the outputs. (There is no standard input voltage for sine wave oscillators, and the input voltage for CMOS typically ranges from 3V to 15V.)
+15V +10V +5V 0V -5V
Sine
TTL
CMOS
ECL
2-16
f 3f1 - f3
df = 14 Hz/oC dT
Temperature (oC)
65
85
170300
2-17
Mixer
M=3 f3
2-18
DualDualmode mode XO XO
x3 x3
f3
Mixer
comcomputer puter
f0
N2
2-19
f3 = 10 MHz fd
Divide by 3
PHASELOCKED LOOP
F TClock
DIRECT DIGITAL SYNTHESIZER
10 MHz output
DUAL-MODE OSCILLATOR
FUNDAMENTAL MODE
fd
f1 Mixer fb
Divide by 2500
T F 1 PPS output
Clock Clock
COUNTER
MICROCOMPUTER
N2
Divide by 4000
Counter Counter
SC-cut crystal Frequency Frequency evaluator evaluator & correction & correction determination determination
Microprocessor circuitry
Microcomputer compensated crystal oscillator (MCXO) block diagram - pulse deletion method.
2-21
MCXO
SC-cut, 3rd Loose Loose Low 10-9 to 10-8 10-8 to 10-7
TCXO
AT-cut, fund. Tight Tight Significant 10-7 to 10-6 10-7 to 10-6
2-22
RF driving port Electrical output Electrical injection Filter RF coupler RF Amplifier Photodetector Optical Injection Optical coupler
2-23
Optical Fiber
Why Quartz?
Quartz is the only material known that possesses the following combination of properties: Piezoelectric ("pressure-electric"; piezein = to press, in Greek) Zero temperature coefficient cuts exist Stress compensated cut exists Low loss (i.e., high Q) Easy to process; low solubility in everything, under "normal" conditions, except the fluoride etchants; hard but not brittle Abundant in nature; easy to grow in large quantities, at low cost, and with relatively high purity and perfection. Of the man-grown single crystals, quartz, at ~3,000 tons per year, is second only to silicon in quantity grown (3 to 4 times as much Si is grown annually, as of 1997).
3-1
Y
_ + +
+
_
Undeformed lattice
Strained lattice
The piezoelectric effect provides a coupling between the mechanical properties of a piezoelectric crystal and an electrical circuit.
3-2
EXTENSIONAL along:
Y Z X
SHEAR about:
Y Z
In quartz, the five strain components shown may be generated by an electric field. The modes shown on the next page may be excited by suitably placed and shaped electrodes. The shear strain about the Z-axis produced by the Y-component of the field is used in the rotated Y-cut family, including the AT, BT, and ST-cuts.
3-3
Modes of Motion
Flexure Mode
Thickness Shear Fundamental Mode Third Overtone Thickness Shear Thickness Shear Mode
3-4
3-5
Response
-20
3383 3742 3642 3652
-30 db.
3802 3256 3707 3852
-40 db.
3200
3400
3507
-10 db.
3200 MHZ
3555
0 db.
3600
3800
Frequency, in kHz
X-ray topographs (210 plane) of various modes excited during a frequency scan of a fundamental mode, circular, AT-cut resonator. The first peak, at 3.2 MHz, is the main mode; all others are unwanted modes. Dark areas correspond to high amplitudes of displacement.
3-6
Reactance
Spurious responses 0
Spurious responses
Spurious responses
Frequency
5th overtone
-jX
3-7
Activity dips occur where the f vs. T curves of unwanted modes intersect the f vs. T curve of the wanted mode. Such activity dips are highly sensitive to drive level and load reactance.
3-8
e11 e12 e13 e14 e15 e16 11 12 13 e21 e22 e23 e24 e25 e26 21 22 23 e31 e32 e33 e34 e35 e36 31 32 33
e21 e31 e22 e32 e23 e33 e24 e34 e25 e35 e26 e36
S1 S2 S3 S4 S5 , S6 E1 E2 E3
et
LINES JOIN NUMERICAL EQUALITIES EXCEPT FOR COMPLETE RECIPROCITY ACROSS PRINCIPAL DIAGONAL INDICATES NEGATIVE OF INDICATES TWICE THE NUMERICAL EQUALITIES X INDICATES 1/2 (c11 - c12)
6 2 2 10
Ei
= ; S = ij x i
1 ui 2 ( x j
u j xi ) ; etc.)
(F = ma
xj
&&i ; =u
D = 0
xi
= 0,
Equations are very "messy" - they have never been solved in closed form for physically realizable threedimensional resonators. Nearly all theoretical work has used approximations. Some of the most important resonator phenomena (e.g., acceleration sensitivity) are due to nonlinear effects. Quartz has numerous higher order constants, e.g., 14 third-order and 23 fourth-order elastic constants, as well as 16 third-order piezoelectric coefficients are known; nonlinear equations are extremely messy. * Magnetic field effects are generally negligible; quartz is diamagnetic, however, magnetic fields can affect the mounting structure and electrodes.
3-10
d(log fn ) 1 dfn 1 dh 1 d 1 dc ij Tf = = = + dT fn dT h dT 2 dT 2c ij dT
where Tf is the linear temperature coefficient of frequency. The temperature coefficient of cij is negative for most materials (i.e., springs become softer as T increases). The coefficients for quartz can be +, - or zero (see next page).
3-11
-30o -60o
g ly d n i S t a te Ro t Cu
-90o
Do
ub Ro ly ta t Cu e d t
The AT, FC, IT, SC, BT, and SBTC-cuts are some of the cuts on the locus of zero temperature coefficient cuts. The LC is a linear coefficient cut that has been used in a quartz thermometer.
Y-cut: +90 ppm/0C (thickness-shear mode)
x xl
-10
1.88
a-mode: quasi-longitudinal mode b-mode: fast quasi-shear mode c-mode: slow quasi-shear mode
Attenuation
c(1)
-40 0 1
b(1)
2
a(1)
c(3)
3
b(3)
4
c(5)
5
b(5)
a(3)
6
Temperature (OC)
3-16
Do u Ro bly ta Cu ted t
X X
3-17
Resonator Packaging
Two-point Mount Package Three- and Four-point Mount Package
Quartz blank Cover Electrodes Bonding area Mounting clips Seal Pins Base Quartz blank Bonding area Cover Mounting clips Seal Pins Base
3-18
Equivalent Circuits
Spring Mass
C L
Dashpot
3-19
CL
C1
L1
R1
f C1 fS 2(C0 + CL )
3-20
Frequency / Voltage
Antiresonance
fS
0 Series resonance Frequency
1 2fC0
fA
3-22
A t
1 L1C1
C0 C1
fs fa fs 2r
=
1 Q= 2 fSR1C1
L1
1 C1
R1
1 = R1C1 10 s
14
d 360 Q df fs
Overtone number Static capacitance Motional capacitance C1 of n-th overtone Motional inductance L1 of n-th overtone Motional resistance R1 of n-th overtone Dielectric permittivity of quartz 40 x 10-13 pF/mm (average) Electrode area Plate thickness Capacitance ratio f1/fn Series resonance frequency fR Antiresonance frequency Quality factor Motional time constant Angular frequency = 2f Phase angle of the impedance Piezoelectric coupling factor =8.8% for AT-cut, 4.99% for SC
L1n
n3L11 3 r'
3-23
R1n
n3R11 r'
n 2r = 2k
Q is proportional to the decay-time, and is inversely proportional to the linewidth of resonance (see next page). The higher the Q, the higher the frequency stability and accuracy capability of a resonator (i.e., high Q is a necessary but not a sufficient condition). If, e.g., Q = 106, then 10-10 accuracy requires ability to determine center of resonance curve to 0.01% of the linewidth, and stability (for some averaging time) of 10-12 requires ability to stay near peak of resonance curve to 10-6 of linewidth. Phase noise close to the carrier has an especially strong dependence on Q (L(f) 1/Q4).
3-24
1 2.7
of maximum intensity
TIME
td
Maximum intensity
Maximum intensity
1 BW t d
Resonance behavior of a resonator
BW
Q=
o o t d BW
FREQUENCY
0
3-25
where f is the frequency in Hz, and is an empirically determined motional time constant in seconds, which varies with the angles of cut and the mode of vibration. For example, = 1 x 10-14s for the AT-cut's c-mode (Qmax = 3.2 million at 5 MHz), = 9.9 x 10-15s for the SC-cut's c-mode, and = 4.9 x 10-15s for the BT-cut's b-mode. Other factors which affect the Q of a resonator include: Overtone Surface finish Material impurities and defects Mounting stresses Bonding stresses Temperature Electrode geometry and type
3-26
1 , Q max = 2 f
Blank geometry (contour, dimensional ratios) Drive level Gases inside the enclosure (pressure, type of gas) Interfering modes Ionizing radiation
ORIENT IN MASK
CLEAN
CONTOUR
ANGLE CORRECT
X-RAY ORIENT
DEPOSIT CONTACTS
PREPARE ENCLOSURE
MOUNT
BOND
INSPECT
CLEAN
OSCILLATOR
3-27
Monochromator crystal
Detector
S X-ray beam Copper target X-ray source Goniometer Crystal under test
Contamination Control
Contamination control is essential during the fabrication of resonators because contamination can adversely affect:
Stability (see chapter 4) - aging - hysteresis - retrace - noise - nonlinearities and resistance anomalies (high starting resistance, second-level of drive, intermodulation in filters) - frequency jumps?
3-29
3-30
What is an f-squared?
It is standard practice to express the thickness removed by lapping, etching and polishing, and the mass added by the electrodes, in terms of frequency change, f, in units of f2, where the f is in kHz and f is in MHz. For example, etching a 10MHz AT-cut plate 1f2 means that a thickness is removed that produces f= 100 kHz; and etching a 30 MHz plate 1f2 means that the f= 900 kHz. In both cases, f=1f2 produces the same thickness change. To understand this, consider that for a thickness-shear resonator (AT-cut, SC-cut, etc.)
f=
N t
where f is the fundamental mode frequency, t is the thickness of the resonator plate and N is the frequency constant (1661 MHzm for an AT-cut, and 1797 MHzm for a SC-cuts cmode). Therefore,
f t = f t
and,
t = N
f f2
So, for example, f = 1f2 corresponds to the same thickness removal for all frequencies. For an AT-cut, t=1.661 m of quartz (=0.83 m per side) per f2. An important advantage of using units of f2 is that frequency changes can be measured much more accurately than thickness changes. The reason for expressing f in kHz and f in MHz is that by doing so, the numbers of f2 are typically in the range of 0.1 to 10, rather than some very small numbers.
3-31
3-34
arm base
X
3-35
Watch Crystal
3-36
Lateral Field
Thickness Field
In lateral field resonators (LFR): 1. the electrodes are absent from the regions of greatest motion, and 2. varying the orientation of the gap between the electrodes varies certain important resonator properties. Advantages of LFR are: Ability to eliminate undesired modes, e.g., the b-mode in SC-cuts Potentially higher Q (less damping due to electrodes and mode traps) Potentially higher stability (less electrode and mode trap effects, smaller C1)
3-37
D2 C D1
Quartz bridge
3-38
~1/2 cm out of the circumference of the earth. ~1/4 second per human lifetime (of ~80 years).
-170 dB = 1 part in 1017 thickness of a sheet of paper out of total distance traveled by all the cars in the world in a day.
4-1
Time
Time
Time
Time
4-2
4-3
Temperature Step
Vibration
Shock
Radiation
Aging
-1
On
-2
Short-Term Instability
-3
t0
t1
t2
t3
t4
4-4
t5 t6
t7
t8 Time
30 25
f/f (ppm)
20 15 10
10
15
20
25
Time (days)
4-5
Aging Mechanisms
Mass transfer due to contamination Since f 1/t, f/f = -t/t; e.g., f5MHz 106 molecular layers, therefore, 1 quartz-equivalent monolayer f/f 1 ppm Stress relief in the resonator's: mounting and bonding structure, electrodes, and in the quartz (?) Other effects Quartz outgassing Diffusion effects Chemical reaction effects Pressure changes in resonator enclosure (leaks and outgassing) Oscillator circuit aging (load reactance and drive level changes) Electric field changes (doubly rotated crystals only) Oven-control circuitry aging
4-6
f/f
4-7
14
ZZl
13.71
XXl
13 Radial 12
11.63 11
(Thickness) = 11.64
10
Tangential 9.56
00
100
200
300
400
4-9
500
600
700
800
900
Force-Frequency Coefficient
30 25 20 15 10 5 0 -5 -10 -15 0 0 Z F
* 10-15 m s / N
AT-cut quartz
Kf ()
500
600
700
800
900
X-ray topograph of an AT-cut, two-point mounted resonator. The topograph shows the lattice deformation due to the stresses caused by the mounting clips.
4-11
(a)
(b)
X-ray topographs showing lattice distortions caused by bonding cements; (a) Bakelite cement - expanded upon curing, (b) DuPont 5504 cement - shrank upon curing
4-12
As an example, consider a 5 MHz 3rd overtone, 14 mm diameter resonator. Assuming the presence of diametrical forces only, (1 gram = 9.81 x 10-3 newtons),
-8 f = 2.9 x 10 -8 per gram for an AT-cut resonator 1.7 x 10 per gram for an SC-cut resonator f Max f = 0 at = 61o for an AT-cut resonator, and at = 82o for an f Min
SC-cut.
4-13
Blank No. 7
Blank No. 8
X
-1 -2
Bonding orientation,
300
600
900
When 22 MHz fundamental mode AT-cut resonators were reprocessed so as to vary the bonding orientations, the frequency vs. temperature characteristics of the resonators changed as if the angles of cut had been changed. The resonator blanks were 6.4 mm in diameter plano-plano, and were bonded to low-stress mounting clips by nickel electrobonding.
4-14
SC-cut resonator
fo = 10Mz
5gf +10
20
10
-10 0
60
360
T3 T2 V(t) = V0 sin(20t)
(t) = 20t
Time
1 V -1 T1
(t ) =
V(t) = Oscillator output voltage, V0 = Nominal peak voltage amplitude (t) = Amplitude noise, 0 = Nominal (or "carrier") frequency (t) = Instantaneous phase, and (t) = Deviation of phase from nominal (i.e., the ideal)
4-16
- Voltage + 0
Phase instability
Amplitude - Time t
Amplitude - Frequency
(b) A(t)
4-18
(c) A(f)
Symbol
y()* S(f) Sy(f) L(f)*
S (f)sin4 ( f)df
Where = averaging time, = carrier frequency, and f = offset or Fourier frequency, or frequency from the carrier.
4-20
Allan Deviation
Also called two-sample deviation, or square-root of the "Allan variance," it is the standard method of describing the short term stability of oscillators in the time domain. It is denoted by y(), where
2 y ( ) =
1 < ( y k +1 - y k )2 > . 2
f
The fractional frequencies, y = are measured over a time f interval, ; (yk+1 - yk) are the differences between pairs of successive measurements of y, and, ideally, < > denotes a time average of an infinite number of (yk+1 - yk)2. A good estimate can be obtained by a limited number, m, of measurements (m100). y() generally denotes 2 y ( , m), i.e.,
1 () = ( , m) = m
2 y 2 y
4-21
(yk +1 yk ) j=1
m
1 2
2 j
Why y()?
Classical variance:
2 yi = 1 yi y 2, m -1
diverges for some commonly observed noise processes, such as random walk, i.e., the variance increases with increasing number of data points. Allan variance: Converges for all noise processes observed in precision oscillators. Has straightforward relationship to power law spectral density types. Is easy to compute. Is faster and more accurate in estimating noise processes than the Fast Fourier Transform.
4-22
f f
0 100 s
-3 X 10-11 3 X 10-11
f f
-3 X 10-11
y() 10
-10
0.1
Averaging time, , s
10
100
4-23
y()
Frequency noise
1s Short-term stability
1m
1h
Sample time
Long-term stability
*For y() to be a proper measure of random frequency fluctuations, aging must be properly subtracted from the data at long s.
4-24
Flicker phase
White freq.
Below the flicker of frequency noise (i.e., the flicker floor) region, crystal oscillators typically show -1 (white phase noise) dependence. Atomic standards show -1/2 (white frequency noise) dependence down to about the servo-loop time constant, and -1 dependence at less than that time constant. Typical s at the start of flicker floors are: 1 second for a crystal oscillator, 103s for a Rb standard and 105s for a Cs standard.
4-25
Pictures of Noise
Plot of z(t) vs. t Sz(f) = hf Noise name =0 = -1 = -2 = -3 White Flicker Random walk
Plots show fluctuations of a quantity z(t), which can be,e.g., the output of a counter (f vs. t) or of a phase detector ([t] vs. t). The plots show simulated time-domain behaviors corresponding to the most common (power-law) spectral densities; h is an amplitude coefficient. Note: since Sf = f 2S, e.g. white frequency noise and random walk of phase are equivalent.
4-26
Spectral Densities
4-27
V1 = A 1sin(1t + 1 )
Mixer Functions
V1V2
Filter Filter
V2 = A2sin (2t + 2 )
Let 1 = 2 ;1 1t + 1, and 2 2 t + 2 .
V0
Phase detector:
AM
1 1 V0 = sin( 1 2 ) = ( 1 2 ) for small ' s 2 2 detector: When A 2 = 1 and the filter is a low pass filter, then
V0 =
1 2
A 1cos( 1 2 ); if 1 2 , then V0
Frequency multiplier: 1 2 then, V0 = A 1 cos(21t + 2 1 ) doubles the frequency and phase error.
2
4-28
A1
Phase Detector
DUT
~
fO
V(t) LPF
= 900
S(f) V(t)
Low-Noise Amplifier
VO(t)
~
Reference
VR(t)
Quadrature Monitor*
Spectrum Analyzer
* Or phase-locked loop
4-29
V (t ) = Vo sin[20 t + (t )]
Phase PhaseDetector Detector V (t) (t) V (t)= =kk (t)
V(t)
4-30
y (t )
2 RMS S (f ) = = 0 S y (f ); BW f
( ) = 1/2 < y k +1 y k
2 y
2 >= (0 )2
4 ( ) (f) df S f sin 0
h1f
h0
+
t
h 1f 1
+
(t ) 2
h 2 f 2
4-31
After some messy algebra, SV(f) and S(f) are as shown on the next page. Then, 2 2 V0 J1 [(fm )] SSB Power Ratio at fm = 2 2 2 V0 J0 [(fm )] + 2 Ji [(fm )]
if (fm ) << 1, then J0 = 1, J1 = 1/2(fm ), Jn = 0 for n > 1, and 2 (fm ) S (fm ) = SSB Power Ratio = L (fm ) = 4 2
i=1
4-32
(t ) = (fm )cos(2fm t )
V (t ) = V0cos[2fC t + (fm )]
SV(f)
fC
2
fC+fm
fC+2fm
fC+3fm
L (fm )
S(fm ) 2
4-33
~BW of resonator
ff
4-34
L(f) in dBc/Hz
5500
103
104
105
Offset frequency in Hz
4-36
L(f) in dBc / Hz
-60 -80 -100 -120 -140 -160 10-1 100 101 102
Offset frequency in Hz
4-37
fo fout = Mfi fo = M fi fo fi = fo fi o = M i
fi x M = fo
Noiseless Multiplier
L (f )o = L (f )i + 20 log M S (f )o = M2S (f )i S y (f )o = S y (f )i
y ( )o = y ( )i
f , Sy(f), and y() are unaffected by frequency multiplication. f 4-38
TCXO Noise
The short term stabilities of TCXOs are temperature (T) dependent, and are generally worse than those of OCXOs, for the following reasons: The slope of the TCXO crystals frequency (f) vs. T varies with T. For example, the f vs. T slope may be near zero at ~20oC, but it will be ~1ppm/oC at the T extremes. T fluctuations will cause small f fluctuations at laboratory ambient Ts, so the stability can be good there, but millidegree fluctuations will cause ~10-9 f fluctuations at the T extremes. The TCXOs f vs. T slopes also vary with T; the zeros and maxima can be at any T, and the maximum slopes can be on the order of 1 ppm/oC. AT-cut crystals thermal transient sensitivity makes the effects of T fluctuations depend not only on the T but also on the rate of change of T (whereas the SC-cut crystals typically used in precision OCXOs are insensitive to thermal transients). Under changing T conditions, the T gradient between the T sensor (thermistor) and the crystal will aggravate the problems. TCXOs typically use fundamental mode AT-cut crystals which have lower Q and larger C1 than the crystals typically used in OCXOs. The lower Q makes the crystals inherently noisier, and the larger C1 makes the oscillators more susceptible to circuitry noise. AT-cut crystals f vs. T often exhibit activity dips (see Activity Dips later in this chapter). At the Ts where the dips occur, the f vs. T slope can be very high, so the noise due to T fluctuations will also be very high, e.g., 100x degradation of y() and 30 dB degradation of phase noise are possible. Activity dips can occur at any T.
4-39
10
20 -550C Military Cold -100C Winter +280C +490C Wrist Desert Temp.
4-40
f (LTP)
Frequency
Inflection Point
f (UTP) Lower Turnover Point (LTP) Temperature Upper Turnover Point (UTP)
4-41
AT-cut
35
r m R
o
Z
49o
BT-cut
R m r
7 6
Y R -1 0 1 2 3 4 5 6 7 8
f f (ppm)
5 0 -5 -10 -15
5 4 3 2 1 0 -1
Y-bar quartz
-20 -25
80
85
90
Temperature (oC)
4-43
Temperature (0C)
4-44
2 To
OVEN CYCLING RANGE
Typical f vs. T characteristic for AT and SC-cut resonators
Temperature Oven Parameters vs. Stability for SC-cut Oscillator Assuming Ti - TLTP = 100C Ti - TLTP = 100C 10 Oven Offset (millidegrees) 100 10 1 0.1 0 4x 10-12 6 x 10-13 2 x 10-13 2 x 10-13 2 x 10-13 Oven Cycling Range (millidegrees) 1 0.1 4x 10-13 4x 10-14 4 x 10-14 6 x 10-15 2 x 10-15 2 x 10-15 4 x 10-15 4 x 10-16 6 x 10-17 2 x 10-17
A comparative table for AT and other non-thermal-transient compensated cuts of oscillators would not be meaningful because the dynamic f vs. T effects would generally dominate the static f vs. T effects.
4-45
~ a
dT ~ a , dt
-2 x 10-7 s/K2
10-8 0 -10-8
Oven Warmup Time
12
Time (min)
15
-10-7 -10-6
4-47
0.5
0.0
-25
-5
15
55 Temperature (0C)
35
75
-0.5
-1.0
4-48
Apparent Hysteresis
Temperature (C)
4-49
5 15 25 35 45 55 65 75 85
OCXO Retrace
15 14 days 10 5 f -9 f X 10 0 15 14 days 10 5 0 OSCILLATOR OFF OVEN OFF OVEN ON
(a)
OSCILLATOR ON
(b)
In (a), the oscillator was kept on continuously while the oven was cycled off and on. In (b), the oven was kept on continuously while the oscillator was cycled off and on.
4-50
f (ppm) f
15
55
-25
35
T (0C)
-1
In TCXOs, temperature sensitive reactances are used to compensate for f vs. T variations. A variable reactance is also used to compensate for TCXO aging. The effect of the adjustment for aging on f vs. T stability is the trim effect. Curves show f vs. T stability of a 0.5 ppm TCXO, at zero trim and at 6 ppm trim. (Curves have been vertically displaced for clarity.)
4-51
75
-5
C1 f fS 2(C0 + CL )
Compensated f vs. T
CL
Compensating CL vs. T
4-52
* 10-6
SC-cut
f f
-4
-8 r = Co/C1 = 746 = 0.130 -12 -50 200 450 700 950 1200 1450 1700 1950
DEGREES CELSIUS
4-53
3 5
1
(ppm)-10
-20 -30 -40 -50 -100 -80 -60 -40
f 10 f 0
M AT-cut Reference angle-of-cut () is about 8 minutes higher for the overtone modes. (for the overtone modes of the SC-cut, the reference -angle-of-cut is about 30 minutes higher)
-20
-0
20
40
60
80
T, 0C
4-54
10 W 10 -6
100 W
400 W
4000 W
Frequency
At high drive levels, resonance curves become asymmetric due to the nonlinearities of quartz.
4-55
40
Resistance R1
10-3
10-2
10-1
10
100
IX (mA)
4-57
4-58
Activity Dips
fL2
Frequency
f 10 X10-6 f
fL1 fR
Resistance
RL2 RL1 R1
-40
-20
20
Temperature
(0C)
40
60
80
100
Activity dips in the f vs. T and R vs. T when operated with and without load capacitors. Dip temperatures are a function of CL, which indicates that the dip is caused by a mode (probably flexure) with a large negative temperature coefficient.
4-59
Frequency Jumps
2.0 x 10-11
30 min.
4.0 3.0 2.0 1.0 0.0 -1.0 0 2 4 6 Elapsed time (hours) 4-60
f f
G Crystal plate
X
Supports
Frequency shift is a function of the magnitude and direction of the acceleration, and is usually linear with magnitude up to at least 50 gs.
4-61
f X 10 9 f
4 2
10.000 MHz oscillators tipover test (f(max) - f(min))/2 = 1.889x10-09 (ccw) (f(max) - f(min))/2 = 1.863x10-09 (cw) delta = 106.0 deg.
135
225
180
270
315
-2 -4
Axis 1
(f(max) - f(min))/2 = 6.841x10-10 (ccw) (f(max) - f(min))/2 = 6.896x10-10 (cw) delta = 150.0 deg. 180 135 225 270 315 360 360 45 90
Axis 2
4 2 0 -2 -4 4 2
Axis 2
(f(max) - f(min))/2 = 1.882x10-09 (ccw) (f(max) - f(min))/2 = 1.859x10-09 (cw) delta = 16.0 deg. 135 180 225 270 315 45 90
Axis 1
0 -2
-4
4-62
360
45
90
Time
f0 - f
f0 + f
t=
f0 - f f0 + f
2fv
Acceleration
t=0
Time
f0 - f
f0 + f
t=
t=
3 2fv
2 fv
4-63
Voltage
f0 - f
f0 + f
t=
fv
Time
f0 - f
f0 + f
Acceleration
typical levels*, in gs x10-11,
f
for 1x10-9/g oscillator
0.02 rms 0.2 peak 0.5 to 3 rms 0.02 to 0.1 peak 0.8 peak 0.3 to 5 rms 0.1 to 7 rms 0.02 to 2 rms 15 peak 0.1 to 1 peak
* Levels at the oscillator depend on how and where the oscillator is mounted Platform resonances can greatly amplify the acceleration levels. ** Building vibrations can have significant effects on noise measurements
4-64
= 1 i + 2 j + 3k
2 2 2 + 2 + 3 = 1
1 2
Axis 1
Axis 2
4-65
y
10-10
() =
12 10
y
10-11
() =
10
12
10-12
0.001
0.01
(sec)
0.1
When the oscillator is subjected to a sinusoidal vibration, the peak phase excursion is
f (t ) = 2f0 t + sin(2fv t ) f v
peak
f A f0 = = fv fv
Example: if a 10 MHz, 1 x 10-9/g oscillator is subjected to a 10 Hz sinusoidal vibration of amplitude 1g, the peak vibration-induced phase excursion is 1 x 10-3 radian. If this oscillator is used as the reference oscillator in a 10 GHz radar system, the peak phase excursion at 10GHz will be 1 radian. Such a large phase excursion can be catastrophic to the performance of many systems, such as those which employ phase locked loops (PLL) or phase shift keying (PSK).
4-67
Vibration-Induced Sidebands
NOTE: the sidebands are spectral lines at fV from the carrier frequency -10 (where fV = vibration frequency). The lines are broadened because of the finite bandwidth of the spectrum analyzer. -20
-30 -40 -50 -60 -70 -80 -90 -100 100 150 -250 -200 -150 -100 200 0
L(f)
4-68
250
-50
50
Vibration-Induced Sidebands
After Frequency Multiplication L(f) 0
-10 -20 -30 -40 -50 -60 -70
10X
1X
-80 -90 -100 100 150 -250 -200 -150 -100 200 250 -50 50 0
4-69
Af0 L (f ) = 20 log , 2f
1 2
e.g., if = 1 x 10-9/g and f0 = 10 MHz, then even if the oscillator is completely noise free at rest, the phase noise i.e., the spectral lines, due solely to a vibration PSD = 0.1 g2/Hz will be:
Offset freq., f, in Hz 1 10 100 1,000 10,000
4-71
L( f
PSD (g2/Hz)
)u nd e
r th er
.07 .04
an do m
L (f) (dBc)
vib ra
tio ns
300
1K 2K
ho wn
Frequency (Hz)
45 dB
ibr ati on
1K 2K
4-72
10-9
10-10
100
4-73
4-74
Impacts on Radar Performance Lower probability of detection Lower probability of identification Shorter range False targets
53 dB
-100
dBc/Hz
-150
100K 10K
1K
100
10
1
4-75
10
100
1K
10K 100K
80
To see 4 km/h targets, low phase noise 70 Hz from the carrier is required. Shown is the probability of detection of 4 km/h targets vs. the phase noise 70 Hz from the carrier of a 10 MHz reference oscillator. (After multiplication to 10 GHz the phase noise will be at least 60 dB higher.) The phase noise due to platform vibration, e.g., on an aircraft, reduces the probability of detection of slow-moving targets to zero.
60
40
20
Low Noise
-140 -135 -130 -125 -120
High Noise
-115 -110
Vibration Isolation
Limitations
1
Transmissibility
Region of Amplification
Region of Isolation
0.2
Vibration Compensation
Stimulus
OSC.
Response
f
7x 10
-9
Compensated Oscillator
/ Vo lt
ACC ACC AMP
OSC.
DC Voltage on Crystal
5 MHz fund. SC
fv
OSC.
fO - fV
fO
fO - fV
fO - fV
fO
fO - fV
4-78
Accelerometer Accelerometer Test TestOscillator Oscillator Shake ShakeTable Table Power Power Amplifier Amplifier Vibration Vibration Level Level Controller Controller
4-79
Shock
The frequency excursion during a shock is due to the resonators stress sensitivity. The magnitude of the excursion is a function of resonator design, and of the shock induced stresses on the resonator (resonances in the mounting structure will amplify the stresses.) The permanent frequency offset can be due to: shock induced stress changes, the removal of (particulate) contamination from the resonator surfaces, and changes in the oscillator circuitry. Survival under shock is primarily a function of resonator surface imperfections. Chemical-polishing-produced scratch-free resonators have survived shocks up to 36,000 g in air gun tests, and have survived the shocks due to being fired from a 155 mm howitzer (16,000 g, 12 ms duration).
f X 10 8 f
3
Shock
1
-1
-2
-3
tO
t1
4-80
t0
t
fSS/rad* =
Time
10-11 for natural quartz (and R increase can stop the oscillation) 10-12 for cultured quartz 10-13 for swept cultured quartz
Idealized frequency vs. time behavior for a quartz resonator following a pulse of ionizing radiation.
4-81
0
3. Reirradiation (after >106 rad)
-10
-20
Five irradiations; responses during the 4th and 5th irradiations repeated the results of the 3rd. At least 2 days elapsed between successive irradiations.
-30
1. Initial irradiation
Initial slopes: 1st: -1 x 10-9/rad 2nd: +1 x 10-11/rad 3rd: +3 x 10-12/rad 4th: +3 x 10-12/rad 5th: +5 x 10-12/rad
-40 10
102
103
4-82
104
105
106
Dose, rad(SiO2)
50
Z-growth cultured
104
Reds (Si)
4-83
Frequency change, Hz
40 x x x x x x x 20 x
fS = 41 Hz
x x X T= 4680K X T= 4330K (1600C) X T= 4540K
x
T = 5130K(2400C)
0 100
200
For a 4 MHz AT-cut resonator, X-ray dose of 6 x 106 rads produced f = 41 Hz. Activiation energies were calculated from the temperature dependence of the annealing curves. The experimental results can be reproduced by two processes, with activation energies E1 = 0.3 0.1 eV and E2 = 1.3 0.3eV. Annealing was complete in less than 3 hours at > 2400C.
4-84
0
X X X
-4
X X X X X X X X X X X X X X X X X XX X
-8
-12
-16
-20
Experimental data, dose = 2.3 x 104 rads, AT-cut Model Calculation: AT-cut
-24 0.1
1.0
10
100
Time
1000
4-85
N-4
70
12 11 10 9 8 7 6
60
C-7
50
40
30
0.001
The curves show the series resonance resistance, RS, vs. time following a 4 x 104 rad pulse. Resonators made of swept quartz show no change in RS from the earliest measurement time (1 ms) after exposure, at room temperature. Large increases in RS (i.e., large decrease in the Q) will stop the oscillation.
4-86
RS in Ohms
N-4 (Natural) C-7 (Unswept synthetic) C-22 (Unswept synthetic) S-25 Swept synthetic) S-26 Swept synthetic)
X106
5 MHz AT-cut
Frequency Deviation, f
4-87
Neutron Damage
(1) (2) (3) (4)
A fast neutron can displace about 50 to 100 atoms before it comes to rest. Most of the damage is done by the recoiling atoms. Net result is that each neutron can cause numerous vacancies and interstitials.
4-88
4-90
4-92
Short term stability Vibration sensitivity 2-g tipover sensitivity Resonator f vs. T (static) Radiation sensitivity
5-1
5-2
Etchant Must: 1. Diffuse to Surface 2. Be Adsorbed 3. React Chemically Reaction Products Must: 4. Be Desorbed 5. Diffuse Away
Lapped surface
r S X Z r
S X Z
m Y
r Right-Handed
Left-Handed
5-4
Si
Y
O Si O
Si
Si
5-5
Purity (Al, Fe, Li, Na, K, -OH, H2O) Crystalline Perfection, Strains
Inclusions
5-6
B)
= Oxygen Axis of channel
H H Al Al
= Si4+
C)
D)
E)
Na Li K
Al
Al
Al
0.2 eV
5-7
Al-M+ center
Ox Ox
Al3+ H+
M+ Ox
Al3+
OH molecule
Ox
Interstitial Alkali
Ox
Ox
Al-hole center
Ox Ox
Al3+
Ox
h+
5-8
Sweeping
Oven T = 500OC Cr-Au Quartz bar E = 1000 V/cm Thermometer Ammeter High voltage power supply
I 0.5 a/cm2
Time
5-9
* EIA Standard 477-1 contains standard test method for this quantity
5-10
Transmission (%)
40 3200 3300 20
0 4000
3500
3000
2500
5-12
Quartz Twinning
>> >>> >> > >> > > > > >> >>> > > >>> > >>> >> > >> >> >> > > >> > > > > > > >> > > > > > > >> > >> >> > > > > >> > >>>> > >>>> > >> > > > > >> >> >>>> >>> > >> > > > > >> > > > > > >> >>> >>> >> > >> > >> >>> >> > > >> >> >> > >> >>>> > > >
Electrical twinning
Optical Twinning
The X-axes of quartz, the electrical axes, are parallel to the line bisecting adjacent prism faces; the +X-direction is positive upon extension due to tension. Electric twinning (also called Dauphin twinning) consists of localized reversal of the X-axes. It usually consists of irregular patches, with irregular boundaries. It can be produced artificially by inversion from high quartz, thermal shock, high local pressure (even at room temperature), and by an intense electric field. In right-handed quartz, the plane of polarization is rotated clockwise as seen by looking toward the light source; in left handed, it is counterclockwise. Optically twinned (also called Brazil twinned) quartz contains both left and right-handed quartz. Boundaries between optical twins are usually straight. Etching can reveal both kinds of twinning.
5-13
r r r +
Z Z
Z + r
r + Z
Electrical (Dauphine) + Z r
Z r
Z Z
Z + Z
Z r +
+ r Z
Optical (Brazil) + r r
+ Combined r r
Z +
Z r
The diagrams illustrate the relationship between the axial system and hand of twinned crystals. The arrows indicate the hand.
5-14
Domain Wall
00 88 45
79 21 88 33 45 79 21 88
Silicon Oxygen
00 79 21
67
55 12 00 45
67
33
67
5-15
Quartz Inversion
Quartz undergoes a high-low inversion ( - transformation) at 5730C. (It is 5730C at 1 atm on rising temperature; it can be 10 to 20C lower on falling temperature.) Bond angles between adjoining (SiO4) tetrahedra change at the inversion. Whereas low-quartz (-quartz) is trigonal, high quartz ( -quartz) is hexagonal. Both forms are piezoelectric. An abrupt change in nearly all physical properties takes place at the inversion point; volume increases by 0.86% during inversion from low to high quartz. The changes are reversible, although Dauphin twinning is usually acquired upon cooling through the inversion point. Inversion temperature decreases with increasing Al and alkali content, increases with Ge content, and increases 10C for each 40 atm increase in hydrostatic pressure.
5-16
Stishovite
10
P(gpa)
Coesite
6
Low or -quartz
0 500
Cristobalite
2000 2500
T(oC)
5-17
Value of Q, in millions
20
Most probable internal friction curve for quartz; excluding mounting losses
10 8 6 4 2
90 mm
30 mm
15 mm
Frequency in MHz
Empirically determined Q vs. frequency curves indicate that the maximum achievable Q times the frequency is a constant, e.g., 16 million for AT-cut resonators, when f is in MHz.
5-18
Lower acoustic attenuation than quartz (higher Qf than AT- or SC-cut quartz) No phase transition (melts at ~1,400 oC vs. phase transition at 573 oC for quartz) Higher piezoelectric coupling than quartz Thicker than quartz at the same frequency Temperature-compensated
5-19
* There are two important reasons for including this chapter: 1. atomic frequency standards are one of the most important applications of precision quartz oscillators, and 2. those who study or use crystal oscillators ought to be aware of what is available in case they need an oscillator with better long-term stability than what crystal oscillators can provide.
6-1
where E2 and E1 are the energies of the upper and lower states, respectively, and h is Plancks constant. An atomic frequency standard produces an output signal the frequency of which is determined by this intrinsic frequency rather than by the properties of a solid object and how it is fabricated (as it is in quartz oscillators). The properties of isolated atoms at rest, and in free space, would not change with space and time. Therefore, the frequency of an ideal atomic standard would not change with time or with changes in the environment. Unfortunately, in real atomic frequency standards: 1) the atoms are moving at thermal velocities, 2) the atoms are not isolated but experience collisions and electric and magnetic fields, and 3) some of the components needed for producing and observing the atomic transitions contribute to instabilities.
6-2
Hydrogen-Like Atoms
3
MF = 2 1 0 -1
2 Nucleus Electron 1
F=2 W
2 3 4
Electron
F=1
-1
MF =
-2
-3
-2 -1 0 1
Hyperfine structure of 87Rb, with nuclear spin I=3/2, 0=W/h=6,834,682,605 Hz and X=[(-J/J) +(I/I)]H0/W calibrated in units of 2.44 x 103 Oe.
6-3
6-4
h0
A
6-5
6-6
52P1/2
816 MHz
F=1
795 nm
795 nm
F=2
52S1/2
85Rb
6-7
87Rb
87Rb
85Rb
lamp
+ buffer gas
Filter Cell
Light
Rb-87 + buffer gas Photo cell Cavity Frequency input 6.834,685 GHz Detector output
rf lamp exciter
6-8
9.2
6-9
NO SIGNAL
N
MICROWAVE CAVITY MAGNET
S
MICROWAVE SIGNAL (OF ATOMIC RESONANCE FREQUENCY)
R TO C TE DE
ATOMIC BEAM N
ATOMIC BEAM SOURCE
MAXIMUM SIGNAL
MAGNET (STATE SELECTOR) VACUUM CHAMBER KIND 2 - ATOMS STATE SELECTED (UPPER STATE) ATOMIC BEAM MICROWAVE CAVITY
N MAGNET
6-10
GETTER
C-FIELD Cs-BEAM
B-MAGNET
A-MAGNET
CAVITY
GETTER ION COLLECTOR DETECTOR PUMP SIGNAL PUMP POWER SUPPLY DETECTOR POWER SUPPLY
VACUUM ENVELOPE OVEN OVEN HEATER HEATER POWER POWER SUPPLY SUPPLY
6-11
1.42040GHz
(0, 0)
Microwave output
State selector
Hydrogen atoms
6-13
6-15
0 = 1 SECOND
0 = 1 SECOND
10-16 10-3 10-2 10-1 100 101 102 103 104 105 AVERAGING TIME (SECONDS)
6-16
* The 60 s time constant provides better shortterm stability, but it is 106 usable only in benign environments.
10-9
RUBIDIUM - WORST CASE
10-10
fL = 0.01 Hz
fL = 1 Hz
10-11
VCXO
10-12 .001
.01
.1
1
6-17
10
100
(seconds)
Cs H
* Typical values ** 1 gauss = 10-4 Tesla; Tesla is the SI unit of magnetic flux density.
6-20
852 nm
Spontaneous decays
State selection
State detection
The proper atomic energy levels are populated by optical pumping with a laser diode. This method provides superior utilization of Cs atoms, and provides the potential advantages of: higher S/N, longer life, lower weight, and the possibility of trading off size for accuracy. A miniature Cs standard of 1 x 10-11 accuracy, and <<1 liter volume, i.e., about 100x higher accuracy than a Rb standard, in a smaller volume (but not necessarily the same shape factor) seems possible.
6-22
RbXO Interface
6-24
6-25
Oscillator Comparison
Quartz Oscillators
TCXO Accuracy * (per year) Aging/Year Temp. Stab. (range, 0C) Stability,y() ( = 1s) Size (cm3) Warmup Time (min) Power (W)
(at lowest temp.)
Atomic Oscillators
Rubidium 5 x 10-10 2 x 10-10 3 x 10-10 (-55 to +68) 3 x 10-12 200-800 3 (to 5 x 10-10) 20 2,000-8,000 RbXO 7 x 10-10 2 x 10-10 5 x 10-10 (-55 to +85) 5 x 10-12 1,000 3 (to 5 x 10-10) 0.65 <10,000 Cesium 2 x 10-11 0 2 x 10-11 (-28 to +65) 5 x 10-11 6,000 20 (to 2 x 10-11) 30 50,000
MCXO 5 x 10-8 2 x 10-8 3 x 10-8 (-55 to +85) 3 x 10-10 30 0.03 (to 2 x 10-8) 0.04 <1,000
OCXO 1 x 10-8 5 x 10-9 1 x 10-9 (-55 to +85) 1 x 10-12 20-200 4 (to 1 x 10-8) 0.6 200-2,000
2 x 10-6 5 x 10-7 5 x 10-7 (-55 to +85) 1 x 10-9 10 0.03 (to 1 x 10-6) 0.04 10 - 100
Price (~$)
* Including environmental effects (note that the temperature ranges for Rb and Cs are narrower than for quartz).
7-1
Cs Cs Rb Rb
1s/day 1ms/year
10-10
Accuracy
10-8
OCXO OCXO
10-6
1ms/day 1s/year
TCXO TCXO XO
0.01 0.1
1s/day
10-4 0.001
Power (W)
10
100
* Accuracy vs, size, and accuracy vs. cost have similar relationships
10-12 10-10 10-8 = in production = developmental RbXO MCXO TMXO OCXO OCXO TCXO TCXO 10-4 0.001 XO XO 0.01 0.1 1 Power (W)
7-3
Cs Cs Mini-Cs Rb Rb
1s/day 1ms/year
Accuracy
1ms/day 1s/year
10-6
1s/day
10
100
* Accuracy vs, size, and accuracy vs. cost have similar relationships
rtz a Qu m u i bid um i s e
Log (y())
-11
-12
Ru
-13
C
-14 -15
Hydrogen Maser
-16 -3.0 -2.0 -1.0 0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0
1 day1 month
Ru um di bi
Ce
10*Log(S(f))
um si
H g ro yd en
-2
Quartz
Typical one-sided spectral density of phase deviation vs. offset frequency, for various standards, calculated at 5 MHz. L(f) = S
7-5
er as M
-1
Log (f)
Rubidium Life Power Weight Cesium Life Power Weight Cost Temp. range
7-6
Poor workmanship & quality control - e.g., wires come loose at poor quality solder joints, leaks into the enclosure, and random failure of components Frequency ages to outside the calibration range due to high aging plus insufficient tuning range TCXO frequency vs. temperature characteristic degrades due to aging and the trim effect. OCXO frequency vs. temperature characteristic degrades due to shift of oven set point. Oscillation stops, or frequency shifts out of range or becomes noisy at certain temperatures, due to activity dips Oscillation stops or frequency shifts out of range when exposed to ionizing radiation - due to use of unswept quartz or poor choice of circuit components Oscillator noise exceeds specifications due to vibration induced noise Crystal breaks under shock due to insufficient surface finish
7-6
1. SCOPE 1.1 Statement of scope. This specification covers the general requirements for quartz crystal oscillators used in electronic equipment.
What Is Time?
"What, then, is time? If no one asks me, I know; if I wish to explain to him who asks, I know not." --- Saint Augustine, circa 400 A.D. The question, both a philosophical and a scientific one, has no entirely satisfactory answer. "Time is what a clock measures." "It defines the temporal order of events." "It is an element in the four-dimensional geometry of space-time. It is natures way of making sure that everything doesn't happen at once. Why are there "arrows" of time? The arrows are: entropy, electromagnetic waves, expansion of the universe, k-meson decay, and psychological. Does time have a beginning and an end? (Big bang; no more "events", eventually.) The unit of time, the second, is one of the seven base units in the International System of Units (SI units)*. Since time is the quantity that can be measured with the highest accuracy, it plays a central role in metrology.
8-1
8-2
The Second
The SI unit of time is the second (symbol s). The second was defined, by international agreement, in October, 1967, at the XIII General Conference of Weights and Measures. The second is "the duration of 9,192,631,770 periods of the radiation corresponding to the transition between the two hyperfine levels of the ground state of the cesium atom 133." Prior to 1967, the unit of time was based on astronomical observations; the second was defined in terms of ephemeris time, i.e., as "1/31,556,925.9747 of the tropical year..." The unit of frequency is defined as the hertz (symbol Hz). One hertz equals the repetitive occurrence of one "event" per second.
8-3
1 f =
Total number of events Accumulate d clock time = Number of events per unit of time
8-4
Frequency Source
Setting
Mechanism
Synchronization
Mechanism
t = t0 +
Where t is the time output, t0 is the initial setting, and is the time interval being counted.
8-5
Progress in Timekeeping
Time Period Clock/Milestone Accuracy Per Day
~1 h ~30 to 60 min ~15 to 30 min 4th millennium B.C. Day & night divided into 12 equal hours Up to 1280 A.D. Sundials, water clocks (clepsydrae) ~1280 A.D. 14th century ~1345 15th century 16th century 1656 18th century 19th century ~1910 to 1920 1920 to 1934 1921 to present 1949 to present Mechanical clock invented- assembly time for prayer was first regular use Invention of the escapement; clockmaking becomes a major industry Hour divided into minutes and seconds Clock time used to regulate peoples lives (work hours) Times impact on science becomes significant (Galileo times physical events, e.g., free-fall) First pendulum clock (Huygens) Temperature compensated pendulum clocks Electrically driven free-pendulum clocks Wrist watches become widely available Electrically driven tuning forks Quartz crystal clocks (and watches. Since ~1971) Atomic clocks
8-7
~2 min ~1 min ~100 s 1 to 10 s 10-2 to 10-1 s 10-3 to 10-2 s 10-5 to 10-1 s 10-9 to 10-4 s
Clock Errors
T(t) = T0 + R(t)dt + (t) = T0 + (R0t + 1/2At2 + ) + Ei(t)dt +(t)
0
0
Where, T(t) = time difference between two clocks at time t after synchronization T0 = synchronization error at t = 0 R(t) = the rate (i.e., fractional frequency) difference between the two clocks under comparison; R(t) = R0 + At + Ei(t) (t) = error due to random fluctuations = y() R0 = R(t) at t = 0 A = aging term (higher order terms are included if the aging is not linear) Ei(t) = rate difference due to environmental effects (temperature, etc.)
-------------Example: If a watch is set to within 0.5 seconds of a time tone (T0 = 0.5 s), and the watch initially gains 2 s/week (R0 = 2 s/week), and the watch rate ages -0.1 s per week2, (A = -0.1 s/week2), then after 10 weeks (and assuming Ei(t) = 0): T (10 weeks) = 0.5 (2 x 10) + 1/2(-0.1 x (10)2) = 15.5 seconds.
8-8
Time Error
fr
Time Error
Frequency
fr
Time Error
Frequency
fr
t
1 2 3
Time Error
t
1
t
1
1 2 3
10
20
30
40
50
60
70
80
90
100
TCXO
Avg. Temp. Stab. Aging/Day Resynch Interval* (A/J & security) Recalibr. Interval * (Maintenance cost)
OCXO
2 x 10-8 1 x 10-10
MCXO
2 x 10-8 5 x 10-11
RbXO
2 x 10-8 5 x 10-13
6 hours 4 days None needed 300 yrs
1 x 10-6 1 x 10-8
10 min 4 hrs
* Calculated for an accuracy requirement of 25 milliseconds. Many modern systems need much better. 8-10
100 ms
T SE F OF
10 X 1
-5
G A
G IN
10
-4 -5
G A
-6
G IN
10
G A
G IN
10
-6
G A
G IN
10
-7
G A
G IN
10
-9
-8
10 ms
T SE F OF T SE F OF
10 1X
G A G A
G IN
10
-
1 ms
10 X 1
-7
G IN
10 10
-
10
100 s
10 s
0 X1 1 T SE F OF 9 01 1X T E FS F O
30 1 hour 2 4 8
-8
G A
G IN
11
T1 E FS OF
16
01 X
10
1 ET S F OF
3 4 5 61 week 2
01 X
11
AG
G IN
10
12
1 s 10 minutes
1 day
3 1 2 MONTH
1 YEAR
Elapsed Time
8-11
8-12
Accuracy
10 - 100 ns 20 - 100 ns 5 - 20 ns ~1 ns 100 ns 2 ms Calibration interval dependent
~ Cost (95)
$45K - 70K $100 - 5K
8-14
GPS Nominal Constellation: 24 satelites in 6 orbital planes, 4 satelites in each plane, 20,200 km altitude, 55 degree inclinations
8-15
GPS
GPS can provide global, all-weather, 24-hour, real-time, accurate navigation and time reference to an unlimited number of users.
GPS Accuracies (2) Position: 120 m for Standard Positioning Service, SPS 40 m for Precise Positioning Service, PPS 1 cm + 1ppm for differential, static land survey 0.3 m/s (SPS), 0.1 m/s (PPS). 350 ns to < 10 ns
Velocity: Time:
24 satellites in 6 orbital planes; 6 to 10 visible at all times; ~12 h period 20,200 km orbits. Pseudorandom noise (PRN) navigation signals are broadcast at L1 = 1.575 GHz (19 cm) and L2 = 1.228 GHz (24 cm); two codes, C/A and P are sent; messages provide satellite position, time, and atmospheric propagation data; receivers select the optimum 4 (or more) satellites to track. PPS (for DoD users) uses L1 and L2, SPS uses L1 only.
8-16
Oscillator Parameter
Warmup time Power Size and weight Short term stability (0.1 s to 100 s) Short term stability (~15 minute) Phase noise Acceleration sensitivity
8-17
Time Scales
A "time scale" is a system of assigning dates, i.e., a "time," to events; e.g., 6 January 1989, 13 h, 32 m, 46.382912 s, UTC, is a date. A "time interval" is a "length" of time between two events; e.g., five seconds. Universal time scales, UT0, UT1, and UT2, are based on the earth's spin on its axis, with corrections. Celestial navigation: clock (UT1) + sextant position.
International Atomic Time (TAI) is maintained by the International Bureau of Weights and Measures (BIPM; in France), and is derived from an ensemble of more than 200 atomic clocks, from more than 60 laboratories around the world. Coordinated Universal Time (UTC) is the time scale today, by international agreement. The rate of UTC is determined by TAI, but, in order to not let the time vs. the earth's position change indefinitely, UTC is adjusted by means of leap seconds so as to keep UTC within 0.9 s of UT1.
8-18
8-19
Relativistic Time
Time is not absolute. The "time" at which a distant event takes place depends on the observer. For example, if two events, A and B, are so close in time or so widely separated in space that no signal traveling at the speed of light can get from one to the other before the latter takes place, then, even after correcting for propagation delays, it is possible for one observer to find that A took place before B, for a second to find that B took place before A, and for a third to find that A and B occurred simultaneously. Although it seems bizarre, all three can be right. Rapidly moving objects exhibit a "time dilation" effect. (Twin paradox: Twin on a spaceship moving at 0.87c will age 6 months while twin on earth ages 1 year. There is no "paradox" because spaceship twin must accelerate; i.e., there is no symmetry to the problem.) A clock's rate also depends on its position in a gravitational field. A high clock runs faster than a low clock.
8-20
8-21
t =
1 v 2 v 2 ( ) dt + 2 A s g S g E 2 c2 c 2 0
1
T
Where t = time difference between spacecraft clock and ground clock, tS-Tg VS = spacecraft velocity (<<c), Vg = velocity of ground station S = gravitational potential at the spacecraft g = gravitational potential at the ground station = angular velocity of rotation of the earth AE = the projected area on the earths equatorial plane swept out by the vector whose tail is at the center of the earth and whose head is at the position of the portable clock or the electromagnetic signal pulse. The AE is taken positive if the head of the vector moves in the eastward direction.
Within 24 km of sea level, = gh is accurate to 1 x 10-14 where g = (9.780 + 0.052 sin2 )m/s2, = the latitude, h = the distance above sea level, and where the sin2 term accounts for the centrifugal potential due to the earth's rotation. The "Sagnac effect," (2/c2)AE = (1.6227 x 10-21s/m2)AE, accounts for the earth-fixed coordinate system being a rotating, noninertial reference frame.
8-22
if v = 4 km/h and f = 10 GHz (e.g., a slowmoving vehicle approaching an X-band radar), then f = 74 Hz, i.e., an oscillator with low phase noise at 74Hz from the carrier is necessary in order to "see" the vehicle.
8-23
10 Volts ( 10%)
0 Volts ( 1 Volt
20 sec 5%
"The leading edge of the BCD code (negative going transitions after extended high level) shall coincide with the on-time (positive going transition) edge of the one pulse-per-second signal to within 1 millisecond." See next page for the MIL-STD BCD code.
8-24
LLLH 8421 1
LLHL 8421 2
Hours
Minutes
8 4 2 1 8 4 2 1 8 4 2 1 8 4 2 1 8 4 2 1 8 4 2 1
8-26
Oscillator/ Oscillator/ Clock-Driver Clock-Driver External External Reference Reference Microcomputer Microcomputer Compensation Compensationand and Control Control Frequency Frequency Distribution Distribution f1 f2 f3 Clock Clockand and Time code Time code Generator Generator TOD 1pps V1 V2
Battery Battery
Vin
* The microcomputer compensates for systematic effects (after filtering random effects), and performs: automatic synchronization and calibration when an external reference is available, and built-in-testing.
8-27
"Time" Quotations
3 o'clock is always too late or too early for anything you want to do..................Jean-Paul Sartre Time ripens all things. No man's born wise............Cervantes. Time is the rider that breaks youth............George Herbert Time heals all wounds..................Proverb Time is on our side..................William E. Gladstone Time wounds all heels..................Jane Ace It takes time to save time.............Joe Taylor The hardest time to tell: when to stop.....Malcolm Forbes
Time, whose tooth gnaws away everything else, is powerless against truth..................Thomas H. Huxley Time has a wonderful way of weeding out the trivial..................Richard Ben Sapir Time is a file that wears and makes no noise...........English proverb The trouble with life is that there are so many beautiful women - and so little time..................John Barrymore Life is too short, and the time we waste yawning can never be regained..................Stendahl Time goes by: reputation increases, ability declines..................Dag Hammarskjld Remember that time is money...............Benjamin Franklin The butterfly counts not months but moments, and has time enough..................Rabindranath Tagore Everywhere is walking distance if you have the time..................Steven Wright The only true time which a man can properly call his own, is that which he has all to himself; the rest, though in some sense he may be said to live it, is other people's time, not his..................Charles Lamb It is familiarity with life that makes time speed quickly. When every day is a step in the unknown, as for children, the days are long with gathering of experience..................George Gissing Time is a great teacher, but unfortunately it kills all its pupils..................Hector Berlioz To everything there is a season, and a time to every purpose under the heaven..................Ecclesiastes 3:1 Time goes, you say? Ah no! Time stays, we go..................Henry Austin Dobson Time is money - says the vulgarest saw known to any age or people. Turn it around, and you get a precious truth Money is time..................George (Robert) Gissing 8-28
Units of Measurement Having Special Names in the International System of Units (SI)
SI Base Units
Mass kilogram Length meter Time second Electric Current ampere Temperature kelvin Luminous Intensity candela Amount of Substance mole
kg
SI Derived Units
m
S TAI kg m Force newton N s-2
s
international atomic time
K
Celsius Temperature 0 Celsius 0 C
cd
cd sr Luminous Flux lumen lm
mol
Coordinated Time
kg m s-3 Power Non-SI units watt recognized W for use with SI day: 1 d = 86400 s hour: 1 h = 3600 s minute: 1 min = 60 s liter: 1 l = 10-3 m3 ton: 1 t = 103 kg degree: 10 = (/180) rad minute: 1 = (/10800)rad second: 1 = (/648000)rad electronvolt: 1 eV 1.602177 x 10-19 J unified atomic mass unit: 1 u 1.660540 x 10-27 kg
kg Energy joule J
m2s-2
m-2cd sr Illuminance SA lux Electric charge lx coulomb C kg m2s-3A-2 2 -3 -1 kg m s A sr: the steradian is the supplementary Resistance Electric Potential ohm SI unit of solid angle (dimensionless) volt -1 rad: the radian is the supplementary V s kg m2s-2A-1 kg-1 m2s4 A2 Activity SI unit of plane angle (dimensionless) Magnetic Flux Capacitance becquerel weber farad Bq Wb F m2s-1 kg m2s-2A-2 kg-1 m2s3 A2 Absorbed Dose Inductance Conductance gray henry siemens Gy H m2s-2 S Dose Equivalent kg s-2 A-1 sievert Conductance Sv siemens Electromagnetic S Health related measurement units kg m-1s-2 Pressure pascal Pa
measurement units
8-29
Units of Measurement Having Special Names in the SI Units, NOT Needing Standard Uncertainty in SI Average Frequency
kelvin
mole
kg
SI Derived Units
K
Celsius Temperature 0 Celsius 0C
mol
Non-SI units recognized for use with SI ton: 1 t = 103 kg degree: 10 = (/180) rad minute: 1 = (/10800)rad second: 1 = (/648000)rad unified atomic mass unit: 1 u 1.660540 x 10-27 kg 8-30
CHAPTER 9
Related Devices and Application
Circuit
9-1
20.0
Attenuation (dB)
15.0
10.0
5.0
Frequency
9-2
2
BAW
2
SAW, One-port SAW, Two-port
C1
L1
R1
C0
C0
Two-port SAW
9-3
9-4
Beam Motion
Photolithographically produced tuning forks, single- and double-ended (flexural-mode or torsional-mode), can provide low-cost, high-resolution sensors for measuring temperature, pressure, force, and acceleration. Shown are flexural-mode tuning forks.
9-5
Fo rc e
Tine Motion
Disadvantage
- Severe attenuation in a liquid - Fewer SC-cut suppliers than AT-cut suppliers
9-6
f ( x ) f o
other effects
Temperature/beat frequency
f (T ) = fo ci f
i
f 3fc1(T ) fc 3 (T )
fo
9-7
Electrode Resonator
9-8
CHAPTER 10
Proceedings Ordering Information, Website, and Index
10
10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
1956 1957 1958 1959 1960 1961 1962 1963 1964 1965 1966 1967 1968 1969 1970 1971 1972 1973 1974 1975 1976 1977
AD-298322 AD-298323 AD-298324 AD-298325 AD-246500 AD-265455 AD-285086 AD-423381 AD-450341 AD-471229 AD-800523 AD-659792 AD-844911 AD-746209 AD-746210 AD-746211 AD-771043 AD-771042 AD-A011113 AD-A017466 AD-A046089 AD-A088221
NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS
32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53
1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
AD-A955718 AD-A213544 AD-A213670 AD-A110870 AD-A130811 AD-A136673 AD-A217381 AD-A217404 AD-A235435 AD-A216858 AD-A217275 AD-A235629 AD-A272017 AD-A272274 92CH3083-3 93CH3244-1 94CH3446-2 95CH3575-2 96CH35935 97CH36016 98CH36165 99CH?????
NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS NTIS IEEE IEEE IEEE IEEE IEEE IEEE IEEE IEEE
Please check with NTIS or IEEE for current pricing. IEEE members may order IEEE proceedings at half-price. *NTIS - National Technical Information Service *IEEE - Inst. of Electrical & Electronics Engineers 5285 Port Royal Road, Sills Building 445 Hoes Lane Springfield, VA 22161, U.S.A. Piscataway, NJ 08854, U.S.A. Tel: 703-487-4650 Fax: 703-321-8547 Tel: 800-678-4333 or 908-981-0060 E-mail: info@NTIS.fedworld.gov E-mail: customer.services@ieee.org http://www.fedworld.gov/ntis/search.htm http://www.ieee.org/ieeestore/ordinfo.html ______________________________________________________________________________ Prior to 1992, the Symposiums name was the Annual Symposium on Frequency Control, and in 1992, the name was IEEE Frequency Control Symposium (i.e., without the International).
10-1
10-2
INDEX (A-D)
Acceleration, 3-37, 4-4, 4-58 to 4-77 Accuracy, 2-23, 4-2, 7-2 Activity Dips, 3-8, 4-59 Aging, 4-3 to 4-14, 4-55, 4-90, 6-24, 7-1 Allan Variance & Allan Deviation, 4-16 to 4-24, 4-30 to 4-36, 4-64, 6-14 to 6-17, 7-1, 7-3 Altitude, 4-3, 4-90 Amplitude, 3-6, 4-57 to 4-60 Amplitude Distribution, 3-6 Angles of Cut, 3-3, 3-13, 4-41 Applications, 1-1 to 1-20, 4-73 to 4-74, 8-15, 8-25, 8-26 ASFC Proceedings, 10-2 AT-Cut, 3-8, 3-13, 3-23, 4-10 to 4-14, 4-41, 4-43, 4-45, 4-46, 4-59, 4-72, 4-81 to 4-85, 4-88, 4-89 Atmospheric Pressure, 4-3, 4-90 Atomic Frequency Standards, 2-8, 2-22 to 2-23, 3-37, 6-23- to 6-24, 6-1 to 7-5 BCD Time Code, 8-23 Bending Strains, 4-15 Bistatic Radar, 1-18 Bonding Strains, 4-12, 4-14 Calibration, 8-12, 8-13 Ceramic Flatpack, 3-5, 3-37, 6-24 Cesium-Beam Frequency Standard, 2-8, 6-1, 6-9 to 6-11, 6-14, 6-15, 6-19, 6-20, 6-22, 7-1 to 7-5 Clocks, 4-38, 8-4 to 8-12, 8-19 to 8-22, 8-25, 8-26 Commercial vs. Military Markets, 1-2, 1-3 Conversions, 8-21 Doppler, 1-10, 1-17o 1-19, 8-21 Doubly Rotated Cuts, 3-13 Drive Level, 4-57 to 4-60, 4-91
10-3
INDEX (E-I)
Electric Field, 4-90 Emerging/Improving Technologies, 3-37, 6-25 Environmental Effects, 4-3, 4-4 Equivalent Circuit, 3-19, 3-20, 3-21 f-squared, 3-31 Fabrication Steps, 3-27 Failures, 7-6 Filters, 9-1, 9-2 Force-Frequency Effect, 4-10 to 4-14 Frequency Hopping, 1-13 to 1-15 Frequency Jumps, 4-60 Frequency Multiplication, 4-27, 4-34 to 4-36, 4-66, 4-73, 4-74 Frequency vs. Temperature, 3-11 to 3-13, 3-21, 4-37 to 4-51, 4-91, 6-24 G-sensitivity, 4-4, 4-56, 4-58 to 4-77, 4-91, 3-34 Global Positioning System (GPS), 1-4, 8-14 to 8-17 Harmonics, 3-4, 3-7, 3-8, 4-45 Historical Information, 3-32, 8-6, 8-7 Humidity, 4-3, 4-90 Hydrogen Maser, 6-1, 6-12, 6-13 Hysteresis, 2-23, 4-47, Identification Friend or Foe (IFF), 1-12, 1-16, Impacts of Technology, 1-12 to 1-19, 4-17, 4-71, 9-17 Influences on Frequency, 4-3, 4-4, 4-91 Infrared Absorption, 5-11 to 5-13 Interactions, 4-91 Inversion, quartz, 5-17, 5-18
10-4
INDEX (J-O)
Jitter, 4-64, 8-13 Johnson Noise, 4-19, 4-34 Jumps, 4-60 Laser Cooling of Atoms, 6-23 Lateral Field Resonator, 3-37, 3-38, Load Capacitance, 3-20, 3-21, 4-40, 4-44, 4-51 to 4-55 Load, external, 2-15 Load Impedance, 3-20, 3-21, 4-3, 4-40, 4-44, 4-51 to 4-55 Loran, 8-12, 8-14 Magnetic Field, 4-3, 4-89, 6-9, 6-14, 6-20 Mathematical Description of a Resonator, 3-10 to 3-12 MCXO, 2-5, 2-8, 2-19 to 2-21, 3-36, 3-38, 6-24, 7-1, 8-10 MIFTTI, 8-26 Milestones in Quartz Technology, 3-32 Milestones in Timekeeping, 8-7 Military Requirements, 1-11 to 1-19 Mixer, 4-27, 4-28 Modes of Motion, 3-3, 3-4, 3-7, 3-8 Monolithic Crystal Filter, 9-2 Motional Parameters, 3-16, 3-23 Mounting Stress Effects, 4-8 to 4-14 Navigation, 1-4, 8-15 to 8-17 Neutrons, Effects of, 4-85, 4-86, 4-89 Noise, 2-14, 4-3, 4-5, 4-16 to 4-19, 4-17 to 4-26, 4-29 to 4-36 6-14 to 6-21 Nonlinearity, 2-2, 3-10 OCXO, 2-5 to 2-8, 2-11, 4-43, 4-44, 4-46, 4-48, 7-1, 7-2, 8-10 One Pulse Per Second, 8-13, 8-23
10-5
INDEX (O-P)
Optically Pumped Cs Standard, 6-22 Opto-Electronic Oscillator, 2-23 Oscillation, 2-2 to 2-4 Oscillator Categories, 2-6 Oscillator Circuit Caused Instabilities, 2-10 to 2-15 Oscillator Circuits, 2-9 Oscillator Comparison, 7-1 to 7-5 Oscillator Failures, 7-6 Oscillator Hierarchy, 2-8 Oscillator Outputs, 2-10 Oscillator Selection, 7-7 Oscillator Specification, 7-7 Oscillator Types, 2-5 to 2-8 Oscillators, 2-1 to 2-8, 2-19 to 2-23, 6-23 to 6-24, 7-1 to 7-7 Oven, 4-43, 4-44, 4-45 Packaging, 3-18, 3-38 Phase, 2-2, 2-3, 4-16, 4-25, 7-1 to 7-5 Phase Detector, 4-28 to 4-29 Phase Diagram of Silica, 5-18 Phase Jitter, 4-65 Phase Noise, 1-8, 1-17, 4-16 to 4-36, 4-62 to 4-69, 4-73, 4-74 Piezoelectricity, 3-1 to 3-3, 3-9 to 3-11 Power Requirements, 6-24, 7-1, 7-2 Power Supply, 2-9, 4-3, 4-89 Precision, 4-2 Proceedings, ASFC, 10-2 10-6 Propagation Delay, 8-22
INDEX (Q-S)
Q, 3-23 to 3-26, 4-19, 4-34, 4-87, 4-88, 5-5, 5-13, 6-1, 6-6, 6-14, 6-15 Quartz (material), 3-1, 3-12, 5-1 to 5-18 Quartz Cuts, 3-13, 4-41 Quartz Inversion, 5-17, 5-18 Quartz Lattice, 5-5, 5-7, 5-16 Quartz Phases, 5-18 Quartz Twinning, 5-14 to 5-16 Quotations, time, 8-1, 8-27 Radar, 1-17 to 1-20, 4-18, 4-73, 4-74, 8-22 Radiation Effects, 4-4, 4-79 to 4-89, 4-91, 5-5, 6-25, 7-5 Radio, two-way, 1-6 Random vibration, 4-19, 4-69, 4-71 Random walk,4-5, 4-26, 4-33 RbXO, 2-5, 2-8, 2-22 to 2-23, 3-37, 7-1, 7-2 Relativistic Time, 8-19 to 8-21 Resistance, 3-19, 3-20, 3-23, 4-52, 4-56, 4-84 Resonator Packaging, 3-4, 3-5, 4-90 Resonator Theory, 3-9 to 3-11 Resonators, 3-2 to 3-36 Restart, 4-48 Retrace, 4-47, 4-48 Rubidium Frequency Standard, 2-8, 2-22, 3-37, 6-23 to 6-24, 6-1, 6-3, 6-5, 6-7, 6-8, 6-15, 6-17, 7-1 to 7-5 SAW, 4-35 to 4-37, 9-3 SC-Cut, 2-19 to 2-20, 3-13, 3-35 to 3-37, 4-13, 4-42 to 4-44, 4-46, 4-55, 4-60, 4-72, 4-76, 4-83, 4-88, 6-25 Sensors, 9-4, 9-5 Shock, 4-3, 4-4, 4-78, 6-24 Short Term Instability Causes, 4-19, 6-15 10-7
INDEX (S-T)
Short Term Stability, 4-3 to 4-5, 4-16 to 4-36, 6-14 to 6-21, 7-1 to 7-4 Short-Term Stability Measures, 4-17 to 4-21, 4-25 Shot Noise, 4-18, 6-15 Signal-to-noise ratio, 4-34, 6-15 Silica, 5-18 Space Exploration, 1-10 Specifications, 7-7, 7-8 Spectral Densities, 4-25, 4-26, 4-29 to 4-37 Spread Spectrum, 1-12 to 1-16 Stability, 2-3, 2-4, 4-2 to 4-90, 7-3, 7-4 Strains, 4-10 to 4-14 Surface Acoustic Wave Devices, 4-35 to 4-37, 9-3 Sweeping, 5-9, 5-10 TCXO, 2-5 to 2-8, 3-20, 3-21, 4-39, 4-47, 4-49, 4-51, 7-1, 7-2, 8-10 Telecommunication, 1-7 Thermal Expansion of Quartz, 4-9 Thermal Hysteresis, 4-47, 6-23 Thermal Transient Effect, 4-43, 4-46, 4-88, 4-91 Time & Frequency Subsystem, 8-25, 8-26 Time, 8-1 to 8-28 Time Code, 8-23, 8-24 Time Constant, 3-23 to 3-27 Time Domain - Frequency Domain, 4-17 Time Errors, 8-8 to 8-11 Time Quotations, 8-27
10-8
INDEX (T-Z)
Time Scales, 8-18 Time Transfer, 8-12 to 8-16, 8-20, 8-21 Timing Signal, 8-23, 8-24 Trim Effect, 4-49, 4-51 Tunability, 2-4, 3-20 Tuned circuit, 2-13 Tuning fork, 3-33 to 3-36, 4-40 Twinning, 5-14 to 5-16 Two-way Radio, 1-6 Universal Time, 8-18 UTC, 8-18 Utility Fault Location, 1-9 VCXO, 2-5, 3-19 Vibration, 4-4, 4-18, 4-54 to 4-77 Vibration-Induced Sidebands, 4-65 to 4-68, 4-77, 4-91 Vibration Compensation, 4-76, 4-77 Vibration Isolation, 4-75 Vibration Resonance, 4-71 Very Long Baseline Interferometry (VLBI), 1-10 Warmup, 4-46, 7-1 Wearout Mechanisms, 7-5 Wristwatch, 3-32 to 3-36, 4-40 Zero Temperature Coefficient Cuts, 3-11 to 3-13
10-9
Brief Description
Pages 26 44
38
66
48
71
7 8
32 54
9 10
62 52
are described further for the ideal type-2 PLL in Table 1-1. The feedback divider is normally present only in frequency synthesis applications, and is therefore shown as an optional element in this figure. PLLs are most frequently discussed in the context of continuous-time and Laplace transforms. A clear distinction is made in this text between continuous-time and discrete-time (i.e., sampled) PLLs because the analysis methods are, rigorously speaking, related but different. A brief introduction to continuous-time PLLs is provided in this section with more extensive details provided in Chapter 6. PLL type and PLL order are two technical terms that are frequently used interchangeably even though they represent distinctly different quantities. PLL type refers to the number of ideal poles (or integrators) within the linear system. A voltage-controlled oscillator (VCO) is an ideal integrator of phase, for example. PLL order refers to the order of the characteristic equation polynomial for the linear system (e.g., denominator portion of (1.4)). The loop-order must always be greater than or equal to the loop-type. Type-2 third- and fourth-order PLLs are discussed in Chapter 6, as well as a type-3 PLL, for example.
Phase Detector Loop Filter
ref
out
Kd
VCO
1 N Feedback Divider Figure 1-2 Basic PLL structure exhibiting the basic functional ingredients.
Basic Constitutive Elements for a Type-2 Second-Order PLL Laplace Transfer Function Description Kd, V/rad Phase error metric that outputs a voltage that is proportional to the phase error existing between its input ref and the feedback phase out/N. Charge-pump phase detectors output a current rather than a voltage, in which case Kd has units of A/rad. Also called the lead-lag network, it contains one ideal pole 1 + s 2 and one finite zero.
Table 1-1
s 1
Kv s
The voltage-controlled oscillator (VCO) is an ideal integrator of phase. Kv normally has units of rad/s/V. A digital divider that is represented by a continuous divider of phase in the continuous-time description.
1/N
The type-2 second-order PLL is arguably the workhorse even for modern PLL designs. This PLL is characterized by (i) its natural frequency n (rad/s) and (ii) its damping factor . These terms are used extensively throughout the text, including the examples used in this chapter. These terms are separately discussed later in Sections 6.3.1 and 6.3.2. The role of these parameters in shaping the timeand frequency-domain behavior of this PLL is captured in the extensive list of formula provided in Section 2.1. In the continuous-time-domain, the type-2 second-order PLL3 open-loop gain function is given by
3
1 + s 2 GOL (s ) = n s s 1
and the key loop parameters are given by
(1.1)
n =
Kd Kv N 1
(1.2) (1.3)
1 = n 2 2
The time constants 1 and 2 are associated with the loop filters R and C values as developed in Chapter 6. The closed-loop transfer function associated with this PLL is given by the classical result
2 n2 1 + s n 1 out (s ) H1 ( s ) = = 2 N ref (s ) s 2 + 2n s + n
(1.4)
The transfer function between the synthesizer output phase noise and the VCO self-noise is given by H2(s) where
H 2 ( s ) = 1 H1 (s )
(1.5)
A convenient frequency-domain description of the open-loop gain function is provided in Figure 1-3. The frequency break-points called out in this figure and the next two appear frequently in PLL work and are worth committing to memory. The unity-gain radian frequency is denoted by u in this figure and is given by
u = n 2 2 + 4 4 + 1
(1.6)
A convenient approximation for the unity-gain frequency (1.6) is given by u 2n. This result is accurate to within 10% for 0.704. The H1(s) transfer function determines how phase noise sources appearing at the PLL input are conveyed to the PLL output and a number of other important quantities. Normally, the input phase noise spectrum is assumed to be spectrally flat resulting in the output spectrum due to the reference noise being shaped entirely by |H1(s)|2. A representative plot of |H1|2 is shown in Figure 1-4. The key frequencies in the figure are the frequency of maximum gain, the zero dB gain frequency, and the 3 dB gain frequency which are given respectively by
FPk =
1 n 2 2
F0 dB = 1 2
1 + 8 2 1 Hz
2n Hz
F3dB =
n 1 1 + 2 2 + 2 4 + 2 + Hz 2 2
2 2 10log10 4 + 4n n
Gain, dB (6 dB/cm)
40log10 (2.38 )
0 dB 1
2 3
n 2
10
Frequency, rad/sec
Figure 1-3 Open-loop gain approximations for classic continuous-time type-2 PLL.
H1 Closed-Loop Gain
Asymptotic -6 dB/octave
10 Frequency, Hz
10
Figure 1-4 Closed-loop gain H1( f ) for type-2 second-order PLL4 from (1.4).
8 4 GPk = 10 log10 8 4 4 2 1 + 1 + 8 2
dB
(1.10)
For situations where the close-in phase noise spectrum is dominated by reference-related phase noise, the amount of gain-peaking can be directly used to infer the loops damping factor from (1.10), and the
4
loops natural frequency from (1.7). Normally, the close-in (i.e., radian offset frequencies less than n /2) phase noise performance of a frequency synthesizer is entirely dominated by reference-related phase noise since the VCO phase noise generally increases 6 dB/octave with decreasing offset frequency5 whereas the open-loop gain function exhibits a 12 dB/octave increase in this same frequency range. VCO-related phase noise is attenuated by the H2(s) transfer function (1.5) at the PLLs output for offset frequencies less than approximately n. At larger offset frequencies, H2(s) is insufficient to suppress VCO-related phase noise at the PLLs output. Consequently, the PLLs output phase noise spectrum is normally dominated by the VCO self-noise phase noise spectrum for the larger frequency offsets. The key frequency offsets and relevant H2(s) gains are shown in Figure 1-5 and given in Table 1-2.
5 Closed-Loop Gain H2
GFn
0
GH2max
-3 dB
-5 H2 Gain, dB
FH2max Fn FH2-3dB
-10
=0.4
-15
Fn =10 Hz
-20
-25 0 10
10 Frequency, Hz
10
Figure 1-5 Closed-loop gain6 H2 and key frequencies for the classic continuous-time type-2 PLL.
Key Frequencies Associated with H2(s) for the Ideal Type-2 PLL Frequency, Hz Associated H2 Gain, dB
Table 1-2
1/2
4 2 2 GH 2 _ 1rad / s = 10 log10 n + n (4 2 ) + 1 1/ 2
Constraints on ]
FH 2 3 dB =
FH 2 _ 0 dB =
2 n 2 1 + 2 2 4 2 + 4 4
1 2
n
2 4 2 1 2
<
Fn = n / 2
FH 2 _ max =
2 2
n
1 2 2
<
2 2
5 6
Leeson s model in Section 9.5.1; Haggai oscillator model in Section 9.5.2. Book CD:\Ch1\u14035_h2.m.
19
Assuming that the noise samples have equal variances and are uncorrelated, R = n2I where I is the KK identity matrix. In order to maximize (1.43) with respect to , a necessary condition is that the derivative of (1.43) with respect to be zero, or equivalently
L =
r
k k
A cos (o tk + ) =0
2
= 2 rk A cos (o tk + ) A sin (o tk + ) = 0
(1.44)
Simplifying this result further and discarding the double-frequency terms that appear, the maximumlikelihood estimate for is that value that satisfies the constraint
r sin ( t
k k
k =0 +
o k
(1.45)
The top line indicates that double-frequency terms are to be filtered out and discarded. This result is equivalent to the minimum-variance estimator just derived in (1.40). Under the assumed linear Gaussian conditions, the minimum-variance (MV) and maximumlikelihood (ML) estimators take the same form when implemented with a PLL. Both algorithms seek to reduce any quadrature error between the estimate and the observation data to zero. 1.4.3 PLL as a Maximum A Posteriori (MAP)-Based Estimator The MAP estimator is used for the estimation of random parameters whereas the maximum-likelihood (ML) form is generally associated with the estimation of deterministic parameters. From Bayes rule for an observation z, the a posteriori probability density is given by
p ( z ) =
and this can be re-written in the logarithmic form as
p ( z ) p ( ) p (z )
(1.46)
(1.47)
This log-probability may be maximized by setting the derivative with respect to to zero thereby creating the necessary condition that27
d log e p ( ) p ( z ) + log e d
=MAP
=0
(1.48)
If the density p( ) is not known, the second term in (1.48) is normally discarded (set to zero) which degenerates naturally to the maximum-likelihood form as
d log e p ( z ) d
27
=ML
=0
(1.49)
[15] Section 6.2.1, [17] Section 2.4.1, [18] Section 5.4, and [22].
30
Time of Peak Phase-Error with Frequency-Step Applied 1 2 1 T fstep = tan 1 n 1 2 Note.1 See Figure 2-19 and Figure 2-20. Time of Peak Phase-Error with Phase-Step Applied
(2.29)
n 1 n See Figure 2-19 and Figure 2-20. Time of Peak Frequency-Error with Phase-Step Applied 1 : u 1 2 Tpk = 2 n 1 > 1 : + u 2 with u = tan 1 (1 4 2 ) 1 2 ,3 4 3 See Figure 2-21 and Figure 2-22. Tpk corresponds to the first point in time where dfo/dt = 0. Maximum Frequency-Error with Phase-Step Applied Use (2.31) in (2.28). Time of Peak Frequency-Error with Frequency-Step Applied 1 2 2 tan 1 Tpk = n 1 2 % Transient Frequency Overshoot for Frequency-Step Applied T OS% = cos 1 2 nTpk sin 1 2 nTpk e n pk 100% 2 1 2 1 2 tan 1 Tpk = n 1 2 2 Note. See Figure 2-23 and Figure 2-24. Linear Hold-In Range with Frequency-Step Applied (Without Cycle-Slip) 1 2 Hz Fmax = n exp tan 1 2 1 See Figure 2-25. Linear Settling Time with Frequency-Step Applied (Without Cycle-Slip) (Approx.) F 1 1 sec TLock log e F 1 2 n for applied frequency-step of F and residual F remaining at lock See Figure 2-26.
2
T step =
tan 1 2 1 2 , 2 2 1 =
1 2 tan 1 1 2 2
(2.30)
(2.31) (2.32)
(2.33) (2.34)
(2.35) (2.36)
(2.37)
(2.38)
The peak occurrence time is precisely one-half that given by (2.34). See Figure 2-24 for time of occurrence Tpk for peak overshoot/undershoot with n = 2. Amount of overshoot/undershoot in percent provided in Figure 2-23.
2
44
2.3.2.2 Second-Order Gear Result for H1(z) for Ideal Type-2 PLL
v
4 nTs
D D
in
+
2Ts 2 3 n
_ +
2Ts 3
+ _
+ _
nTs
1+ 3 nTs
4 3
4 3
1 3
1 3
2 T GOL ( z ) = n s 3
1+
3 4 1 1 2 1 z + z nTs 3 3 2 4 1 1 2 1 z + z 3 3
(2.52)
o (k ) =
3 nTs
(2.54)
2 4 1 2 a k n + b v k n + cn o (k n ) ( ) ( ) n in n D n =0 n=0 n =1
(2.53)
a0 = 1 + a1 =
b0 =
3 2 2n Ts
(2.55)
c1 =
4 nTs a2 = nTs
(nTs )
4 nTs
2
2 n2Ts 1 b2 = 2 2n Ts b1 =
c2 = c3 =
11 2 (nTs ) 2
2
nTs
(2.56)
(nTs )
c4 =
(2nTs )
3 3 + D = 1+ nTs 2nTs
2.3.3 Higher-Order Differentiation Formulas
(2.57)
In cases where a precision first-order time-derivative f (xn+1) must be computed from an equally spaced sample sequence, higher-order formulas may be helpful.8 Several of these are provided here in Table 2-2. The uniform time between samples is represented by Ts.
52
10
-2
= 2 rms
-3
10
= 1.5 rms
o = 1 rms
10
-4
SER
10
-5
10
-6
10
-7
No Phase Noise
10
-8
15
16
17
18
19 20 Eb/No, dB
21
22
23
24
25
Figure 2-37 64-QAM uncoded symbol error rate with noisy local oscillator.13 Circled datapoints are from (2.87).
13
Book CD:\Ch5\u13159_qam_ser.m. See Section 5.5.3 for additional information. Circled datapoints are based on Proakis [3] page 282, equation (4.2.144), included in this text as (2.87).
Fundamental Limits
83
A more detailed discussion of the Chernoff bound and its applications is available in [9]. Key Point: The Chernoff bound can be used to provide a tight upper-bound for the tail-probability of a one-sided probability density. It is a much tighter bound than the Chebyschev inequality given in Section 3.5. The bound given by (3.43) for the complementary error function can be helpful in bounding other performance measures. 3.7 CRAMER-RAO BOUND The Cramer-Rao bound16 (CRB) was first introduced in Section 1.4.4, and frequently appears in phase- and frequency-related estimation work when low SNR conditions prevail. Systems that asymptotically achieve the CRB are called efficient in estimation theory terminology. In this text, the CRB is used to quantify system performance limits pertaining to important quantities such as phase and frequency estimation, signal amplitude estimation, bit error rate, etc. The CRB is used in Chapter 10 to assess the performance of several synchronization algorithms with respect to theory. Owing to the much larger signal SNRs involved with frequency synthesis, however, the CRB is rarely used in PLL-related synthesis work. The CRB is developed in considerable detail in the sections that follow because of its general importance, and its widespread applicability to the analysis of many communication system problems. The CR bound provides a lower limit for the error covariance of any unbiased estimator of a deterministic parameter based on the probability density function of the data observations. The data observations are represented here by zk for k = 1, . . ., N, and the probability density of the observations is represented by p(z1, z2, . . ., zN) = p(z). When represents a single parameter and hat represents the estimate of the parameter based on the observed data z, the CRB is given by three equivalent forms as
2 = E var 2 E log e p (z | ) 1
2 E 2 log e p (z | )
2 + 1 p (z ) dz p (z )
(3.46)
The first form of the CR bound in (3.46) can be derived as follows. Since -hat is an unbiased (zero-mean) estimator of the deterministic parameter , it must be true that
E =
( ) p (z ) dz = 0
(3.47)
See [10][14].
86
var b o M
{}
(3.62)
2 Phase known, amplitude known or unknown b02 Q oTs } var { 12 2 Phase unknown, amplitude known or unknown 2 2 b0 M (M 1) 2 Frequency known, amplitude known or unknown b02 M var o 12 2 Q Frequency unknown, amplitude known or unknown b02 M 2 (M 2 1)
(3.63)
{ }
(3.64)
In the formulation presented by (3.55), the signal-to-noise ratio is given by = b02 / (2 2). For the present example, the CR bound is given by the top equation in (3.63) and is as shown in Figure 3-9 when the initial signal phase o is known a priori. Usually, the carrier phase o is not known a priori when estimating the signal frequency, however, and the additional unknown parameter causes the estimation error variance to be increased, making the variance asymptotically 4-times larger than when the phase is known a priori. This CR variance bound for this more typical unknown signal phase situation is shown in Figure 3-10. Beginning with (3.57), a maximum-likelihood17 frequency estimator can be formulated as described in Appendix 3A. It is insightful to compare this estimators performance with its respective CR bound. For simplicity, the initial phase o is assumed to be random but known a priori. The results for M = 80 are shown in Figure 3-11 where the onset of thresholding is apparent for 2 dB. Similar results are shown in Figure 3-12 for M = 160 where the threshold onset has been improved to about 5 dB.
10 10 Estimator Variance, var ( oT )
0
= -20 dB
-1
10
-2
= -10 dB = 0 dB
10
-3
= 10 dB
10
-4
= 20 dB
10
-5
10
-6
10
-7
10
10
10 Number of Samples
10
Figure 3-9 CR bound18 for frequency estimation error with phase o known a priori (3.63).
17 18
See Section 1.4.2. Book CD:\Ch3\u13000_crb.m. Amplitude known or unknown, frequency unknown, initial phase known.
135
would be measured and displayed on a spectrum analyzer. Having recognized the carrier and continuous spectrum portions within (4.65), it is possible to equate29
2 / (f ) P ( f ) rad /Hz
(4.66)
Power Carrier
/ ( fx )
1 P ( f o ) 2
Frequency
fx
Figure 4-17 Resultant two-sided power spectral density from (4.65), and the single-sideband-to-carrier ratio
( f ).
Both /( f ) and P ( f ) are two-sided power spectral densities, being defined for positive as well as negative frequencies. The use of one-sided versus two-sided power spectral densities is a frequent point of confusion in the literature. Some PSDs are formally defined only as a one-sided density. Two-sided power spectral densities are used throughout this text (aside from the formal definitions for some quantities given in Section 4.6.1) because they naturally occur when the Wiener-Khintchine relationship is utilized. 4.6.1 Phase Noise Spectrum Terminology A minimum amount of standardized terminology has been used thus far in this chapter to characterize phase noise quantities. In this section, several of the more important formal definitions that apply to phase noise are provided. A number of papers have been published which discuss phase noise characterization fundamentals [34][40]. The updated recommendations of the IEEE are provided in [41] and those of the CCIR in [42]. A collection of excellent papers is also available in [43]. In the discussion that follows, the nominal carrier frequency is denoted by o (Hz) and the frequency-offset from the carrier is denoted by f (Hz) which is sometimes also referred to as the Fourier frequency. One of the most prevalent phase noise spectrum measures used within industry is /( f ) which was encountered in the previous section. This important quantity is defined as [44]: /( f ): The normalized frequency-domain representation of phase fluctuations. It is the ratio of the power spectral density in one phase modulation sideband, referred to the carrier frequency on a spectral density basis, to the total signal power, at a frequency offset f. The units30 for this quantity are Hz1. The frequency range for f ranges from o to . /( f ) is therefore a two-sided spectral density and is also called single-sideband phase noise.
29 30
163
zi = pi exp p 2
(4B.10)
A minimum of one filter section per frequency decade is recommended for reasonable accuracy. A sample result using this method across four frequency decades using 3 and 5 filter sections is shown in Figure 4B-3.
45 40 35 Relative Spectrum Level, dB 30 25 20 15 10 5 0 0 10 f - Power Spectral Density
=1
5 Filter Sections
3 Filter Sections
10
10 10 Radian Frequency
10
10
Figure 4B-3 1/f noise creation using recursive 1/f 2 filtering method4 with white Gaussian noise.
Hosking [6] was the first to propose the fractional differencing method for generating 1/f noise. As pointed out in [3], this approach resolves many of the problems associated with other generation methods. In the continuous-time-domain, the generation of 1/f noise processes involves the application of a nonrealizable filter to a white Gaussian noise source having s/2 for its transfer function. Since the z-transform equivalent of 1/s is H(z) = (1 z1)1, the fractional digital filter of interest here is given by 1 H ( z ) = (4B.11) /2 (1 z 1 ) A straightforward power series expansion of the denominator can be used to express the filter as an infinite IIR filter response that uses only integer-powers of z as
1 2 2 2 H ( z ) 1 z 1 z . . . 2! 2
(4B.12)
in which the general recursion formula for the polynomial coefficients is given by
4
Book CD:\Ch4\u13070_recursive_flicker_noise.m.
System Performance
Strong Interferer Local Oscillator Spectrum
185
LdB
Desired Channel
Sideband Noise
FSep
FSep
Figure 5-9 Strong interfering channels are heterodyned on top of the desired receive channel by local oscillator sideband noise.
10 5 0 -5 PSD, dB -10 -15 -20 -25 -30 -35 Relative PSDs at Baseband
Desired Signal
Figure 5-10 Baseband spectra10 caused by reciprocal mixing between a strong interferer that is offset 4B Hz higher in frequency than the desired signal and stronger than the desired signal by the dB amounts shown.
The first term in (5.28) 2BLFloor is attributable to the ultimate blocking performance of the receiver as discussed in Section 5.3. The resultant output SNR versus input SNR is given by
SNRout
(5.29)
It is worthwhile to note that the interfering spectra in Figure 5-10 are not uniform across the matched-filter frequency region [B, B]. Multicarrier modulation like OFDM (see Section 5.6) will potentially be affected differently than single-carrier modulation such as QAM (see Section 5.5.3) when the interference spectrum is not uniform with respect to frequency. The result given by (5.29) is shown for several interfering levels versus receiver input SNR in Figure 5-11.
10 Book CD:\Ch5\u13157_rx_desense.m. Lorentzian spectrum parameters: Lo = 90 dBc/Hz, fc = 75 kHz, LFloor = 160 dBc/Hz, B = 3.84/2 MHz.
System Performance
221
of 3 rms phase noise is shown in Figure 5B-8. The tail probability is worse than the exact computations shown in Figure 5-17 but the two results otherwise match very well.
4 3.8 3.6 3.4 Bits per Symbol 3.2 3 2.8 2.6 2.4 2.2 Channel Cutoff Rate Ro
0o
4o
6o
10o 8o
11 13 Eb/No, dB
15
17
19
20
Figure 5B-6 Channel cutoff rate,7 Ro, for 16-QAM with static phase errors as shown, from (5B.16).
4 3.75 3.5 3.25 Bits per Symbol 3 2.75 2.5 2.25 2 1.75 1.5 1 3
11 13 Eb/No, dB
15
17
19
21
23
Figure 5B-7 Ro for8 16-QAM versus Eb/No for 5 rms phase noise from (5B.18) (to accentuate loss in Ro even at high SNR values).
7 8
371
required, however, because the offset current will introduce its own shot-current noise contribution, and the increased duty-cycle of the charge-pump activity will also introduce additional noise and potentially higher reference spurs. Single-bit - modulators are attractive in this respect because they lead to the minimum-width phase-error distribution possible.
Ideal
I CP
PD
Figure 8-70 Charge-pump (i) dead-zone and (ii) unequal positive versus negative error gain.
MASH 2-2 Output Spectrum with Nonlinear PD
-40 -50 -60 -70 Phase Noise, dBc/Hz -80 -90 -100 -110 -120 -130 -140 3 10
10
10 Frequency, Hz
10
10
Figure 8-71 Phase error power spectral density48 for the MASH 2-2 - modulator shown in Figure 8-55 with M = 222, P = M/2 + 3,201, and 2% charge-pump gain imbalance. Increased noise floor and discrete spurs are clearly apparent compared to Figure 8-56.
Classical random processes theory can be used to provide several useful insights about nonlinear phase detector operation. In the case of unequal positive-error versus negative-error phase detector gain, the memoryless nonlinearity can be modeled as
(8.39)
where represents the additional gain that is present for positive phase errors. The instantaneous phase error due to the modulators internal quantization creates a random phase error sequence that can be represented by
48
Book CD:\Ch8\u12735_MASH2_2_nonlinear.m.
457
the sampling-point within each symbol-period after the datalink signal has been fully acquired. In the example results that follow, the data source is assumed to be operating at 1 bit-per-second, utilizing square-root raised-cosine pulse-shaping with an excess bandwidth parameter = 0.50 at the transmitter. The eye-diagram of the signal at the transmit end is shown in Figure 10-15. The ideal matched-filter function in the CDR is closely approximated by an N = 3 Butterworth lowpass filter having a 3 dB corner frequency of 0.50 Hz like the filter used in Section 10.4. The resulting eye-diagram at the matched-filter output is shown in Figure 10-16 for Eb/No = 25 dB.
Sample Gate Matched Filter
l a k
y f (t )
2 tanh y f (t ) No
y (t )
H MF ( f )
Loop Filter
A (t )
v (t )
Sample Gate VCO
B (t )
( j 2 f ) H MF ( f )
Figure 10-14 ML-CDR implemented with continuous-time filters based on the timing-error metric given by (10.21).
Square-Root Raised-Cosine Eye-Diagram 1.5 1 0.5 Normalized 0 -0.5 -1 -1.5 -1
-0.5
0 Time, Symbols
0.5
Figure 10-15 Eye diagram15 at the data source output assuming square-root raised-cosine pulse shaping with an excess bandwidth parameter = 0.50.
A clear understanding of the error metric represented by v(t) in Figure 10-14 is vital for understanding how the CDR operates. The metric is best described by its S-curve behavior versus input Eb/No as shown in Figure 10-17. Each curve is created by setting the noise power spectral density No for a specified Eb/No value with Eb = 1, and computing the average of v( kTsym+ ) for k = [0, K] as the timing-error is swept across [0, Tsym]. The slope of each S-curve near the zero-error steady-state tracking value determines the linear gain of the metric that is needed to compute the closed-loop bandwidth, loop stability margin, and other important quantities. For a given input SNR,
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the corresponding S-curve has only one timing-error value o for which the error metric value is zero and the S-curve slope has the correct polarity. As the gain value changes with input Eb/No, the closed-loop parameters will also vary. For large gain variations, the Haggai loop concept explored in Section 6.7 may prove advantageous.
1.5 1 Eye Diagram at Matched-Filter Output
0.5 Amplitude
-0.5
-1
-1.5 -1
16
-0.5
0 Time
0.5
Figure 10-16 Eye diagram at the CDR matched-filter output for Eb/No = 25 dB corresponding to the data source shown in Figure 10-15 and using an N = 3 Butterworth lowpass filter with BT = 0.50 for the approximate matched-filter.
0.4 0.3 0.2 0.1 0 -0.1 -0.2 -0.3 -0.4 S-Curves
9 dB 15 dB
6 dB 3 dB 0 dB
Eb/No= 25 dB
0 0.1 0.2 0.3 0.4 0.5 0.6 Timing, symbols 0.7 0.8 0.9 1
Figure 10-17 S-curves17 versus Eb/No corresponding to Figure 10-16 and ideal ML-CDR shown in Figure 10-14. Eb = 1 is assumed constant.
A second important characteristic of the timing-error metric is its variance versus input Eb/No and static timing-error . For this present example, this information is shown in Figure 10-18. The variance understandably decreases as the input SNR is increased, and as the optimum timealignment within each data symbol is approached. The variance of the recovered data clock clk2 can be closely estimated in terms of the tracking-point voltage-error variance from Figure 10-18 denoted by ve2 (V2), the slope (i.e., gain) of the corresponding S-curve (Kte, V/UI) from Figure 10-17, the symbol rate Fsym (= 1/Tsym), and the one-sided closed-loop PLL bandwidth BL (Hz) as
16 17
Ibid. Ibid.