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INTRODUCTION

An Extended Frank Code and New Technique for Implementing P3 and P4 Codes

Frank [2] described a polyphase code, by a matrix as follows: ... 0 0 0 0 2


4

1: ;

... 2(N-N 1) j (
...
(N-1)2

0 (N-1)
CHI-CHANG WANG HSUEN-CHYUN SHYU Chung Cheng Institute of Technology Biwan

2(N-1)

A method for generating a class of polyphase pulse

compression codes of length other than N 2with an efficient digital hqlementation technique is presented. The new structure can be applied to linear frequency modulation waveform for compression ratios of N x M . The P3 and P4 codes [4, 51 can be easily realized by adding only phase shifters to this structure.

Manuscript received November 12, 1987; revised August 9, 1988. IEEE Log No. 28653. Authors' address: Department of Electronic Engineering, Chung Cheng Institute of Rchnology, 'Ih-Hsi, Bo-Yuan, Thiwan 33509, Republic of China. 0018-9251/89/0700-0442 $1.00 @ 1989 IEEE

where the numbers represent multiplying coefficients of a basic phase angle, 2 s p / N , where p and N are relatively prime integers. It is noted that when p = 1, N can be an arbitrary integer and such a code is known as a Frank code. In this paper, the N x N matrix for the Frank code is extended to an N x M matrix where N and M are arbitrary integers. Hence an extended Frank (EF) polyphase code can be obtained. The main advantage of an EF code is that when N = ICM, where IC is an integer, the code structure can be easily realized by a small M-point fast Fourier transform (FFT)rather than a large N-point FFT which is needed for a Frank code. However, the autocorrelation of the extended Frank code has high and periodic sidelobes. Many pulse compression waveforms are for search radar application [l-51. The P3 and P4 polyphase pulse compression codes [4] are conceptually derived from a linear frequency modulation waveform (LFh4W). Such codes and compressors can be employed to obtain much larger time-bandwidth products, i.e., pulse compression ratios, R, and analog dispersive delay lines. The significant advantages of P3 and P4 codes are low peak sidelobes, which are approximately 1/4R to mainlobe peak, and that they are more Doppler tolerant than other phase codes derived from a step approximation to an LFh4W. Also, the P3 and P4 codes can be realized by using Frank polyphase code [2] digital processing circuits with additive phase shifts in filter time samples and r phase shifts in every other filter output (frequency) port [4]. The main limitation for implementing the P3 and P4 codes by a structure that implements a Frank code is that the compression ratio must be a square of integers. When the P3 and P4 codes are derived by an E F code, this limitation is removed. As a consequence, both the good properties of low sidelobe for the P3 and P4 codes and the simple structure for the EF code are preserved. Hence, a new and very efficient technique for implementing the P3 and P4 codes with compression ratios other than N 2 is obtained.
II. EF POLYPHASE CODE

Similar to Frank's structure [2], a periodic polyphase code can be described by a matrix shown in

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IEEE TRANSACTIONS ON AEROSPACE AND ELECTRONIC SYSTEMS VOL. 25, NO. 4 JULY 1989

T4BLE I Matrix For E F Code 0


0 0

0 1 2

0 2
4

... ... ... ...

2(N

(N - 1)

- 1)

(M-1)

2(M-1)

(N - 1)(M - 1)

0 0 0 0 0 0 0 0 0 7r/2 t 3 ~ / 2 0 t / 2 t 3t/2 0 7 r O 7 r O t O 7 r 0 0 3 t / 2 t ~ / 2 3 t / 2 t 7r/2

I*

'lhble I. In B b l e I, the numbers represent multiplying coefficients of 2 t / M , the basic phase angle, with N and M arbitrary integers. It is noted that when N = M, this phase matrix represents the Frank code. Hence, B b l e I can be obtained by extending the phase matrix with specified properties o the Frank code in f either row or column direction, depending on which one is longer than the other. Hence this new class of code can be called an EF code. The EF coded waveform consists of a constant amplitude signal whose carrier frequency is modulated by the phases discussed above and then sent out row by row. By doing so, the phase angle of the ith code element in the jth row, or code group, may be expressed mathematically as
@(EF)i,j= ( 2 % / M ) ( i- l ) ( j - I), where i = 1,2,...,N and

j = 1,2,...,M .

(1)
In (l),the total number of code elements formed is N x M. So the maximal pulse compression ratio is equal to N x M. In other words, the compression ratio for the EF code is more flexible than that for the Frank code. Some general properties for the EF code are now described as follows.

1) When N = M, the EF code is a Frank polyphase code. This code has been widely discussed in many papers and hence is not studied again here. 2) When N > M, @i,jcan be expressed as
$i,j

= @((i))M+aM,j = $((i))M,j

(2)

where a is an integer and ( ( i ) ) ~ denotes the modulo of M . By (2) each code group can be constructed by duplicating the first M code elements again and again until the last element is obtained. In a special case where N = ICMwith IC an integer, each code group contains exactly IC M-element subgroups. In this case, the N x M phase matrix XN,M the EF code can be of partitioned into IC identical, small, M x M submatrices. That is,
XN,M =

[XM,MI XM,M
total
IC

terms

IXM,M]*

(3)

In (3), each submatrix XM,M equals the phase matrix of the Frank code with M 2 phases. This property is shown in the following example.
WANG & SHYU: NEW TECHNIQUE FOR IMPLEMENTING P3 AND P4 CODES
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EXPANDEh INPUT

Tc

COMPRESSOR INPUT (SIGNAL CONJI

7 )

OUTPUT

OUTPUl

F2

F3

Fig. 1. Block diagram for EF code expandercompressor with


W L E I1 Phase Matrix For E F Code With N = 4 and M = 8
0
0
0

= 8, M = 4.

0
a14 ir/2

0 sJ2
A

3x14 3x12 a14


A

3nJ4 3 n J 2
r
0

o
0 0 0

5 ~ J 4 ~ / 27ir/4 3aJ2
A

~ / 2

7x14 3irJ2 5ir/4

Now the special case nN = M where, K is an integer, is discussed. In this case, the sequence of the phase angles within the first N rows of phase matrix no longer fits an N-point FFT. Hence the simple structure in Fig. 1 cannot directly apply to this case. However, the phase angles for the ( j d ) t h row in the phase matrix can be expressed as follows

where $i,j denotes the element at ith column and j t h row in the phase matrix. When 1 5 j 5 IC,the phase angles in jth, ( j n)th, ( j 2n)th,. .., and ( j + (N - 1)d)th rows form a new code group. It is noted that in each new code group, the value for phase angles in (5) consists of two parts. The first part, $j,,, acts as a constant in the identical code group but with distinct values for distinct groups. The second part, K(i - 1)(2w/M), contributes identical form to all code groups but with distinct values for distinct positions in each code group. Now let n = i - 1, then

d ( i - 1)27r/M = 2nnn/M =2nn/N,


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for O < n < N . (6)

By (6), it is observed that the second part in (5) coincides the phase angles for the N-point FFT Hence the special case for the EF code with N x M elements where IC = M can now be realized by an N-point FFT structure with additive phase shifters of values 4 i . j . Since $ 0 , ~= 9i.o = 0, it is obvious that only N - 1 phase shifters are required for each code group. And the number of code groups which need additive phase shifters is IC 1. Therefore, the total number of additive phase shifters required to realize the EF code in this case is (K - 1)(N - 1).The block diagram which realizes the EF code with N = 4, M = 8 is now illustrated in Fig. 2. By comparing Fig. 1 and Fig. 2, it is found that the hardware realization for the code expandercompressor of case 3) is more complex than that of case 2). The compression characteristics for the code compressor is usually evaluated by the autocorrelation function. By (3) and (6), it is found that a periodic property exists for both case N = ICMand nN = M. Hence the autocorrelation for the EF code will have not only a main peak with amplitude N x M but also periodic sidelobes with period M and N for N = nM and KN = M, respectively. The diagram for the autocorrelation functions for N = 8, M = 4 and N = 4, M = 8 are shown in Figs. 3(a) and (b), respectively. In this figure, it is found that the properties of these two diagrams are very close to each other. However, the main drawback is that the amplitude of the sidelobes appear much higher than that for the Frank code in [4]. Finally, it should be emphasized that IC acts as an index for the EF code. When N = R M and n is not restricted to be an integer, the value of n can be used to describe many properties for EF code. For example, the structure which realizes the EF code for N = 8, M = 4 and N = 16, M = 8 is identical. To realize these two EF codes, only the magnitude of phase shifters and number of points for the FFT are

IEEE TRANSACTIONS ON AEROSPACE AND ELECTRONIC SYSTEMS VOL. 25, NO. 4 JULY 1989

EXPANDER

COMPRESSOR

SED

Fig. 2. Block diagram for EF code expandercompressor with N = 4, M = 8.


0

TABLE I11
P3 Code Modulo 2r, R = 32 0 *I32 0 11r/32 0 337~132 0 49x132
Uf8 9rf8
iT/8

9x18

9x132 57~132 41x132 25~132

RI2 a12 xf2 x/2

25x132 9x18 41~132 r/8 5 7 ~ / 3 2 9K/8 9x132 r/8

49x132 33~132 17~132 xi32

different. Please note that both of them have index IC = 2. Meanwhile, the same results can be easily obtained for other values of IC. Hence the index IC can be used to determine the realization structure for EF code. Two special cases for the EF code are well known. When IC = 1, this is the Frank code. When IC = N, i.e., M = 1, the EF code becomes the finiteduration impulse response (FIR) matched filter which is widely used for the LFMW applications.

(4
0

SAMPLE

NUMBER

Ill.

MORE EFFICIENT IMPLEMENTATION FOR P3 AND P4 CODES


(b)
SAMPLE NUM9ER

The P3 and P4 codes [4] are conceptually derived by converting a LFMW to baseband using a local oscillator, with frequency fo and fo k T / 2 respectively, on one end of the frequency sweep and sampling the inphase Z and quadrature Q video at the Nyquist rate. The phase of the P3 and P4 codes can be expressed mathematically as

Fig. 3. Autocorrelation function of EF codes. (a) N = 8, M = 4. (b) N = 4, M = 8. TABLE IV P3 Code Modulo 2x, R 0 33x132 0 49x132 0 x/32 0 11rf32

= 32

$?) = ~ (- i1)2/BT = ~ (- i1)2/R


and

rf8 9R/8
x/8

9x18

41x132 r / 2 25~132 9x132 n / 2 57x132 a12

57x132 9x18 9 ~ 1 3 2 TI8 25x132 9x18 41x132 x/8

11x/32 r/32 49x132 33x132

$jp4) = [T(i - 1)2/R]- T ( i - 1)

(7)
The advantage of the P3 and P4 polyphase pulse compression codes is that they do not produce large time sidelobes with large Doppler shifters. This advantage, the better Doppler tolerance, of the P3 and P4 codes allows large time-bandwidths which
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where B = kT is the bandwidth, T is the pulse length, and R is the pulse compression ratio. The matrices for the phase angles of the P3 and P4 codes modulo 27r with R = 32 are now shown in Thble I11 and n b l e IV, respectively.

WANG & S H W : NEW TECHNIQUE FOR IMPLEMENTING P3 AND P4 CODES

EXPANDER INPUT

COMPRESSOR INPUT

(SIGNAL

EXPANDED OUTPUT
1

COMPRESSED OUTPUT
___)

Fig. 4 P3 expandercompressor using E F code for R = 32. .


EXPANDER INPUT COMPRESSOR

CONJU?ATEIJ)

EXPANDED OUTPUT
4

Fig. 5 P4 expandercompressor using E F code for R = 32. .


TABLE V Subtracting P3 Code By EF Code With R = 32 TABLE VI Subtracting P4 Code By EF Code With R = 32

0 0

x/32

n/8
x/8

0 0

a132 ~132
xi32

n/8
x/8

9x132 9x132 9x132 9x132

a12 n/2
x/2

n/2

25x132 25x132 25x132 25x132

9x18 9x18
9x18

9n/8

49~132 49x132 49x132 49x132

0 33~132 0 33x132 0 33x132 0 33x132

n/8
x/8

r/8
x/8

41x132 41x132 41x132 41x132

x/2 n/2 x/2


x/2

51x/32 57~132 51x132 57x/32

9x18

9x18 9x18 9x18

11x132 17~132 17x/32 11x132

are effective in the presence of large Doppler shifts on radar echo pulses [4]. By comparing the phase matrices of the P3 code in Thble I11 and the EF code in Example 1, it is found that the differences between phase angles repeat by every N samples. These differences between the P3, P4, and EF codes are illustrated in lhble V and Table VI, respectively. Note that the added phase shifts for the P3 and P4 codes are caused by the linear frequency shift during the time the equivalent EF code frequency is constant. By the fact that the phase differences for the phase matrices are identical within each column in Table V
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and VI, both P3 and P4 codes can be implemented in a pulse expander-compressor employing digital Fourier transform, adders, and delay circuits which are similar to those for the EF codes in Fig. 1 or Fig. 2 with identical compression ratio. Extra N - 1 phase shifters are also required to compensate the Qhase differences between the P3, P4, and EF codes. The block diagram for implementing the P3 and P4 codes by using the EF code structure are shown in Fig. 4 and Fig. 5, respectively. Meanwhile, Fig. 6 illustrates the autocorrelation functions or compressed pulse waveforms for the digital pulse

IEEE TRANSACTIONS ON AEROSPACE AND ELECTRONIC SYSTEMS VOL. 25, NO. 4 JULY 1989

0 N I

W O

E:

a 7 VY
W O

E?
I 0 n

'0.00

20.00
SAMPLE

40.00

80.00

NUMBER

Fig. 6. Output result of Fig. 4 and 5 with R = 32, zero Doppler shift, no bandwidth limitation.

of the EF code has the same properties as that of the Frank code, but the restriction of identical numbers of columns and rows for the Frank code is removed. That is, the phase matrix can now have M rows and N columns where M and N are distinct integers. A special case N = K M , where K is an integer, is discussed. In this case, the hardware implementation KGM adders, for the EF code needs one M-point FFT, and KMdelay lines only. In other words, the hardware complexity is largely decreased from O(N log2N) for the Frank code to O ( K ) = O ( N / M ) for the EF code. Unfortunately, the autocorrelation function shows high sidelobes for the EF code. The disadvantage of high sidelobes for the EF code can be recovered when P3 and P4 codes are considered. By comparing the phase matrices of the P3 and P4 codes with the EF code, it is found that only N - 1 phase shifters are required to transfer the EF code to P3 or P4 code. Hence an effective implementing technique for the P3 or P4 polyphase code can now be obtained by using the simple EF code structure. As a consequence, a new, flexible, and efficient technique for implementing an LFh4W with compression ratio other than N 2 is obtained.
REFERENCES (11 [2] Cook, C., and Bernfeld, E. (1%7)

0.00

'

'

4b.00'

sb.00'

SAMPLE

l20.00 160.00 NUM9ER

200.00

Fig. 7. Autocorrelation function for P3 or P4 code with R = 96, zem Doppler shift, no bandwidth limitation.

expander-compressors shown in Fig. 4 and Fig. 5, respectively, with no Doppler shift and no bandwidth limitation. In this figure, the pulse compression ratio is R = N x M = 8 x 4 = 32. The autocorrelation function for the expandercompressor for compression ratio R = N x M = 24 x 4 = 96 with no Doppler shift and no bandwidth limitation is also shown in Fig. 7. By these figures, it is observed that the highest range-time sidelobe is 4R below the peak response. The performance of the compressor in Fig. 7 is very close to that of [4, Fig. 31, of which the compression ratio is 100. The main advantages of this new expander-compressor are that the hardware implementation is much simpler than that in [4], also, the compression ratio is more flexible than that using Frank code.
IV.
CONCLUSION

Radar Signals, An Introduction to Theory and Application. New York Academic Press, 1967. Frank, R. L. (1%3) Polyphase d e s with good nonperiodic correlation
properties.

IEEE Transactions on Information Iheory, IT-9(Jan.


[3] 1%3), 43-45. Lewis, B. L., and Kretschmer, E E, Jr. (1981) A new class of polyphase pulse compression codes and techniques.

IEEE Transactkm on Aerospace and Electronic Systems,


[4]
AES-17 (May 1981), 364-371. Lewis, B. L., and Kretschmer, E E, Jr. (1982) Linear frequency modulation derived polyphase pulse compression codes. IEEE Transactions on Aerospace and Electronic Systems, A B - 1 8 (Sept. 1982), 637-641. Lewis, B. L., Kretschmer, E E, Jr., and Shelton, W. W. (1986) Aspects of Radar Signal Processing. Dedham, MA: Artech House,1986.

[5]

In this paper a new class of polyphase codes, called the EF code, is introduced. The phase matrix

WANG & S H W : NEW TECHNIQUE FOR IMPLEMENTING P3 A N D P4 CODES

/---

Chi-Chang Wang was born in Chiai, 'hiwan, Republic of China on Nov. 19, 1957. He received the B.S. degree in electrical engineering from the Chung Cheng Institute of Rchnology, 'h-Hsi, Tao-Yuan, 'hiwan, and the M.S. degree in electronical engineering from the National Taiwan University, Bipei, in 1979 and 1984, respectively. Since 1984 he has been a Lecturer in the Department of Electronic Engineering, Chung Cheng Institute of Technology. His research interests include radar signal processing, digital signal processing in VLSI, communication system, and computer architecture design.

Hsuen-Chyun Shyu was born in W p e i on Nov. 15, 1951. He received the B.S. and M.S. degrees in electrical engineering from Chung Cheng Institute of Technology, 'h-Hsi, Bo-Yuan, 'hiwan, and the National 'hiwan University, 'hipei, in 1974 and 1978, respectively, and the Ph.D. degree in computer engineering from the University of Southern California, Los Angeles, in 1986. From 1978 to 1982 he was a Lecturer in the Department of Electronic Engineering, Chung Cheng Institute of Technology, where he is presently an Associate Professor. His current research interests include the VLSI algorithm, residue number system, computer architecture design, radar signal processing, and digital signal processing in -1.
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