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Phase Locked Loop Basics For Frequency Synthesizer Applications FCW - March 2011 FCW Sciences

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Phase Locked Loop

Basics For

Frequency Synthesizer

Applications

FCW - March 2011

FCW

Sciences

Legal Issues

Copyright 2011, Frederick Weist. All rights reserved.

No part of this document may be copied or reproduced

in any manner without the express written permission

of the author.

Matlab is a registered trademark of The MathWorks, Inc., Natick,

MA 01760.

Genesys is a registered trademark of Agilent Technologies, Inc.,

Santa Clara, CA 95051.

Mathcad is a registered trademark of Parametric Technology

Corp., Needham, MA 02494.

Agenda

Introductory Talk on PLLs for Freq Synthesizers

• Introduction (Definition of a Phase Locked Loop)

• History and Development of PLLs

• Fundamental Theory of PLLs - Linear and Non-Linear

• See detailed Agenda - Next Page

• PLL Components

• See Detailed Agenda - Next page

• PLL Synthesizer Testing

• Example High Performance PLL Frequency Synthesizer

• References

• Questions - Comments

Detailed Agenda

Introductory Talk on PLLs for Freq Synthesizers

• Fundamental Theory of PLLs - Linear and Non-Linear

• General Single Loop Control System and PLL Models

• General PLL Transfer Functions

• General PLL Stability

• Specific PLL Transfer Functions

• Summary study of 7 Common PLL Transfer Functions

• Detailed study of Type 2, 2nd Order, 1st Order Active PI Loop Filter PLL Transfer Function

• Digression - Simple PLL Synthesizer Design example

• PLL Synthesizer Output Signal Fidelity - Noise and Spurious

• Acquisition and Tracking

• PLL Components

• Phase Detectors

• Loop Filters/Error Amplifiers

• Voltage Controlled Oscillators

• Feedback Converters

Introduction

Definition of a Phase Locked Loop (PLL)

• Belongs to branch of classical physics called Control Theory

• Control Theory is study of Negative Feedback Control Loops (NFCLs)

• NFCL Types: Electrical, Optical, Mechanical, Fluid (Hydraulic, Pneumatic), Thermal, Biological, Combinations

• Specifically, a PLL is an NFCL where the input variable is the phase of a periodic signal (reference) and the output variable is the phase of another periodic signal coherently locked to the input signal (reference)

• PLL Types: Electrical, Electro-Optical, Electro-Mechanical

• Frequency Synthesizers are a major example of an Electrical PLL (our subject)

• Sometimes the error signal locking the output phase to the reference phase in a PLL is the desired output, e.g., in Demodulators (AM, PM, FM, B/QPSK - Costas PLLs)

• Other uses of PLLs (besides synthesizers & demodulators): Antenna Phased Array Controllers, Signal Synchronizers (bit synchs for clock recovery, line & frame synchs and color subcarrier recovery for TVs), Angle Modulators (PM, FM, B/QPSK), Lock-In Detection, Rotary Motor Speed Control

Introduction

Definition of a Phase Locked Loop (PLL)

• Other Electrical NFCL examples: Op-Amps, Active device biasing, AGCs, ALCs

• Mechanical NFCL example: James Watt’s flyball engine governor

• Biological NFCL examples: Living cell, You (human being)

• Combination NFCL examples:

• Electro-Optical: Mode-Locked Laser with Maser Reference (actually PLL category)

• Electro-Mechanical (mainly): Power Plants, Robots, Inertial Navigation, Aircraft & Rocket Control, old “DJ” Turntable (Technics SL1200-MK2 - actually PLL category), Computer Disk Drive, Segway, Auto Cruise Control

• Electro-Mechanical-Thermal: HVAC System, Refrigerator

• Electro-Mechanical-Fluid: Auto engine control, “The Crypt” amusement park ride at King’s Dominion Park (Doswell, VA)

• We are interested specifically in Electrical PLLs used for Frequency Synthesizers, which are Linear NFCLs (when locked), allowing the use of very powerful analysis techniques (Laplace Transforms)

History

History and Development of PLLs

• First PLL invented in 1932 by French engineer Henri de Bellescize to build a homodyne, or synchronous, AM receiver

• Next, PLLs used for video horizontal and vertical scanning in B & W Television

• Then PLLs used for color subcarrier recovery in Color Television

• Satellites used PLLs as lock-in detection receivers to compensate for weak signals, noisy signals, transmitter frequency shifts and Doppler velocity signal processing

• Military, then commercial hardware used PLLs for radar, telemetry and communications

• Now consumer products (TVs, radios, audio systems, wireless phones and broadband products, computers, etc.) use PLLs extensively

• Finally, besides VCO control, PLLs used for very accurate rotary motor speed control, with higher speed accuracy than typical servos can provide

• Presently, PLLs are a thoroughly-investigated and well-established science, with large amounts of published literature for many diverse applications

Fundamental Theory of PLLs - Linear & Non-Linear

Included and Excluded Topics

Included Excluded

Analog and Mixed-Signal Combo Loops All-Digital and Software-Defined Loops

Single Loop Systems Multiple/Nested Loops

Self-Acquiring Loops Aided-Acquisition Loops

“Integer-N” Loops “Fractional-N” Loops

Unmodulated Output Loops Modulated Output Loops

Integro-Differential and Algebraic Eqs State Variable Eqs

Block Diagram Algebra Signal Flow Graphs and Mason’s Rule*

*Signal Flow Graphs and Mason’s Rule good for Multiple/Nested Loops

Fundamental Theory of PLLs - Linear & Non-Linear

Types of Analyses Used Here

• Mainly Linear (Locked Loop) with some Non-Linear (Unlocked Loop)

• Mainly Frequency Domain (s) with some Time Domain (t) - for linear systems, t & s domains related by Fourier and Laplace Transforms - emphasis on Frequency Domain (s = s + jw), or Laplace, analysis

• Laplace Initial and Final Value Theorems

• Gives value of any time-domain function, f(t), at limits, f(t 0) and f(t ) without having to calculate these values (which could be difficult), only using the direct transform, F(s), i.e., without using the inverse transform (which could also be difficult)

• Definitions, Initial Value: f(0) = lim sF(s), Final Value: f() = lim sF(s)

• Especially useful for understanding the Linear Step Tracking Response (Output) of a PLL for Unit Singularity Function Inputs, U0, U-1, U-2, U-3, etc.

• Steady-State and Transient

s 0s

Fundamental Theory of PLLs - Linear & Non-Linear

Available Analysis Methods (not all used here)

• Hand Calculations • Write out variables (signals), transfer functions, and all calculations by hand

• Equation-Based Programs • Mathcad, Matlab, Matlab-Simulink, ACSL (Advanced Continuous Simulation Language)

• Circuit-Based Programs • SPICE variants - gives time domain analysis • Analog/RF/mW - Genesys, Serenade, ADS, Microwave Office, etc. - gives frequency

domain analysis

• Dedicated PLL Programs • Genesys PLL - Agilent Technologies • ADI-Sim-PLL - Analog Devices (only their components) • PLL Design and Simulation - Best Engineering • National Semiconductor • Motorola

• Synthesis tools available in some of the Dedicated PLL Programs

Fundamental Theory of PLLs - Linear

Single Loop Control System Model - Basic

B(s)

C(s)

D(s)

Signals (Variables):

R(s) = Reference Signal

B(s) = Feedback Signal

E(s) = Error Signal

D(s) = Disturbance Signal

C(s) = Controlled Signal

Transfer Function Elements:

G(s) = Product of Feedforward

Transfer Functions

H(s) = Product of Feedback

Transfer Functions

1 + G(s)H(s) is

Characteristic Polynomial

1 + G(s)H(s) = 0 is

Characteristic Equation

Summer is effectively a subtractor (due to NFB), at every value of s, with phase shift of -180o

Instability results at values of s where G(s)H(s) gain > 1 (linear) or > 0 dB (log) and G(s)H(s) phase < -180o, i.e., Bode stability margins are < 0 (discussed later)

S S E(s)

G(s)

H(s)

R(s)

-

+ +

-

Single Loop Control System Model - Detailed Signals (Variables):

V(s) = Command Signal

R(s) = Reference Signal

B(s) = Feedback Signal

E(s) = Error Signal

F(s) = Control Signal

M(s) = Manipulated Signal

D(s) = Disturbance Signal

C(s) = Output Signal

Transfer Function Elements:

A(s) = Input Elements

Ga(s) = Control Logic Elements

Gm(s) = Final Control Elements

Gp(s) = Plant Elements

H(s) = Feedback Elements

Q(s) = Disturbance Elements

Fundamental Theory of PLLs - Linear

A(s)

H(s)

Gp(s)

Q(s)

Gm(s) Ga(s) S S

V(s) R(s) E(s) M(s) F(s) C(s)

B(s)

D(s)

Controller

+ -

+

-

Same comments apply here as for Basic Control System Model

Single Loop PLL Model - Basic

qb(s)

Phase Detector

or

Phase/Frequency

Detector

Loop Filter or

Loop

Filter/Error

Amp

Frequency/Phase

Divider or

Translator (mixer,

N = 1 only)

Phase

Disturbance

Signal

Instability results at values of s where KfF(s)KoKn gain > 1 (linear) or > 0 dB (log) and KfF(s)KoKn phase < -180o, i.e., Bode stability margins are < 0 (discussed later)

Summer is effectively a subtractor (due to NFB), at every value of s, with phase shift of -180o

qe(s)

S S Ko =

Kv/s

F(s) Kf

Kn =

1/N

VCO

qd(s)

qc(s) qr(s)

+ -

+

-

Fundamental Theory of PLLs - Linear

VCO is an integrator, at every value of s, with phase shift of -90o

Fundamental Theory of PLLs - Linear

Single Loop PLL Model - Components

• Kf: Phase Detector (PD)

• Develops Average (DC) output signal proportional to phase difference between 2 AC input signals • Transfer function (Gain), DVf = KfDf, Kf has units of V/rad, hopefully is linear (i.e., Kf is constant)

• F(s): Loop Filter/Error Amplifier

• Actually is the “Compensator” or “Controller” which processes the error signal to properly drive the “Actuator”, which in this case is a VCO

• Transfer Function, Vc = F(s)Vf, Note that filtering is a secondary operation to the signal processing aspect

• Kv: Voltage Controlled Oscillator, VCO (baseband transfer function, Ko = Kv/s produces integration in the s domain, causing -90o phase shift around loop, affecting loop stability)

• Produces an output frequency proportional to an input DC voltage (there is also a Current Controlled Oscillator, CCO, and a Numerically or Digitally Controlled Oscillator, NCO or DCO, but just VCOs discussed here)

• Freq Tuning Curve, w vs. Vc, units of rad/S vs. Vc, hopefully is linear, derivative of this gives: • Frequency Transfer Function (Gain), Dw = KvDVc, Kv has units of rad/S/V, hopefully is linear (i.e., Kv is constant)

• Kn (1/N): Feedback Converter

• Division or translation of VCO higher frequency/phase to PD lower frequency/phase • Division done by a Divider; Translation done by a Mixer • Frequency Transfer Function (Gain), Dwout = KnDwin, Kn has no units • Phase Transfer Function (Gain), Dfout = KnDfin, important for phase noise considerations, Kn has no units

• More about these components in “PLL Building Blocks” section

PLL Model - Signals & Transfer Function Blocks

Fundamental Theory of PLLs - Linear

Signals (Variables):

qr(s) = Reference Phase

qb(s) = Feedback Phase

qe(s) = Phase Error Signal

qd(s) = Phase Disturbance Signal

qc(s) = Controlled Phase

Transfer Function Elements:

Kf = Phase Detector TF (Gain)

F(s) = Loop Filter / Error Amp TF

Ko = Kv/s = VCO Transfer Function

Kn = 1/N = Feedback TF (Gain)

1 + KfF(s)KoKn = KfF(s)Kv / Ns

is Characteristic Polynomial

1 + KfF(s)KoKn = KfF(s)Kv / Ns = 0

is Characteristic Equation

Major Inputs of Interest that

Model Real-World Signals

General Control System

R(s) = Variable Sinusoid and

Unit Singularity Functions

D(s) = Variable Sinusoid

General PLL

qr(s) = Variable Sinusoidal PM and

Unit Singularity Function PM

qd(s) = Variable Sinusoidal PM

Unit Singularity Function Definitions

Unit Impulse (U0 = 1)

Unit Step (U-1 = 1/s)

Unit Ramp (U-2 = 1/s2)

Unit Parabola (U-3 = 2/s3)

Etc.

1TG(s)H(s)for

N,K

1

H(s)

1

N

1

s

KF(s)K1

s

KF(s)K

KF(s)KK1

F(s)KK

)s(H)s(G1

G(s)

(s)θ

(s)θ

R(s)

C(s)T

:C)-(ROutput

FunctionsTransfer Pass-Low Loop-Closed

N

1

s

KF(s)KKF(s)KK)s(H)s(G

(s)θ

(s)θ

R(s)

B(s)T

:B)-(RFeedback -Reference

FunctionTransfer (s)]θ[at Loop-Open

l-o

nv

v

no

o

r

cc-r

vno

r

bl-o

b

f

f

f

f

ff

PLL Transfer Functions - Definitions

Fundamental Theory of PLLs - Linear

1TG(s)H(s)for ,T

1

F(s)KK

Ns

KF(s)KK

1

G(s)H(s)

1

N

1

s

KF(s)K1

1

KF(s)KK1

1

)s(H)s(G1

1

(s)θ

(s)θ

(s)θ

(s)θ

D(s)

C(s)

R(s)

E(s)TT

:C)-(D eDisturbanc E),-(RError

FunctionsTransfer Pass-High Loop-Closed

1TG(s)H(s)for

1,

N

1

s

KF(s)K1

N

1

s

KF(s)K

KF(s)KK1

KF(s)KK

G(s)H(s)1

G(s)H(s)

(s)θ

(s)θ

R(s)

B(s)T

:B)-(RFeedback

l-o

l-ovno

vnod

c

r

ec-de-r

l-o

v

v

no

no

r

bb-r

ff

ff

f

f

f

f

Fundamental Theory of PLLs - Linear

PLL Transfer Functions - Definitions

PLL Transfer Functions - Definitions

• Closed-Loop transfer functions can be broken up into low-pass and high-pass types

for the various signals considered:

• Output transfer function, Tr-c, acts as a Low-Pass filter with approximate pass band (DC and LF) gain

= |1/H(s)| = 1/Kn = N, as a PM output steady-state response to a sinusoidal PM reference input, plus

shows multiplied-by-N2 (or additional 10 log10 N2 = 20 log10 N in dB) Reference + Divider + PD +

Loop Filter (if PLL is Type 1) phase noise (power) response in this range (for PLLs > Type 2, Tr-c

acts as a BPF to Loop Filter phase noise)

• Feedback transfer function, Tr-b, acts as a Low-Pass filter with approximately unity gain in pass band

(DC and LF), as a PM output steady-state response to a sinusoidal PM reference input, plus shows

unity gain phase noise (power) response in this range to same components with same stipulations

• Error, Tr-e, and Disturbance, Td-c, transfer functions are identical and act as a High-Pass filter with

approximate stop band (DC and LF) gain = |1/To-l(s)| = |1/G(s)H(s)| = |1/KfF(s)KoKn| =

|Ns/KfKvF(s)|, as a PM output steady-state response to a sinusoidal PM disturbance input, plus show

divided-by-|To-l|2 VCO phase noise (power) response in this range

• Will discuss Phase Noise later

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

PLL Transfer Functions - Type & Order

• PLL operation defined by Type (1, 2, 3, etc.) & Order (1st, 2nd, 3rd, etc.), where Type < Order; Note: Type 0 not possible due to VCO

• Type is the number of poles at s = 0 (DC or the origin) in the feedforward transfer function, G(s) = KfF(s)Ko; or alternatively, the number of integrators in G(s), one of which is the VCO, with trans func Ko = Kv/s, defining integration

• Most importantly, the type determines the linear step tracking response of the PLL (loop remains locked and linear) in terms of the steady-state phase error, E(s) = qe(s), for the unit singularity PM reference inputs, U-1=qi(s), U-2=fi(s), U-3=sfi(s) (derivative of freq or “chirp”), etc.; that is, a “Type N” loop has “N” forms of linear step tracking, defined as E(s) = qe(s)=0 (see next slides)

• Less importantly, the type determines the initial gain slope of the magnitude of the open-loop TF, |To-l|, at -20T dB/dec or -6T dB/oct, and the initial phase plateau of the phase of the open-loop TF, <To-l, at -90T o, where T = Type Number (see next slides)

• Also less importantly, the type determines the initial gain slope of the magnitude of the closed-loop high-pass TFs, |Tr-e| & |Td-c|, at +20T dB/dec or +6T dB/oct, and the initial phase plateau of the phase of the closed-loop high-pass TFs, <Tr-e & <Td-c at +90T o, where T = Type Number (see next slides)

Fundamental Theory of PLLs - Linear

PLL Transfer Functions - Type & Order

• Order is the number of poles at any value of s, or the maximum power of s, in the closed-loop output and feedback transfer functions, Tr-c & Tr-b; or alternatively, the number of zeros at any s, or the maximum power of s, in the Characteristic Equation

• (1) The order determines the maximum possible (but not very probable) final negative slope of the open-loop TF gain, |To-l|, and closed-loop low-pass TF gains, |Tr-c| & |Tr-b|; however, the actual final negative slope is -6(p - z) dB/oct or -20(p – z) dB/dec in terms of the steady-state output for a variable sinusoidal PM reference input, where p is the number of poles and z is the number of zeros in the open-loop transfer function, To-l (see next slides)

• (2) The order determines the minimum possible (but not very probable) final phase plateau of the open-loop TF phase, <To-l, and closed-loop low-pass TF phases, <Tr-c & <Tr-b; however, the actual final phase plateau is -90(p – z) o in terms of the steady-state output for a variable sinusoidal PM reference input, where p is the number of poles and z is the number of zeros in the open-loop transfer function, To-l (see next slides)

• Note: The zeros are very important in the open-loop TF, To-l, of a PLL in general, since they keep the phase shift of To-l under control which determines closed-loop stability - to be discussed later

Fundamental Theory of PLLs - Linear

Unit Singularity PM Reference Input - Type

Reference Source actual RF signal

+p/4 step

Fundamental Theory of PLLs - Linear

Unit Singularity PM Reference Input - Type

Reference Source actual RF signal

+3p/8 step

Fundamental Theory of PLLs - Linear

Unit Singularity PM Reference Input - Type

Reference Source actual RF signal

+p/2 step

Fundamental Theory of PLLs - Linear

Unit Singularity PM Reference Input - Type

Reference Source actual RF signal

Fundamental Theory of PLLs - Linear

Unit Singularity PM Reference Input - Type

Reference Source actual RF signal

Fundamental Theory of PLLs - Linear

Variable Sinusoid PM Signal to Reference - Order

Baseband signal to PM Reference Source - Not actual RF signal

PLL Transfer Functions - Type

• Linear Step Tracking Response of a PLL for unit singularity PM reference inputs, qr(s) = U-1, U-2, U-3 - from Laplace Final Value Theorem (note Type 0 not possible & “N” forms of linear step tracking for “Type N” loop):

Electrical Input

Mech Analog

(Linear - Rotary)

Type 1 Phase Error

Type 1 Output

Type 2 Phase Error

Type 2 Output

Type 3 Phase Error

Type 3 Output

qr(s), etc. xr(s), etc. qe(s) qc(s) qe(s) qc(s) qe(s) qc(s)

Step Phase

Step Position

0 Phase

Coherent 0

Phase Coherent

0 Phase

Coherent

Step Frequency

Step Velocity

Constant Phase Offset

0 Phase

Coherent 0

Phase Coherent

Step Chirp Step Accel Changing Phase

Unlocked Constant

Phase Offset

0 Phase

Coherent

Fundamental Theory of PLLs - Linear

PLL Transfer Functions - Order

• Frequency Response (max possible final negative slope and min final phase plateau) of a PLL for a variable sinusoidal PM reference input:

Order 1st 2nd 3rd

Maximum Possible Final Negative Slope of |To-l|, |Tr-c| & |Tr-b| (but not very probable)

-6 dB / oct

-20 dB / dec

-12 dB / oct

-40 dB / dec

-18 dB / oct

-60 dB / dec

Minimum Possible Final Phase Plateau of <To-l, <Tr-c & <Tr-b (but not very probable)

-90 o -180 o -270 o

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

PLL Transfer Functions - Other Characteristics

• TFs are also categorized in phase as being “Lead”, “Lag”, or combinations (i.e., “Lead-Lag”). A given TF has a “Lead” phase response if its phase change becomes more positive as frequency increases, and a “Lag” phase response if its phase change becomes more negative as frequency increases

• The most common definition of output closed-loop TF (Tr-c) “Bandwidth” is the open-loop (To-l) gain crossover frequency, wg, but there are others (e.g., wn for 2nd order systems, w-3dB and wpeak for all systems)

• Undamped natural oscillation (resonant) frequency, wn, half-power bandwidth, w-3dB, and peak frequency, wpeak, are typically not the same as open-loop gain crossover frequency, wg, but are usually very close, relative to the loop BW

• As stated, the open-loop TF (To-l) gain crossover frequency, wg, and the output closed-loop TF (Tr-c) “-3 dB” frequency, w-3dB, are generally not the same, although there is a particular case where they are the same - Type 1, 1st Order PLL (only Type 1 possible for 1st Order PLL - Type 0 not possible due to VCO integrating action)

Fundamental Theory of PLLs - Linear

PLL Transfer Functions - Other Characteristics

• The loop filter TF, F(s), and hence the open-loop TF, To-l(s), and all closed-loop TFs, Tr-c(s), Tr-b(s), Tr-e(s) and Td-c(s), can usually be written:

The last standard form offers the easiest way to determine variables Kf, Kv, Ra, Ca,… and R1, C1,… directly or indirectly [e.g., determining wn(Kf, Kv, Ra, R1, Ca) and z(Kf, Kv, Ra, R1, Ca) in Type 1 or 2, 2nd Order PLLs] in a design process as functions of a given set of specifications

poles theare ... ,1

,1

,1

sor ... ,p ,p ,ps

zeros theare ... ,1

,1

,1

sor ... ,z ,z ,zs

and ..., ,CR ..., ,CR ,Kand/or ,K gain), LF nal(proportio K ,K includesK

:where

1)...1)(s1)(s(s

1)...1)(s1)(s(sK

)...p)(sp)(sp(s

)...z)(sz)(sz(sK

d(s)

n(s)K

d(s)K

n(s)K

D(s)

N(s)T(s)

321

321

cba

cba

111aaanvp

321

cba

321

cba

d

n

f

Fundamental Theory of PLLs - Linear

PLL Typical Open-Loop TF, To-l, Bode Plots

Log10 w

Log10 w

Phase Crossover, wf

Each TF zero changes gain slope by +20 dB/dec or

+6 dB/oct, and phase plateau by +90o with transition

phase slope of +45o/dec (adds phase lead) after its

asymptotic gain break point as frequency increases

Each TF pole changes gain slope by -20 dB/dec or

-6 dB/oct and phase plateau by -90o with transition

phase slope of -45o/dec (adds phase lag) after its

asymptotic gain break point as frequency increases

Gain Crossover, wg

Ph

ase

(o)

To-l (s) =

Log10 w

-90o

-180o

-135o

-270o

-225o

Example of Complicated OL

Gain (asymptotic), Phase &

Transfer Function, To-l(s)

Example of Simplistic OL Gain, |To-l|

Example of Simplistic OL Phase, <To-l

(Reproduced from Dorf and

Bishop5, with permission)

Ga

in (

dB

, a

rbit

rary

sca

le)

0 dB

--

+

Initial Slope = -20T dB/dec or

-6T dB/oct, T = Type Number

Initial Phase

= -90T o, T =

Type Number

Final Slope =

-20(p - z) dB/dec

or -6(p - z) dB/oct,

p = poles, z = zeros

Final

Phase =

-90(p – z) o,

p = poles,

z = zeros

Ex To-l shown is for T2, 4th O, 2nd O Active PI (+RC) Loop Filter PLL

PLL Typical Tr-c & Tr-b Closed-Loop TF Bode Plots

Fundamental Theory of PLLs - Linear

Ph

ase

(o, a

rbit

rary

sca

le)

Ga

in (

dB

, a

rbit

rary

sca

le)

Log Frequency (Hz, arbitrary scale) Log Frequency (Hz, arbitrary scale)

General Low-Pass Response

--

0

+

--

M

+

E(s) = qe(s) = 0 in this region Gain Peak

For Tr-c: M = 20 log10 |1/H(s)| dB

= 20 log10 (1/Kn) dB

= 20 log10 (N) dB

For Tr-b: M = 20 log10 (1) = 0 dB

Final Slope =

-20(p - z) dB/dec

or -6(p - z) dB/oct,

p = poles, z = zeros

Final Phase = -90(p – z) o,

p = poles, z = zeros

PLL Typical Tr-e & Td-c Closed-Loop TF Bode Plots

Fundamental Theory of PLLs - Linear G

ain

(d

B, a

rbit

rary

sca

le)

Ph

ase

(o, a

rbit

rary

sca

le)

Log Frequency (Hz, arbitrary scale) Log Frequency (Hz, arbitrary scale)

General High-Pass Response

--

0

+

--

M

+

Gain Peak

M = 20 log10 (1) = 0 dB

Initial Slope =

+20T dB/dec or

+6T dB/oct,

T = Type Number Initial Phase

= +90T o, T =

Type Number

Fundamental Theory of PLLs - Linear

PLL Stability

• Stability is probably the most important consideration in PLL (or general control system) design (a system is basically useless if it is not stable) and TFs are designed as a function of stability considerations as well as other performance specs

• The common denominator for addressing stability of a PLL (or general control system) is the open-loop transfer function, To-l

• There are 5 predominant methods for investigating stability as a system parameter (usually |To-l|) is varied :

• Root Locus Plot (uses To-l embedded in CE) - widely used for PLLs and servos

• Bode Plot (uses To-l directly) - widely used for PLLs and servos

• Nichols Diagram (uses To-l directly) - not used (but recommended) for PLLs, but widely used for servos

• Nyquist Diagram (uses To-l directly) - not widely used for PLLs or servos

• Routh-Hurwitz Array (uses To-l embedded in CE) - actual usage unknown

• Out of the first 4 methods, the most comprehensive is the Root Locus Plot, since it shows system stability for all values of open-loop gain variable, K = |To-l|, in one plot

• The Routh-Hurwitz Array is not discussed, since it depends on advanced math involving matrix calculations, and does not seem to be applied to PLLs in the industry

PLL Stability - Stable & Unstable Cases - Synth

Typical PLL Synthesizer Output on Spectrum Analyzer

PLL Stable - Ideal Profile Stability Margins Moderately Degraded

Fundamental Theory of PLLs - Linear

PLL Stability - Stable & Unstable Cases - Synth

Typical PLL Synthesizer Output on Spectrum Analyzer

Stability Margins Moderately Degraded - Wider Span Stability Margins Severely Degraded

Fundamental Theory of PLLs - Linear

PLL Stability - Stable & Unstable Cases - Synth

Typical PLL Synthesizer Output on Spectrum Analyzer

Stability Margins Severely Degraded - Wider Span PLL Unstable - Discrete Mode(s) Oscillation

Fundamental Theory of PLLs - Linear

PLL Stability - Stable & Unstable Cases - Synth

Typical PLL Synthesizer Output on Spectrum Analyzer

PLL Unstable - Discrete Mode(s) Osc - Wider Span PLL Unstable - Dis Mode(s) Osc - Comprehensive Span

Fundamental Theory of PLLs - Linear

PLL Stability - Stable & Unstable Cases - Synth

Typical PLL Synthesizer Output on Spectrum Analyzer

PLL Unstable - Multi-Mode Oscillation PLL Unstable - Multi-Mode Osc - Comprehensive Span

Fundamental Theory of PLLs - Linear

PLL Stability - Root Locus Plot (Evans Criterion)

Definition:

The Root Locus is the path

of the roots (zeros) of the CE,

or equivalently, the poles of

the output closed-loop

transfer function, Tr-c, in the

s-plane, as a function of a

parametric variable (usually

open-loop gain, K)

Fundamental Theory of PLLs - Linear

Stability Criterion:

System is stable for

Gain = K if all roots

(zeros) of the CE, or

equivalently, poles of

Tr-c are in the left half-

plane, i.e., none are in

the right half-plane,

including the Im axis

PLL Stability - Root Locus Plot (Evans Criterion)

f

f

f

f

f

f

f

f

f

)s(Tor 0CEfor ,)K(for f(N)or )K(fr :Range

K 0or N1or 1K0 :Domain

K 0or N1or 1K0

,)s(fK1

)s(F(s)KK

Ns/F(s)KK1

)s(F(s)KK

(s)KF(s)KK1

)s(F(s)KK

(s)h(s)Kg1

G(s)

G(s)H(s)1

G(s))s(T

: T Function,Transfer Loop-ClosedOutput of Poles

,lyEquivalent

K 0or N1or 1K0

,0)s(fK1Ns

f(s)KKK1(s)Kf(s)KKK1

Ns

F(s)KK1(s)KF(s)KK1

Kg(s)h(s)1h(s)g(s)KK1G(s)H(s)1CE

:CE of (Zeros) Roots

crnetc. 3, 2, 1,

n

n

o

v

o

no

o

cr

c-r

n

vp

nop

v

no

ba

Fundamental Theory of PLLs - Linear

PLL Stability - Root Locus Plot (Evans Criterion)

(s)Tor 0CEfor K),,τ,τ,f(τr :Range

K 0 :Domain

K 0 K),,τ,τ,f(τr

:solve , K 0 0,1)K(sτ1)1)(sτ(sτsCE

:algebra do and fractionsClear

, K 0 0,1)1)(sτ(sτs

1)K(sτ1(s)T1CE

1)1)(sτ(sτs

1)K(sτ(s)T

1)1)(sτs(sτ

1)(sτKF(s)

:CE of (Zeros) roots find (s),T gives which F(s),Given

ly)equivalent follows (s)T 0; (CE

PLLFilter Loop RC)(with PI Active O 2 O, 4 T2, ofEx

c-ra211,2,3,4

a211,2,3,4

a21

2

21

2

al-o

21

2

al-o

21

ap

l-o

c-r

ndth

Re (s)

Im (jw)

K = 0

s-plane

s = s + jw

Domain: 0 < K < Range: r1,2,3,4 = f(1, 2, a, K)

Fundamental Theory of PLLs - Linear

r1

r2

r3

K

Unstable

Region

(right half-

plane &

Im axis)

Stable

Region

(left half-

plane,

not incl

Im axis)

x x x r4

K = 0

(2 roots

@ s = 0)

-1/a

-1/1 -1/2

PLL Stability - Root Locus Plot (Evans Criterion)

Fundamental Theory of PLLs - Linear

Unstable

Region

(Right)

Stable

Region

(Left)

Impulse Response for different Roots (Zeros) of CE or Poles of Tr-c(s) showing Stable, Conditionally Stable and Unstable regions

Example S-Plane (s = s + jw) Demonstrating Stability Concepts

Con Stable

Region

(Im Axis)

(Reproduced from Dorf and

Bishop5, with permission)

PLL Stability - Bode Plot

Fundamental Theory of PLLs - Linear

Stability Margins - Definition

Gain Margin, Gm: The ratio (1/|To-l|), linear; or difference (0 - 20 log10|To-l| dB), log; where <To-l = -180o (except w = 0), at specified Gain = K

Stability Criterion:

System is Stable, at specified Gain = K, if Gm > 1 (linear) or > 0 dB (log) and fm > 0o; i.e., both stability margins are positive (applies for log Gm; for linear Gm, must have Gm > 1)

Note: Gm only applies to Unconditionally Stable (stable for any gain, K) and not Conditionally Stable (stable for specific gain, K) PLLs. Conditionally Stable PLLs may have negative Gm and still be stable at Gain = K. Therefore, fm is the preferred indicator, since it always applies to all situations for PLLs.

Stability Margins - Definition

Phase Margin, fm: The sum [180o + <To-l]; where |To-l| = 1 (linear) or 0 dB (log), at specified Gain = K

PLL Stability - Bode Plot

Fundamental Theory of PLLs - Linear

degreesin )(jT :axis-y

scale flogor logon Hzin for rad/Sin :axis- xPlot, Phase

dBin )(jT :axis-y

scale flogor logon Hzin for rad/Sin :axis- xPlot, Magnitude

K of valuespecifiedfor ),(jKt)(jT :Range

0 :Domain

plot toscoordinatepolar convert to s;coordinater rectangulain , 0

,1])(j[

1)K(j

1)1)(j(jN

1)K(jK

1)1)(j(j

K1)K(jK

))h(jKg(j))H(jG(j)j(T)s)H(sG()s(T

:T Function,Transfer Loop-Open with PLLFilter Loop PI Active O 2 O, 4 T2, of Example

l-o

1010

l-o

1010

l-ol-o

2121

22

a

21

2

va

21

2

nva

l-ol-o

l-o

ndth

w

ww

w

ww

ww

w

w

www

w

www

w

www

w

wwwww

ff

PLL Stability - Bode Plot

Fundamental Theory of PLLs - Linear

Log10 w

Log10 w

Phase Crossover, wf

Gain

Crossover, wg

Gain Margin

(Gm)

Phase

Margin

(fm)

Ga

in (

dB

, a

rbit

rary

sca

le)

Ph

ase

(o)

-90o

-180o

-135o

-270o

-225o

0 dB

Example of T2, 4th O, Active PI OL

Gain, |To-l|, Stable for Gain = K1

Example of T2, 4th O, Active PI OL

Phase, <To-l, Stable for Gain = K1

Log10 w

Log10 w

Ph

ase

(o)

-90o

-180o

-135o

-270o

-225o

Example of T2, 4th O, Active PI OL

Gain, |To-l|, Unstable for Gain = K2

Example of T2, 4th O, Active PI OL

Phase, <To-l, Unstable for Gain = K2

--

+

Gain Margin

(Gm, Neg)

Phase

Margin

(fm, Neg)

Phase Crossover, wf

Gain

Crossover, wg

Ga

in (

dB

, a

rbit

rary

sca

le)

0 dB

--

+

Fundamental Theory of PLLs - Linear

PLL Stability - Nichols Diagram

Definition:

The Nichols Diagram

is a plot of the polar

components of To-l, at

specified Gain = K,

on the real rectangular

plane, as a function of

parametric variable w

(angular frequency)

Stability Criterion:

System is stable at

specified Gain = K

only if To-l falls in

quadrants I, II and/or

III, and must not pass

through quadrant IV

including x & y axes

and the origin

Fundamental Theory of PLLs - Linear

PLL Stability - Nichols Diagram

dBin )(jT :axis-y

degin )(jT :axis-x

K of valuespecifiedfor ),(jKt)(jT :Range

0 :Domain

plot toscoordinatepolar convert to s;coordinater rectangulain , 0

,1])(j[

1)K(j

1)1)(j(jN

1)K(jK

1)1)(j(j

K1)K(jK

))h(jKg(j))H(jG(j)j(T)s)H(sG()s(T

:T Function,Transfer Loop-Open with PLLFilter Loop PI Active O 2 O, 4 T2, of Example

l-o

l-o

l-ol-o

2121

22

a

21

2

va

21

2

nva

l-ol-o

l-o

ndth

w

w

ww

w

w

www

w

www

w

www

w

wwwww

ff

Fundamental Theory of PLLs - Linear

PLL Stability - Nichols Diagram dBin T l-o

degin T l-o

)j(T l-o w

Domain: 0 < w < Range: To-l(jw) = K1g(jw)h(jw)

To-l (jw) =

K1g(jw)h(jw)

Magnitude-

Angle Plane

Example of

Type 2, 4th

Order, Active

PI To-l(jw),

Stable for

Gain = K1

wg = GAIN CROSSOVER

wf = PHASE CROSSOVER

-180o, 0 dB

-90o -270o -360o 0o

PHASE

MARGIN

GAIN

MARGIN

w

0

III II

System is

stable for Gain

= K in Qs I, II,

III, but not Q

IV, including

axes & origin --

+

I IV

Fundamental Theory of PLLs - Linear

degin T l-o

)j(T l-o w

To-l (jw) =

K2g(jw)h(jw)

Magnitude-

Angle Plane

Example of Type

2, 4th Order,

Active PI To-l(jw),

Unstable for

Gain = K2

wg = GAIN CROSSOVER

wf = PHASE CROSSOVER

-180o, 0 dB

-90o -270o -360o 0o

PHASE

MARGIN

(Negative)

GAIN

MARGIN

(Negative)

III II

I IV

System is

stable for Gain

= K in Qs I, II,

III, but not Q

IV, including

axes & origin --

+

dBin T l-o

PLL Stability - Nichols Diagram

Domain: 0 < w < Range: To-l(jw) = K2g(jw)h(jw)

PLL Stability - Nyquist Plot

Definition:

The Nyquist Diagram

is a plot of To-l, at

specified Gain = K, in

the complex plane, in

rectangular and polar

coordinates, as a

function of parametric

variable w (ang freq)

Fundamental Theory of PLLs - Linear

Stability Criterion:

System is stable at

specified Gain = K

only if To-l crosses the

negative real axis

between 0 + j0 and -1

+ j0 (rectangular) or

between 0 < 0o and 1

< -180o(polar)

PLL Stability - Nyquist Plot

Fundamental Theory of PLLs - Linear

degreesin )(jT :coordinate-

scalelinear on )(jT :coordinate-r

scalelinear on )(jTIm :axis-y

scalelinear on )(jTRe :axis-x

K of valuespecifiedfor ),(jKt)(jT :Range

0 :Domain

scoordinatepolar or r rectangulain plot s;coordinater rectangulain , 0

,1])(j[

1)K(j

1)1)(j(jN

1)K(jK

1)1)(j(j

K1)K(jK

))h(jKg(j))H(jG(j)j(T)s)H(sG()s(T

:T Function,Transfer Loop-Open with PLLFilter Loop PI Active O 2 O, 4 T2, of Example

l-o

l-o

l-o

l-o

l-ol-o

2121

22

a

21

2

va

21

2

nva

l-ol-o

l-o

ndth

wq

w

w

w

ww

w

w

www

w

www

w

www

w

wwwww

ff

Fundamental Theory of PLLs - Linear

PLL Stability - Nyquist Plot

-1 + j0,

1 < -180o

wp

wg

-180o

-90o

-270o

0o

Gain Margin:

1/ro,

20 log10(1/ro) =

0 - 20 log10 ro (dB)

Phase Margin:

180o + qo

Gain, ro,

20 log10 ro (dB),

@ wp

Phase, qo, @ wg

Example of Type 2, 4th

Order, Active PI To-l(jw),

Stable for Gain = K1

Unity Gain Circle

To-l (jw)

To-l(jw) =

K1g(jw)h(jw) Plane

Domain: 0 < w < Range: To-l(jw) = K1g(jw)h(jw)

Im [To-l(jw)]

Re [To-l(jw)]

0 + j0,

0 < 0o

Fundamental Theory of PLLs - Linear

PLL Stability - Nyquist Plot

-1 + j0,

1 < -180o

wp

wg

-180o

-90o

-270o

0o

Gain Margin (Negative):

1/ro,

20 log10(1/ro) =

0 - 20 log10 ro (dB)

Gain, ro,

20 log10 ro (dB),

@ wp

Phase, qo, @ wg

0 + j0,

0 < 0o

Example of Type 2, 4th

Order, Active PI To-l(jw),

Unstable for Gain = K2

Unity Gain Circle

To-l (jw)

Im [To-l(jw)]

Re [To-l(jw)]

Phase

Margin

(Negative):

180o + qo

Domain: 0 < w < Range: To-l(jw) = K2g(jw)h(jw)

To-l(jw) =

K2g(jw)h(jw) Plane

PLL Stability - Routh-Hurwitz Array

(No Discussion - advanced mathematics involving matrix calculations)

Fundamental Theory of PLLs - Linear

Specific PLL Transfer Functions

• We will look at in summary: 7 Common Loop Filters/Error Amplifiers with Voltage Source PDs, giving Types 1 & 2, Orders 1, 2 & 3 Output Closed-Loop PLL TFs, Tr-c, along with Design Parameters & Stability

• We will look at in detail: Type 2, 2nd Order, 1st Order Active PI Loop Filter PLL Transfer Function with Voltage Source PD because of its universal popularity

• Current Source (A.K.A Charge Pump) PDs are universally popular also, and have some advantages, but are not considered here

• Note: For a PLL of given Type & Order, the Open- & Closed-Loop TFs, i.e., the Gain and Phase Responses, are usually not uniquely defined; the responses depend on the actual loop filter and circuit configuration

Fundamental Theory of PLLs - Linear

Specific PLL Transfer Functions - LFs/Error Amps

• Once the Kf & Ko (Kv/s) gains, along with the H(s) = Kn (1/N) gain range, have been specified for a particular design to meet a set of specifications, the Loop Filter/Error Amplifier Transfer Function, F(s), is the only variable in G(s) remaining in the Open-Loop & All Closed-Loop Transfer Functions of circuit constants to be designed

• Table (next slides) shows 7 Common LF/Error Amplifier Transfer Functions, F(s), which when substituted into Open-Loop TFs of circuit constants, compare to 3 Standard-Form Open-Loop TFs (To-l) of Physical Systems, and define 5 Standard-Form Output Closed-Loop TFs (Tr-c) of Physical Systems (other 3 closed-loop TFs, Tr-b, Tr-e, Td-c, defined same way, but not used here), along with their Final & Intermediate Design Parameters and Stability:

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/Error Amps (1) None (Proportional)

- not necessarily common

(2) 1st Order Passive Lead-Lag

(3) 2nd Order Passive Lead-Lag - A

(4) 2nd Order Passive Lead-Lag - B

PLL Description: Type 1, 1st Order,

No Phase Lead/Lag

PLL Description: Type 1, 2nd Order, Phase Lag-Lead

PLL Description: Type 1, 3rd Order,

Phase Lag-Lead-Lag

PLL Description: Type 1, 3rd Order,

Phase Lag-Lead-Lag

122111

21

2

CR, τCRτ

,1)τ s(τ

1sτF(s)

)C(CRτ

,CR, τCRτ

,1)τs(τ)τ(τ s

1sτF(s)

2123

222111

3121

2

3

1 , , becan A

Constant A

AF(s)

123

21222111

3121

2

3

CRτ

),||C(CR), τC(CRτ

,1)τs(τ)τ(τ s

1sτF(s)

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/Error Amps (5) 1st Order Active

Proportional-Integral (PI)

(6) 2nd Order Active Proportional-Integral

(PI) - A

(7) 2nd Order Active Proportional-Integral

(PI) - B

PLL Description: Type 2, 2nd Order,

Phase Lead

PLL Description: Type 2, 3rd Order, Phase Lead-Lag

PLL Description: Type 2, 3rd Order, Phase Lead-Lag

122111

1

2

CR, τCRτ

, sτ

1sτF(s)

)C(CRτ

,CR, τCRτ

,sτ)τ(τ s

1sτF(s)

2123

222111

121

2

3

123

21222111

121

2

3

CRτ

),||C(CR, τCCRτ

,sτ)τ(τ s

1sτF(s)

Substitute 7 F(s) in Eqs for To-l, Tr-c, Tr-b, Tr-e, Td-c

Fundamental Theory of PLLs - Linear

1N

1

s

KF(s)KKF(s)KKor f N,

K

1

N

1

s

KF(s)K1

s

KF(s)K

KF(s)KK1

F(s)KK

(s)θ

(s)θT

:C)-(ROutput

FunctionsTransfer Pass-Low Loop-Closed

N

1

s

KF(s)KKF(s)KK

(s)θ

(s)θT

:B)-(RFeedback -Reference

FunctionTransfer (s)]θ[at Loop-Open

vno

nv

v

no

o

r

cc-r

vno

r

bl-o

b

ff

f

f

f

f

ff

Fundamental Theory of PLLs - Linear

1N

1

s

KF(s)KKF(s)KKr of

,T

1

F(s)KK

Ns

KF(s)KK

1

N

1

s

KF(s)K1

1

KF(s)KK1

1

(s)θ

(s)θ

(s)θ

(s)θTT

:C)-(D eDisturbanc E),-(RError

FunctionsTransfer Pass-High Loop-Closed

1N

1

s

KF(s) KKF(s)KKfor 1,

N

1

s

KF(s)K1

N

1

s

KF(s)K

KF(s)KK1

KF(s)KK

(s)θ

(s)θT

:B)-(RFeedback

vno

l-ovnovnod

c

r

ec-de-r

vno

v

v

no

no

r

bb-r

ff

fff

f

ff

f

f

f

f

Substitute 7 F(s) in Eqs for To-l, Tr-c, Tr-b, Tr-e, Td-c

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

To-l gain slope = F(s) gain slope - 20 dB/dec after w = 0 because of VCO integrating action

Loop Filter/Error Amp Gain, |F(s)| (Asymptotic) Open Loop Gain, |To-l|

Fundamental Theory of PLLs - Linear

Specific PLL TFs - 7 Common LFs/EAs and OL TFs

Loop Filter/Error Amp Phase, <F(s) (Asymptotic) Open Loop Phase, <To-l

To-l phase = F(s) phase - 90 o after w = 0 because of VCO integrating action

Specific PLL TFs - Standard-Form OL (To-l) TFs

• 3 Standard-Form Open-Loop TFs (To-l) of Physical Systems Based on the Homogeneous Differential & Characteristic Equations of 1st, 2nd and 3rd Order Physical Systems ( = 1/|To-l| is PLL natural system time constant):

Order Homogeneous Diff EQ (Time) Characteristic EQ (Freq) Open-Loop TF, To-l (Freq)

1st dx/dt + (1/)x = 0 1 + G(s)H(s) = 0,

s + (1/) = 0

G(s)H(s) = 1/s,

= 1/KfKvKn = N/KfKv

2nd d2x/dt2 + 2zwndx/dt + wn2x = 0

1 + G(s)H(s) = 0,

s2 + 2zwns + wn2 = 0

G(s)H(s) = 2zwn/s + wn2/s2

3rd d3x/dt3 + w1d

2x/dt2 + w22dx/dt

+ w33x = 0

1 + G(s)H(s) = 0,

s3 + w1s2 + w2

2s + w33

= 0

G(s)H(s) =

w1/s + w22/s2 + w3

3/s3

Fundamental Theory of PLLs - Linear

Specific PLL TFs - Standard-Form CL Output TFs

• 5 Standard-Form Output Closed-Loop TFs (Tr-c) of Physical Systems Defined by the 7 Common Loop Filter/Error Amp Transfer Functions of circuit constants ( =1/|To-l| is PLL natural system time constant):

LF Type, Order Output Closed-Loop Transfer Function, Tr-c Open-Loop TF, To-l

(1) I, 1st 1st Order

(2) I, 2nd 2nd Order

(3) (4) I, 3rd 3rd Order

(5) II, 2nd 2nd Order

(6) (7) II, 3rd 3rd Order

vnv KK

N

KKK

1, τ

)/τ1( s

)/τ1(NT(s)

ff

vnv

2

nn

2

2

n

2

nn

KK

N

KKK

1, τ

ωsζω2 s

ω)sτωζω2(NT(s)

ff

2

nn

2

2

nn

ωsζω2 s

ωsζω2NT(s)

Fundamental Theory of PLLs - Linear

3

3

2

2

2

1

3

3

3

2

2

ωsω sω s

ωsωNT(s)

vnv

3

3

2

2

2

1

3

3

3

3

3

2

2

KK

N

KKK

1τ ,

ωs ωs ωs

ωs)ωω(NT(s)

ff

Fundamental Theory of PLLs - Linear

Specific PLL TFs - Design Parameters & Stability

• Design Parameters and Stability of the 5 Standard-Form CL Output TFs (Tr-c) of Physical Systems to be determined from a Set of Specifications:

LF

Type, Order

Final Circuit Constants Needed

Intermediate Physical System Design Params

Stability

(1) I, 1st Kf, A, Ko (Kv/s),

Kn (1/N) (inversely, open-loop

gain or BW)

Unconditionally Stable

(2) I, 2nd Kf, Ko (Kv/s), Kn (1/N), R1, R2, C1

wn, z (or w1, w2) Unconditionally

Stable

(3) (4) I, 3rd Kf, Ko (Kv/s), Kn

(1/N), R1, R2, C1, C2 w1, w2, w3 (or 1, 2, 3)

Conditionally Stable (depends on K)

(5) II, 2nd Kf, Ko (Kv/s), Kn (1/N), R1, R2, C1

wn, z (or w1, w2) Unconditionally

Stable

(6) (7) II, 3rd Kf, Ko (Kv/s), Kn

(1/N), R1, R2, C1, C2 w1, w2, w3 (or 1, 2, 3)

Conditionally Stable (depends on K)

Detailed T2, 2nd O, Active PI TFs & Design Eqs

• Transfer Functions using 1st Order Active PI Loop Filter are very popular - simple, well-understood, unconditionally stable and used universally in many applications

• PLL operation ultimately defined by circuit constants Kf, Ko (Kv/s), Kn (1/N), R1, R2, and C1, but usually intermediate design parameters, wn [undamped natural oscillation (resonant) frequency] and z (damping factor or ratio), of 2nd order physical systems are determined first, since they relate intuitively to these systems in all of physics (electrical & mechanical), then circuit constants are determined

• Design Equations using 1st Order Active PI Loop Filter derived as follows (these design eqs are published standard stuff; just derived here to show their origin):

• Understand Component TFs: PD (Kf), VCO (Ko=Kv/s), Divider (Kn=1/N), Error-amp [F(s)]

• Equate standard-form OL TF (To-l ) to circuit constant OL TF (To-l ), which gives wn and z as functions of 1 and 2, or R1, R2 and C1, and defines any standard-form CL TF (Tx-x) by its related circuit constant CL TF (Tx-x)

• Solve for time constants, 1 and 2, or circuit constants, R1, R2 and C1, as functions of standard parameters, wn and z, and calculate any other quantities of interest

• Note that 1 and 2 are uniquely determined, whereas R1, R2 and C1 are not; i.e., only the ratios of these variables can be determined, so an absolute selection must be made for one of them (usually C1)

Fundamental Theory of PLLs - Linear

Detailed T2, 2nd O, Active PI Transfer Functions

))/(NK(K)]s)/(NK(K[s

))/(K(K]s)/K[(K

N

1

s

K

s

1sK1

s

K

s

1sK

N

1

s

KF(s)K1

s

KF(s)K

KF(s)KK1

KF(s)KKN

ωsω2s

ωsω2N

G(s)H(s)1

G(s)

:TF)constant circuit by defined TF form-(standard T Function,Transfer loop-ClosedOutput

s

))/(NK(K

s

))/(NK(K

sN

Ks

1sK

sN

F(s)KKKF(s)KK

s

ω

s

2G(s)H(s)

:TF)constant circuit toequated TF form-(standard T Function,Transfer loop-Open

:FunctionsTransfer PLL Into Plug ,CR ,CR ,s

1sF(s)

:FunctionTransfer Filter Loop PI ActiveOrder 1

1v12v

2

1v12v

v

1

2

v

1

2

v

v

no

no

2

nn

2

2

nn

c-r

2

1v12v

v

1

2

v

no2

2

nn

l-o

122111

1

2

st

z

z

zw

ff

ff

f

f

f

f

f

f

ff

f

f

f

Fundamental Theory of PLLs - Linear

Detailed T2, 2nd O, Active PI Transfer Functions

Fundamental Theory of PLLs - Linear

))/(NK(K)]s)/(NK(K[s

s

N

1

s

K

s

1sK1

1

N

1

s

KF(s)K1

1

KF(s)KK1

1

ωsω2s

s

G(s)H(s)1

1

:TF)constant circuit by defined TF form-(standard T &T Functions,Transfer CL eDisturbanc &Error

))/(NK(K)]s)/(NK(K[s

))/(NK(K]s)/NK[(K

N

1

s

K

s

1sK1

N

1

s

K

s

1sK

N

1

s

KF(s)K1

N

1

s

KF(s)K

KF(s)KK1

KF(s)KK

ωsω2s

ωsω2

G(s)H(s)1

G(s)H(s)

:TF)constant circuit by defined TF form-(standard T Function,Transfer loop-ClosedFeedback

1v12v

2

2

v

1

2vno

2

nn

2

2

c-de-r

1v12v

2

1v12v

v

1

2

v

1

2

v

v

no

no

2

nn

2

2

nn

b-r

z

z

z

ff

fff

ff

ff

f

f

f

f

f

f

Type 2, 2nd Order, Active PI TFs - OL (To-l) Plots

Fundamental Theory of PLLs - Linear

1/2

0

Log Frequency (Hz, arbitrary scale)

-20 dB/dec -40 dB/dec

Ph

ase

(o)

-180

-90

Log Frequency (Hz, arbitrary scale)

1/2

Inflection

M = |To-l(0)| (linear)

M = 20 log10|To-l(0)| dB

-180o

-90o

Ga

in (

dB

, a

rbit

rary

sca

le)

--

M

+

asymptotic

Type 2, 2nd O, Active PI TFs - CL (Tr-c & Tr-b) Plots

Fundamental Theory of PLLs - Linear

Ph

ase

(o)

Ga

in (

dB

, re

lati

ve s

ca

le)

M 0

Log Frequency (Hz, arbitrary scale) Log Frequency (Hz, arbitrary scale)

Low-Pass Response

+10

-10

-20

-30

-40

30

-30

-60

-90

-120

-20

dB/dec

-90o

For Ti-o: M = 20 log10 (1/Kn) dB

= 20 log10 (N) dB

For Ti-b: M = 20 log10 (1) = 0 dB

qe(s) = 0 in this region Gain Peak

T2, 2nd O, Active PI TFs - CL (Tr-e & Td-c) Plots

Fundamental Theory of PLLs - Linear

Ph

ase

(o)

Log Frequency (Hz, arbitrary scale) Log Frequency (Hz, arbitrary scale)

High-Pass Response

M

-10

-20

-30

-40

180

240

120

60

0

-60

+40

dB/dec

+180o

+10

Gain Peak

Ga

in (

dB

, re

lati

ve s

ca

le)

M = 20 log10 (1) = 0 dB

Detailed T2, 2nd O, Active PI Design Equations

PSD noiseinput Wpower, signalinput P (dB), WB2

PLog 10 (linear),

WB2

PSNR

,(Hz) 4

1f (rad/s),

4

1

2B

:SNR Ratio, Noise-To-Signal Loop and ,B Bandwidth, Noiser Rectangula Sided-One Equivalent Loop

(Hz) 44221ff (rad/s), 44221ωω

:ω Bandwidth,Power Half

NRω

KKC ,

CKK

NR2

2R ,

NCω

KKR ,

KK

N2

ω

2 ,

KK

:Parameters Form-Standard of Termsin ConstantsCircuit or Constants Timefor Solve

2

CRω

2

ω

NR

CKK

2

R

N

KK

2 ,

CNR

KK

N

KKω ,

R2N

RKK

2N

KKω

:Tin sExpressionConstant Circuit tosExpression Form-Standard Equate

0S

0L

S

0L

SL

nn

L

LL

1/2422

ndB3-

1/2422

ndB3-

dB3-

1

2

n

v

1

1v

1

1n

2

1

2

n

v

1

v

1

n

22

n

v

1

12n2n

1

1v2

1

v2

11

v

1

v

n

1

2v

1

2v

n

l-o

zzp

zz

w

zzzzzz

zz

zz

z

z

f

f

f

f

f

ffffff

Fundamental Theory of PLLs - Linear

Detailed T2, 2nd O, Active PI Design Equations

1/2421

mm

nd

)14(22tan Margin, Phase , G Margin,Gain

:stability) relative assess so stable,nally unconditio are loops PI Active Order, 2 2, (Type MarginsStability Bode

zzzf

Damping Factor, z (Ratio) Phase Margin, fm (o) Comment

0 0 Impractical - marginally stable

0.25 28 High transient ringing response

0.5 51.8 Lower limit for typical design

0.707 65.6 Butterworth LPF response

1 76.4 Upper limit for typical design

2 86.4 Borderline slow loop response

5 89.4 Slow loop response

90 Impractical - loop does not respond

Fundamental Theory of PLLs - Linear

Digression - Simple PLL Synthesizer Design Example

Typical PLL Synthesizer Specifications

• Reference Frequency and Range • Output Frequency Range • Channel Spacing / Number of Output Frequencies • Switching Time [value for step type under particular conditions (usually worst-

case), from < transient overshoot to < steady-state offset] • Phase Coherency (for Step Phase, Frequency or Chirp) • Stability (> Gm and > fm over complete output frequency range - investigate using

standard methods; stability usually not directly specified - implicit in other specs) • SSB Phase Noise (Clean Power)

• Spot at defined offset frequency from carrier • Profile (Mask) over defined offset bandwidth from carrier • Integrated over defined offset bandwidth from carrier

• Spurious (Clean Power) • Output Power and Flatness • I/O Ports Return Loss • Size, Weight and Power (SWAP); Cost; Complexity; Reliability • Environment

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Specifications

• Reference Frequency: 100 KHz, fixed

• Output Frequency Range: 4.0 - 6.0 MHz

• Channel Spacing: 100 KHz / Number of Output Frequencies: 21

• Switching Time:

• 2 mS for 2 MHz step over full BW of 4-6 MHz, from transient overshoot of < 25% (500 KHz) to steady-state offset of < 1% (20 KHz); this then gives proportionally:

• 2 mS for 100 KHz step (channel spacing) over channels 5.9-6.0 MHz, from transient overshoot of < 25% (25 KHz) to steady-state offset of < 1% (1 KHz)

• These specs represent worst-case for both situations: maximum ringing occurs for these proportional cases because min |To-l| and max |Tr-c| occur at 6 MHz output

• Phase Coherency: Coherent for step phase and frequency

• Stability: Gm > 15 dB, fm > 45o, over complete output frequency range (all Tr-c gain

values from N = 40 to 60) - calculate actual stability margins, check root locus plot

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Specifications

(as mentioned previously, stability is usually not directly specified, but is implicit in other specifications; however, it is explicitly specified here to show how important it is to have a stable system, since a PLL is basically useless if it is not stable)

• SSB Phase Noise (Clean Power): N/A for this example

• Spot at defined offset frequency from carrier • Profile (Mask) over defined offset bandwidth from carrier • Integrated over defined offset bandwidth from carrier

• Spurious (Clean Power): N/A for this example

• Output Power and Flatness: N/A for this example

• I/O Ports Return Loss: N/A for this example

• Size, Weight and Power (SWAP); Cost; Complexity; Reliability: N/A for this example

• Environment: N/A for this example

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps (1) Interpret and understand specifications - Done.

(2) Select components: PD (Kf), VCO (Kv), Divider (Kn=1/N), Error-amp [F(s)] ICs

PD: Kf = 0.125 V/rad = 2.182 mV/deg (usually PFD type at +3.3 or +5V supply voltage) VCO: Kv = 1.592 MHz/V = 10(106) rad/S/V (check VCO tuning curve for min & max tune voltages) Divider: Kn = 1/N = 1/60 - 1/40, i.e., N = 60 - 40 (usually +3.3 or +5V supply voltage) Error-Amp: Ideal (supply and output swing voltages must cover VCO tuning curve requirements)

(3) Determine PLL Type, Order and Loop Filter Configuration

Since phase coherency for both step phase and frequency are specified, a Type 2 system is required, which means minimum 2nd Order system also required. Since “clean power” is not mentioned, through phase noise or spurious specifications, a 2nd Order system will be used, rather than higher orders for extra filtering, because of better stability. Also a 1st Order Active PI LF will be used because all 3 factors then make the PLL simple, well-understood, unconditionally stable, and universally applied.

(4) Determine standard parameters, , x (or wx), wn and/or z, as functions of the specifications

Since this is a Type 2, 2nd Order, Active PI loop, only standard parameters, wn and z, will be determined. Once again, since clean power is not specified, these parameters are determined from only the switching time and stability specifications, rather than also by phase noise and spurious requirements (discussed later) by referencing standard Type 2, 2nd Order unit step response plot:

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

Units for the “x” scale are normalized time, wnt, and units for the “y” scale are general normalized output response (output phase, frequency or derivative of frequency - chirp), which for our case is output frequency, wo

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

For specified Switching Time: 2 mS for step frequency, from transient overshoot of < 25% to steady-state offset of < 1%, we find from the plot:

wo < 1.25 (transient overshoot) and wo < 1.01 (steady-state offset)

for z > 0.7 and wnt > 12.0 rad

with wn = wnt/tlock = 12.0 rad/0.002 S

from which we get:

wn = 6000 rad/S minimum (fn = 954.9 Hz minimum)

z = 0.7 minimum

These values must be achieved for the worst-case condition (min |To-l| and max |Tr-c| at 6 MHz output) in order to meet specifications. These values are minimum and wn and z can be greater than these values under all other conditions giving better switching time performance. Even though the step response defines a transient stability spec, steady-state stability specs, Gm and fm, should be checked, since transient and steady-state stability requirements are not independent, but depend on each other through the equations previously discussed. Also, since this is a Type 2, 2nd Order, Active PI loop, the system is unconditionally stable; so assess relative stability for this worst-case condition:

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

Therefore, for this worst-case condition (min |To-l| and max |Tr-c| at 6 MHz output), stability requirements are met without negative impact to other specifications, and better stability, as well as switching time performance, will be achieved under all other conditions

(5) Equate standard-form OL TF (To-l) to circuit constant OL TF (To-l), which gives standard parameters , x (or wx), wn and/or z as functions of 1 and 2, or R1, R2 and C1

Since this is a Type 2, 2nd Order, Active PI loop, only standard variables wn and z will be determined as functions of only 1 and 2, or R1, R2 and C1

2

CRω

2

ω

NR

CKK

2

R

N

CKK

2 ,

CNR

KK

N

KKω 12n2n

1

1v2

1

1v2

11

v

1

v

n

z

ffff

o

mm

o

mm

1/2421

mm

65.2 dB, G :Actual

45 dB, 15 G :tRequiremen

)14(22tan Margin, Phase , G Margin,Gain

f

f

zzzf

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps (6) Solve for time constants, x, or circuit constants, Rx and Cx, as functions of standard

parameters , x (or wx), wn and/or z, and calculate any other quantities of interest

Since this is a Type 2, 2nd Order, Active PI loop, only time constants 1 and 2 or circuit constants R1, R2 and C1 will be determined as functions of standard variables wn and z:

(7) Note that x are uniquely determined, whereas Rx and Cx, are not, so an absolute selection must be made for one of these components (usually one of the Cx)

For a T2, 2nd O, Act PI loop, calc 1 and 2, then select C1 and calc R1 and R2. For worst- case (N = 60): 1 = 0.579 mS (using std R1C1 values: 0.575 mS), 2 = 0.233 mS (using std R2C1 values: 0.232 mS) C1 = 0.5mF, R1 = 1157.4W (use std 1% value of 1150W), R2 = 466.7W (use std 1% value of 464W)

(8) Substitute x, or Rx and Cx into LF equation to find LF Transfer Function, F(s)

For a Type 2, 2nd Order, Active PI loop, only 1 and 2, or R1, R2 and C1 will be determined:

1

2

n

v

1

1v

1

1n

2

1

2

n

v

1

v

1

n

22

n

v

1NRω

KKC ,

CKK

NR2

2R ,

NCω

KKR ,

KK

N2

ω

2 ,

KK f

f

f

f

fz

z

z

z

5.75s

100002.32s

0.000575s

10.000232s

)]5(10s[(1150)0.

1)](10s[(464)0.5

CsR

1CsR

s

1sF(s)

6

6

11

12

1

2

Digression - Simple PLL Synthesizer Design Example

qb(s)

Phase Detector

or

Phase/Frequency

Detector

Loop Filter or

Loop

Filter/Error

Amp

Phase/Frequency

Divider or

Translator (mixer,

N = 1 only)

VCO Phase

Disturbance

Signal

Simple Example PLL Synthesizer Design Steps

(9) Substitute all building block transfer functions into model to properly configure PLL

5.75s

100002.32s

F(s)

V/rad

125.0

K f

rad/S/V

)10(10

s

KK

6

vo

40

1 to

60

1

N

1Kn

qe(s)

W

W

m

464R

1150R

F 5.0C

mS 232.0

mS 0.575

2

1

1

2

1

qb(s)

Phase Detector

or

Phase/Frequency

Detector

Loop Filter or

Loop

Filter/Error

Amp

Frequency/Phase

Divider or

Translator (mixer,

N = 1 only)

Phase

Disturbance

Signal

qe(s)

S S

VCO

qd(s)

qc(s) qr(s)

+

- +

-

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

(10-A) Investigate stability by Calculating Actual Stability Margins, Gm (gain margin) and fm (phase margin), over complete output bandwidth using the equations previously discussed, for the standard circuit constants just obtained

Kn = 1/60 (N = 60), z = 0.698: Kn = 1/40 (N = 40), z = 0.855:

Gm = , fm = 65.0o Gm = , fm = 72.0

o

These values show that relative stability is excellent (remember Type 2, 2nd Order, Active PI loops are unconditionally stable), since good stability margins are considered to be Gm

= 10 - 100 (linear) or 10 - 20 dB (log), and fm = 35 - 55o, for PLLs in general, with

practical considerations, like parasitics, taken into account

1/2421

mm )14(22tan Margin, Phase , G Margin,Gain zzzf

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps (10-B) Investigate stability by Checking Root Locus Plot

0.855 and rad/S 7372.3 get weSo

rad/S 31.2 3.7372rad/S e)3.7372(es or rad/S j(3822.7)6303.8)(js

,0)10)(435.5(s)5.12607(sCE

:0)4(N 1/40Kat case)-(bestGain TSmallest &Gain TLargest For

0.7) and rad/S 6000 werecase for this calculated values(original 0.698 and rad/S 6019.2 get weSo

rad/S 7.45 6019.2rad/S e)2.6019(es or rad/S j(4309.2))5.4202(js

,0)10)(623.3(s)0.8405(sCE

:0)6(N 1/60Kat case)-(worstGain TLargest &Gain TSmallest For

0N

)10)(174.2(s

N

)10)(043.5(sK)10)(174.2(sK)10)(043.5(sCE

,0)s)(s75.5(

)10000s32.2)(10)(10)(125.0(

N

11

)s)(s75.5(

)10000s32.2)(10)(10)(125.0(K1CE

,0s

F(s)KK

N

11

s

)s(FKKK1KF(s)KK1(s)h(s)Kg1G(s)H(s)1CE

n

o)855.0cos(j)cos(j

n1,2oo1,2

72

nc-rl-o

nn

o)698.0cos(j)cos(j

n1,2oo1,2

72

nc-rl-o

952

n

9

n

52

66

n

vv

nno

11

11

zw

wws

zwzw

wws

z

z

ff

f

Digression - Simple PLL Synthesizer Design Example

(s)

(jw)

Kn 0

N

(2 roots

@ s = 0)

Kn = 1

N = 1

(-4310.3+j0) rad/S

Simple Example PLL Synthesizer Design Steps

Plot and assess relative stability

Kn = 1

N = 1

complex conjugate root locus

Stability Assessment:

System is stable for all Kn > 0

(N < ), since all roots (zeros)

of the CE or poles of Tr-c(s) are

in left half-plane, not including

Im axis, as shown in plot.

In general, Type 2, 2nd Order,

Active PI loop is

unconditionally stable for

Kn > 0 (N <

Domain: 0 < Kn < 1

1 < N <

Range: s1,2 = f(Kn) = f(N)

for CE = 0 or |Tr-c(s)|

Kn = 1/60 (N = 60) s1 = -4202.5 +j4309.2 rad/S wn = 6019.2 rad/S, z = 0.698

cos-1(0.698)= +45.7o

Kn = 1/40 (N = 40) s1 = -6303.8 +j3822.7 rad/S wn = 7372.3 rad/S, z = 0.855

cos-1(0.855)= +31.2o

s-plane

s = s + jw

Domain:

0 < Kn < 1

1 < N < Range:

s1,2 = f(Kn)

= f(N)

-1/2

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

(11) Simulate Performance Using Genesys PLL

• Can do simulation using any of various methods mentioned before

• Personal preferences include:

• Genesys PLL

• Genesys Linear Simulator

• Mathcad

• Matlab

• Matlab-Simulink

• ACSL (Advanced Continuous Simulation Language)

• Genesys PLL in-house and adequate for this case

(12) Build and Test EDM Unit

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 758578 959401

Peak wn Gain Crossover

Phase Margin, fm = 180 +

(-114.882) = 65.118o

Ideal case - no finite poles & 1 finite zero in To-l (plus 2

poles at w=f=0

& other zero at w=f=)

N = 60, 6 MHz RF Output

Baseband Loop

Performance

No Finite Phase Crossover, Gain Margin, Gm =

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 765597 147911

Phase Margin, fm = 180 +

(-115.729) = 64.271o

Peak VCO Mod

BW Pole

Gain Crossover

N = 60, 6 MHz RF Output

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Baseband Loop

Performance

No Finite Phase Crossover, Gain Margin, Gm =

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 765597 100000

N = 60, 6 MHz RF Output

Baseband Loop

Performance

Peak VCO Mod

BW Pole

Gain Crossover

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Loop BW - defined at To-l Gain

Crossover

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 765597 100000

N = 60, 6 MHz RF Output

Baseband Loop

Performance

VCO Mod

BW Pole

(Inflection)

Gain Crossover

(Phase Margin)

Phase Margin, fm = 180 +

(-115.729) = 64.271o

No Finite Phase Crossover, Gain Margin, Gm =

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Peak

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

765579 959401 147911

N = 60, 6 MHz RF Output

Baseband Loop

Performance

Peak wn

Gain Crossover

w-3dB

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 874984 11749

Peak wn Gain Crossover

Phase Margin, fm = 180 +

(-108.022) = 71.978o

N = 40, 4 MHz RF Output

Baseband Loop

Performance

Ideal case - no finite pole & 1 finite zero in To-l (plus 2

poles at w=f=0

& other zero at w=f=)

No Finite Phase Crossover, Gain Margin, Gm =

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 887156 210863

Phase Margin, fm = 180 +

(-109.23) = 70.77o

Peak VCO Mod

BW Pole

Gain Crossover

N = 40, 4 MHz RF Output

Baseband Loop

Performance

No Finite Phase Crossover, Gain Margin, Gm =

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 887156 100000

N = 40, 4 MHz RF Output

Baseband Loop

Performance

VCO Mod

BW Pole

Gain Crossover

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Peak

Loop BW - defined at To-l Gain

Crossover

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

10 887156 100000

N = 40, 4 MHz RF Output

Baseband Loop

Performance

VCO Mod

BW Pole

(Inflection)

Gain Crossover

(Phase Margin)

Phase Margin, fm = 180 +

(-109.23) = 70.77o

No Finite Phase Crossover, Gain Margin, Gm =

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Peak

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

887156 11749 210863

N = 40, 4 MHz RF Output

Baseband Loop

Performance

Peak wn

w-3dB

Real case - finite pole due to VCO mod BW at 100 KHz, becoming

effective 3rd Order system, & 1 finite zero in To-l (plus other 2 poles at w=f=0 & other

zero at w=f=)

Gain Crossover

Digression - Simple PLL Synthesizer Design Example

Simple Example PLL Synthesizer Design Steps

00150101 00163736 00200067

Switching Time, tuning from 4 to 6 MHz, N = 40 to 60

Time Domain Loop

Performance

PLL Output = 6 MHz (N = 60)

PLL Output = 4 MHz (N = 40)

409.91 KHz (20.5 % of 2 MHz Step) Transient Overshoot

19.84 KHz (1.0 % of 2 MHz Step)

Steady-State Offset

2.18 mS for Step Freq over Min-

Max BW of 4-6 MHz

PLL Synthesizer Output Signal Fidelity

• Purpose of PLL (or direct) Synthesizer is to deliver “Clean Power”, which is defined as acceptable levels of Signal Fidelity

• Signal Fidelity generally falls into 2 categories: Noise & Spurious • Noise generaly categorized as Additive, AM (Amplitude) & PM (Phase) • Spurious categorized (defined) as discrete sidetones or sidebands that are on or offset from the

carrier, symmetrically or asymmetrically • Can have adverse consequences by causing interference effects at the system level for Transmitters

and Receivers

• In Transmitters, poor signal fidelity in source synthesizers:

• Can produce distortion of source signal, possibly corrupting intelligence to be modulated and ultimately transmitted

• Can produce emissions outside of desired transmit channel causing interference

• In Receivers, poor signal fidelity in LO synthesizers:

• Can produce distortion of received signal, possibly corrupting intelligence to be demodulated and ultimately processed

Fundamental Theory of PLLs - Linear

QAM16 System Phasor Constellation Diagram:

• Dots show one symbol (at tip of vector with 4 bits defining a symbol) at instant of time (left & right)

• Blocks show all 16 possible QAM16 symbol positions in amplitude and phase (left & right)

• Symbol noise, modeled by Gaussian PDF (left), shows how uncertainty can affect BER (right)

Example of Consequences of Poor Signal Fidelity in PLL Synthesizers - QAM16 Transceiver System

Fundamental Theory of PLLs - Linear

(Reproduced from Michael Perrott

Lectures @ MIT, with permission)

Noise - Additive

• Additive (Thermal) Gaussian White Noise (A.K.A. kTB Noise)

• Major effects are on internal operation of the PLL, such as acquisition and tracking (alluded to before and discussed later) through BL and SNRL (defined below), but also produces and contributes to phase noise at the output

• Caused by random motion of charge carriers in conducting materials • In any conducting material (of various conductivities), total additive noise PSD at +27 oC (room

temp) is kTB = -174 dBm/Hz • From Equipartition Theorem, total noise is half AM and half PM, so AM and PM noise PSDs are

each ½kTB = -177 dBm/Hz at room temp

• Definition: Loop Equivalent One-Sided Rectangular Noise BW, BL:

• Definition: Loop Signal-To-Noise Ratio, SNRL (arbitrarily defined):

(Hz) df)jf(T (Hz) d)j(T4

1 (rad/S), d)j(TB

2

0c-r

2

0c-r2

2

0c-rL

wwp

ww

PSD noiseinput Wpower, siginput P (dB), WB2

PLog 10 (lin),

WB2

PSNR 0S

0L

S

0L

SL

Fundamental Theory of PLLs - Linear

Noise - AM (Amplitude) & PM (Phase)

• Qualification of BL and SNRL:

• BL is the “brick-wall” BW passing the same noise power as the actual PLL BW • SNRL is defined arbitrarily since there is no actual error signal in a locked PLL

• Amplitude (AM) Noise

• Amplitude Noise is almost never a concern since it is self-limiting due to non-linear saturating operation of most oscillators and amplifiers

• Phase (PM) Noise

• Phase Noise is a major concern in almost all instances since there is no inherent self-limiting mechanism in most oscillators and amplifiers

• Represents “spreading” in phase (or, as more commonly understood, in frequency) of “ideal” single tone where synthesizer is tuned; i.e., unlike additive noise, its spectrum is not white

• So Phase Noise is a major concern and will be addressed, whereas Amplitude Noise is not a concern and will not be further addressed

Fundamental Theory of PLLs - Linear

Phase Noise Analysis - Domain Representations

• Time Domain • Representation - Signal Plus Noise: v(t) = [Vo+ am(t)]sin[wot + qm(t)]

• am(t) = Amplitude (AM) Noise - not a concern • qm(t) = Phase (PM) Noise - major concern (A.K.A. as “Jitter” in time domain) • Represented by Gaussian Distribution in Amplitude

• Frequency Domain • Lf(f) is single sideband (SSB) phase noise PSD normalized to carrier at

frequency offset, f, in units of rad2/Hz or dBc/Hz; i.e., modulated (RF) • Wf(f) is double sideband (DSB) phase noise PSD normalized to 1 rad2/Hz at

frequency offset, f, in units of rad2/Hz or dB/Hz; i.e., demodulated (baseband) • Approximate Relationship of Lf(f) to Wf(f):

• Linear: Wf(f) = 2Lf(f) • Logarithmic: 10 Log10 Wf(f) = 10 Log10 Lf(f) + 3 dB

• Can Convert Between Time and Frequency Domains • Possible using small-signal (linear) approximation for PM and FM

Fundamental Theory of PLLs - Linear

SSB (RF) Phase Noise - Typical Plot

Typical Free-Running VCO @ 35.5 GHz Showing Phase Noise

Fundamental Theory of PLLs - Linear

SSB (RF) Phase Noise - Typical Plot

Typical PLL @ 35.5 GHz Showing Track-Out of VCO Phase Noise

Fundamental Theory of PLLs - Linear

DSB - 3 dB (Baseband) Phase Noise - Typical Plot

Typical PLL @ 37.9 GHz Showing Track-Out of VCO Phase Noise

Fundamental Theory of PLLs - Linear

120 Hz Power Supply Bleed-

through

DSB (Baseband) Phase Noise - Model

Fundamental Theory of PLLs - Linear

f-4, Random Walk FM (rarely used - h4 usually zero for most cases)

f-3, Flicker FM: Oscillator Q and/or active component noise

f-2, White FM or Random Walk PM: Noise due to Q of oscillators

f-1, Flicker PM: Active component noise caused by macroscopic material defects

f 0, White PM: Additive white noise from active and passive components

Offset Frequency, f (Hz, arbitrary log scale)

DS

B (

Ba

se

ba

nd

) P

ha

se

No

ise

,

Wf(f

) (d

B/H

z, r

el to

0 d

B/H

z)

-40 dB/dec

(h4 / f4)

-20 dB/dec

(h2 / f2)

-30 dB/dec

(h3 / f3)

-10 dB/dec

(h1 / f1) 0 dB/dec

(h0 / f0)

Phase Noise Analysis - Model

Ko =

Kv/s F(s)

Kn =

1/N

S

S

S S Input

(Reference)

Wf-REF-in(f)

Wf-DIV-in(f)

Wf-VCO-in(f) Wv-F(s)-in(f) Wv-PD-in(f)

Output

(Controlled)

Phase Detector

or

Phase/Frequency

Detector

Loop Filter

or

Loop Filter/Error

Amp

Frequency/Phase

Divider or

Translator (mixer,

N = 1 only)

VCO

-

-

+ + - -

+ + -

+

-

Fundamental Theory of PLLs - Linear

qb(s)

qe(s)

qc(s) qr(s)

Kf S

Wf-REF-in(f): Reference Phase Noise DSB (baseband) PSD, rad2/Hz

Wf-DIV-in(f): Divider Phase Noise DSB (baseband) PSD, rad2/Hz

Wv-PD-in(f): Phase Detector Voltage Noise DSB (baseband) PSD, V/Hz1/2 => Wf-PD-in(f) = (1/Kf)2 W2

v-PD-in(f), rad2/Hz

Wv-F(s)-in(f): Loop Filter Voltage Noise DSB (baseband) PSD, V/Hz1/2 => Wf-F(s)-in(f) = (Ko)2 W2

v-F(s)-in(f), rad2/Hz

Wf-VCO-in(f): VCO Phase Noise DSB (baseband) PSD, rad2/Hz

Phase Noise Analysis - Procedure

• Each source’s SSB (RF) phase noise PSD values, Lf-source-in(fo) [linear: rad2/Hz (norm to carrier) or log: dBc/Hz], at particular frequency offsets, are measured and/or obtained from manufacturer’s data sheets - if necessary, convert log PSDs to linear PSDs

• Each source’s coefficients, hx (rad2Hzx-1), are calculated by curve-fitting a phase noise model to these data points

• Each source’s coefficients, hx (rad2Hzx-1), are put into phase noise model eq to get each source’s input DSB (baseband) phase noise, Wf-source-in(f) [rad2/Hz (norm to 1)]:

• Each source’s input DSB (baseband) phase noise, Wf-source-in(f) [rad2/Hz (norm to 1)], is multiplied by appropriate closed-loop transfer function magnitude (voltage/voltage) - squared (power/power) - to get each source’s output DSB (baseband) phase noise, Wf-source-out(f) [rad2/Hz (norm to 1)]:

f 4

4

3

3

2

2

1

1

0

0insource

f

h

f

h

f

h

f

h

f

h 2(f)W

2

insourceφoutsourceφ fT (f)W(f)W

Fundamental Theory of PLLs - Linear

Phase Noise Analysis - Procedure

• Each source’s output DSB (baseband) phase noise, Wf-source-out(f) [rad2/Hz (norm to 1)], is added to get total system DSB (baseband) phase noise, Wf-total-system(f) [rad2/Hz (norm to 1)]:

• Wf-total-system(f) [rad2/Hz (norm to 1)] is converted to Lf-total-system(f) [linear: rad2/Hz

(norm to carrier) or log: dBc/Hz], i.e., total system DSB (baseband) phase noise is converted to total system SSB (RF) phase noise

Lf(f) = Wf(f)/2 (Linear)

Lf(f) (dB) = 10 Log10 Lf(f) = 10 Log10 Wf(f) - 3 (Logarithmic)

• These models and procedures are standard stuff - Gardner1 has a comprehensive section on Phase Noise for PLL Synthesizers with valuable information on the subject. This analysis done with software quickly and easily on computer, e.g., Matlab & Mathcad (generic - equation-based), Genesys PLL (dedicated - circuit-based).

ff (f)W(f)W outsourcesystemtotal

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

W

W

m

m

1130R

5620R

F 068.0C

F 47.0C

2

1

2

1

S

S

S S S Input (Ref)

= 1 MHz

(10 MHz / R,

R = 10)

Wf-RSD-in(f) = 0

Wf-REF-in(f)

Wf-DIV-in(f)

Wf-VCO-in(f)

Wv-F(s)-in(f)

= 0 Wv-PD-in(f)

= 0

Output (Con)

= 1 GHz

(PLO)

Phase/Frequency

Detector 2nd O, Active PI-B

LF / Error Amp

Frequency/Phase

Divider

VCO

(Leeson’s

Low-Q

Model)

-

-

+ + - -

+ + -

+

-

V/rad

5.0

K f

rad/S/V

)62.8(10

s

KK

6

vo

1000

1

N

1Kn

s302402s

105310s

F(s)

2

7

Phase Noise Analysis - Example - Model

• As an example, we will consider a PLO (fixed output PLL) with VCO, Reference and Divider phase noise sources, to keep things somewhat simple, having corresponding SSB (RF) phase noise PSD inputs, Lf-VCO-in(f), Lf-REF-in(f), Lf-DIV-in(f), respectively - this example originally done in Mathcad by Eric Drucker4 of Agilent Technologies (adapted and embellished with permission)

Fundamental Theory of PLLs - Linear

Phase Noise Analysis - Example

• Standard PLL design procedure followed:

(1) Specifications interpreted and understood; Acquisition, Phase Noise & Spurs not specified

(2) Components selected: PD (Kf), VCO (Kv), Divider (Kn=1/N), Error-amp [F(s)] ICs

PD: Kf = 0.5 V/rad = 8.7 mV/deg (probably PFD type at +3.3 or +5V supply voltage) VCO: Kv = 10.0 MHz/V = 62.8(106) rad/S/V (tuning curve checked for tuning voltage range) Divider: Kn = 1/N = 1/1000 (usually +3.3 or +5V supply voltage)

Error-Amp: Ideal (supply and output swing voltages checked to cover VCO tuning curve range)

(3) PLL Type, Order and Loop Filter Configuration determined

• Type 2, 3rd Order, 2nd Order Active PI - B loop filter PLL (ideal 3rd order loop - no VCO tuning port BW restriction)

(4) Standard parameters, w1, w2, w3, determined as functions of the specifications (standard design procedure followed for this case)

• Loop BW initially chosen as wg = (2p)870 Hz, with w1 = (2p)52.6 Hz, w2 = (2p)299.7 Hz, w3 = (2p)2370.9 Hz • w1 normally chosen to place open loop gain cross-over frequency, wg, which is defined as the loop BW, in a strategic

position for best performance (usually a compromise between phase noise and stability) • w2 and w3 chosen for stability (usually maximum phase margin, if possible)

(5) Standard-form OL TF (To-l) equated to circuit constant OL TF (To-l), which gives standard parameters w1, w2, w3 as functions of R1, R2, C1, C2

Fundamental Theory of PLLs - Linear

Phase Noise Analysis - Example

• Consult textbooks on standard design procedure for this case or do algebra - not repeated here

(6) Circuit constants, R1, R2, C1, C2, solved for as functions of standard parameters w1, w2, w3, then any other quantities are calculated, if needed (none in this case)

• Consult textbooks on standard design procedure for this case or do algebra - not repeated here

(7) Note that R1, R2, C1, C2, are not uniquely determined, i.e., only the ratios of these variables can be determined, so an absolute selection must be made for one of them (C1)

C1 = 0.47mF, C2 = 0.068mF, R1 = 5620W, R2 = 1130W (based on std 1% values)

(8) Circuit constants substituted into Loop Filter eq to find Loop Filter Transfer Function, F(s)

(9) All component transfer functions substituted into model to properly configure PLL

• See model

(10) Stability investigated by preferred method(s)

(11) Performance (loop dynamics & phase noise) simulated by preferred method(s)

(12) EDM Unit Built and Tested

30240s2s

105310sF(s)

2

7

(A) SSB Phase Noise Sources in PLL • VCO Phase Noise (Leeson’s Low-Q Model)

• SSB Phase Noise PSD values from measurements or data sheet:

• Floor: -155 dBc/Hz 10-15.5/Hz

• 10 KHz: -110 dBc/Hz 10-11/Hz

• 1/f (3-2) corner @ 5 KHz: -104 dBc/Hz 10-10.4/Hz

• Coefficients from curve-fitting model to PSD values:

h0/f0 = 10-15.5/Hz, h0 = (10-15.5/Hz)f0 = 10-15.5 rad2Hz-1

h1 = 0 rad2

h2/f2 = 10-11.0/Hz, h2 = (10-11/Hz)f2 = (10-11/Hz)(104)2 = 10-3 rad2Hz

h3/f3 = 10-10.4/Hz, h3 = (10-10.4/Hz)f3 = (10-10.4/Hz)[5(103)]3 = 100.7 rad2Hz2

h4 = 0 rad2Hz3

Fundamental Theory of PLLs - Linear

/Hzrad f

10

f

1010 2(f)W 2

3

0.7

2

-315.5-

inVCO

f

(PLOT) dBc/Hz 3(f)WLog 10(dB) (f)L inVCO10inVCO ff

(A) SSB Phase Noise Sources in PLL • Reference Phase Noise

• SSB Phase Noise PSD values from measurements or data sheet:

• Floor: -158 dBc/Hz 10-15.8/Hz

• 1250 Hz: -158 dBc/Hz 10-15.8/Hz

• 625 Hz: -155 dBc/Hz 10-15.5/Hz

• 1/f (3-2) corner @ 125 Hz: -141 dBc/Hz 10-14.1/Hz

• Coefficients from curve-fitting model to PSD values:

h0/f0 = 10-15.8/Hz, h0 = (10-15.8/Hz)f0 = 10-15.8 rad2Hz-1

h1/f1 = 10-15.8/Hz, h1 = (10-15.8/Hz)f1 = (10-15.8/Hz)(1250)1 = 10-12.7 rad2

h2/f2 = 10-15.5/Hz, h2 = (10-15.5/Hz)f2 = (10-15.5/Hz)(625)2 = 10-9.9 rad2Hz

h3/f3 = 10-14.1/Hz, h3 = (10-14.1/Hz)f3 = (10-14.1/Hz)(125)3 = 10-7.8 rad2Hz2

h4 = 0 rad2Hz3

Fundamental Theory of PLLs - Linear

/Hzrad f

10

f

10

f

1010 2(f)W 2

3

-7.8

2

-9.9-12.715.8-

inRef

f

(PLOT) dBc/Hz 3(f)WLog 10(dB) (f)L inRef10inRef ff

(A) SSB Phase Noise Sources in PLL • Divider Phase Noise

• SSB Phase Noise PSD values from measurements or data sheet:

• Floor: -155 dBc/Hz 10-15.5/Hz

• 1/f (1-0) corner @ 1 KHz: -155 dBc/Hz 10-15.5/Hz

• Coefficients from curve-fitting model to PSD values:

h0/f0 = 10-15.5/Hz, h0 = (10-15.5/Hz)f0 = 10-15.5 rad2Hz-1

h1/f1 = 10-15.5/Hz, h1 = (10-15.5/Hz)f1 = (10-15.5/Hz)(103)1 = 10-12.5 rad2

h2 = 0 rad2Hz

h3 = 0 rad2Hz2

h4 = 0 rad2Hz3

Fundamental Theory of PLLs - Linear

/Hzrad f

1010 2(f)W 2

-12.515.5-

inDiv

f

(PLOT) dBc/Hz 3(f)WLog 10(dB) (f)L inDiv10inDiv ff

(A) Plot - SSB Phase Noise Sources in PLL

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

(B) Open-Loop Trans Func, To-l, Performance

• Open-Loop Transfer Function, To-l:

• To-l for ideal Type 2, 3rd Order, Active PI loop has 1 finite zero lower in frequency than wg and 1 finite pole higher in frequency than wg, strategically placed for performance, as discussed previously

• Best phase noise is with both zero and pole as close to gain crossover, wg, as possible without compromising stability margins

• Best stability is with both zero and pole as far from gain crossover, wg, as possible without compromising phase noise

• Compromise must be made to reach acceptable phase noise and stability margins

PLOT) & dB 120( )f(T Log 20 (dB) )f(T

f2jjs ,N

1

s

KF(s)KKF(s)KKG(s)H(s)

(s)θ

(s)θ)s(T

l-o10l-o

vno

r

bl-o

pw ff

Fundamental Theory of PLLs - Linear

(B) Sources Within High Pass TF, Td-c, Pass Band

• This applies to the VCO

/Hzrad fT (f)W(f)W 22

c-dinVCOoutVCO ff

PLOT) & dB 80( )f(T Log 20 (dB) )f(T

fj2js ,(s)T

1

F(s)KK

sN

KF(s)KK

1

N

1

s

KF(s)K1

1

KF(s)KK1

1

G(s)H(s)1

1

(s)θ

(s)θ )s(T

:T Function,Transfer Pass-High Loop-Closed

c-d10c-d

l-ov

novnod

cc-d

c-d

pw

f

ff

f

(PLOT) dBc/Hz 3(f)WLog 10(dB) (f)L out-VCO10outVCO ff

(B) Plot - Sources in Td-c Hi Pass TF PB & OL TF

Fundamental Theory of PLLs - Linear

(B) Sources Within High Pass TF, Td-c, Pass Band

• VCO only • Outside the high pass closed-loop transfer function, Td-c, passband, this

phase noise is rejected by ~ the open-loop transfer function magnitude, |To-l|, (referenced to 0 dB) at the particular frequency, f, in question

• Between wg and To-l zero, rejection is 6 dB/oct or 20 dB/dec • Between To-l zero and DC (f = 0), rejection is 12 dB/oct or 40 dB/dec

• Best phase noise performance is with To-l zero as close to wg as possible

without compromising stability margins

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

(C) Sources Within Low Pass TF, Tr-c, Pass Band

• This applies to the Reference, Divider, Phase Detector and Loop Filter (PD & LF phase noises not used in this example), and these can all be lumped together as one effective source (LF not consistent - will fall within BPF transfer function pass band for PLL > Type 2)

PLOT) & dB 80( )f(T Log 20 (dB) )f(T

fj2js N,K

1

N

1

s

KF(s) K1

s

KF(s) K

KF(s)K K1

F(s)K K

G(s)H(s)1

G(s)

(s)θ

(s)θ)s(T

:T Function,Transfer Pass-Low Loop-Closed

c-r10c-r

nv

v

no

o

r

cc-r

c-r

pw

f

f

f

f

/Hzrad fT (f)W(f)W 22

c-rinsumoutsum ff

(PLOT) dBc/Hz 3(f)WLog 10(dB) (f)L outsum10outsum ff

/Hzrad (f)W R

(f)W(f)W 2

inDiv2

inRef

insum f

f

f

PLOT) & NLog 20( dBc/Hz 3(f)WLog 10(dB) (f)L 10insum10insum ff

(C) Plot - Sources Within Low Pass TF, Tr-c, PB

Fundamental Theory of PLLs - Linear

(C) Sources Within Low Pass TF, Tr-c, Pass Band

• Reference, Divider and Phase Detector (PD phase noise not used in this example) only, all lumped together as one effective source

• At DC (f = 0) the phase noise contribution of this effective source is multiplied by

N2 (+ 10Log10N2 or + 20Log10N)

• Outside the low pass closed-loop transfer function, Tr-c, passband, this noise is

rejected by ~ the open-loop TF magnitude, |To-l|, (referenced to 0 dB) at the particular frequency, f, in question

• Between wg and To-l pole, rejection is 6 dB/oct or 20 dB/dec • Between To-l pole and f = , rejection is 12 dB/oct or 40 dB/dec

• Best phase noise performance is with To-l pole as close to wg as possible without

compromising stability margins

Fundamental Theory of PLLs - Linear

(D) Composite SSB Phase Noise

• This applies to the composite of: Sources Within Low Pass TF, Tr-c, Pass Band + Sources Within High Pass TF, Td-c, Pass Band

Fundamental Theory of PLLs - Linear

/Hzrad (f)W(f)W(f)W 2

outVCOoutsumsystemtotal fff

(PLOT) dBc/Hz 3(f)WLog 10(dB) (f)L systemtotal10systemtotal ff

(D) Plot - Composite SSB Phase Noise

Fundamental Theory of PLLs - Linear

(D) Composite SSB Phase Noise

• Summary: All Sources - Sources Within Low Pass TF, Tr-c, Pass Band + Sources Within High Pass TF, Td-c, Pass Band

• Summary: Composite of - Low Pass Closed-Loop Transfer Function, Tr-c,

and High Pass Closed-Loop Transfer Function, Td-c

• Between To-l zero and DC (f = 0), rejection is 12 dB/oct or 40 dB/dec • Between To-l zero and To-l pole (through wg), rejection is 6 dB/oct or 20 dB/dec • Between To-l pole and f = , rejection is 12 dB/oct or 40 dB/dec

• Summary: Best composite phase noise performance is with To-l zero and

To-l pole as close to wg as possible without compromising stability margins

Fundamental Theory of PLLs - Linear

Fundamental Theory of PLLs - Linear

(E) Methods to Produce Opt SSB Phase Noise

• If Reference and VCO phase noise dominate other sources, choose loop BW at Intersection of “sources within low pass TF, Tr-c, phase noise multiplied-by-N2” (PLL Pedestal) and “sources within high pass TF, Td-c, phase noise” (VCO) Curves

• PLO re-specified for loop BW, wg, to produce optimum phase noise (see previous Pedestal & VCO phase noise source curves or mathematically calculate from intersection of these curves)

• This gives: wg = 2.5 KHz • Same components retained, only standard parameters changed to meet optimum

specification, then standard design procedure repeated, phase noise analysis done, and phase noise plotted

Fundamental Theory of PLLs - Linear

(E) Methods to Produce Opt SSB Phase Noise

• Keep N (Kn) as small (large) as possible, with “1” being the ultimate goal (possibly by increasing Reference frequency and decreasing Divider ratio by same factor)

• PLO re-specified for loop BW, wg, to produce improved optimum phase noise (plot new Pedestal & VCO source curves or mathematically calculate from intersection of these curves) using 10 MHz Reference (frequency increased by factor dR = 10: from 1 MHz to 10 MHz) with factor dR

2 = 100 (20 dB) higher phase noise, and 1/100 Divider (ratio decreased by factor dN = 10: from 1/1000 to 1/100) with factor dN = 10 (10 dB) higher phase noise, producing lower composite SSB phase noise

• This gives: wg = 6.6 KHz • Same components retained, only standard parameters changed to meet improved

optimum spec, then standard design procedure repeated, phase noise analysis done, and phase noise plotted

• Analysis: According to Eric Drucker of Agilent Technologies, the Divider phase noise does not increase by a factor of dN = 10 (10 dB); the PD phase noise increases by this amount (at least for PFDs), but our model does not include PD phase noise, so we assign this increase to the Divider for analysis purposes, since it is processed in the same way

(E) Plot - Optimized SSB Phase Noise

Fundamental Theory of PLLs - Linear

(E) Methods to Produce Opt SSB Phase Noise

• Obviously choose lowest noise PLL components without compromising other performance characteristics

• Choose a translational feedback loop topology, which maintains Kn = N = 1

• Means using mixer(s) instead of divider(s) as feedback converter

• Mixer feedback usually more difficult to implement from technical, SWAP & Cost considerations

• Tunable LO for mixer FB can be obtained from direct synthesis (giving best phase noise) or another PLL (giving worse phase noise over direct approach)

• Done in practice with good results

• Keep noise “Pollution” (i.e., voltage noise) from resistors in PLL circuit to a minimum by using smallest possible values of resistors [thereby lowering thermal (kTB) voltage noise] in circuit without compromising system or component operation and performance

Fundamental Theory of PLLs - Linear

Spurious - Types of Spurious in PLLs

• Modulation Effects (of VCO, active loop filter, PD, divider) - usually Symmetric

• Power and control line noise • Reference and harmonics thereof getting on VCO control line • Reference source modulation

• Mixing Products - usually Asymmetric

• Loops using Translational (mixer) FB rather than Divider FB

• VCO Subharmonics - usually Asymmetric

• Loops using non-fundamental frequency VCOs

• Digital Systems, Circuits and Clocks - can be symmetric or asymmetric

• Susceptibility (Coupling) Methods

• Conducted or Radiated from physically adjacent analog or digital circuit subsections

Fundamental Theory of PLLs - Linear

Typical Plots - Spurious - Modulation Effects

Typical Reference & Harmonics on VCO Control Line - Symmetric

Reference Harmonic

Spurs Offset +200 &

+300 MHz from Carrier

Reference Harmonic

Spurs Offset +200 &

+300 MHz from Carrier

22.5 GHz Output Line (UUT # 1) 39.9 GHz Output Line (UUT # 1)

Fundamental Theory of PLLs - Linear

Typical Plots - Spurious - Mixing Products

Typical Mixing Product Bleed-Through - Asymmetric

Asymmetric Spur @

27.01 GHz, or Offset

+110 MHz from 26.9 GHz

Carrier (~ -70 dBc)

Asymmetric Spur @

27.01 GHz, or Offset

+110 MHz from 26.9 GHz

Carrier (~ -70 dBc)

26.9 GHz Output Line (UUT # 1) 26.9 GHz Output Line (UUT # 2)

Fundamental Theory of PLLs - Linear

Methods to Reduce Spurious

• Modulation Effects

• Power & control line noise - Global and local filtering, bypassing and feedthroughs • Reference and harmonics - LPFs and BSFs (sometimes just single-section notch) on VCO control line • Reference source modulation - Obviously must have quiet reference

• Mixing Products

• Loops using translational (mixer) FB - Choose frequency plan so (m x n) products of all mixers fall outside of PLL bandwidth or are easily filtered

• VCO Subharmonics

• Loops using non-fundamental frequency VCOs - Use high-rejection and cascaded multiplier filters

• Digital Systems, Circuits and Clocks

• Use separate digital and analog power supplies

• Radiated Susceptibility (Coupling) Problems

• Use inter-compartmental shielding (preferably soldered-down walls) between sensitive sub-sections • Use EM absorber on and around suspect components, plus conductive gasketing for metal-metal seals • Use multilayer PWBs with PLL circuitry on top and all power & control lines in lower layers

Fundamental Theory of PLLs - Linear

Acquisition and Tracking

• General

• Acquisition

• Questions: (1) How can a PLL attain lock? (2) How long will it take to attain lock?

• Tracking

• Qualification: Non-linear - just before PLL breaks lock; linear discussed previously

• Question: (1) Under what conditions, static or dynamic, will a PLL break lock?

• Acquisition

• Fact: A “Type N” loop has “N” forms of acquisition

• Definitions

• Phase Acquisition: Acquisition of phase (offset), by the phase detector, without encountering cycle slips (normally referred to as “acquisition”); self-acquisition of phase is A.K.A. Lock-In, with associated Lock-In Range and Lock-In Time

Fundamental Theory of PLLs - Non-Linear

Acquisition and Tracking

• Frequency Acquisition: Acquisition of frequency (offset), by the phase detector, with cycle slips; self-acquisition of frequency is A.K.A. Pull-In, with associated Pull-In Range and Pull-In Time

• Higher-Order (i.e., Chirp & derivatives) Acquisition: Not discussed in the literature (at least not in references cited at end nor in other literature investigated)

• Method (The kind of process used to attain lock, i.e., phase acquisition)

• Self Acquisition: The process of the phase detector attaining lock (phase acquisition) naturally, without the assistance of circuitry external to the phase detector

• Aided Acquisition: The process of the phase detector attaining lock (phase acquisition) with the assistance of circuitry external to the phase detector (e.g., sweep circuits)

• Condition (The situation required for any kind of acquisition to occur)

• SNRL (previously defined using Additive White Noise): Must be > 3 to 6 dB (approximately), otherwise acquisition of any kind will not normally occur

Fundamental Theory of PLLs - Non-Linear

Fundamental Theory of PLLs - Non-Linear

Acquisition and Tracking

• Tracking

• Qualification: Non-linear tracking - just before PLL breaks lock; linear (step) tracking discussed previously

• Definitions

• Static Tracking Range: The maximum frequency range, +Df, over which the reference (or feedback), into the phase detector, can be linearly swept from nominal, fo, where the PLL maintains phase tracking (before breaking lock); A.K.A. the Hold-In Range

• Dynamic Tracking Range: The maximum frequency range, +Df, over which the reference (or feedback), into the phase detector, can be linearly stepped from nominal, fo, where the PLL maintains phase tracking (before breaking lock); A.K.A. the Pull-Out Range

• Condition (The situation required to maintain phase tracking)

• SNRL (previously defined using Additive White Noise): Must be > 0 dB (approximately), otherwise loop will normally lose phase tracking or “break lock”

Acquisition and Tracking - Operating Regions

Fundamental Theory of PLLs - Non-Linear

fLI Lock-In Range

(Phase Acquisition)

fPI Pull-In Range

(Freq Acquisition)

f0 Center

fPO Pull-Out Range

(Dynamic Tracking)

fHI Hold-In Range

(Static Tracking)

Fundamental Theory of PLLs - Non-Linear

Acquisition & Tracking - Static & Dynamic Limits Phase Detector: Multiplier

Loop Filter/Error Amplifier

Transfer Function 1 (Proportional) 2 (1st O Passive L-L) 5 (1st O Active PI)

Type, Order 1, 1st 1, 2nd 2, 2nd

Acquisition (approx. values)

Lock-In Range

Lock-In Time

Pull-In Range

Pull-In Time

Tracking (non-linear,

approx. values)

Hold-In Range

Pull-Out Range Unknown

n

LI

2T

w

p

2

n

vn

PI ωN

KK24ω

zw

pD

3

n

22

PI16

Tzw

wDp

N

KK v

HI

wD

)1(8.1 nPO zwwD

n

LI

2T

w

p

3

n

22

PI16

Tzw

wDp

N

)0(FKK v

HI

wD

)1(8.1 nPO zwwD

N

AKK v

LI

wD

N

AKK v

HI

wD

n

LI

1T

w

3

n

2

PI2

Tzw

wD

2

n

vn

PI ωN

0FKK24ω

zw

pD

21

2v

LIN

KK

wD

1

2v

LIN

KK

wD

N

AKK2ω

v

PI

D

Fundamental Theory of PLLs - Non-Linear

Phase Detector: Sequential Logic - Phase/Frequency

Loop Filter/Error Amplifier

Transfer Function 1 (Proportional) 2 (1st O Passive L-L) 5 (1st O Active PI)

Type, Order 1, 1st 1, 2nd 2, 2nd

Acquisition (approx. values)

Lock-In Range

Lock-In Time

Pull-In Range

Pull-In Time

Tracking (non-linear,

approx. values)

Hold-In Range

Pull-Out Range Unknown

Acquisition & Tracking - Static & Dynamic Limits

nLI 4pzwwD nLI 4pzwwD

n

LI

2T

w

p

limits) (VCO PI wD limits) (VCO PI wD

)5.0(6.11 nPO zwwD )5.0(6.11 nPO zwwD

1

v

21PIVK

N21ln2T

wD

VK

N4T

v

1PI

wD

n

LI

2T

w

p

N

KK2 v

HI

pwD

N

0FKK2 v

HI

pwD

N

AKK2ω

v

PI

D

3

n

2

PI2

Tzw

wD

N

AKK v

HI

wD

N

AKK v

LI

wD

n

LI

1T

w

Fundamental Theory of PLLs - Non-Linear

Acquisition & Tracking - Static & Dynamic Limits

• Variable (Less Common) Definitions in Tables

• A: Gain of Proportional loop filter (from loop filter table)

• 1: Loop Filter Time Constant, R1C1, in 1st Order Passive Lead-Lag & 1st Order Active PI loop filters [# (2) & (5) from loop filter table]

• 2: Loop Filter Time Constant, R2C1, in 1st Order Passive Lead-Lag & 1st Order Active PI loop filters [# (2) & (5) from loop filter table]

• |F(0)|: Gain at s=w=f=0 of 1st Order Active PI loop filter

• Dw: Initial frequency difference between reference and feedback in PD

• V: PD power supply voltage (positive-to-negative)

• References for these formulas and values (in order of relevance):

• Best2, Brennan3, Gardner1

Fundamental Theory of PLLs - Non-Linear

Acquisition & Tracking - Static & Dynamic Limits

• Limits for our “Simple Example Synthesizer”, done previously, using Multiplier type PD (smaller BWs compared to PFD type PD - cannot use in this case due to inadequate pull-out range; see below)

• 6 MHz Output (larger Tr-c, smaller To-l narrower BWs, longer Ts; than 4 MHz):

• Lock-In Range, DfLI = 1337.8 Hz (must be < operating BW of PD) • Lock-In Time, TLI = 1.044 mS (requirement is 2 mS, stepped 4 - 6 MHz) • Pull-In Range, DfPI = 1,014,830.9 Hz • Pull-In Time, TPI = 1.6(10-7)(Df)2 mS (e.g., Df = 10,000 Hz, TPI = 16.0 mS) • Hold-In Range, DfHI = 3.316(108) Hz (assuming |F(0)| ~ 100,000 or 100 dB)

• Pull-Out Range, DfPO = 2928.0 Hz (need > 8333 Hz range, cannot use multiplier PD in this case)

• 4 MHz Output (smaller Tr-c, larger To-l wider BWs, shorter Ts; than 6 MHz):

• Lock-In Range, DfLI = 2006.7 Hz (must be < operating BW of PD) • Lock-In Time, TLI = 0.852 mS (6 - 4 MHz step should be < 4 - 6 MHz step of 2 mS) • Pull-In Range, DfPI = 1,375,534.6 Hz • Pull-In Time, TPI = 7.1(10-8)(Df)2 mS (e.g., Df = 10,000 Hz, TPI = 7.1 mS) • Hold-In Range, DfHI = 4.974(108) Hz (assuming |F(0)| ~ 100,000 or 100 dB)

• Pull-Out Range, DfPO = 3917.8 Hz (need > 12500 Hz range, cannot use multiplier PD in this case)

Fundamental Theory of PLLs - Non-Linear

Acquisition & Tracking - Static & Dynamic Limits

• Limits for our “Simple Example Synthesizer”, done previously, using PFD type PD (larger BWs compared to Multiplier type PD - can use in this case due to adequate pull-out range; see below)

• 6 MHz Output (larger Tr-c, smaller To-l narrower BWs, longer Ts; than 4 MHz):

• Lock-In Range, DfLI = 8402.8 Hz (must be < operating BW of PD, which is likely in this case) • Lock-In Time, TLI = 1.044 mS (requirement is 2 mS, stepped 4 - 6 MHz) • Pull-In Range, DfPI Hz (VCO limits) • Pull-In Time, TPI = 8.7(10-5)Df/V mS (e.g., Df = 100 KHz, V = 5 Volts, TPI = 1.7 mS) • Hold-In Range, DfHI = 2.083(109) Hz (assuming |F(0)| ~ 100,000 or 100 dB)

• Pull-Out Range, DfPO = 13312.9 Hz (need > 8333 Hz range, can use PFD type PD in this case)

• 4 MHz Output (smaller Tr-c, larger To-l wider BWs, shorter Ts; than 6 MHz):

• Lock-In Range, DfLI = 12606.6 Hz (must be < operating BW of PD, which is likely in this case) • Lock-In Time, TLI = 0.852 mS (6 - 4 MHz step should be < 4 - 6 MHz step of 2 mS) • Pull-In Range, DfPI Hz (VCO limits) • Pull-In Time, TPI = 5.8(10-5)Df/V mS (e.g., Df = 100 KHz, V = 5 Volts, TPI = 1.2 mS) • Hold-In Range, DfHI = 3.125(109) Hz (assuming |F(0)| ~ 100,000 or 100 dB)

• Pull-Out Range, DfPO = 18442.5 Hz (need > 12500 Hz range, can use PFD type PD in this case)

PLL Components

Phase Detectors (Phase Comparators)

• Operation: Develops Average (DC) output signal proportional to phase difference between 2 AC input signals

• Important Parameter for PLLs (contained in s-curve of PD)

• Transfer function (Gain), DVf = KfDf, Kf has units of V/rad, hopefully is linear (i.e., Kf is constant)

• Can vary with reference and feedback operating frequencies within PD operating bandwidth

• Other Important Concerns

• Operating BW

• Phase Noise (normally floor, or f0, with slight close-in flicker, or f-1, profile)

• Multiplier (Combinational) Type

• Operation: Develops average (DC) output component proportional to phase difference between 2 AC input signals by forming the product of the 2 signals, which, through

PLL Components

Phase Detectors (Phase Comparators)

mathematical (trigonometric) identities, produces sum and difference outputs of the 2 signals; difference output is signal of interest; sum output must be filtered

• Type (1): Linear 4Q Analog Types (both inputs are sinusoidal)

• Gilbert Cell (can be considered a type of mixer)

• Operating Range: Df = p/2 center, + p/4 rad (~ linear) to + p/2 rad (full non-linear)

• Type (2): Switching Types (one or both inputs are square)

• Active (BJT, FET) & Passive (Diode) Mixers

• Op-Amp

• XOR/XNOR Gates (Combinational Logic - functions on input logic levels, not input relative edge timing)

• Operating Range: One square input; Df = p/2 center, + p/4 (~ linear) to + p/2 rad (full non-linear) Both square inputs; Df = p/2 center, + p/2 rad (full linear)

• Operating ranges depend on sinusoidal and/or square wave inputs, and linear approximation requirements of the PD in a specific system - see typical s-curves

PLL Components

Phase Detectors (s-Curves)

Multiplier Type - Linear 4Q Analog, Switching

DVf = KfDf:

VPos = Kf(3p/4)

VZero = Kf(p/2)

VNeg = Kf(p/4)

PLL locked with

zero phase error

May have DC

offset, depending

on biasing

PLL Components

Phase Detectors (Phase Comparators)

• Sequential Logic Type

• Operation: Develops average (DC) output component proportional to phase difference between 2 AC input signals based on the relative zero-crossing edge timing of the 2 signals

• Both inputs are usually square waves, but can be other waveforms as long as certain maximum rise/fall edge transition rates are not exceeded

• Major Types: PFD, Flip-Flop (D, JK, RS), XOR/XNOR

• PFD type is Tri-State output with processing delay and potential dead zone effects • Processing delay affects phase shift of closed-loop TFs and hence PLL stability • Potential dead zone can cause excess noise at PLL output for synthesizers • Despite these possible problems, which are usually minimized, PFDs are very popular with PLL designers

• Flip-Flop and XOR/XNOR types are Bi-State output with no dead zone effect

• Voltage Source or Current Source (Charge Pump) Outputs

• Operating ranges: • PFD: Df = 0 center, + 2p rad • Flip-Flop: Df = p center, + p rad • XOR/XNOR: Df = 0 center, + p/2 rad

• Operating ranges are linear due to square wave operation - see typical s-curves

PLL Components

Phase Detectors (s-Curves)

Sequential Logic Type - PFD

Phase Detector average (DC) Up

or Dn output voltage change, DVf

Phase difference between

phase detector inputs, Df

VPos

VZero

VNeg

DVf = KfDf:

VPos = Kf(2p)

VZero = Kf(0)

VNeg = Kf(-2p)

May have DC

offset depending

on biasing

2p 4p

-2p -4p

Potential

“Dead Zone”

PLL locked with

zero phase error

Must be used with differential LF/Error Amp to

obtain Pos & Neg VCO control voltage shown

PLL Components

Phase Detectors (s-Curves)

Sequential Logic Type - Flip-Flop

Phase detector average (DC)

output voltage change, DVf

Phase difference between

phase detector inputs, Df

DVf = KfDf:

VPos = Kf(2p)

VZero = Kf(p)

VNeg = Kf(0)

May have DC offset

depending on biasing

2p -p p

VPos

VNeg

VZero

3p

PLL locked with

zero phase error

PLL Components

Phase Detectors (s-Curves)

Sequential Logic Type - XOR/XNOR

Phase detector average (DC)

output voltage change, DVf

Phase difference

between phase

detector inputs, Df

DVf = KfDf:

VPos = Kf(p/2)

VZero = Kf(0)

VNeg = Kf(-p/2)

May have DC

offset depending

on biasing

p/2 -p/2 -p p

VPos

VZero

VNeg

PLL locked with

zero phase error

PLL Components

PD Property

Multiplier Sequential Logic

Performance for Input SNR < 10 dB

Good Poor

Acquisition Performance Poor Good

Tracking Performance Poor Good

Optimum Input Signal Duty Cycle

50% Not Important

AC Output Component: Frequency - Amplitude

2fin - High fin - Low

Input Phase Difference at Lock

90o 0o or 180o

Phase Noise Excellent Good

Phase Detector Type Comparison

PLL Components

PDs - PFD Type - Typical Datasheet - HMC439

100 MHz

PLL Components

PDs - PFD Type - Typical Datasheet - HMC439

PLL Components

PDs - PFD Type - Typical Datasheet - HMC439

PLL Components

PDs - PFD Type - Typical Datasheet - HMC439

100 MHz

PLL Components

PDs - PFD Type - Typ Datasheet - MC100EP140

PLL Components

PDs - PFD Type - Typ Datasheet - MC100EP140

PLL Components

PDs - PFD Type - Typ Datasheet - MC100EP140

PLL Components

PDs - PFD Type - Typ Datasheet - MC100EP140

PLL Components

PDs - PFD Type - Typ Datasheet - MC100EP140

PLL Components

PDs - PFD Type - Typ Datasheet - MC100EP140

PLL Components

PDs - PFD Type - HMC439 Ap Note - Typical Op

Measured NDN and NUP Outputs Using High Speed Scope Simulated NDN and NUP Outputs Using SPICE

HMC439 Operation as Phase Detector - PWM Error Signal Driving NDN Output

PLL Components

Measured NDN and NUP Outputs Using High Speed Scope Simulated NDN and NUP Outputs Using SPICE

HMC439 Operation as Freq Detector - PWM Error Signal Driving NUP Output

PDs - PFD Type - HMC439 Ap Note - Typical Op

PLL Components

Loop Filters/Error Amplifiers

• Discussed in some detail previously

• This block is more correctly designated as the “Compensator” or “Controller” which processes the PD error signal to properly drive the “Actuator”, which in this case is the VCO

• Filtering is actually a secondary operation to the compensating or controlling aspect of signal processing for this block

• Two Varieties: Passive and Active

• Transfer Function, Vc = F(s)Vf, Once the Kf & Ko (Kv/s) gains, along with the H(s) = Kn (1/N) gain range, have been specified for a particular design to meet a set of specifications, F(s) is the only variable in G(s) remaining in the Open-Loop & All Closed-Loop Transfer Functions of circuit constants to be designed

PLL Components

Loop Filters/Error Amplifiers

• Passive

• Usually faster acquisition and inferior linear step tracking relative to active types

• Active

• Usually better linear step tracking and slower acquisition relative to passive types

• Types: IC, Discrete, Combinations

• General Considerations for Active Loop Filters/Error Amplifiers

• Supply Voltage Range (important for VCO Control Voltage Requirements) • I/O Voltage Ranges (important for operating < Max Ratings) • GBWP (important for Loop BW) • Slew Rate (important for Tuning Speed) • DC Open-Loop Gain (important for Integral Compensation) • Stability (important for obvious reasons) • Voltage and Current Noise Densities (important for Phase Noise) • Input Offset Voltage and Current (important for steady-state Phase Error) • Input Bias current (important for High Impedance and Low Power)

PLL Components

LFs/Error Amps - 7 Common Varieties (repeated) (1) None (Proportional)

- not necessarily common

(2) 1st Order Passive Lead-Lag

(3) 2nd Order Passive Lead-Lag - A

(4) 2nd Order Passive Lead-Lag - B

PLL Description: Type 1, 1st Order,

No Phase Lead/Lag

PLL Description: Type 1, 2nd Order, Phase Lag-Lead

PLL Description: Type 1, 3rd Order,

Phase Lag-Lead-Lag

PLL Description: Type 1, 3rd Order,

Phase Lag-Lead-Lag

122111

21

2

CR, τCRτ

,1)τ s(τ

1sτF(s)

)C(CRτ

,CR, τCRτ

,1)τs(τ)τ(τ s

1sτF(s)

2123

222111

3121

2

3

1 , , becan A

Constant A

AF(s)

123

21222111

3121

2

3

CRτ

),||C(CR), τC(CRτ

,1)τs(τ)τ(τ s

1sτF(s)

PLL Components

LFs/Error Amps - 7 Common Varieties (repeated) (5) 1st Order Active

Proportional-Integral (PI)

(6) 2nd Order Active Proportional-Integral

(PI) - A

(7) 2nd Order Active Proportional-Integral

(PI) - B

PLL Description: Type 2, 2nd Order,

Phase Lead

PLL Description: Type 2, 3rd Order, Phase Lead-Lag

PLL Description: Type 2, 3rd Order, Phase Lead-Lag

122111

1

2

CR, τCRτ

, sτ

1sτF(s)

)C(CRτ

,CR, τCRτ

,sτ)τ(τ s

1sτF(s)

2123

222111

121

2

3

123

21222111

121

2

3

CRτ

),||C(CR, τCCRτ

,sτ)τ(τ s

1sτF(s)

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Error Amplifiers - IC - Typ Data Sheet - AD8671

PLL Components

Voltage Controlled Oscillators (VCOs)

• Produces an output frequency proportional to an input DC voltage • There are also Current Controlled Oscillators, CCOs, and Numerically or Digitally Controlled Oscillators,

NCOs or DCOs, but just VCOs discussed here

• Types: Resonant & Relaxation; IC, Discrete, Combinations

• Various circuit topologies, active devices, resonators, timing schemes, depending on application; sometimes a VCXO (and variations) are used if tunable frequency range is relatively narrow and crystal can be pulled over this range

• Two Important Parameters • Frequency Tuning Curve, w vs. Vc, units of rad/S vs. V, hopefully is linear, derivative of this gives: • Freq Trans Func (Gain), Dw = KvDVc, Kv has units of rad/S/V, hopefully is linear (i.e., Kv is constant) • Frequency Tuning and Transfer Curves can be positive or negative (usually for proper NFB polarity)

• Produces Integrating Action as far as baseband loop dynamics are concerned • Transfer function for VCO RF/mW output frequency, fo, is Kv, but transfer function for baseband

frequency, s, is Ko = Kv/s, causing -90o phase shift around loop, which affects loop stability

• Other Important Concerns • Tuning Port BW - rule of thumb: ~ > 10 x PLL BW nominal; ~ > 5 x PLL BW minimum • Phase Noise (usually Leeson’s Low- or High-Q model)

PLL Components

VCOs - Typical Freq Tuning & Transfer Curves

Fre

qu

en

cy, f (M

Hz)

Ga

in

, K

v (M

Hz/V

)

Control Voltage, Vc (V)

0 1 2 3 4 5 6 7 8 9 10

160

240

230

220

210

200

190

180

170

Control Voltage, Vc (V)

0 1 2 3 4 5 6 7 8 9 10

0.0

20.0

17.5

15.0

12.5

10.0

7.5

5.0

2.5

Positive Frequency Tuning & Transfer Curves

PLL Components

VCOs - Typical Freq Tuning & Transfer Curves

Fre

qu

en

cy, f (M

Hz)

Ga

in

, K

v (M

Hz/V

)

Control Voltage, Vc (V)

0 1 2 3 4 5 6 7 8 9 10

160

240

230

220

210

200

190

180

170

Control Voltage, Vc (V)

0 1 2 3 4 5 6 7 8 9 10

-0.0

-20.0

-17.5

-15.0

-12.5

-10.0

-7.5

-5.0

-2.5

Negative Frequency Tuning & Transfer Curves

PLL Components

VCOs - Typical Datasheet - HMC587

PLL Components

VCOs - Typical Datasheet - HMC587

PLL Components

VCOs - Typical Datasheet - HMC587

PLL Components

VCOs - Typical Datasheet - HMC587

PLL Components

VCOs - Typical Datasheet - HMC587

PLL Components

Feedback Converters

• Division or translation of VCO higher frequency/phase to PD lower frequency/phase

• Division done by a Divider; Translation done by a Mixer

• Frequency Transfer Function (Gain), Dwout = KnDwin, Kn = 1/N, no units

• Phase Transfer Function (Gain), Dfout = KnDfin, Kn = 1/N, no units

• Important for Phase Noise considerations

• Dividers - division of VCO higher frequency/phase to PD lower frequency/phase

• Analog Types

• General Description: Narrow-Band, Fixed division ratios, Higher frequency, Lower power, Less common, than Digital types

• Subharmonic Generators are the generic type with 3 usual implementations (not discussed)

PLL Components

Feedback Converters

• Digital Types

• General Description: Wide-Band, Variable division ratios, Lower frequency, Higher power, More common, than Analog types

• Fixed Modulus Prescalers (Usually highest frequency operation) - division by fixed modulus “P” only; when used with programmable dividers of modulus “N”, limits division to “PN” and synthesizer output frequency steps to “P x Reference Frequency”, instead of Reference Frequency

• Dual (Multiple) Modulus Prescalers (Usually mid frequency operation) - division by selectable moduli “P” & “P+1” (& “P+2” & …, etc.), allowing division by “N” instead of only “NP” and synthesizer output frequency steps at Reference Frequency when used with programmable dividers, which cannot be done with fixed modulus prescalers and programmable dividers

• Programmable Dividers (Counters) (Usually lowest frequency operation) - division by selectable modulus “N” (< 2B, where B is number of control bits), allowing synthesizer output frequency steps at Reference Frequency; 2 types: Synchronous and Asynchronous - synchronous types usually faster than asynchronous types

• Fractional-N Dividers - division by non-rational moduli “N.F” (fractional factors), allowing synthesizer output frequency steps smaller than Reference Frequency - suffer from a type of spur called “Integer Boundary Spurs”, associated with the variable duty cycle integer toggling action to produce programmable fractional division ratios

PLL Components

Feedback Converters

• Mixers - translation of VCO higher frequency/phase to PD lower frequency/phase

• Highest frequency operation of all types (microwave & millimeter-wave frequencies)

• Operates using standard heterodyne mixing process, usually using difference product; programmable synthesizer output more difficult than with dividers

• Maintains N = 1 (i.e., Kn = 1/N = 1) in PLL transfer functions - gives best phase noise

• Important Concern: Phase Noise

• Normally floor, or f0, with slight close-in flicker, or f-1, profile

• Input signal phase noise power will be divided-by-N2 (or reduced -10 log10 N2 =

-20 log10 N in dB)

PLL Components

Dividers - Digital Types - Fixed Mod Prescalers

PLL Components

Dividers - Digital Types - Fixed Mod Prescalers

PLL Components

Dividers - Digital Types - Fixed Mod Prescalers

PLL Components

Dividers - Digital Types - Fixed Mod Prescalers

PLL Components

Dividers - Digital - Dual (Multiple) Mod Prescalers

PLL Components

Dividers - Digital - Dual (Multiple) Mod Prescalers

PLL Components

Dividers - Digital - Dual (Multiple) Mod Prescalers

PLL Components

Dividers - Digital - Dual (Multiple) Mod Prescalers

Modulus Control

Input (from external

PLL circuitry or PLL

IC, e.g., Motorola

14515X-2 Series)

PLL Components

Dividers - Digital - Dual (Multiple) Mod Prescalers

PLL Components

Div - Digital - Programmable Dividers (Counters)

PLL Components

Div - Digital - Programmable Dividers (Counters)

PLL Components

Div - Digital - Programmable Dividers (Counters)

PLL Components

Div - Digital - Programmable Dividers (Counters)

PLL Components

Div - Digital - Programmable Dividers (Counters)

PLL Components

Div - Digital - Programmable Dividers (Counters)

PLL Synthesizer Testing

External (Synth) Performance Measurements

• SSB Phase Noise

• Direct - Spectrum Analyzer for Carrier (RF) Measurement (Note: spec an does not phase-lock to carrier as in some indirect methods)

• Spec Ans With Optional SSB Phase Noise Utility - straight-forward, log frequency scale, 1 Hz BW, must make sure spec an internal phase noise significantly less (< 10 dB) than UUT phase noise

• Spec Ans Without Optional SSB Phase Noise Utility - not straight-forward, may not have log frequency scale, complicated by fact that RBW on most spec ans does not go down to 1 Hz, which is needed for proper measurement, so measurement at RBWs other than 1 Hz must be normalized to measurement referenced to RBW of 1 Hz, must make sure spec an internal phase noise significantly less (< 10 dB) than UUT phase noise

• Indirect - Discrete Set-up or Instrumentation for Baseband (PM) Measurement

• In both cases DSB Phase Noise is actually measured; 3 dB is subtracted for SSB Phase Noise

• Discrete Set-up (3 dB must be subtracted manually)

• Open-Loop Quadrature PM Demodulator (not phase-locked measurement)

• Closed-Loop Quadrature PM Demodulator (is phase-locked measurement)

• Dedicated Instrumentation (3 dB subtracted mathematically by instrument)

• Example: Agilent E5052B Signal Source Analyzer (is phase-locked measurement)

PLL Synthesizer Testing

SSB Phase Noise - Direct - Spec An Measurement

PLL Synthesizer Testing

SSB Phase Noise - Direct - Spec An Measurement

PLL Synthesizer Testing

SSB Phase Noise - Direct - Spec An Measurement

- example of phase noise display

PLL Synthesizer Testing

SSB Phase Noise - Direct - Spec An Measurement

PLL Synthesizer Testing

SSB Phase Noise - Direct - Spec An Measurement

Example of phase noise display

PLL Synthesizer Testing

SSB Phase Noise - Direct - Spec An Measurement

Internal phase noise of instrument

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Open-Loop Demod

S/A Com

Ref LPF

~

f ~

Scope

PLL

UUT

External

Ref

Source

Control

LNA

LNA

Test Set-Up

L

R

I

Pad

Pad

Phase

Shifter

Pad LNA

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Open-Loop Demod

• Test Set-Up

• All components in set-up operated linearly (except mixer LO port)

• Isolation needed between “PLL UUT” & “External Ref Source” to prevent injection locking, which is provided by the common reference, “Com Ref”

• “External Ref Source” shown in set-up can be of 2 types

• Standard laboratory signal source

• If phase noise > 10 dB better than PLL UUT, no further consideration needed • If phase noise < 10 dB better than PLL UUT, then must be mathematically factored out of measurement

• Another identical UUT

• Since phase noise identical to UUT, subtract 3 dB from measurement to get actual DSB phase noise

• Scope used to check coherence (0 Hz freq) and quadrature (0 V DC)

• “External Ref Source” adjusted for coherence; “Phase Shifter” adjusted for quadrature

• Subtract 3 dB from measurement to convert DSB to SSB Phase Noise

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Closed-Loop Demod

S/A LPF

~

~ LF

PLL

UUT

VCO

Control

Test Set-Up

L

R I

LNA

LNA Pad

Pad Pad LNA

PLL Block

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Closed-Loop Demod

• Test Set-Up

• All components in set-up operated linearly (except mixer LO port)

• “PLL Block” shown in set-up must have loop BW much less than (< 1/10) lowest offset frequency from carrier where phase noise is to be measured so that demodulated PM is not tracked out

• “VCO” shown in set-up can be of 2 types

• Standard laboratory signal source with FM input

• If phase noise > 10 dB better than PLL UUT, no further consideration needed • If phase noise < 10 dB better than PLL UUT, then must be mathematically factored out of measurement

• Stand-alone VCO unit

• Same phase noise considerations apply in this case as for standard laboratory signal source • Special care may be needed to avoid unwanted pick-up from environment

• Subtract 3 dB from measurement to convert DSB to SSB Phase Noise

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Instrumentation

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Instrumentation

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Instrumentation

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Instrumentation

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Instrumentation

PLL Synthesizer Testing

SSB Phase Noise - Indirect - Instrumentation

PLL Synthesizer Testing

External (Synth) Performance Measurements

• Spurious

• Spectrum Analyzer

• Straight forward, but must be careful when measuring low-level spurs to make sure additive noise of spec an does not corrupt measurement - RBW of spec an must be narrow enough so that additive noise power is not appreciable fraction of spurious signal power

• Switching Time

• Discrete Set-up

• Dedicated Instrumentation

• Example: Agilent E5052B Signal Source Analyzer

PLL Synthesizer Testing

Switching Time - Discrete Set-Up

Com

Ref LPF

~

~

Scope

PLL

UUT

Trigger

Sync’d

with

Control

Control

Sync’d

with

Trigger

Test Set-Up

L

R

I

External

Ref

Source

Amp

Amp

Pad

Pad

Pad

f

Phase

Shifter

FM

Det

PLL Synthesizer Testing

Switching Time - Discrete Set-Up

Scope Outputs

Typical Mixer Output

(phase offset spec)

Typical FM Detector Output

(frequency offset spec)

Time (S, arbitrary scale) Time (S, arbitrary scale)

Ph

ase

(V, a

rbit

rary

sca

le)

Fre

qu

en

cy

(V, a

rbit

rary

sca

le) Switching

Time @

Specified

Phase

Offset

Switching

Time @

Specified

Frequency

Offset

PLL Synthesizer Testing

Switching Time - Discrete Set-Up

• Test Set-Up

• All components in set-up operated linearly (except mixer LO port)

• Isolation needed between “PLL UUT” & “External Ref Source” to prevent injection locking, which is provided by the common reference, “Com Ref”

• “External Ref Source” shown in set-up can be of 2 types

• Standard laboratory signal source • Another identical UUT

• “Phase Shifter” adjusted for desired DC output from mixer at lock

• Usually adjusted for phase phase quadrature (0 V DC), but not necessary

• PLL UUT control input and Scope Trigger are synchronized

• PLL UUT set to switch from f1 to f2; External Ref Source set to f2

• PM detector (mixer) into scope for phase offset spec, FM detector (discriminator) into scope for freq offset spec

PLL Synthesizer Testing

Switching Time - Dedicated Instrumentation

PLL Synthesizer Testing

Switching Time - Dedicated Instrumentation

PLL Synthesizer Testing

Internal (PLL) Performance Measurements

• PLL Transfer Functions

• Open-Loop

• No discussion - not normally done - can be calculated from closed-loop measurements

• Closed-Loop

• Case (1): Linearly Swept Sinusoidal PM Reference (Steady-State)

• Measures Output and Feedback Low-Pass TFs, Tr-c and Tr-b • Gives PLL Output and FB Closed-Loop Freq Response and Phase Response

• Case (2): Linearly Swept Sinusoidal Voltage (Steady-State)

• Measures Disturbance and Error High-Pass TFs, Td-c and Tr-e • Gives PLL Disturbance and Error Closed-Loop Frequency Response and Phase Response

• Case (3): Linearly Swept and Stepped Reference Frequency

• (A): Linearly Swept Reference Frequency Measures PLL Static Tracking Limit (Hold-In Range) • (B): Linearly Stepped Reference Frequency Measures PLL Dynamic Tracking Limit (Pull-Out Range)

PLL Synthesizer Testing

PLL Transfer Functions - Closed-Loop - Setup

Phase Detector

or

Phase/Frequency

Detector

Loop Filter or

Loop

Filter/Error

Amp

Phase/Frequency

Divider or

Translator (mixer,

N = 1 only)

Ko =

Kv/s

F(s) Kf

Kn =

1/N

VCO

3 2

1 qr(s) qc(s)

qb(s)

qe(s) +

-

Case (1):

Modulator

(PM), Tr-c & Tr-b

Cases (1), (2):

Demodulator

(FM), Tr-c, Tr-b,

Td-c & Tr-e Cases (1), (2):

Low Frequency

VNA, Tr-c, Tr-b,

Td-c & Tr-e

Case (3): Swept

& Stepped REF,

DwHI, DwPO

Case (2):

Swept Voltage,

Td-c & Tr-e

Case (2)

Case (1)

Switch

PLL Synthesizer Testing

PLL Transfer Funcs - Closed-Loop Measurements

Case Input Point Input Signal Output Point Output Signal Transfer

Function Type

TF Magnitude Response

(1) Linearly

Swept Sine PM Ref

Lin Swept Sine FM VCO

(Demod)

Output, Tr-c, Feedback, Tr-b

Low Pass

(2) Linearly

Swept Sine Voltage

Lin Swept Sine FM VCO

(Demod)

Disturb, Td-c

& Error, Tr-e High Pass

(3-A) Lin Swept Reference Frequency

Swept Freq Until Unlock (Spec An)

N/A N/A

(3-B) Lin Stepped Reference Frequency

Stepped Freq Until Unlock (Spec An)

N/A N/A

1

1

1

2

3

3

3

3

PLL Synthesizer Testing

PLL TFs - Closed-Loop - Tr-c & Tr-b Mag & Phase

Ph

ase

(o, a

rbit

rary

sca

le)

Ga

in (

dB

, a

rbit

rary

sca

le)

Log Frequency (Hz, arbitrary scale) Log Frequency (Hz, arbitrary scale) --

0

+

--

M

+

General Tr-c & Tr-b Low-Pass Response [Case (1)] qe(s) = 0 in this region Gain Peak

For Tr-c: M = 20 log10 |1/H(s)| dB

= 20 log10 (1/Kn) dB

= 20 log10 (N) dB

For Tr-b: M = 20 log10 (1) = 0 dB

Final Slope =

-20(p - z) dB/dec

or -6(p - z) dB/oct,

p = poles, z = zeros

Final Phase = -90(p – z) o,

p = poles, z = zeros

PLL Synthesizer Testing

PLL TFs - Closed-Loop - Td-c & Tr-e Mag & Phase

Ga

in (

dB

, a

rbit

rary

sca

le)

Ph

ase

(o, a

rbit

rary

sca

le)

Log Frequency (Hz, arbitrary scale) Log Frequency (Hz, arbitrary scale) --

0

+

--

M

+

General Td-c & Tr-e High-Pass Response [Case (2)]

Gain Peak

M = 20 log10 (1) = 0 dB

Slope =

+20T dB/dec or

+6T dB/oct,

T = Type Number Initial Phase

= +90T o, T =

Type Number

References

Various Media

1. Gardner, F. M., Phaselock Techniques, 3rd edition, John Wiley, Hoboken, NJ, 2005

2. Best, R. E., Phase-Locked Loops, Design, Simulation and Applications, 6th edition, McGraw-Hill, New York, NY, 2007

3. Brennan, P. V., Phase-Locked Loops: Principles and Practice, McGraw-Hill, New York, NY, 1996

4. Drucker, E., Phase Lock Loops and Frequency Synthesis for Wireless Engineers, 1997, Frequency Synthesis & Phase-Locked Loop Design, 3 Day Short Course, Besser Associates, Mountain View, CA, 1999

5. Dorf, R. C. and Bishop, R. H., Modern Control Systems, 9th edition, Prentice-Hall, Upper Saddle River, NJ, 2001

6. Palm, W. J. III, Modeling, Analysis, and Control of Dynamic Systems, 2nd edition, John Wiley, New York, NY, 2000

7. Ellis, G., Control System Design Guide, 2nd edition, Academic Press, San Diego, CA, 2000

8. Control System Development Using Dynamic Signal Analyzers, Application Note 243-2, Hewlett-Packard Co., Palo Alto, CA, 1984

9. Motorola Communications Device Data, Data Book, DL136/D, REV 4, Phoenix, AZ, 1995

Questions - Comments