MASINDE MULIRO UNIVERSITY OF SCIENCE AND ENGINEERING

FACULTY OF ENGINEERING

DEE 072: TELECOMMUNICATIONS

LECTURE NOTES

SEMESTER I

ACADENMIC YEAR 2012/2013)

MR. OMBONGI FILBERT ONKUNDI

DEPT. ELECTRICAL AND COMMUNICATIONS ENGINEERING

©2013

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Course outline
DEE 072: TELECOMMUNICATIONS 2 UNITS
Introduction: Role played by telecommunication systems; typical telecommunication model.
Signals used in telecommunication; Sinusoidal wave, audio signal, video signal.
Frequency allocation and Licencing: Need for allocation; Interference, bandwidth
requirements.
Regulatory bodies; ITU-T, CCK.
Logarithmic Units: Reasons for using logarithmic units. Types; The decibel (dB), the dBm,
dBr,dBw, the Neper.
Transducers: Construction, operation. Types: Microphones, Loud speakers, Audio heads,
Video heads, Video transducers.
Modulation; Amplitude modulation(AM); Phase modulation, frequency modulation,
frequency spectrum, Power distribution, Noise in AM systems, Noise in FM systems.
Transmission Lines: Types; two-wire, open line, twisted pair, unshielded twisted pair
(UTP), shielded pair, coaxial cables, balanced and unbalanced lines.
Electrical characteristics of transmission lines: Two wire line, characteristic impedance,
transmission line losses.
Standing Waves: The incident and Reflected Waves, the VSWR, matching using the quarter
wavelength transformer.

Chapter 1

1.0 Introduction to Telecommunication

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(i) Communication: It is the process of transferring information which can be voice, text,
picture etc from one point to another. In electronics, communication refers to sending and
receiving information.

(ii) Telecommunication: It is the transmission of information over significant distances to

communicate.

In modern times, telecommunications involve the use of electrical devices such as the
telegraph, telephone, and teleprinter, as well as the use of radio and microwave
communications, as well as fiber optics and their associated electronics, plus the use of the
orbiting satellites and the internet.

1.1 Types of communication

The various types of communications are;

i. Radio telephony and telegraphy

ii. Radio broadcasting
iii. Point to point mobile communication
iv. Computer communication
v. Radar( Radio detection and ranging)
vi. Radio telemetry and Radio aids to navigation

1.2 Radio communication

It is the process of sending information in the form of electronic signal from one place
and receiving it in another place without using any connecting wires between the transmitter
and receiver. It is also called wireless communication. For example, TV broadcasting and
radio broadcasting

1.3 Line communication

It uses a pair of wires to carry the information signal from the transmitter to the
receiver. It is also called wired communication e.g. telephone and telegraphy

1.4 Frequency bandwidth

It is the range of signal frequencies that can be transmitted over a common channel
without any distortion. For example, frequency bandwidth of a telephone line is 3.4 KHz.

1.5 Telecommunication model

1.5.1 Basic elements

A basic telecommunication system consists of three primary units that are always
present in some form:

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Fig 1.0: Telecommunication model

The model contains the following elements:

1. Information source
It gives the message to be transmitted which can be text, voice, video etc.
Communication system communicates information or messages. Information can be in the
form of sound signal like speech or music. It can be in form of pictures (TV signal) or it can
be data information coming from the computer.

2. Transmitter

It is a collection of electronic circuits designed to modify or convert the message

signal into a suitable form for transmission over communication channel. It consists of
amplifiers, mixers, oscillators etc.
It encodes the message into signals. It is where the message to be transmitted is
converted into electrical form for transmission. Before it is transmitted the electrical signal is
modulated so that it becomes easy to transmit it for longer distance.

3. Transmission Channel

It is a medium used for transmission of electrical signal from one place to another. It
can be a pair of conducting wire, coaxial cable, fiber optic cable or free space. Depending
upon types of communication mediums, two types of communication system exists.
 Wire or line communication
 Wireless or radio communication

i. Wire or line communication

In the line communication system; the communication medium like simple wires,
cables, optical fiber are used e.g. telephone system, cable TV etc.
ii. Wireless or radio communication
It uses the free space as communication medium. The radio, TV broadcasting and
satellite communication are the example of wireless communication. This system transmits
the signal using transmitting antenna in free space. The transmitted signal travels in space in
the form of electromagnetic waves. A receiving antenna will pick up the signal and feed it to
a receiver.

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 4. Noise source

The noise is defined as the unwanted signal that gets added to the message signal
during transmission over the channel. Noise signal is random in nature and its effect is
greatest when message signal is weak. Noise may be natural or man made.

The noise is a dysfunctional factor which is any interference with the message
travelling along the channel such as static on the telephone or radio which may lead to the
signal received being different from that sent.

5. Receiver

It is the collection of electronic circuits designed to convert the received signal back
into original information. It consists of electronic circuits like mixers, oscillators, detectors,
amplifiers etc.

The receiver reconstructs the message from the signal. The original message signal is
extracted from the modulated signal at the receiver. Most of the receivers are of super
heterodyne type receiver.

6. Destination

It is where the message arrives. The output of the receiver can be fed to loudspeaker or radar
display or video display and TV picture tube etc.

Examples

For the telephone, the channel is a wire, the signal is an electrical current in it, and the
transmitter and receiver are the telephone handsets. Noise would include crackling from the
wire. For example, in a voice conversation, the mouth is the transmitter, the signal is the
sound waves, and the ear is the receiver. Noise would include any distraction that might be
experienced as one speaks.

In a radio broadcasting station, the station's large power amplifier is the transmitter
and the broadcasting antenna is the interface between the power amplifier and the free space
channel. The free space channel is the transmission medium and the receiver's antenna is the
interface between the free space channel and the receiver. Next, the radio receiver is the
destination of the radio signal, and this is where it is converted from electricity to sound for
people to listen to.

Sometimes, telecommunication systems are duplex (two-way systems) with a single

box of electronics working as both a transmitter and a receiver or a transceiver. For example,
a cellular telephone is a transceiver. The transmission and receiver electronics in a transceiver
are actually quite independent of each other.

The radio transmitters contain power amplifiers that operate with electrical powers
measured in the watts or kilowatts, but the radio receivers handle radio powers that are
measured in the microwatts or nanowatts. Hence, transceivers have to be carefully designed
and built to isolate their high-power circuitry and their low-power circuitry from each other.

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 Telecommunication over telephone lines is called point-to-point communication
because it is between one transmitter and one receiver. Telecommunication through radio
broadcasts is called broadcast communication because it is between one powerful transmitter
and numerous low-power but sensitive radio receivers.

Telecommunications in which multiple transmitters and multiple receivers have been

designed to cooperate and to share the same physical channel are called multiplex systems.

1.6 Analog versus digital communications

Communications signals can be either analog or digital signals. There are analog and
digital communication systems. For an analog signal, the signal is varied continuously with
respect to the information. In a digital signal, the information is encoded as a set of discrete
values (e.g. a set of 1’s and 0’s).

During the propagation and reception, the information contained in analog signals
will inevitably be degraded by undesirable physical noise. Commonly, the noise in a
communication system can be expressed as adding or subtracting from the desirable signal in
a completely random way.

This form of noise is called additive noise, with the understanding that the noise can
be negative or positive at different instants of time. In addition, unless the additive noise
disturbance exceeds a certain threshold, the information contained in digital signals will
remain intact. Their resistance to noise represents a key advantage of digital signals over
analog signals.

1.7 Telecommunication networks

A telecommunication network is a collection of transmitters, receivers, and

communications channels that send messages to one another. Some digital communications
networks contain one or more routers that work together to transmit information to the correct
user.

An analog communications network consists of one or more switches that establish a

connection between two or more users. For both types of network, repeaters may be
necessary to amplify or recreate the signal when it is being transmitted over long distances.
This is to combat attenuation that can render the signal indistinguishable from the noise.

1.8 Communication channels

The term channel has two different meanings. Firstly, a channel is the physical
medium that carries a signal between the transmitter and the receiver. This include the
atmosphere for sound communications, glass optical fibers for some kinds of optical
communications, coaxial cables for communications by way of the voltages and electric
currents in them, and free space for communications using visible light, infrared waves,
ultraviolet light, and radio waves.

This last channel is called the free space channel. The sending of radio waves from
one place to another has nothing to do with the presence or absence of an atmosphere
between the two. Radio waves travel through a perfect vacuum just as easily as they travel
through air, fog, clouds, or any other kind of gas besides air.
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 Secondly, term channel in telecommunications is seen in the phrase communications
channel, which is a subdivision of a transmission medium so that it can be used to send
multiple streams of information simultaneously.

For example, one radio station can broadcast radio waves into free space at
frequencies in the neighbourhood of 94.5 MHz while another radio station can
simultaneously broadcast radio waves at frequencies in the neighbourhood of 96.1 MHz.

Each radio station would transmit radio waves over a frequency bandwidth of about
180 kHz, centred at frequencies such as the above, which are called the carrier frequencies.
Each station in this example is separated from its adjacent stations by 200 kHz and the
difference between 200 kHz and 180 kHz (20 kHz) is an engineering allowance for the
imperfections in the communication system which is usually called the guard band.

In the example above, the free space channel has been divided into communications
channels according to frequencies, and each channel is assigned a separate frequency
bandwidth in which to broadcast radio waves. This system of dividing the medium into
channels according to frequency is called frequency-division multiplexing (FDM).

Another way of dividing a communications medium into channels is to allocate each

sender a recurring segment of time (a time slot e.g 20 ms out of each second), and to allow
each sender to send messages only within its own time slot. This method of dividing the
medium into communication channels is called time-division multiplexing (TDM), and is
used in optical fiber communication. Some radio communication systems use TDM within an
allocated FDM channel. Hence, these systems use a hybrid of TDM and FDM.

1.9 Importance of Telecommunication

The use of various means of telecommunication has become integrated part of

society. Information found to be one of the most important elements for the efficient growth
of an economy. With efficient use of telecommunication one can remove various constraints
of all the sectors in the economy resulting into increased productivity and better
administration. Effective controlling mechanism can be possible only through better
communication and with better use of telecommunication equipments.  

In developing countries, earlier telecommunication was a big problem because all

means of communications were confined to the rich people only. But with the revolution in
this sector now all the means are also available to middle and lower class people who play
vital role in the growth of economy of any country.

The balanced growth of all sectors is very important for any country to become super
power in the world. The development in any one sector is not enough for that. Optimum and
efficient use of telecommunication in every sector is most important if any country wants to
become superpower or at least self dependent. Hence it is necessary to see the importance of
telecommunication in the various sectors in the economy.

(a) Infrastructure

Infrastructure is the basic physical and organizational structures needed for the
operation of a society or enterprise or the services and facilities necessary for an economy to

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function The term usually refers to the technical structures that support a society, such as
roads, water supply,  electrical grids, telecommunications, and so forth.

The infrastructure facilitates the production of goods and services e.g. roads enable
the transport of raw materials to a factory, and also for the distribution of finished products to
markets and basic social services such as schools and hospitals. In military parlance, the term
refers to the buildings and permanent installations necessary for the support, redeployment,
and operation of military forces.

Therefore the transport infrastructure is extremely important for economic

development of any country which includes roads, bridges, and tunnels and for safe traffic the
various telecommunication equipments are very important. For the smooth traffic in the
entire transportation sector i.e. road, rail and air and water use of telecommunication devices
is increasing day by day such as the tracking navigation devices.

(b) Agriculture

Some years ago, farmers were in a worse state because of lack of proper information
regarding the weather, price of their commodity, proper advice from the agro expert and
market condition. Middlemen were exploiting the farmers as they were not able to
communicate with their counterpart in different parts of the country and abroad to know
about the prices of their crops.

However, due to the revolution in the telecommunication sector the farmers even
from rural areas can take the advantage of the various telecom devices. Now farmers can
discuss their problems with the expert and can take their advice regarding farming by using
different types of telecommunication devices.

(c) Education

With the latest technology in the telecommunication sector one can run a school
without being physically present there as in the case of online programmes. With the use of
internet a professor can give a lecture from a distance to the entire classroom and even the
students can ask the questions and answer them in real time. Using multimedia, students can
understand the subject well as they actually see the things happening; they can also appear for
various examinations by using online services and can make use of the internet for their
research work.

Distance learning, which provides an educational structure for students not in face-to-
face contact with a teacher, is an example of the dramatic changes in learning activity
resulting from telestructure and teleprocess. Compared to traditional correspondence
learning, teleprocessed distance learning allows many different combinations of audio, video,
and data exchange and interaction.

(d) Health

Information and telecommunications technologies play very important role to provide

and support health care when distance separates the participants. According to Dr. Hamadoun
Toure, to deliver health care for all this new century of connectivity, it will be through
cooperation and partnership between the technology and healthcare sectors.

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 Telecommunication is receiving increasing attention not only in remote areas where
health care access is troublesome but also in urban and suburban locations. Video conference
is very important when the doctors are not able to visit the patient place. The doctor can give
advice to his counterpart with the help of video conferencing when there are some
complications in the health of a patient.

Telecommunications can also expand home health care service access through new
attachments to home telephone service, providing consultation and monitoring services as
needed, especially to the less mobile elderly population, while reducing the number of trips to
health centres.  Care will be more cost effective when it is based on electronic access.

Personal medical records, extensive and current best medical practice information,
and consultations delivered by teleconference to the most appropriate location, which might
be remote from the health care professional is possible only because of telecommunication.

(e) Government Sector

Government agencies at all levels are introducing new applications of

telecommunications for a variety of functions, primarily to improve the quality of service to
the public, but also to reduce the cost of providing service and to improve efficiency. Some
examples of the use of telecommunications have been in the area of document handling, to
make it easier for agencies to process the paperwork associated with issuing regulations,
granting permits, recording transfers of property, improving the use of information to collect
taxes or assessments, and processing claims for benefits.

Many of these applications of telecommunications allow agencies to deliver services

to clients in a matter of minutes rather than hours and by telephone rather than in person.
Telecommunication devices can be most useful during natural calamity in any part of the
country. At the time of earthquakes, floods and cyclones valuable lives can be saved with the
help of telecommunication devices.

(f) Business Sector

Today telecommunication is the heart of business sector. It will have been very
difficult for any organization without the use of telecommunication. In every sector of
business, telecommunication plays unavoidable role. Telecommunications, which is essential
in today’s smooth business operations, is the transmittal of data and information from one
point to another.

Telephoning, faxing, e-mail, the World Wide Web – none of these essential business
services would be available without fast and reliable telecommunications and so, the concept
of electronic commerce or e-commerce would be impossible. Managers can use
telecommunication technology for better controlling mechanism and better administration.

Telecommunications technology can reduce geographical distance to an irrelevant

factor. E-mail, voice mail, faxing, file transfer, cellular telephony, and teleconferencing allow
for full communication, whether among managers, between managers and their staffs, or
among different organizations .Telecommunications can also be used by one person to
monitor another person’s performance in real time.

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 Telecommunications is used to communicate directions and receive feedback without
requiring people to coordinate their schedules to hold a meeting. And the use of e-mail has
brought some secondary benefits to business communications, by establishing a permanent
written record of, and accountability for, ideas. The result is more accurate business
communications.

In the manufacturing firms one department depends on other department because

output of one department is input of another department. For example, when the sales
department receives a purchase order from a customer, it must communicate the order to the
warehouse, which needs the information to prepare the package. The warehouse workers
must then forward shipping documents to the accounts receivable department for billing, and
so forth. With telecommunications, all documents can be accessed electronically by many
different departments at the same time.

The telecommunication systems make the world a global village. The distance of
people from different countries gets closer. With the application of its technology, keeping in
touch with other people becomes uncomplicated. 

1.10 Impacts of Telecommunication

Telecommunication has a significant social, cultural and economic impact on modern

society. In 2008, estimates placed the telecommunication industry's revenue at $3.85 trillion
or just under 3 % of the gross world product (official exchange rate). The following sections
describe the impact of telecommunication on society.

1. Economic impact

(a) Microeconomics

The companies have used telecommunications to help build global business empires.
This is self-evident in the case of online retailer Amazon.com which deals with the sale of
books and other publications. But according to Edward Lenert, even the conventional retailer
Wal-Mart has benefited from better telecommunication infrastructure compared to its
competitors. In cities throughout the world, home owners use their telephones to order and
arrange a variety of home services ranging from pizza deliveries to electricians.

Even relatively poor communities have been noted to use telecommunication to their
advantage. In Bangladesh's Narshingdi district, isolated villagers use cellular phones to speak
directly to wholesalers and arrange a better price for their goods. In Côte d'Ivoire, coffee
growers share mobile phones to follow hourly variations in coffee prices and sell at the best
price.

(b) Macroeconomics

This can be linked to an area where there is good telecommunication infrastructure

and economic growth. Because of the economic benefits of good telecommunication
infrastructure, there is increasing worry about the inequitable access to telecommunication
services amongst various countries of the world—this is known as the digital divide.

A 2003 survey by the ITU revealed that roughly a third of countries have less than
one mobile subscription for every 20 people and one-third of countries have less than one
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land-line telephone subscription for every 20 people. In terms of Internet access, roughly half
of all countries have fewer than one out of 20 people with Internet access.

From this information, as well as educational data, the ITU was able to compile an
index that measures the overall ability of citizens to access and use information and
communication technologies. Using this measure, Sweden, Denmark and Iceland received the
highest ranking while the African countries Nigeria, Burkina Faso and Mali received the
lowest.

2. Social impact

Telecommunication has played a significant role in social relationships. Nevertheless

devices like the telephone system were originally advertised with an emphasis on the
practical dimensions of the device (such as the ability to conduct business or order home
services) as opposed to the social dimensions.

It was not until the late 1920s and 1930s that the social dimensions of the device
became a prominent theme in telephone advertisements. New promotions started appealing to
consumers' emotions, stressing the importance of social conversations and staying connected
to family and friends.

Since then the role that telecommunications has played in social relations has become
increasingly important. In recent years, the popularity of social networking sites has increased
dramatically. These sites allow users to communicate with each other as well as post
photographs, events and profiles for others to see. The profiles can list a person's age,
interests, sexual preference and relationship status. In this way, these sites can play important
role in everything from organising social engagements to courtship.

Prior to social networking sites, technologies like short message service (SMS) and
the telephone also had a significant impact on social interactions. In 2000, market research
group Ipsos MORI reported that 81% of 15 to 24 year-old SMS users in the UK had used the
service to coordinate social arrangements and 42% to flirt.

3. Other impacts

In cultural terms, telecommunication has increased the public's ability to access to

music and film. With television, people can watch films they have not seen before in their
own home without having to travel to the video store or cinema. With radio and the Internet,
people can listen to music they have not heard before without having to travel to the music
store. For example, videos and music watched in you tube (www.youtube.com).

Telecommunication has also transformed the way people receive their news. A survey
led in 2006 by Pew Internet and American Life Project found that when just over 3,000
people living in the United States were asked where they got their news, more people said
they got it from television or radio than newspapers.

Telecommunication has had an equally significant impact on advertising. TNS Media

Intelligence reported that in 2007, 58% of advertising expenditure in the United States was
spent on mediums that depend upon telecommunication.

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1.11 Signals used in telecommunication

(a) Audio signal

It is a representation of sound, typically as an electrical voltage. Audio signals have

frequencies in the audio frequency range of roughly 20Hz to 20 kHz (the limits of human
hearing). Audio signals may be synthesized directly, or may originate at a transducer such as
a microphone, musical instrument pickup, phonograph cartridge, or tape head. Loudspeakers
or headphones convert an electrical audio signal into sound. Digital representations of audio
signals exist in a variety of formats.

Audio signals may be characterized by parameters such as their bandwidth, power

level in decibels (dB), and voltage level. The relation between power and voltage is
determined by the impedance of the signal path, which may be single-ended or balanced.

(b) Video signal

The time varying electrical signal voltage obtained from the TV camera tube circuit
representing the special distribution of brightness information in the image is called the
picture signal or the video signal. The signal contains frequencies that depend on the:

 Scanning speed and

 Variations in the brightness of the image over the scanning lines.

Because of the fast scanning rate used in TV systems; the signal changes rapidly with
respect to time and hence contains a wide range of frequencies with bandwidth typically in
the range of 25HZ to 25MHz. The weak signal obtained from the camera pick up tube is
amplified in video amplifiers which are RC coupled amplifiers with extended frequency
response.

The video signal must in addition contain synchronizing pulses as signals that identify
retrace or flyback of the scanning beam and can be used to control the scanning rate at the
receiver so that the scanning at the receiver and transmitter takes place in synchronism. The
retrace should not be visible on the receiver screen and is hence blanked by pulses that cut off
the electron beam in the picture tube as well as in the camera pick up tube.

The blanking and sync pulses are thus inserted during the retrace period of the
scanning to form a composite video signal. The composite video is the format of an analog
television (picture only) signal before it is combined with a sound signal and modulated onto
an RF carrier. In contrast to component video (YPbPr) it contains all required video
information, including colors in a single line-level signal. Like component video, composite-
video cables do not carry audio and are often paired with audio cables.

Composite video is often designated by the CVBS meaning Colour, Video, Blanking,
and Sync. It is usually in standard formats such as NTSC, PAL, and SECAM.

1. Signal components

A composite video signal combines on one wire the video information required to
recreate a colour picture, as well as line and frame synchronization pulses. The colour video

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signal is a linear combination of the luminance of the picture, and a modulated subcarrier
carries the chrominance or colour information, a combination of hue and saturation.

The frequency spectrum of the modulated colour signal overlaps that of the baseband
signal, and separation relies on the fact that frequency components of the baseband signal
tend to be near harmonics of the horizontal scanning rate, while the colour carrier is selected
to be an odd multiple of half the horizontal scanning rate. This produces a modulated colour
signal that consists mainly of harmonic frequencies that fall between the harmonics in the
baseband luma signal, rather than both being in separate continuous frequency bands
alongside each other in the frequency domain.

The combination of luma and chroma is indeed a frequency-division technique, but it

is much more complex than typical frequency division multiplexing systems like the one used
to multiplex analog radio stations on both the AM and FM bands.

Colorburst is a composite analog video signal generated by a video-signal generator

used to genlock, keep the chrominance subcarrier synchronized in television studios for
colour television.

(c) Sine wave

The sine wave is a mathematical function that describes a smooth repetitive

oscillation. It occurs often in pure and applied mathematics, as well as physics, engineering,
signal processing and many other fields. Its most basic form as a function of time (t) is;

y(t)=A Sin (ωt+φ) where

 A, the amplitude, is the peak deviation of the function from its center position.
 ω, the angular frequency, specifies how many oscillations occur in a unit time
interval, in radians per second
 φ, the phase, specifies where in its cycle the oscillation begins at t = 0.

Fig 1.1: A graphical representation of a sinusoidal wave

When the phase is non-zero, the entire waveform appears to be shifted in time by the
amount φ/ω seconds. A negative value represents a delay, and a positive value represents an
advance

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 The sine wave is important because it retains its wave shape when added to another
sine wave of the same frequency and arbitrary phase and magnitude. It is the only periodic
waveform that has this property. This property leads to its importance in Fourier analysis and
makes it acoustically unique.

In general, the function may also have:

 a spatial dimension, x (position), with wave number k

 a non-zero center amplitude, D which looks like this:

y(x,t)=A Sin (ωt-kx+φ)+D

ω 2 πf 2 π
The wave number is related to the angular frequency by; k = = = , where λ
c c λ
is the wavelength, f is the frequency, and c is the speed of propagation.

This equation gives a sine wave for a single dimension, thus the generalized equation
given above gives the amplitude of the wave at a position x at time t along a single line. This
could, for example, be considered the value of a wave along a wire.

In two or three spatial dimensions, the same equation describes a travelling plane
wave if position x and wave number k are interpreted as vectors, and their product as a dot
product. For more complex waves such as the height of a water wave in a pond after a stone
has been dropped in, more complex equations are needed.

This wave pattern occurs often in nature, including ocean waves, sound waves, and
light waves. A cosine wave is said to be sinusoidal, because; Cos x=Sin (x+90°) which is also
a sine wave with a phase-shift of π/2. Because of this head start, it is often said that the cosine
function leads the sine function or the sine lags the cosine.

The human ear can recognize single sine waves as sounding clear because sine waves
are representations of a single frequency with no harmonics; some sounds that approximate a
pure sine wave are whistling, a crystal glass set to vibrate by running a wet finger around its
rim, and the sound made by a tuning fork.

To the human ear, a sound that is made up of more than one sine wave will either
sound noisy or will have detectable harmonics; this may be described as a different timbre.

Travelling and standing waves

Since sine waves propagate without changing form in distributed linear systems, they
are often used to analyze wave propagation. Sine waves travelling in two directions can be
represented as

y(t)=A Sin (ωt-kx) and y (t)=A Sin (ωt+kx)

When two waves having the same amplitude and frequency, and travelling in opposite
directions, superpose each other, then a standing wave pattern is created. The transverse
displacements of particles are governed by:

y=A Sin (kx-ωt+α)

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The transverse particle speeds are given by:

dy
=−ωACos ( kx−ωt+ α )
dt

V max =ωA

Notice that displacement and particle speed are 90° out of phase (sines and cosines).
When the particle is at its largest displacement, there is zero particle velocity. Maximum
transverse particle velocity occurs as the particle crosses the axis.

Example 1

The equation of a transverse sinusoidal wave is given by:

.
Find the;

a) Amplitude of the wave,

b) Wavelength,
c) Frequency,
d) Wave speed, and
e) Displacement at position 0 m and time 0 s.
f) Maximum transverse particle speed.

Solution

Amplitude, A is 2 mm.

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Chapter 2

1.0 Frequency Allocation and Licensing

1.1 Introduction

The use of radio frequency bands of the electromagnetic spectrum is regulated by

governments in most countries, in a spectrum management process known as frequency
allocation or spectrum allocation. Radio propagation does not stop at national boundaries.
Giving technical and economic reasons, governments have sought to harmonise the allocation
of RF bands and their standardization.

A number of forums and standards bodies work on standards for frequency allocation,
including:

a) International Telecommunication Union (ITU)

b) European Conference of Postal and Telecommunications Administrations (CEPT)
c) European Telecommunications Standards Institute (ETSI)
d) International Special Committee on Radio Interference (Comité international spécial
des perturbations radioélectriques - CISPR)

These standards bodies have assigned frequency bands in three types of allocation as
shown below;

i. No one may transmit; frequencies reserved for radio astronomy to avoid interference
at radio telescopes
ii. Anyone may transmit, as long as they respect certain transmission power and other
limits: open spectrum bands such as the unlicensed industrial, scientific and medical
(ISM) radio bands and the unlicensed ultra-wideband band (UWB), and the somewhat
more regulated amateur radio frequency allocations. Often users use a "listen before
talk" contention based protocol.
iii. Only the licensed user of that band may transmit: the licensing body may give the
same frequency to several users as a form of frequency reuse if they cannot interfere
because their coverage map areas never overlap.

High-demand sections of the electromagnetic spectrum may sometimes be allocated

through auctions.

2.2 Need for allocation

(i) Every day, users rely on allocation of frequencies for efficient use of such devices as:

Cell phone Mobile radio

Cordless phone GPS navigation
Garage door opener Satellite TV broadcast reception
Car key remote control Bluetooth
Broadcast television and audio Wifi
Vehicular speed radar, air traffic radar,
Standard time broadcast weather radar

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(ii) To reduce interference and crosstalk

2.3 International conventions

The range of radio frequencies is a matter of international convention. The separation

of countries into the three formal ITU RF allocation regions is one source of different RF
allocation policies in different parts of the world. The definition of the ITU Regions is based
largely on longitude.

 According to ITU Radio Regulations section 5.1: Member States assign

licenses to stations;
 Article 5 of the ITU regulations allocates frequencies to services (such as
broadcasting and mobile).

The ITU divides the world into five administrative regions:

A The Americas,
B Western Europe,
C Eastern Europe and Northern Asia,
D Africa, and
E Asia and Australia

The ITU also categorises states into three Radio regulatory Regions:

Region 1 Europe, Middle East, Africa, the former Soviet Union, including Siberia; and
Mongolia;
Region 2 North and South America and Pacific (East of the International Date Line);
Region 3 Asia, Australia and the Pacific Rim (West of the International Date Line)

Thus, the RF allocations fundamentally differ between continents. Longitude may

traverse continents, for example, the 40°E meridian crosses Europe (Russia), Asia (Middle
East) and Africa.

The division between Europe and the other regions is the root of the different RF
allocations in the ITU Radio Regulations, and standards around the world.

2.4 Management of the Spectrum

2.4.1 Radio Services

As per the guidelines of the World Radio Conference (WRC) the uses of radio are
typically divided into:

i. Radio services
ii. The spectrum used is divided into frequency bands
iii. Administrations allocate frequency bands to different categories of services
iv. Often with a licensing process for different types of transmission by service providers
who use the frequencies assigned to them by the administration.

17
 Public and private service requirements are two distinct areas. The spectrum required
for government and public services, for example the emergency services, national defence,
public service, broadcasting, and so forth, has traditionally been determined by administrative
means, which raises some problems.

In addition, it is necessary to reserve spectrum for these services because a market

mechanism would almost certainly result in the relevant spectrum being used for other, more
commercial purposes.

On the other hand, political and security concerns may well result in an over-
allocation of spectrum to these services, and the use of the spectrum by public service
operators may become very wasteful if there is no mechanism to enforce the most efficient
use of frequencies.

Spectrum allocated to private services, and frequencies assigned to private service

providers, may confer either property rights or rights of usage, which can raise difficult
questions of whether spectrum should be tradable, of the dangers of monopoly, and what, if
any, regulations or obligations should be imposed upon the assignment of frequencies.

A further question concerns the re-assignment of frequencies that may become

necessary, and whether the holders of the frequencies are under an obligation to return them
before the expiry of their licences. And in the absence of strict regulations governing the use
and non-use of frequencies, private operators may be tempted to ‘bank’ licences, being
motivated by the prospect of a future sale, or simply by the desire to keep the frequency out
of the hands of a competitor.

For all these reasons the allocation of spectrum and the assignment of frequencies
needs close co-ordination between the technical, engineering side of the regulator’s office to
monitor the efficient use of spectrum, and the economic, policy side to monitor the market
and possible abuses of market power.

2.4.2 Frequency Bands

Nothing illustrates better the explosive growth in the demand for radio spectrum than
the upper limits of the ITU’s frequency tables such as pre-1947 = 200 MHz, 1947 = 10.5
GHz, 1959 = 40 GHz and 1971 = 275 GHz

By the time of WRC 1997, most of the bands below 25GHz were in use, and although
the higher bands have less utilization, additional applications, such as fixed wireless, have
encroached above 25 GHz. A growing interest in space exploration and in broadcasting
satellite services has also created a demand for the higher end of the spectrum. The frequency
bands are shown below.

18
 Frequency Band number Symbol
3 – 30 kHz 4 VLF – Very Low Frequency
30 – 300 kHz 5 LF – Low Frequency
300 – 3000 kHz 6 MF – Medium Frequency
3 – 30 MHz 7 HF – High Frequency
30 – 300 MHz 8 VHF – Very High Frequency
300 – 3000 MHz 9 UHF – Ultra High Frequency
3 – 30 GHz 10 SHF – Super High Frequency
EHF – Extremely High
30 – 300 GHz 11 Frequency

2.5 WRC Regional Frequency Allocations

As far as possible the ITU tries to achieve harmonization of frequency allocations

intra-regionally and inter-regionally. In some cases frequency allocations are specific to a
particular service; in other cases a group of services can share a band and it is left up to the
local administration to assign frequencies according to local requirements. For example, in
some areas the demand for cellular mobile telecommunications services will be far greater
than in others. Climatic variations and signal propagation characteristics may also be
important considerations.

Sharing frequency bands obviously raises problems of potential interference and

regulators have to consider safeguards such as constraints on usage, for example restrictions
on power levels, on the direction of antenna, on day time or night time transmission, on the
use of guard bands, and so on. Interference may be impossible to eliminate altogether, in
which case acceptable levels have to be imposed.

(a) Primary and Secondary Allocations: The ITU recommendations include primary and
secondary allocations. Primary allocations are indicated by upper case in frequency tables,
such as FIXED or MOBILE, whereas only the first letter is capitalized in secondary
allocations, for example Fixed or Amateur. In the event of interference, operators with
secondary assignments are required to accommodate the requirements of those with primary
assignments.

(b) Frequency Table: The WRC frequency tables contain over thirty footnotes (treated as
paragraphs in the ITU’s Radio Regulations or RR) which specify a variety of addenda, such
as primary and secondary allocations, jurisdictions where exceptions apply, and so on. They
also cover the allocation of radio bands for technical, scientific and medical equipment and
apparatus which use radio frequency (RF) and from which there is a danger of radiation
which could prove either hazardous or an interference.

Service category

1. Fixed service (FS)

The service type includes:
i. Radio links between stations at specified terrestrial locations

19
 ii. Fixed satellite services (FSS) provide satellite links between stations at specified
terrestrial locations. FSS also includes satellite feeder links between other services
provided by terrestrially-located stations, such as mobile-satellite and broadcast-
satellite.

2. Broadcasting service (BS)

The service type includes:
i. Terrestrial transmitters and their emissions for direct reception by the general public
ii. Broadcasting satellite service (BSS) emissions for distribution for general public
reception
iii. Radio stations on land vehicles, aircraft, ships or handheld, stations at fixed locations
that communicate directly with them, and the radio links used between any of them.

3. Mobile service (MS)

The service type includes:
i. Mobile satellite service (MSS) links with mobile radio stations or the stations at fixed
locations that communicate directly with them.
ii. Maritime mobile service (MMS) and maritime mobile-satellite service (MMSS). They
are special categories used in port operations service and ship movement service.
iii. Aeronautical mobile service (AMS) and Aeronautical mobile-satellite service
(AMSS) - includes civil air ‘Route’ (R) and non-civil air ‘Off-Route’ (OR)
frequencies for traffic control AMS(R) and AMS(OR) and safety messages AMS
(R)S and AMS(OR)S
iv. Land mobile service (LMS) and Land mobile-satellite service (LMSS)
All separately identified for frequency band allocation.

4. Amateur service (AmS)

The service type includes:
i. Amateur service (AmS) and Amateur-satellite service (AmSS)
ii. Space research service (SR), Earth exploration-satellite service (EES),
Meteorological-satellite service (MetS), Meteorological aids service (MetA), Radio
astronomy service (RAS), the Standard frequency and time signal service (TFS), the
Standard frequency and time signal-satellite service (TFSS), and the Space operation
service (SO) for telemetry purposes.

5. Technical and Scientific services

The service type includes:
i. Radio determination service (RDS), Radio determination satellite service (RDSS) –
radio waves are used for measuring the distance or location or relative movement of
objects or other physical characteristics – includes Radio navigation service (RNS) for
ship and aircraft navigation, which is subdivided into the Maritime radio navigation
service (MRNS) and the Aeronautical radio navigation service (ARNS), and
ii. Radiolocation service (RLS) for other RDS systems. The RDSS is similarly sub-
divided into the MRNSS, ARNSS, and the RLSS

6. Inter-satellite service (ISS)

Direct links between satellites where the frequency bands allocated in most cases can be used
regardless of the service.

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2.6 Radio Regulations

The ITU’s Radio Regulations are the primary reference point for all regulators of
spectrum management, and are derived from the recommendations of the World Radio
Conference and the Regional Radio communication Conferences (RRCs). Part 2 examined
the division of the spectrum into frequency bands and the use of spectrum among different
radio services. Part 3 examines the allocation of frequencies among radio services.

(a) Fixed Service frequency allocations

FS frequency allocations are extensive, but are all shared. Between 30 – 1000 MHz
allocations to FS with primary status accounts for 90% of spectrum in Region 3, and around
45 % in Regions 1 and 2.

In Region, 3 FS is mostly shared with MS and BS, along with other services. Above 1
GHz around 55 – 60% of the whole spectrum is allocated to FS with primary status, but
shared with BS, BSS, FSS, MS, MSS, RLS, SR and ISS. The ability to re-use frequencies
varies according to service types, for example, FSS may be highly directional leaving space
for simultaneous terrestrial FS use.

(b) Broadcasting Service frequency allocations

WRC allocations of HF spectrum up to the year 2007 provides for 3715 kHz of
exclusive bandwidth distributed between the 5950 kHz – 21850 kHz bands, although country
variations allow for some sharing with low-powered FS. Both FS and MS services had to
shift to clear these bands.

For wide-area continuous sound and television broadcasting much greater bandwidth
is required, up to 80 MHz per TV programme and 2 MHz per audio radio broadcast. In the
VHF and UHF bands about 60 % of the entire spectrum below 960 MHz is allocated to BS, a
total of 674 MHz of bandwidth in Region 3 where BS is shared equally with FS and MS.

Above 1 GHz various world and regional allocations have been made. In Region 3
11.7 – 12.5 GHz was allocated to BS on a primary shared basis. BSS allocations have been
made near the 12 GHz band and the 40.5 – 42.5 GHz and 84-86 GHz bands.

(c) Digital television and audio broadcasting

The introduction of digital television is subject to the ITU-R Digital television

terrestrial broadcasting 1997 Recommendation guidelines which propose digital systems
should fit into one of the existing 6, 7 or 8 MHz analogue channels.

As the migration towards digital television gathers pace, and that depends upon
television industry standards and the pace of technological development and the rate of take-
up of digital TV sets by the general public, so more channels will become available for
broadcast. But also bandwidth may be freed up from BS for other uses. Digital broadcasts
may also migrate to cable systems, or to BSS systems, which would free up yet more
spectrum in the VHF and UHF bands.

21
 Sound radio broadcasts using frequency modulation (FM) almost invariably use the
VHF band around 100 MHz (87 MHz – 108 MHz in Region 3) which provides better quality
than amplitude modulation (AM) at lower MF frequencies for receivers at domestic fixed
locations, although FM fades more quickly and is less reliable for moving vehicles.

But satellite digital audio broadcasting (S-DAB) for reception by vehicles and mobile
handsets is finding a market. The 1452 – 1492 MHz band has been allocated for BSS for S-
DAB outside the USA and one or two other countries, but it is shared with FS and other
services. The ITU has also proposed reserving part of the corresponding frequencies of the
BS band for terrestrial digital audio broadcasting (T-DAB).

(d) Mobile Services frequency allocations

Mobile services cover land, sea and air. Below 30 MHz maritime and aeronautical
mobile services, including satellite, have primary and often exclusive status. In the case of
Hong Kong maritime mobile services have exclusivity ranging between 14 and 70 kHz and
aeronautical mobile services exclusivity in different bands ranging between 2850 kHz and
137 MHz.

Above 30 MHz, in the VHF and UHF bands, many land mobile service devices; such
as cordless telephones, remote controllers and security alarms are permitted unlicensed usage
of frequency bands a few hundred kHz wide, subject to low power output which will travel
only short distances. This allows widespread geographical re-use of these channels. Land
mobile services all have secondary and shared status. Citizen Band (CB) is also found in
these frequencies.

Although WRC recommendations allow for MS and LMS below 30 MHz, which
include primary status in some frequency allocations, they are all shared, and in Hong Kong
there are none.

Above 30 MHz both public mobile radio service (PMRS) and private mobile radio
services (PMR) are common, but many are secondary and mostly shared with FS, which is
often primary. However, there is growing trend along the 30 to 960 MHz spectrum and
upwards towards 3 GHz for MS and LMS to replace FS where the latter moves off-air and
online.

Private mobile systems are widely used by different industries, typically using a band
20 to 40 MHz wide, divided into uplink and downlink bands, each sub-divided into 12.5 to 25
kHz channels. Users, such as trucking companies, will purchase transmitter/receiving
equipment, mostly FM and increasingly digital, tuned to the pair of frequencies assigned to
them.

(e) Private Mobile Services

The demand for these services is usually very high, and grows in parallel with
commercial development as transportation companies enlarge their fleets to cater for growth
in freight and passenger traffic. Withers (1999) outlines four approaches open to regulators to
minimize channel interference:

i. Same channel-pair assignment may be possible if the base stations are

sufficiently far apart, given the frequencies used, height of antennas and nature of terrain.
22
ii. Ensuring the use of narrow bandwidth equipment, which can be encouraged
by pricing the use of spectrum.
iii. Channel sharing can be possible using selective calling devices which can
detect when neighbouring networks are not utilizing channels, which happen if different
networks have markedly different utilization rates, or use their systems at different times
of the day.
iv. Sharing channels can work even during periods of heavy traffic on
neighbouring networks if a trunking system is used, which allows any group to seize any
channels available on the networks involved.

Trunking systems are generally more expensive than simple PMR systems, but make
much more efficient use of spectrum. They can work either off a centralized base station
system that assigns channels to a group according to immediately availability, or without a
base station as mobile-to-mobile. The typical range of transmission is up to 10 km operating
at around 900 MHz.

(f) Public Mobile Radio Services

The public mobile radio system (PMRS) is virtually an extension of the PSTN. First
generation (1G) mobile was an analogue system, 2G mobile came in 1990 and by 1995 there
were three 2G operators who replaced the advanced mobile system (AMPS 800), total access
communication system-TACS 900, and TDMA ETACS networks with digital amps (D-
AMPS), CDMA, D-TDMA and GSM systems. The D-AMPS system has since been replaced
by a narrowband CDMA network.

Later the operators prepared for 2.5G packet-switched networking, and finally the
issuance of 3G mobile UMTS licences has been done and most of the services offered today
are in this generation. The 140 MHz of spectrum was allocated during 2001, with the
possibility of a further 160 MHz becoming available after three to four years, following the
WRC recommendation in May 2000.

Other common MS services include paging, typically operating around 172 MHz or
280 MHz using assignments of 25 kHz, and cordless telephone and office systems linking
work stations operating in frequency bands from around 2 MHz to 2 GHz.

(g) Fixed Satellite Services

Fixed satellite services occupy around 55 % of WRC allocations of spectrum between
2.5 and 31 GHz. The major services include commercial C, Ku, Ka band, geostationary orbit
(GSO) satellite networks services, non-GSO satellite networks services, BBS and MSS feeder
links, among others. The higher frequency bands are listed below.

Code Nominal Frequency range (GHz)

L 1-2
S 2-3
C 4-6 3-8
Ku 10-15
Ka 17-31

23
 Worldwide allocations for FSS are for uplinks, 13.75 to 14.5 GHz, and for downlinks,
10.95 to 11.2 GHz and 11.45 to 11.7 GHz, plus 12.2 to 12.75 GHz for Region 3, mostly using
bandwidths of 500 MHz.

The uplinking bands tend to be exclusive, and downlinking bands not used for
terrestrial services, although in Region 3 BSS shares with over 12.2 to 12.75 GHz. FSS
shares the 13.75 to 14.5 GHz band with RLS and RN services which are primary.

To avoid undue interference, satellites are expected to be operational within a

tolerance of ±2° of their nominal orbital position, and preferably ±5 °. WARC Orb-88 aimed to
meet the concerns of developing countries by giving all ITU Member States 800 MHz
transmission bandwidth for GSO satellites, using 4500 to 4800 MHz (downlinks) and 6750 to
7025 MHz (uplinks) in the C-band and 10.7 to 10.95 GHz and 11.2 to 11.45 GHz
(downlinks) and 12.75 to 13.25 GHz (uplinks) in the Ku-band.

The nature of satellite transmission, especially for small countries, involves the
possibilities of cross-border over-spill between Member States of the ITU, and it is a
condition of ITU membership that this should be avoided if it involves interference. Four
factors pose problems for regulators in this area.

i. The electrical characteristics of transponders, antennas and emissions need to be taken

into account when assigning frequency allocations.
ii. Many satellites are uplinked in one jurisdiction but downlinked in others.
iii. Uplink and downlink frequencies are almost always closely related which needs to be
taken into account when assigning frequencies.
iv. The tuning ranges of the earth station receivers and transmitters may not be as wide as
those of the satellite.

(h) Broadcasting Satellite Services frequency allocations

It is sometimes known as direct broadcasting satellite (DBS) and needs to be

distinguished from direct-to-home satellite television (DTH) which comes under FSS and is
probably today the dominant activity of FSS.

Some countries have been more likely to allow DTH broadcasting as it can be
required to confine service to the domestic market, whereas DBS by its nature tends to be
cross-border, for example, regional in its footprint.

Only one allocation has been internationally agreed for BSS, around 12 GHz, with
feeder links at 14 GHz and 17 GHz, and although BSS is primary it is shared with BS, FS and
MS which are also primary. Compared with BS terrestrial television broadcasts using around
700 MHz bandwidth the BSS television broadcasts uses around 2.5 to 2.6 GHz.

One application of growing importance is the feed of satellite television and

broadband Internet streamed video signals to the head-end of terrestrial cable and fixed
wireless broadband distribution systems.

By contrast, satellite radio digital audio broadcast (S-DAB) uses around 1.4 GHz, and
this is becoming increasingly popular as a means of providing radio signals to moving
vehicles.

24
(i) Mobile Satellite Services frequency allocations

There are six groups of spectrum allocations for MSS, plus some FSS feeder links to
MSS, and in recent years, direct links between Medium and Low Earth Orbiting satellites
(MEOs and LEOs) to connect subscribers across regions and to connect with terrestrial
mobile switching centres or Internet eXchanges. Inter-satellite links (ISLs) can also be
provided by Inter-satellite service (ISS) frequencies. The six groups are bands for:

i. Commercial GSOs, embracing MSS, MMSS, AMSS and LMSS, using bands
from UHF and above.
ii. Government, including military, networks, using bands from UHF and above.
iii. Non-GSO systems below 1 GHz using narrow bands, mainly so-called ‘Little
LEOs’.
iv. Non-GSO systems using major band systems below 3 GHz in UHF, mostly for
global mobile personal communications by satellite (GMPCS), including GSOs,
MEOs and ‘Big LEOs’.
v. Nine bands above 40 GHz, offering ‘millimetre-wave’ MSS allocations, but they
are not much used at present.
vi. Distress and safety communications in the VHF and UHF bands.
vii. MSS feeder links from stationary earth stations to satellite are assigned as part of
FSS.

Regulators have to be able to accommodate the demand for such innovative services,
and at the same time remain aware of how far the market is developing because the spectrum
will always have alternative uses and alternative claims made upon it.

2.6 Telecommunication Licenses

1. Objectives of Licensing

i. Regulating provision of an essential public service-basic telecom is a basic service in

Kenya and other countries
ii. Expansion of networks and other universal service objectives-network roll out and
service obligations are included in the license usually where there is exclusivity.
iii. Privatization or commercialization-when PTT is being privatized, specify rights and
obligations
iv. Regulating the market structure-structure and numbers
v. Establishing a competition framework-allow competition, anticompetitive behaviour
safeguards, fair trading.
vi. Allocation of scarce resources e.g. frequency and numbers
vii. Generating government revenue-significant revenue e.g. mobile license revenue in
Kenya was $54m each
viii. Consumer protection-price regulation, billing, consumer complaints, privacy

2. Types of Licensing Regimes

There are three approaches to authorizing telecoms operators;

(a) Individual Licenses (Operator specific License)

 Usually customized and detailed licence document (40-50pages)

25
  Frequently granted through some form of competition selection process
 Useful where: a scarce resource or right is to be licensed e.g. spectrum, the regulator
has significant interest in ensuring that the service is provided in a particular manner
e.g. where the operator has significant market power

Examples

 Basic PSTN services in a monopoly market

 Mobile and fixed wireless services
 Any service requiring spectrum

(b) General Authorizations (class license)

 Useful where individual licenses are not justified but where there are significant
regulatory objectives which can be achieved by establishing general conditions
 Normally contain provisions relating to consumer protection and other essential
requirements
 Generally issued without competitive selection process; all qualified entities are
authorized to provide service or operate facilities

Examples

 Data transmission services

 Resale services
 Private networks

(c) Open entry (No Licensing)

 No licensing or qualification requirements

 Useful where an activity is technically caught within the definition of activities
subject to regulation (e.g. offering a telecommunication service to the public) but
where there is no justification for imposing licence requirements.
 General requirements (e.g. registration with the regulator) can be imposed through a
general regulation or order.

Examples

 Internet Service providers (ISPs)

 Value added services

3. Spectrum Licensing

The issuance of license should be tied to the issuance of a frequency/ spectrum

license. There should be no delay or risks of inconsistent regulatory requirements between the
two licenses.

There are three approaches of assigning spectrum:

 Lottery
 Comparative evaluation process

26
  Auctions

(a) Lotteries

They provide a fast, inexpensive and transparent approach for selecting from
substantially similar or equally qualified applicants. The lotteries should generally be
preceded by a formal qualification process to select lottery participants. Otherwise, their use
may hinder sector development.

In the US, for example, experience demonstrates that some past lottery participants
had no intention of operating telecommunications services, but simply planned to resell their
spectrum licenses for a profit.

(b) Comparative evaluation

This provides an approach for choosing among multiple applications that are similar.
It also allows regulators to match specific sectoral objectives with the operators. There are
many forms of comparative evaluation schemes. In some cases, spectrum licences are
awarded to applicants expected to make the best use of spectrum to serve the public.

Comparative evaluation process may involve the application of a variety of

qualification and selection criteria. In most cases, these criteria will be published in advance,
and applicants will strive to demonstrate how their applications meet. The selection criteria
may include proposed tariffs, coverage (geographical) and in terms of users, network roll out
targets, quality and range of service commitments and efficient use of frequencies.

Disadvantage

 There is a subjective element to most comparative evaluation processes. Hence, they

are sometimes referred to as beauty contests. Because of the subjective element, it is
often suspected that regulators or other decision makers may not exercise their
judgement impartially. In some cases these suspicions may lead to litigation.
 It is often slow since careful evaluations of financial capability, technical plans etc
can take time.
 It involves inappropriate or questionable regulatory intervention in the selection of
winners and losers. It is often said that auctions provide a better alternative to
comparative evaluations, in that they rely on market forces rather than regulatory fiat
to determine competitive outcomes

(c) Auctions

They are increasingly used by regulators to grant spectrum licenses to the highest
bidders. In the case of auctions, the market ultimately determines who will hold the spectrum
licences. However, in many auction schemes, bidders are per-qualified using criteria similar
to those used in comparative evaluation processes. As a result, participation in some auctions
is limited to bidders with proven financial and technical capabilities.

27
 There are different types of spectrum auctions. The most common are:

 One round or simple auctions (open or closed) and

 Multiple round auctions (sequential or simultaneous)

Chapter 3

3.0 REGULATORY BODIES

3.1 Reasons for Regulation of Telecommunication

i. Promote universal access to basic telecommunication services.

ii. Foster competitive markets to promote

 Efficient supply of telecommunication services

 Good quality of service
 Advanced services
 Efficient prices

iii. Where competitive markets do not exist or fail, prevent abuses of market power such
as excessive pricing and anticompetitive behaviour by dominant firms
iv. Create a favourable climate to promote investment to expand telecommunication
networks
v. Promote public confidence in telecommunication markets through transparent
regulatory and licensing process.
vi. Protect consumer rights, including consumer rights.
vii. Promote increased telecommunication connectivity for all users through efficient
interconnection arrangements.
viii. Optimize use of scarce resources such as the radio spectrum, numbers and rights of
way.

3.1.1 Design of Telecommunication Regulators

 Ministries
 Administrative agencies e.g. National Communication Secretariat (NCS)
 Competition Authorities
 Self regulatory institutions e.g. Media Owners Association (MOA)
 Regulatory agency models such as CCK

3.1.2 Regulatory Structure

i. Single Regulators

It is headed by a single director general or other official assisted by various technical,

professional and support staff, as well as outside consultants.

ii. Collegial bodies

They are structured as quasi-judicial boards or commissions and the decisions are typically
made by consensus or in case of controversy by majority vote.

28
Advantages and disadvantages

a) They can act more quickly and decisively than collegial bodies
b) Collegial bodies provide checks, balances and collegial support for decision makers.
The decisions can therefore be more thoroughly debated and considered.
c) Large collegial bodies can lead to less cohesion and consistency than small ones or
single regulators
d) Some collegial bodies, especially large ones, have part time members. Such members
usually find it more difficult to keep abreast of developments in rapidly changing
telecommunications markets
e) Collegial bodies are somewhat less susceptible to capture by regulated companies.
However, financially insecure regulators of both types may be motivated by future
career prospects in the industry. Government tenure or other forms of security can
mitigate this concern

3.2 The Issues

The spectrum management is about tackling the problems of interference between

different users of the spectrum. When Member States sign up to the ITU they agree to abide
by the Radio Regulations which stipulate they should manage their national spectrum in ways
which prevent cross-border interference. Interference issues that arise solely within national
boundaries are matters for individual administrations and their respective regulators.

The three key issues concern regulators of spectrum:

i. Interference issues
ii. Potential radiation hazards on health and safety issues
iii. Efficiency issues

In addition, the regulator must study the following:

a) WRC recommendations and other ITU spectrum allocation issues

b) Other international agreements which come under the WTO, including the Basic
Agreement on Telecommunications (BAT) Reference Paper on transparent regulatory
procedures, the International Technology Agreement (ITA) commitment to remove
tariffs on equipment imports, APEC’s (Asia-Pacific Economic Cooperation Forum)
Mutual Recognition Agreement (MRA) for mutual equipment type approval
procedures, and so on.
c) Recent developments in technologies
d) Market developments
e) Developments in regulatory practices world wide
f) Government policies. The policy objectives can be such that;

 The widest range of quality telecommunications services should be available

to the community at reasonable cost;
 The telecommunications services should be provided in the most economically
efficient manner possible; and
 The country should serve as the pre-eminent communications hub for the
region.

29
 This means the regulator’s job extends far beyond the purely technical and
engineering skills required for spectrum management. The regulator must be able to relate all
the policy issues mentioned above to the job of spectrum management. This can involve the
emphasis upon making and keeping the economy as open and competitive as possible. This
means a minimum level of regulation wherever possible, and a technology-neutral approach
to the equipment standards adopted by licensed operators.

3.3 Areas of regulation

The scope of telecoms regulation differs from country to country and in many
countries there is no telecoms-specific regulator at all. The areas of regulation can be
classified under three broad headings:

 Market issues,
 Industry issues and
 Technical issues.

1. Market Issues

The main areas of interest under this include:

(i) Protecting User Interests

User interests were of little concern in most countries in the past. A shortage of lines,
difficulty of making connections, high call failure rates, lack of service innovation, poor
response to complaints and high prices are just some of the issues that customers faced. These
issues are characteristic of any monopoly situation where the customer has little alternative
but to accept what is available.

The introduction of competition is designed to provide a basis on which the situation

can change. In theory, if users are not satisfied with the service provided by one operator,
they can change to another.

Unfortunately, the theory does not always apply in practice. Operators can conspire to
fix prices, in which case there is no effective competition on tariffs. Universal service is not
available in certain places, or special features such as emergency services are poorly
provided. Furthermore there are innumerable places where the individual users can be
seriously disadvantaged but have no means of putting the matter right on their own.

Thus, in keeping with the fact that the regulator’s role is primarily concerned with
customer welfare, protecting user interests is an important area for regulation.

(ii) Investigating User Complaints

This is associated with the need to protect user interests. The Regulator also needs to
set up and manage a mechanism whereby users can make known their complaints and, if such
complaints are valid, to obtain redress.

(iii) Serving the Disabled and Elderly

30
 Telecom is an industry that has widespread effects of a social nature. For example, a
simple telephone line can often also be a crucial lifeline for some sectors of the community.
The need to call help in times of emergency must not be ignored.

Regulators have a social responsibility to identify areas of special need and ensure
that such need is adequately met.

(iv) Customer Service Levels

The terms of an operator’s contract often include clauses that specify minimum levels
of service that the company needs to provide. If the specified levels are not achieved, the
operator is in breach of its licence and is at risk of having the licence revoked.

The areas where the quality of service is specified are commonly:

 Line quality;
 Geographical coverage of mobile networks;
 Time taken to connect new services;
 Time taken to repair faults and other service problems; and
 Time taken to attend appointments with customers.

(v) Managing Community Resources

Telecoms operators frequently use the community’s resources in order to provide the
services they offer. The most obvious example is the radio spectrum by which mobile
operators transmit telecoms traffic to their customers. But this is not the only example: laying
cable beneath the road network and through public premises is another.

Such uses of the public’s resources need to be managed carefully, especially since
they tend to be limited. There is only a set amount of spectrum available, and it needs to be
allocated fairly. Also, road works cannot be allowed to occur in a random and uncontrolled
manner or the impact on the environment would be intolerable.

Thus the need to regulate public resources is an important component of a regulator’s

job.

2. Industry Issues

The main areas of interest under these include:

(a) Licensing

The best known aspect of a regulator’s job is licensing, which involves the drawing
up of the terms of the various licences to be issued and then awarding those licences to the
appropriate applicants. It is the second part of this two-stage process that attracts the most
publicity.

The activities that need to be licensed vary from country to country. Providing basic
services such as the wireline or wireless networks is licensed virtually everywhere, but the

31
extent and manner of licensing for those companies that provide services over these networks
varies considerably.

(b) Ensuring Compliance with Licence Terms

Licences invariably include various terms and conditions that the licensee must meet.
The regulator therefore needs to monitor the licensees’ performances on occasion to ensure
that the terms and conditions are being met. If they are not, then some form of sanction must
be taken. Initially, this may be just a warning. If the licensee still fails to meet the
requirements, stronger action may be needed.

Clearly it is not possible (or wise) for regulators to monitor all licensees’
performances on an ongoing basis. In practice, the monitoring is only undertaken when a
complaint has been made or the regulator has some other reason for believing that licence
conditions are being violated.

(c) Ensuring Fair Competition

The regulator’s responsibility is to introduce and foster competition, this carries with
it the responsibility to ensure that such competition is conducted in a fair and equitable
manner.

There are numerous areas in which unfair competition may be introduced, from using
a dominant position in the market to misleading advertising.

(d) Establishing Codes of Conduct

While regulatory bodies are set up to control the development of the telecoms
industry, the preference is for this to be done in as light-handed a manner as possible. The
hope is that the industry should, as far as possible, regulate itself.

To facilitate this self-regulation, the regulator often produces codes of practice for
specific areas where guidance is necessary. If a licensee does not abide by such codes where
they apply, it is liable to having sanctions taken against it.

Typical codes include:

 Consumer codes – codes regulating the relationship between service providers and
consumers;
 Operations codes – codes regulating relationships among service providers; and
 Network codes – codes regulating technical operations of networks to ensure end to
end connectivity.

Sometimes such codes of practice are already available, produced by international

bodies or industry groups. Where they are not available or are seen to fail, the regulatory
body may need to intervene and produce its own.

(e) Stimulating Investment

32
 The role of a telecom regulator frequently includes having the responsibility for the
orderly and effective development of the industry. No other body is in a position to do this, so
it usually falls to the regulator.

In an industry like telecoms with its rapid rate of change - change that requires
continual heavy investments - the responsibility to develop the industry implies the need,
inter alia, to stimulate investment in it. This is done by regulating the industry in such a
manner that companies find it an attractive market in which to invest and introduce new
products and services.

(f) Setting Prices

Determining the prices that companies charge their customers is an issue that
regulators are generally loath to touch. Moreover, in a well functioning market there should
not be any need to do so. Where competition exists and is performing properly, companies
that over-charge for the service provided will lose their customers to their competitors.

Unfortunately, such an ideal situation does not yet exist anywhere. Some countries are
nearer the ideal than others but, even there, distortions exist and still have to be addressed. A
number of regulators take the view that they should control prices until they are sure the
industry is truly competitive. This usually is observed in the setting up of interconnection
rates. For example, in Kenya the CCK sets the mobile termination rate which currently is
Kshs. 2.21.

(g) Rate Rebalancing

Under a monopoly situation, a telecom operator was free to subsidise one part of its
business by profits from another. For example, it could use revenue from lucrative
international calls to keep local charges down.

In a competitive situation, this is unacceptable because it distorts the market. A new

operator in the local market must be able to compete against the incumbent on an equal basis,
and not have to face a situation where the competition’s charges are uneconomic on their
own.

There is thus a need to rebalance the rates, but the extent of the rebalancing and the
speed with which it is done must be carefully managed. The regulator must not lose sight of
the fact that large and rapid change could affect some customers quite badly.

(h) Investigating Complaints from Licensees

While user complaints are important, they are not the only type of complaint that
needs to be handled. Since the regulator issues licences with terms and conditions attached,
any abuse of such terms by a licensee is a matter for the regulator’s concern. In a competitive
situation, one of the most likely objector’s where abuse occurs is another licensee.

Therefore, the regulator must set up a complaints mechanism where licensees

themselves may express their disquiet over improper practices.

33
 3. Technical Issues

The main areas of interest under the heading ‘technical issues’ are:

(a) Interconnection Issues

Probably the most difficult, and certainly the most common, issue that regulators have
to face is in ensuring that new licensees are allowed to interconnect their networks with the
dominant carrier on fair terms and in a realistic time-scale.

(b) Use of the Radio Spectrum

The radio spectrum is used by operators to provide wireless services to their

customers. However, the spectrum is limited and is therefore not freely available to all the
operators that want to use it. The problem is especially acute because of the popularity of
wireless services and the demands being made on the spectrum.

The regulator’s role is thus to decide how many operators can use the spectrum and
how much each should have. The matter is not just one of dividing up a scarce resource as
fairly as possible. Technical problems exist because of the nature of the spectrum.

For example, buildings and a country’s geography may affect the way it can be used.
Also, while operators may have distinct ranges of spectrum, there is a need to avoid
interference caused by the traffic from one operator affecting that of others.

(c) Technical Standards

The need to have technical standards arises in a number of ways, such as to ensure the
feasibility of interconnection between networks, to avoid undue fragmentation of the market
and to ensure safety standards are upheld.

Such standards relate to:

 Customer equipment standards;

 Cable standards;
 Network standards; and
 Radio standards

Frequently it is the regulator’s task to approve equipment that is connected to a

network. This ‘type approval’ is intended to ensure the integrity of the network and the safety
of those who use it.

3.4.2 Example of Type Approval Procedure-Kenyan case

All applications for Type Approval shall be made in writing.

1. CCK shall assess the application and advice on the type approval fees as well as other
requirements.

 Type Approval a fee is paid up front and is non-refundable.

34
 2. Applicants for limited use authority shall be required to submit the following items:

 Terminal equipment complete with associated accessories

 Relevant user/operations manuals in English language
 Copies of valid purchase/import documents.

3. Applications for type approval for purposes of marketing these equipment must
include the following:

 Sample of the terminal equipment they intend to market together with other
requirements which vary depending on the type of terminal equipment for which they
are seeking Type Approval. Some of the items required to be submitted by vendors
include:
 Copy of valid vending license
 Letter of agency from equipment manufacturer or manufacturer's representative
 Detailed technical documentation in English language
 Copy of test report from manufacturer or an accredited laboratory
 Cross referenced compliance statement (in case of large PABX equipment of
capacity in excess of 50 ports).

4. Where applicable, laboratory tests shall be carried out on the terminal and the test
results obtained are used together with the other submitted manufacturer's test report
plus technical documentation in the technical evaluation process.
5. In the case of vendors, their business premises shall be inspected to assess their
capability in terms of workshop facilities and technical personnel.
6. CCK compiles an evaluation report for every equipment. It then gives an appropriate
technical opinion recommending as to whether the equipment complies with the
mandatory standards or not.
7. CCK has no obligation to avail laboratory test results report to the applicant.
8. If the equipment is found to comply with the Commission's specifications in all
respects, it shall be granted approval.
9. For approved cases provisional type approval shall granted to the vendor to market
the equipment or authority to use the equipment shall granted to an individual.
10. For rejected cases, CCK shall retain the equipment until the owner finalizes
arrangements for its direct re-exportation.
However, CCK is not obliged to return the equipment that has been submitted for TA
purposes, since some of our tests could be destructive.
11. Type approval is done only once for every model of equipment.

3.5 Regulator’s role

The regulator has to ensure that telecoms customers receive the best possible service
in terms of quality, choice and value for money. However, each regulator pursues this role
using different procedures and emphasis.

Regulators are subject to a many pressures and these come from a range of sources.
The operators try to influence decisions to give themselves competitive advantage the
equipment suppliers want a technical environment in which their products can be marketed;
trade bodies wish to look after the interests of their members; and so on.

35
 However, when all is said and done, the primary role of independent regulators in the
newly emerging competitive telecoms markets is to safeguard the public’s interest.

3.5.1 Core Responsibilities

The following is a list of responsibilities that are the responsibility of regulators in most
countries:

 Issuing licences for all segments of the telecoms industry;

 Regulating licensees to ensure that they fully meet the terms of their licences;
 Protecting customers against the failure of licensees to provide the services for which
they are licensed;
 Costing, and ensuring delivery of, the universal service obligation (USO);
 Ensuring that carriers avoid the use of their networks for illegal or improper activities;
 Ensuring that carriers provide adequate access to emergency call services;
 Ensuring that licensees protect their customers’ confidential information;
 Ensuring that carriage service providers make plans to manage natural disasters;
 Regulating the inter-carrier use of calling line identification (CLI);
 Establishing technical standards and issuing permits for equipment and cabling;
 Establishing and maintaining an appropriate numbering plan;
 Regulating and enforcing the powers and responsibilities of the licensees;
 Providing information about the telecoms industry, especially in those areas for which
the regulator has responsibility; and
 Investigating complaints from customers, other licensees, industry bodies or any other
source.

3.5.2 Secondary Responsibilities

The following are being termed ‘secondary responsibilities’ not because they are less
important but because they tend to be less common:

 Annual and quarterly reporting of the performance of carriage service providers with
reference to consumer satisfaction, consumer benefits and quality of service;
 The continued availability of an untimed local call charge option;
 The establishments of standards for standard telephone handsets hat prescribe
facilities to be made available for people with disabilities;
 Public education campaigns on various telecom issues;
 Setting and implementation of Customer Service guarantees;
 Ensuring appropriate membership or exemption from the communications
ombudsman scheme by all carriage service providers;
 Registration, with safety-net style enforcement powers, of industry including
consumer, operations and technical) codes of practice;
 Setting of industry standards where codes fail or fail to be created;
 Ensuring that carriers and carriage service providers are prepared to provide services
for defence purposes;
 Ensuring carriers and carriage service providers co-operate with law enforcement
agencies in relation to the telecommunications (interception) act 1979 and consult
with law enforcement agencies about the possible impact of new technology on the
operation of those agencies;

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3.6 Advisory Committees

To assist in carrying out their roles effectively, regulators often find it useful to
establish advisory committees covering specific areas of their work. Typically, such advisory
bodies include:

 Telecom Standards

Some of the areas in which such a committee could help a regulator are:

 The establishment and maintenance of technical standards;

 The policies and procedures for the testing, approval and certification of
telecoms equipment;
 The technical specifications for type-approval;
 The formulation of the national position on technical issues at international
forums; and
 The presentation of the national position at international forums

 Numbering Plan

Some of the areas in which such a committee could help a regulator are:

 The development and implementation of the nation’s numbering plan; and

 The allocating of numbers in a fair and equitable manner both to telecoms
operators and to users.

 User Interests

Some of the areas in which such a Committee could help a Regulator are:

 The suitable development, provision and maintenance of telecoms services

seen from the consumer’s perspective; and
 The education of, and dissemination of information to, users to maximise the
benefits available.

3.7 Advising Government on Telecom Policies

As the official body relating to the telecoms industry, Regulators are often expected
by governments to advise them on the telecoms industry on policies to be adopted and other
matters of major importance connected with the industry.

3.8 International Activities

Again, being the official body relating to the telecoms industry, a Regulator is often
the focus for international activities. Such activities can range from representing the country
at overseas conferences to monitoring what is happening elsewhere in the world and making
that knowledge available to interested domestic bodies.

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3.9 Licensing Process

Licensing is one of the regulator’s main tasks. It involves deciding the types of
licence to be issued, the number of each type to be issued and the manner in which they are
awarded.

 Types of Licence

In order to simplify the licensing process, the trend is towards having fewer types of
licence. In a number of countries there are now only two types, one for those companies that
provide the network infrastructure and the second for everyone else.

This distinction is made because it is felt that the up-front investments made by those
building the infrastructure are so much greater than for other types of player that the terms
under which they are licensed must be different.

Where a range of different types of service supplier are grouped together, they are
said to be issued with a ‘Class Licence’. However, not all countries have just two types of
licence. Some countries still issue different licences for different services such as basic
domestic services, basic international services, broadband services, Satellite Master Antenna
Television services, satellite services, etc.

 Number of Licences

There is a distinct difference of approach among regulators as to the number of

licences that should be issued. Some regulators in the spirit of promoting competition as fully
as possible, they issue licences to all applicants and letting the market decide how many
suppliers should be there. In such an environment, those companies that find they are unable
to be profitable do not survive.

An alternative approach is for the regulator to decide how many licences should be
issued. The number decided upon can be reached taking into account any number of
considerations:

 Excessive competition is unhealthy,

 More players makes control more difficult,
 Political pressure from vested interests, etc.

Probably the first approach is more suitable for a regulatory regime where openness and
transparency are among the prime objectives.

However, there are circumstances in which even those regulators who prefer to issue
as many licences as there are applicants cannot do that. The most obvious (though not the
only) example is with licences for wireless services. The radio spectrum is limited and this in
turn limits usage. The larger part of the spectrum that is allocated for each licence, the smaller
the number of licences that can be issued.

Therefore all regulators, whatever the approach they would like to take, are faced
with the problem of deciding on the number of licences that can be issued for some services,
and in deciding how these licences should be awarded.

38
  Awarding Licences

Once the number of licences to be issued has been decided, the Regulator’s next task
is to determine who should receive them. The result of this part of the process provokes, quite
naturally, considerable controversy.

There are a number of ways by which the choice can be made. Some possibilities are:

 Evaluating each application on the basis of some pre-determined criteria;

 Conducting hearings before an evaluation committee;
 Holding an auction;
 Conducting a lottery;
 Granting licences by legislative action; or
 Combining one or more of the above.

3.11 Regulatory bodies

1. International Telecommunication Union (ITU)
It is the specialized agency of the United Nations which is responsible for information
and communication technologies. ITU coordinates the shared global use of the radio
spectrum, promotes international cooperation in assigning satellite orbits, works to improve
telecommunication infrastructure in the developing world and establishes worldwide
standards.

ITU also organizes worldwide and regional exhibitions and forums, such as ITU
TELECOM WORLD, bringing together representatives of government and the
telecommunications and ICT industry to exchange ideas, knowledge and technology.

The ITU is active in areas including broadband Internet, latest-generation wireless

technologies, aeronautical and maritime navigation, radio astronomy, satellite-based
meteorology, convergence in fixed-mobile phone, Internet access, data, voice, TV
broadcasting, and next-generation networks.

ITU is based in Geneva, Switzerland, is a member of the United Nations

Development Group and its membership includes 193 Member States and around 700 Sector
Members and Associates.

(a) ITU sectors

The ITU comprises three sectors, each managing a different aspect of the matters
handled by the Union, as well as ITU Telecom:

(i) Radio communication (ITU-R)

Managing the international radio-frequency spectrum and satellite orbit resources is at

the heart of the work of the ITU Radio communication Sector (ITU-R).

(ii) Standardization (ITU-T)

ITU's standards-making efforts are done by a body known prior to 1992 as the
International Telephone and Telegraph Consultative Committee or CCITT (in French
"Comité consultatif international téléphonique et télégraphique")

39
(iii) Development (ITU-D)
It was established to help spread equitable, sustainable and affordable access to
information and communication technologies (ICT).

(b) Leadership

The ITU is headed by a Secretary-General, who is elected to a four-year term by the

member states at the plenipotentiary conference.

At the 17th Plenipotentiary Conference (2006) in Antalya, Turkey, the ITU's member
states elected Dr Hamadoun Touré of Mali as Secretary-General of the Union. He was re-
elected for a second 4-year term at the 18th Plenipotentiary Conference (2010) in
Guadalajara, Mexico.

(c) Membership

The member states of the ITU are 192 of the 193 UN member states and the Vatican
City. The observers are the Palestinian territories.

Non-members include Palau (the only UN member state not to be a member), the
Republic of China (Taiwan) which was blocked from membership by the People's Republic
of China but finally was given a country code listing it as "Taiwan, China", Cook Islands,
Niue, and the states with limited recognition. The most recent member to join is South Sudan,
which became a member on 14 July 2011.

Membership of ITU is open to governments, which may join the Union as Member
States, as well as to private organizations like carriers, equipment manufacturers, funding
bodies, research and development organizations and international and regional
telecommunication organizations, which can join ITU as non-voting Sector Members.

This body is based on public-private partnership since inception. The ITU currently
has a membership of 193 countries and over 700 private-sector entities and academic
institutions. ITU is headquartered in Geneva, Switzerland, and has twelve regional and area
offices around the world.

ITU membership represents a cross-section of the global ICT sector, from the world's
largest manufacturers and carriers to small, innovative players working with new and
emerging technologies, along with leading R&D institutions and academia. 
Founded on the principle of international cooperation between governments (Member States)
and the private sector (Sector Members, Associates and Academia), ITU is the premier global
forum through which parties work towards consensus on a wide range of issues affecting the
future direction of the ICT industry.

(e) Work of ITU

It has three main areas of activity organized in ‘Sectors’ which work through conferences and
meetings.

( i) Radio communications

40
 Satellites enable phone calls, television programmes, satellite navigation and online
maps. Space services are vital in monitoring and transmitting changes in such data as ocean
temperature, vegetation patterns and greenhouse gases which help us predict famines, the
path of a hurricane, or how the global climate is changing. The explosive growth of wireless
communications, particularly to provide broadband services, demonstrates the need for global
solutions to address the need for additional radio spectrum allocations and harmonized
standards to improve interoperability.

ITU’s radio communication sector (ITU-R) coordinates this vast and growing range
of radio communication services, as well as the international management of the
radiofrequency spectrum and satellite orbits. An increasing number of players need to make
use of these limited resources, and participating in ITU-R conferences and study group
activities where important work is done on mobile broadband communications and
broadcasting technologies such as Ultra HDTV and 3D TV which is becoming an ever-higher
priority for both governments and industry players.

(ii) Standardization

ITU standards (called Recommendations) are fundamental to the operation of today’s

ICT networks. Without ITU standards you couldn’t make a telephone call or surf the Internet.
For Internet access, transport protocols, voice and video compression, home networking, and
myriad other aspects of ICTs, hundreds of ITU standards allow systems to work – locally and
globally. For instance, the Emmy award-winning standard ITU-T H.264 is now one of the
most popular standards for video compression.

In a typical year, ITU will produce or revise upwards of 150 standards covering
everything from core network functionality to next-generation services such as IPTV. If your
product or service requires any kind of international buy-in, you need to be part of the
standardization discussions in ITU’s Telecommunication Standardization Sector (ITU-T).

(iii) Development

The ITU’s Telecommunication Development Sector (ITU-D) has a programme to

offer one, whether interested in entering or expanding the presence in emerging markets,
demonstrating global ICT leadership, learning how to put good policy into practice, or
pursuing your mandate for corporate social responsibility.

In an increasingly networked world, expanding access to ICTs globally is in

everybody's interest. ITU champions a number of major initiatives which encompass ITU's
internationally-accorded mandate to ‘bridge the digital divide’, such as its ITU Connect
events or Connect a School, Connect a Community. ITU also regularly publishes the
industry’s most comprehensive and reliable ICT statistics.

2. Communication Commission of Kenya

It is the regulatory authority for the communications sector in Kenya. It was

established in 1999 by the Kenya Communications Act (KCA) No. 2 of 1998, CCK’s initial
mandate was regulation of the telecommunications and postal/courier sub-sectors, and the
management of the country’s radiofrequency spectrum.

41
 In recognition of the rapid changes and developments in technology which have
blurred the traditional distinctions between telecommunications, Information Technology
(IT) and broadcasting, the Government in January 2009 enacted the Kenya Communications
(Amendment) Act 2009.  This statute enhanced the regulatory scope and jurisdiction of CCK,
and effectively transformed it to a converged regulator.

CCK is now responsible for facilitating the development of the information and
communications sectors (including broadcasting, multimedia, telecommunications and postal
services) and electronic commerce.

This responsibility entails:

 Licensing all systems and services in the communications industry, including

telecommunications, postal/courier and broadcasting.  
 Managing the country’s frequency spectrum and numbering resources,
 Facilitating the development of e-commerce.  
 Type approving/accepting communications equipment meant for use in the country
 Protecting consumer rights within the communications environment.
 Managing competition in the sector to ensure a level playing ground for all players,
 Regulating retail and wholesale tariffs for communications services.  
 Managing the Universal Access Fund
 Monitoring the activities of licensees to enforce compliance with the licence terms
and conditions as well as the law.

(a) Sector Legislation

The Communications Commission of Kenya (CCK) executes it mandate in line with

its establishing Act i.e. the Kenya Communications Act, 1998, as amended by the Kenya
Communications (Amendment) Act, 2009. The two sets of legislation have been
amalgamated to form the Kenya Information and Communications Act, CAP 411A.

The Kenya Information and Communications Act, CAP 411A, and the attendant
subsidiary legislation are available in the Kenya communications act.

(b) Sector Regulations

The regulations governing the communications sector in Kenya are as follows:

a. Universal Access and Services Regulations, 2010

b. Tariff regulations, 2010
c. Radio Communications and Frequency Spectrum Regulations, 2010
d. Postal and Courier services Regulations, 2010
e. Numbering Regulations, 2010
f. Licensing and Quality of Service Regulations, 2010
g. Interconnection and Provision of Fixed Links, Access and Facilities Regulations,
2010
h. Importation, Type Approval and Distribution of Communications Equipment
Regulations, 2010
i. Fair Competition and Equality of Treatment Regulations, 2010
j. Electronic Certification and Domain Name Administration Regulations, 2010

42
 k. Dispute Resolution Regulations, 2010
l. Consumer Protection Regulations, 2010
m. Compliance Monitoring, Inspections and Enforcement Regulations, 2010
n. Broadcasting Regulations, 2009
o. The Kenya Communications Regulations, 2001

(c) Industry Codes of Practice

Code of Practice

A code of practice is a set of professional standards or written guidelines agreed on by

members of a particular profession or written guidelines issued by an official body or a
professional association to its members to help them comply with its ethical standards.

(i) Need for Code of Practice

Codes of Practice are normally considered when:

 Government regulations are unlikely to occur or are inappropriate for the specific
section of the market
 Overarching legislation exists and the objective is to assist in ensuring compliance 
through the development of controls to improve industry standards
 There is widespread acknowledgement that there is need for, and commitment to, the
development of controls to improve industry standards
 The objective is to provide customer focused benefits beyond the minimum standards.

(ii) Role of Codes of Practice

 Code of Practice as is a form of industry self-regulation (encourages industry self-

regulation)
 Advances/improves consumers’ confidence in Industry and organizations that
subscribe to the Code of Practice
 Promote good business practices

(iii) Role of the Commission in the development of Codes of Practice

The Commission in its mandate to encourage competition in the communications

sector will endeavor to ensure that the communication service providers are operating in an
ethical manner so as to provide quality and affordable communication services to Kenyans.
The Commission is committed to ensuring that the communications sector is conducive for
communication service providers to grow within the sector. In so doing the Commission, in
consultation with industry stakeholders, encourages the development on industry codes of
practice to facilitate and enhance business relations in the marketplace with all relevant key
stakeholders (both private and government entities and agencies).

The Commission has in collaboration with stakeholders developed a code of practice

for the deployment of communications infrastructure, and is in the process of developing
mechanisms for enforcing it.

(d) Rulings and Determinations

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 The Kenya Communications Act 1998 vests CCK with adjudicative powers in the
discharge of its statutory mandate of licensing and regulating telecommunications, radio
communication and postal services within the country. CCK has on a number of occasions
exercised these powers in a bid to ensure provision of communication services and effective
competition in the provision of such services.

Some of the rulings and determinations made since CCK's inception are;

 Short messages services (SMS) interconnection termination rates: "Addendum to

interconnection determination No. 2 of 2010 - 1st January 2011 
 Determination on Interconnection Rates for Fixed and Mobile Telecommunications
Networks, Infrastructure Sharing and co-location, and  Broadband Services in Kenya -
16th August 2010 
 Determination on Essar Telecom Kenya Ltd vs. Air Touch Connections Ltd, 8th
January 2010
 Determination on retail and Interconnection rates among the Fixed and mobile
Telecommunications Networks in Kenya - 22nd February 2007
 Ruling on the appeal by KenCell Communications Limited (now Celtel Kenya) over
interconnection rates for payphones in the matter between KenCell and Telkom
Kenya Limited - 31st October 2001
 Ruling on Internet Service Providers dispute on services offered by Telkom Kenya
Limited - 6th August 2004

(e) Consumer Protection

The commission has a significant role in the provision of consumer protection in three
ways. The first is through the issuance of licenses that have conditions, which address various
aspects of service provision by the licensees. Secondly, the Commission has introduced
competition in various market segments in line with the government sector policy. 

The third way in which the Commission protects consumers is by taking up certain
complaints raised by consumers with the licensees with a view to helping both parties reach
an amicable solution to the problem raised.

Questions

1. State and explain five objectives that regulators and/or governments wish to
achieve through telecommunications regulations.
(8marks)
2. Radio spectrum is a scarce resource. Giving advantages and disadvantages of
each compare and contrast the three means of allocating radio spectrum.
(12marks)
a. Lotteries
b. Comparative Evaluation processes (Beauty Contest)
c. Auctions
3. Differentiate between single sector and multi sector regulators giving
advantages, disadvantages of each. Hence, give the examples of SSRs and
MSRs. (20marks)

44
Chapter 4

4.1 Logarithmic units

4.1.1 Decibel

It is a logarithmic unit that indicates the ratio of a physical quantity (usually power or
intensity) relative to a specified or implied reference level. A ratio in decibels is ten times the
logarithm to base 10 of the ratio of two power quantities. A decibel is one tenth of a bel, a
seldom-used unit.

The decibel is used for a wide variety of measurements in science and engineering,
most prominently in acoustics, electronics, and control theory. In electronics, the gains of
amplifiers, attenuation of signals, and signal-to-noise ratios are often expressed in decibels.
The decibel confers a number of advantages, such as the ability to conveniently represent
very large or small numbers, and the ability to carry out multiplication of ratios by simple
addition and subtraction.

The decibel symbol is often qualified with a suffix, that indicates which reference
quantity or frequency weighting function has been used. For example, dBm indicates a
reference level of one milliwatt.

The definitions of the decibel and bel use base 10 logarithms. The neper, an
alternative logarithmic ratio unit sometimes used, uses the natural logarithm (base e). A
change in power ratio by a factor of 10 is a 10 dB change. A change in power ratio by a factor
of two is approximately a 3 dB change.

4.1.2 Definition

A decibel (dB) is one tenth of a bel (B), i.e., 1B = 10dB. The bel represents a ratio
between two power quantities of 10:1, and a ratio between two field quantities of √ 10 : 1. A
field quantity is a quantity such as voltage, current, sound pressure, electric field strength,
velocity and charge density, the square of which in linear systems is proportional to power. A
power quantity is a power or a quantity directly proportional to power, e.g., energy density,
acoustic intensity and luminous intensity.

The calculation of the ratio in decibels varies depending on whether the quantity
being measured is a power quantity or a field quantity. Two signals that differ by one decibel
1 1
have a power ratio of 1.25892 or 10 10 and an amplitude ratio of 1.12202 (or√ 10 10 ).

4.1.3 Power quantities

45
 When referring to measurements of power or intensity, a ratio can be expressed in
decibels by evaluating ten times the base-10 logarithm of the ratio of the measured quantity
to the reference level. Thus, the ratio of a power value P1 to another power value P0 is
represented by LdB, that ratio expressed in decibels,[16] which is calculated using the formula:

P1
LdB=10 log ⁡( )
P0

The base-10 logarithm of the ratio of the two power levels is the number of bels. The
number of decibels is ten times the number of bels (equivalently, a decibel is one-tenth of a
bel). P1 and P0 must measure the same type of quantity, and have the same units before
calculating the ratio. If P1 = P0 in the above equation, then LdB = 0. If P1 is greater than P0
then LdB is positive; if P1 is less than P0 then LdB is negative.

Rearranging the above equation gives the following formula for P1 in terms of P0 and LdB:
LdB

P1=10 10 P 0

Since a bel is equal to ten decibels, the corresponding formulae for measurement in bels (LB)
are;

P1
LB =log 10 ( )
P0

LB
P1=10 P0

4.1.4 Field quantities

When referring to measurements of field amplitude, it is usual to consider the ratio of

the squares of A1 (measured amplitude) and A0 (reference amplitude). This is because in most
applications power is proportional to the square of amplitude, and it is desirable for the two
decibel formulations to give the same result in such typical cases. Thus the following
definition is used:

LdB=10 log 10
( )
A12
A
2
0
=20 log 10 (
A1
A0
)

The formula may be rearranged to give

L dB
20
A1=10 A0

Similarly, in electrical circuits, dissipated power is typically proportional to the square

of voltage or current when the impedance is held constant. Taking voltage as an example, this
leads to the equation:

46
 A1
GdB=20 log 10( )
A0

where V1 is the voltage being measured, V0 is a specified reference voltage, and GdB is the
power gain expressed in decibels. A similar formula holds for current.

Example: All of these examples yield dimensionless answers in dB because they are relative
ratios expressed in decibels. Note that the unit "dBW" is often used to denote a ratio where
the reference is 1 W, and similarly "dBm" for a 1 mW reference point.

 To calculate the ratio of 1 kW (one kilowatt, or 1000 watts) to 1 W in decibels, this
formula is used;

GdB=10 log 10 ( 1000

1W )
W
=30 dB

 To calculate the ratio of √ 1000 V≈31.62 V to 1V in decibels, use the formula

31.62 v
GdB=20 log 10( )
1v
2
31.62 v 1 kW
Notice that( )≈ , illustrating the consequence from the definitions above that G dB
1v 1W
has the same value, 30dB, regardless of whether it is obtained from powers or from
amplitudes, provided that in the specific system being considered power ratios are equal to
amplitude ratios squared.

 To calculate the ratio of 1 mW (one milliwatt) to 10 W in decibels, use the formula

0.001 W
GdB=10 log 10( )
10 W

 To find the power ratio corresponding to a 3 dB change in level, use the formula
3
G=10 10 ×1=1.99526 ≈ 2

A change in power ratio by a factor of 10 is a 10 dB change. A change in power ratio

by a factor of two is approximately a 3 dB change. More precisely, the factor is 10 3/10, or
1.9953, about 0.24% different from exactly 2. Similarly, an increase of 3 dB implies an
increase in voltage by a factor of approximately√ 2, or about 1.41, an increase of 6 dB
corresponds to approximately four times the power and twice the voltage, and so on. In exact
terms the power ratio is 106/10, or about 3.9811, a relative error of about 0.5%.

Advantages of dB

The use of the decibel has a number of merits:

47
 a) The decibel's logarithmic nature means that a very large range of ratios can be
represented by a convenient number, in a similar manner to scientific notation. This
allows one to clearly visualize huge changes of some quantity
b) The overall gain of a multi-component system (such as consecutive amplifiers) can be
calculated by summing the decibel gains of the individual components, rather than
multiply the amplification factors (i.e. log (A × B × C) = log (A) + log (B) + log (C)).
c) The human perception of the intensity of, for example, sound or light, is more nearly
proportional to the logarithm of intensity than to the intensity itself, per the Weber
(Fechner law), so the dB scale can be useful to describe perceptual levels or level
differences.

4.1.5 Applications

(i) Acoustics

The decibel is commonly used in acoustics to quantify sound levels relative to a 0 dB

reference which has been defined as a sound pressure level of 0.0002 microbar, or 20
micropascals. The reference level is set at the typical threshold of perception of an average
human and there are common comparisons used to illustrate different levels of sound
pressure. As with other decibel figures, normally the ratio expressed is a power ratio (rather
than a pressure ratio).

The large measurement ranges are conveniently expressed in logarithmic units: the
base-10 logarithm of one trillion (1012) is 12, which is expressed as an audio level of 120 dB.

(ii) Electronics

In electronics, the decibel is often used to express power or amplitude ratios (gains),
in preference to arithmetic ratios or percentages. One advantage is that the total decibel gain
of a series of components (such as amplifiers and attenuators) can be calculated simply by
summing the decibel gains of the individual components.

Similarly, in telecommunications, decibels denote signal gain or loss from a

transmitter to a receiver through some medium (free space, waveguide, coax, fiber optics,
etc.) using a link budget. The decibel unit can also be combined with a suffix to create an
absolute unit of electric power. For example, it can be combined with "m" for "milliwatt" to
produce the "dBm". Zero dBm equals one milliwatt, and 1 dBm is one decibel greater (about
1.259 mW).

(iii) Optics

In an optical link, if a known amount of optical power, in dBm (referenced to 1 mW),

is launched into a fiber, and the losses, in dB (decibels), of each electronic component (e.g.,
connectors, splices, and lengths of fiber) are known, the overall link loss may be quickly
calculated by addition and subtraction of decibel quantities.

In spectrometry and optics, the blocking unit used to measure optical density is
equivalent to −1 B.
48
(iv) Video and digital imaging

In connection with video and digital image sensors, decibels generally represent ratios
of video voltages or digitized light levels, using 20 log of the ratio, even when the represented
optical power is directly proportional to the voltage or level, not to its square, as in a CCD
imager where response voltage is linear in intensity.

Thus, a camera signal-to-noise ratio or dynamic range of 40 dB represents a power

ratio of 100:1 between signal power and noise power, not 10,000:1. Sometimes the 20 log
ratio definition is applied to electron counts or photon counts directly, which are proportional
to intensity without the need to consider whether the voltage response is linear.

Unit conversions

Zero dBm equals one milliwatt. A 3 dB increase represents roughly doubling the
power, which means that 3 dBm equals roughly 2 mW. For a 3 dB decrease, the power is
reduced by about one half, making −3 dBm equal to about 0.5 milliwatt. To express an
arbitrary power P as x dBm, or vice versa, the following equations may be used:
x
10 x−30
x=10 log 10 (1000 P) or, x=10 log 10 P+ 30 and P= 10 or P=10 10 where P is the power in
1000
W and x is the power ratio in dBm.

The dBm is not a part of the International System of Units and therefore is
discouraged from use in documents or systems that adhere to SI units (the corresponding SI
unit is the watt). However the straight dB, being a unitless ratio of two numbers, is perfectly
acceptable.

Expression in dBm is typically used for optical and electrical power measurements,
not for other types of power (such as thermal). A listing by power levels in watts is available
that includes a variety of examples not necessarily related to electrical or optical power.

4.2 Decibel Watt-DbW

It is a unit for the measurement of the strength of a signal expressed in decibels
relative to one watt. It is used because of its capability to express both very large and very
small values of power in a short range of number, e.g. 1 milliwatt = -30 dBW, 1 watt = 0
dBW, 10 watts = 10 dBW, 100 watts = 20 dBW and 1,000,000 W = 60 dBW.

Power in dbW=10log 10 Power in W

Compare dBm, which is referenced to one milliwatt (0.001 W). Certain dBW value in
dBm is always 30 more because 1 watt is 1000 milliwatts, and ratio of 1000 (in power) is 30
dB, e.g. 10 dBm (10 mW) is equal to -20 dBW (0.01 W).Although the decibel (dB) is
permitted for use alongside SI units, the dBW is not.

4.3 Neper

49
 It is a logarithmic unit for ratios of measurements of physical field and power
quantities, such as gain and loss of electronic signals. It has the unit symbol Np. The unit's
name is derived from the name of John Napier, the inventor of logarithms. As is the case for
the decibel and bel, the neper is not a unit in the International System of Units (SI), but it is
accepted for use alongside the SI.

4.3.1 Definition

Like the decibel, the neper is a unit in a logarithmic scale. While the bel uses the
decadic (base-10) logarithm to compute ratios, the neper uses the natural logarithm, based on
Euler's number (e ≈2.71828). The value of a ratio in nepers is given by

LNP =¿
( )
x1
x2
=¿ x1−¿ x 2; where x1 and x2 are the values of interest, and ln is the natural

logarithm.

Difference between Np and dB

The neper is defined in terms of ratios of field quantities (for example, voltage or
current amplitudes in electrical circuits, or pressure in acoustics), whereas the decibel was
originally defined in terms of power ratios. A power ratio 10log (ratio) dB is equivalent to a
field-quantity ratio 20log(ratio) dB, since power is proportional to the square (Joule's laws) of
the amplitude.

Hence the neper and dB are related via:

1
1 Np=20 log 10 e dB ≈ 8.68589 dB and 1 dB= Np≈ 0.11513 Np
20 log 10 e

The decibel and the neper have a fixed ratio to each other. The (voltage) level ratio is

x 21
L=10 log 10 dB
x 22

( )
2
x1
¿ 10 log 10 dB
x2
x
¿ 20 log 10( 1 ¿ dB
x2
x1
=¿ Np
x2

Like the decibel, the neper is a dimensionless unit. The ITU recognizes both units.

50
 Chapter 5

5.1 Transducers
5.2 Microphone
The microphone is an acoustic-to-electric transducer or sensor that converts sound
into an electrical signal. Microphones are used in many applications such as telephones, tape
recorders, karaoke systems, hearing aids, motion picture production, live and recorded audio
engineering, in radio and television broadcasting and in computers for recording voice,
speech recognition, VOIP, and for non-acoustic purposes such as ultrasonic checking or
knock sensors.

Most microphones today use electromagnetic induction (dynamic microphone),

capacitance change (condenser microphone), piezoelectric generation, or light modulation to
produce an electrical voltage signal from mechanical vibration.

5.2.1 Components

The sensitive transducer element of a microphone is called its element or capsule. A

complete microphone also includes a housing, some means of bringing the signal from the
element to other equipment, and often an electronic circuit to adapt the output of the capsule
to the equipment being driven. A wireless microphone contains a radio transmitter.

5.2.2 Basic principles

Microphones as types of transducer are devices which converts energy from one form
to another. Microphones convert acoustical energy (sound waves) into electrical energy (the
audio signal).

Different types of microphone have different ways of converting energy but they all
share one thing in common: the diaphragm. This is a thin piece of material (such as paper,
plastic or aluminium) which vibrates when it is struck by sound waves. In a typical hand-held
mic like the one below, the diaphragm is located in the head of the microphone.

51
Location of Microphone Diaphragm

When the diaphragm vibrates, it causes other components in the microphone to

vibrate. These vibrations are converted into an electrical current which becomes the audio
signal.

Note: At the other end of the audio chain, the loudspeaker is also a transducer - it converts the
electrical energy back into acoustical energy.

5.3 Mic Level and Line Level

The electrical current generated by a microphone is very small which is referred as the
mic level, this signal is typically measured in millivolts. Before it can be used for anything
serious the signal needs to be amplified, usually to line level (typically 0.5 -2V). Being a
stronger and more robust signal, line level is the standard signal strength used by audio
processing equipment and common domestic equipment such as CD players, tape machines,
VCRs, etc.

This amplification is achieved in one or more of the following ways:

 Some microphones have tiny built-in amplifiers which boost the signal to a high mic
level or line level.
 The mic can be fed through a small boosting amplifier, often called a line amp.
 Sound mixers have small amplifiers in each channel. Attenuators can accommodate
mics of varying levels and adjust them all to an even line level.
 The audio signal is fed to a power amplifier - a specialised amp which boosts the
signal enough to be fed to loudspeakers.

5.3.1 Microphone Specifications

There is no inherent advantage in fidelity of one type of microphone over another.

Condenser types require batteries or power from the mixing console to operate, which is
occasionally a hassle, and dynamics require shielding from stray magnetic fields, which
makes them a bit heavy sometimes, but very fine microphones are available of both styles.

The most important factor in choosing a microphone is how it sounds in the required
application. The following issues must be considered:

(i) Sensitivity

52
 This is a measure of how much electrical output is produced by a given sound. This is
a vital specification if someone is trying to record very tiny sounds, such as a turtle snapping
its jaw, but should be considered in any situation. If an insensitive mic is placed on a quiet
instrument, such as an acoustic guitar, the gain of the mixing console will have to increase,
adding noise to the mix. On the other hand, a very sensitive mic on vocals might overload the
input electronics of the mixer or tape deck, producing distortion.

(ii) Overload characteristics.

Any microphone will produce distortion when it is overdriven by loud sounds. This is
caused by various factors. With a dynamic, the coil may be pulled out of the magnetic field;
in a condenser, the internal amplifier might clip. Sustained overdriving or extremely loud
sounds can permanently distort the diaphragm, degrading performance at ordinary sound
levels.

Loud sounds are encountered more often than it can be thought of especially if the
mic is placed very close to instruments. Therefore it is a choice between high sensitivity and
high overload points which can be gotten, although occasionally there is a switch on the
microphone for different situations.

(iii) Linearity or Distortion

This is the feature that makes microphones expensive. The distortion characteristics of
a mic are determined mostly by the care with which the diaphragm is made and mounted.
High volume production methods can turn out an adequate microphone, but the distortion
performance will be a matter of luck.

Many manufacturers have several model numbers for what is essentially the same
device. They build a batch, and then test the mics and charge a premium price for the good
ones. The really big names throw away mic capsules that don't meet their standards. For
example if one buys one Neumann mic, it like he/she is paying for five. No mic is perfectly
linear; the best that can be done is finding one with distortion that complements the sound
one is trying to record.

(iv) Frequency response

A flat frequency response has been the main goal of microphone companies for the
last three or four decades. In the 50s, mics were so bad that console manufacturers began
adding equalizers to each input to compensate. This effort has now paid off to the point
where most professional microphones are respectably flat, at least for sounds originating in
front.

The major exceptions are mics with deliberate emphasis at certain frequencies that are
useful for some applications. This is another part of the microphone mystique. Problems in
frequency response are mostly encountered with sounds originating behind the mic.

(v) Noise

Microphones produce a very small amount of current, which makes sense when
someone considers just how light the moving parts must be to accurately follow sound waves.
53
To be useful for recording or other electronic processes, the signal must be amplified by a
factor of over a thousand. Any electrical noise produced by the microphone will also be
amplified, so even slight amounts are intolerable.

Dynamic microphones are essentially noise free, but the electronic circuit built into
condenser types is a potential source of trouble, and must be carefully designed and
constructed of premium parts. Noise also includes unwanted pickup of mechanical vibration
through the body of the microphone. Very sensitive designs require elastic shock mountings,
and mics intended to be held in the hand need to have such mountings built inside the shell. 

The most common source of noise associated with microphones is the wire
connecting the mic to the console or tape deck. A mic preamp is very similar to a radio
receiver, so the cable must be prevented from becoming an antenna. The basic technique is to
surround the wires that carry the current to and from the mic with a flexible metallic shield,
which deflects most radio energy. A second technique, which is more effective for the low
frequency hum induced by the power company into our environment, is to balance the line:

Current produced by the microphone will flow down one wire of the twisted pair, and
back along the other one. Any current induced in the cable from an outside source would tend
to flow the same way in both wires, and such currents cancel each other in the transformers.
This system is expensive.

5.4 Types of Microphone

There are a number of different types of microphone in common use. The differences
can be divided into two areas:

(1) The type of conversion technology they use

This refers to the technical method the mic uses to convert sound into electricity. The
most common technologies are dynamic, condenser, ribbon and crystal. Each has advantages
and disadvantages, and each is generally more suited to certain types of application.

(2) The type of application they are designed for

Some mics are designed for general use and can be used effectively in many different
situations. Others are much specialised and are only really useful for their intended purpose.
Characteristics to look for include directional properties, frequency response and impedance.

5.4.1 Dynamic Microphone

54
 They work through electromagnetic induction. They are robust, relatively inexpensive
and resistant to moisture. This, coupled with their potentially high gain before feedback,
makes them ideal for on-stage use.

Moving-coil microphones use the same dynamic principle as in a loudspeaker, only

reversed. A small movable induction coil, positioned in the magnetic field of a permanent
magnet, is attached to the diaphragm. When sound enters through the windscreen of the
microphone, the sound wave moves the diaphragm. When the diaphragm vibrates, the coil
moves in the magnetic field, producing a varying current in the coil through electromagnetic
induction.

A single dynamic membrane does not respond linearly to all audio frequencies. Some
microphones for this reason utilize multiple membranes for the different parts of the audio
spectrum and then combine the resulting signals. Combining the multiple signals correctly is
difficult and designs that do this are rare and tend to be expensive. There are on the other
hand several designs that are more specifically aimed towards isolated parts of the audio
spectrum. The AKG D 112, for example, is designed for bass response rather than treble. In
audio engineering several kinds of microphones are often used at the same time to get the
best result.

Advantages of Dynamic microphone

i. They are versatile and ideal for general-purpose use.

ii. They use a simple design with few moving parts.
iii. They are relatively sturdy and resilient to rough handling.
iv. They are also better suited to handling high volume levels, such as from certain
musical instruments or amplifiers.
v. They have no internal amplifier and do not require batteries or external power.

1. Construction and Operation

When a magnet is moved near a coil of wire an electrical current is generated in the
wire. Using this electromagnet principle, the dynamic microphone uses a wire coil and
magnet to create the audio signal.

The diaphragm is attached to the coil. When the diaphragm vibrates in response to
incoming sound waves, the coil moves backwards and forwards past the magnet. This creates
a current in the coil which is channelled from the microphone along wires. A common
configuration is shown below.

55
 In the magneto-dynamic, commonly called dynamic microphone, sound waves cause
movement of a thin metallic diaphragm and an attached coil of wire. A magnet produces a
magnetic field which surrounds the coil, and motion of the coil within this field causes
current to flow.

The principles are the same as those that produce electricity at the utility company,
realized in a pocket-sized scale. It is important to remember that current is produced by the
motion of the diaphragm, and that the amount of current is determined by the speed of that
motion. This kind of microphone is known as velocity sensitive.

5.5 Condenser Microphone

It is also called a capacitor microphone or electrostatic microphone. The capacitors

were historically called condensers. Here, the diaphragm acts as one plate of a capacitor, and
the vibrations produce changes in the distance between the plates. There are two types,
depending on the method of extracting the audio signal from the transducer:

 DC-biased and
 Radio frequency (RF) or high frequency (HF) condenser microphones.

With a DC-biased microphone, the plates are biased with a fixed charge (Q). The
voltage maintained across the capacitor plates changes with the vibrations in the air,

56
according to the capacitance equation (C = Q⁄V), where Q = charge in coulombs, C =
capacitance in farads and V = potential difference in volts.

The capacitance of the plates is inversely proportional to the distance between them
for a parallel-plate capacitor. The assembly of fixed and movable plates is called an element
or capsule. A nearly constant charge is maintained on the capacitor.

As the capacitance changes, the charge across the capacitor does change very slightly,
but at audible frequencies it is sensibly constant. The capacitance of the capsule (around 5 to
100 pF) and the value of the bias resistor (100 MΩ to tens of GΩ) form a filter that is high-
pass for the audio signal, and low-pass for the bias voltage. The time constant is given as the
product of capacitance and resistance.

Within the time-frame of the capacitance change (as much as 50 ms at 20 Hz audio
signal), the charge is practically constant and the voltage across the capacitor changes
instantaneously to reflect the change in capacitance. The voltage across the capacitor varies
above and below the bias voltage. The voltage difference between the bias and the capacitor
is seen across the series resistor.

The voltage across the resistor is amplified for performance or recording. In most
cases, the electronics in the microphone itself contribute no voltage gain as the voltage
differential is quite significant, up to several volts for high sound levels. Since this is a very
high impedance circuit, current gain only is usually needed with the voltage remaining
constant.

RF condenser microphones use a comparatively low RF voltage, generated by a low-

noise oscillator. The signal from the oscillator may either be amplitude modulated by the
capacitance changes produced by the sound waves moving the capsule diaphragm, or the
capsule may be part of a resonant circuit that modulates the frequency of the oscillator signal.
Demodulation yields a low-noise audio frequency signal with very low source impedance.

The absence of a high bias voltage permits the use of a diaphragm with looser tension,
which may be used to achieve wider frequency response due to higher compliance. The RF
biasing process results in a lower electrical impedance capsule, a useful by-product of which
is that RF condenser microphones can be operated in damp weather conditions that could
create problems in DC-biased microphones with contaminated insulating surfaces.

Condenser microphones span the range from telephone transmitters through

inexpensive karaoke microphones to high-fidelity recording microphones. They generally
produce a high-quality audio signal and are now the popular choice in laboratory and
recording studio applications. The inherent suitability of this technology is due to the very
small mass that must be moved by the incident sound wave, unlike other microphone types
that require the sound wave to do more work.

They require a power source, provided either via microphone inputs on equipment as
phantom power or from a small battery. Power is necessary for establishing the capacitor
plate voltage, and is also needed to power the microphone electronics (impedance conversion
in the case of electret and DC-polarized microphones, demodulation or detection in the case
of RF/HF microphones).

57
 Condenser microphones are also available with two diaphragms that can be
electrically connected to provide a range of polar patterns, such as cardioid, omnidirectional,
and figure-eight. The resulting audio signal is stronger signal than that from a dynamic.

Condensers also tend to be more sensitive and responsive than dynamics, making
them well-suited to capturing subtle nuances in a sound. They are not ideal for high-volume
work, as their sensitivity makes them prone to distort.

(a) Construction

Cross-Section of a Condenser Microphone

  In a condenser microphone, the diaphragm is mounted close to, but not touching, a
rigid back plate. (The plate may or may not have holes in it.) A battery is connected to both
pieces of metal, which produces an electrical potential, or charge, between them. The amount
of charge is determined by the voltage of the battery, the area of the diaphragm and back
plate, and the distance between the two.

This distance changes as the diaphragm moves in response to sound. When distance
changes, current flows in the wire as the battery maintains the correct charge. The amount of
current is essentially proportional to the displacement of the diaphragm, and is so small that it
must be electrically amplified before it leaves the microphone.

58
 A common variant of this design uses a material with a permanently imprinted charge
for the diaphragm. Such a material is called an electret and is usually a kind of plastic. The
major disadvantage of electrets is that they lose their charge after a few years and cease to
work.

(b) Operation

A capacitor has two plates with a voltage between them. In the condenser mic, one of
these plates is made of very light material and acts as the diaphragm. The diaphragm vibrates
when struck by sound waves, changing the distance between the two plates and therefore
changing the capacitance. Specifically, when the plates are closer together, capacitance
increases and a charge current occurs.

When the plates are further apart, capacitance decreases and a discharge current
occurs. A voltage is required across the capacitor for this to work. This voltage is supplied
either by a battery in the mic or by external phantom power.

5.6 Directional Properties

Every microphone has a property known as directionality. This describes the

microphone's sensitivity to sound from various directions. Some microphones pick up sound
equally from all directions while others pick up sound only from one direction or a particular
combination of directions. The microphone patterns are polar graphs of the output produced
against the angle of the sound source. The output is represented by the radius of the curve at
the incident angle.

The types of directionality or patterns are divided into three main categories:

1. Omnidirectional: Picks up sound evenly from all directions.

2. Unidirectional: Picks up sound predominantly from one direction. This includes
cardioid and hypercardioid microphones.
3. Bidirectional: Picks up sound from two opposite directions.

1. Omnidirectional

Captures sound equally from all directions.

Uses: Capturing ambient noise; Situations where sound is coming from many directions;
Situations where the mic position must remain fixed while the sound source is moving.

Although omnidirectional mics are very useful in the right situation, picking up sound
from every direction is not usually what is needed. Omni sound is very general and unfocused

59
- if someone tries to capture sound from a particular subject or area it is likely to be
overwhelmed by other noise.

2. Cardioid

Cardioid means heart-shaped, which is the type of pick-up pattern these mics use.
Sound is picked up mostly from the front, but to a lesser extent the sides as well.

Uses: Emphasising sound from the direction the mic is pointed whilst leaving some latitude
for mic movement and ambient noise.

The cardioid is a very versatile microphone, ideal for general use. Handheld mics are usually
cardioid. There are many variations of the cardioid pattern such as the hypercardioid.

3. Hypercardioid

This is exaggerated version of the cardioid pattern. It is very directional and

eliminates most sound from the sides and rear. Due to the long thin design of hypercardioids,
they are often referred to as shotgun microphones.

Uses: Isolating the sound from a subject or direction when there is a lot of ambient noise;
Picking up sound from a subject at a distance.

By removing all the ambient noise, unidirectional sound can sometimes be a little
unnatural. It may help to add a discreet audio bed from another mic (i.e. constant background
noise at a low level). If the mic doesn't stay pointed at the subject, then the audio will be lost.
Shotguns can have an area of increased sensitivity directly to the rear.

4. Bidirectional

Uses a figure-of-eight pattern and picks up sound equally from two opposite directions.

60
Uses: An interview with two people facing each other (with the mic between them).

5.7 Microphone Frequency Response

Frequency response refers to the way a microphone responds to different frequencies.

It is a characteristic of all microphones that some frequencies are exaggerated and others are
attenuated (reduced). For example, a frequency response which favours high frequencies
means that the resulting audio output will sound more trebly than the original sound.

5.8 Frequency Response Charts

A microphone's frequency response pattern is shown using a chart like the one below
and referred to as a frequency response curve. The x axis shows frequency in Hertz, the y axis
shows response in decibels.

A higher value means that frequency will be exaggerated, a lower value means the
frequency is attenuated. In this example, frequencies around 5kHz are boosted while
frequencies above 10kHz and below 100Hz are attenuated. This is a typical response curve
for a vocal microphone.

Best Response Curve

An ideal flat frequency response means that the microphone is equally sensitive to all
frequencies. In this case, no frequencies would be exaggerated or reduced (the chart above
would show a flat line), resulting in a more accurate representation of the original sound. It is
therefore said that a flat frequency response produces the purest audio.

In the real world a perfectly flat response is not possible and even the best flat
response microphones have some deviation. More importantly, it should be noted that a flat
frequency response is not always the most desirable option. In many cases a tailored
frequency response is more useful.

For example, a response pattern designed to emphasise the frequencies in a human

voice would be well suited to picking up speech in an environment with lots of low-
frequency background noise. The main thing is to avoid response patterns which emphasise
the wrong frequencies. For example, a vocal mic is a poor choice for picking up the low
frequencies of a bass drum.

61
Condenser vs Dynamic

Condenser microphones generally have flatter frequency responses than dynamic. All
other things being equal, this would usually mean that a condenser is more desirable if
accurate sound is a prime consideration.

 Application-specific designs

A wireless microphone transmits the audio as a radio or optical signal rather than via
a cable. It usually sends its signal using a small FM radio transmitter to a nearby receiver
connected to the sound system, but it can also use infrared waves if the transmitter and
receiver are within sight of each other.

A stereo microphone integrates two microphones in one unit to produce a

stereophonic signal. A stereo microphone is often used for broadcast applications or field
recording where it would be impractical to configure two separate condenser microphones in
a classic X-Y configuration for stereophonic recording. Some such microphones have an
adjustable angle of coverage between the two channels.

A noise-canceling microphone is a highly directional design intended for noisy

environments. One such use is in aircraft cockpits where they are normally installed as boom
microphones on headsets. Another use is in live event support on loud concert stages for
vocalists involved with live performances. Many noise-canceling microphones combine
signals received from two diaphragms that are in opposite electrical polarity or are processed
electronically.

5.9 LOUDSPEAKERS
5.9.1 Dynamic Loudspeaker Principle

The loudspeaker involves electromechanical processes where the amplified audio

signal must move a cone or other mechanical device to produce sound like the original sound
wave. This process involves many difficulties, and usually is the most imperfect of the steps
in sound reproduction.

Some basic ideas about speaker enclosures might help with perspective. The
enclosure is an essential part of sound production because of the following problems with a
direct radiating loudspeaker:

(a) Loudspeaker Construction

A light voice coil is mounted so that it can move freely inside the magnetic field of a
strong permanent magnet. The speaker cone is attached to the voice coil and attached with a
flexible mounting to the outer ring of the speaker support.

62
 Because there is a definite home or equilibrium position for the speaker cone and
there is elasticity of the mounting structure, there is inevitably a free cone resonant frequency
like that of a mass on a spring. The frequency can be determined by adjusting the mass and
stiffness of the cone and voice coil, and it can be damped and broadened by the nature of the
construction.

However, that natural mechanical frequency of vibration is always there and enhances
the frequencies in the frequency range near resonance. Part of the role of a good enclosure is
to minimize the impact of this resonant frequency.

(b) Operation

A current-carrying wire in a magnetic field experiences a magnetic force

perpendicular to the wire. An audio signal source such as a microphone or recording
produces an electrical image of the sound.

It then produces an electrical signal that has the same frequency and harmonic
content, and a size that reflects the relative intensity of the sound as it changes. The function
of the amplifier is to take that electrical image and make it large enough in power to drive the
coils of a loudspeaker.

Having a high fidelity amplifier means that it is made larger without changing any of
its properties. Any changes would be perceived as distortions of the sound since the human
ear is amazingly sensitive to such changes.

Once the amplifier has made the electrical image large enough, it applies it to the
voice coils of the loudspeaker, making them vibrate with a pattern that follows the variations
of the original signal. The voice coil is attached to and drives the cone of the loudspeaker,
which in turn drives the air.

This action on the air produces sound that more-or-less reproduces the sound pressure
variations of the original signal.

63
Back-to-Front Cancelation

While the front surface of the cone of a loudspeaker is pushing forward to create a
sound wave by increasing air pressure, the back surface of the cone is lowering the air
pressure. Since the wavelengths of low frequency sound are large compared to the size of the
speaker, and since those low frequencies readily diffract around the speaker cone, the sound
wave from the back of the cone will tend to cancel that from the front of the cone.

For most bass frequencies, the wavelength is so much longer than the speaker
diameter that the phase difference approaches 180°, so there is severe loss of bass from this
back-to-front cancelation. This is one of the reasons why even the best cone-type loudspeaker
must have an enclosure to produce good sound.

64
 Chapter 6

6.1 Modulation

Definition

It is the process in which amplitude, frequency or phase of carrier signal is varied with
respect to instantaneous amplitude of the modulating signal. In this process, the high
frequency signal is called carrier signal and it will carry the modulating signal to the
destination. Due to modulation the low frequency baseband signal is translated i.e. shifted
into a high frequency carrier signal. It can also be defined as the shaping of a signal to convey
information.

It can be used to represent a digital message as an analog waveform. This is

commonly called keying and several keying techniques exist which include phase-shift
keying, frequency shift keying and amplitude shift keying.

For example the Bluetooth system uses phase-shift keying (PSK) to exchange
information between various devices. In addition, there are combinations of phase-shift
keying and amplitude-shift keying (ASK) which is called quadrature amplitude modulation
(QAM) that are used in high-capacity digital radio communication systems.

65
 Modulation can also be used to transmit the information of low-frequency analog
signals at higher frequencies. This is helpful because low-frequency analog signals cannot be
effectively transmitted over free space. Hence the information from a low-frequency analog
signal must be impressed into a higher-frequency signal known as carrier wave before
transmission.

There are several different modulation schemes available to achieve this. The two
basic ones are;

i. Amplitude modulation (AM) and

ii. Frequency modulation (FM)

An example of this process is a disc jockey's voice being impressed into a 96 MHz
carrier wave using frequency modulation (the voice would then be received on a radio as the
channel 96 FM). In addition, modulation has the advantage of being about to use frequency
division multiplexing (FDM).

6.2 Need for modulation

The modulation process has the following advantages;
a) Reduction in the height of the antenna
b) Avoid mixing of the signals
c) Allows multiplexing of the signals
d) Improves quality of reception

(a) Reduction in the antenna height

λ
For efficient transmission of the signal, the height of the antenna should be at least
4
where λ is the wavelength of the wave and it is the distance travelled by the wave in one
c
cycle duration and λ= , where c is the velocity of an electromagnetic wave (c=3 ×108 m/s )
f
and f is the frequency of the signal to be transmitted.
c
Consider the baseband signal with f=15 kHz and λ= =20km. therefore, minimum
f
λ
length of antenna will be =5 km. This is not practical. Now if the signal is modulated with
4
carrier frequency of 10MHz, then

c 3× 108 λ
λ= = =30 m, so the minimum height of antenna is =7.5 m which is practical.
f 10× 10 6
4

(b) Avoid mixing of signals

If the baseband signals are transmitted without modulation by more than one
transmitter, then since all the signals are in the same frequency range i.e. 20Hz to 20 kHz
they will get mixed together and the receiver cannot separate them from each other.
66
 Therefore, baseband signals are modulated with different carrier so that they will
occupy different slots in frequency domain as shown in the figure. Thus modulating signal by
different carrier frequencies avoids the mixing of the signals.

Figure 6.1
(c) Increases range of communication
The frequency of the baseband signal is low. Therefore, it cannot travel by long
distance. When such signals are transmitted, they get heavily attenuated. The attenuation of
signal reduces with increase in frequency of transmitted signal and they can travel larger
distance. The modulation process upshift the frequency of the signal to be transmitted.
Therefore, it increases the range of communication.

(d) Allows multiplexing of signals

Multiplexing means transmission of two or more signals simultaneously over the
same carrier and this is possible only with modulation.
(e) Improves quality of communication
With FM and digital modulation techniques like PCM, the effect of noise can be
reduced to great extent. This improves the quality of reception.
6.3 Types of modulation

67
Figure 6.2: Different types of modulation schemes
6.4 AMPLITUDE MODULATION
It is the process in which amplitude of carrier signal is varied with respect to the
instantaneous amplitude of modulating signal.

Figure 6.3: Amplitude Modulation

Consider high frequency carrier signal as shown in fig (a). Consider the modulating
signal as shown in fig (b). Up to point A, the modulating signal has zero amplitude, therefore
the amplitude of carrier signal Vc. As the modulating signal decreases the amplitude of AM
waveform also decreases and at the point C the amplitude of the modulating signal is zero.
Therefore, the amplitude of the AM waveform is minimum, which is Vc-Vm. This
shows that modulating signal is superimposed or nonlinearly added with the carrier signal.

68
Therefore, AM is nonlinear process. For proper modulation, the amplitude and frequency of
carrier signal should be greater than that of modulating signal.
If the peaks of the individual waveform of the modulated signal are joint, the resulting
envelope resembles the original modulating signals. The envelope repeats at modulating
frequency.
The instantaneous value of modulating signal is
m(t)=VmSinωmt…………………………………………………………………..1
where Vm=maximum amplitude of modulating signal
ωm=2πfm=angular frequency
fm=frequency of modulating signal
The instantaneous value of carrier signal is
C(t)=VcSinωct…………………………………………………………………..2
The amplitude of the AM signal is given by
V(t)=Vc+m(t)……………………………………………………………………3
Substituting equation 1 in equation 3, we get
V(t)=Vc+ VmSinωmt ……………………………………………………………4
The instantaneous voltage of AM wave is
VAM=V(t) Sinωct………………………………………………………………..5
Substitute equation (4) in equation (5), we get
VAM= [Vc+ VmSinωmt] Sinωct
Vm
VAM= Vc[1+ sin ω mt] Sinωct
Vc

Vm
µ=m=
Vc

Therefore;
VAM= VcSinωct+m. VcSinωctSinSinωmt
By using trigonometric relation;
SinASinB=½[Cos (A-B)-Cos(A+B)]
V mVc mV c
AM =¿V c sin ωc t + cos(ω¿ ¿ c−ω m )t− cos (ω¿ ¿c+ ωm )t ¿ ¿¿
2 2

Carrier lower sideband upper sideband

Frequency spectrum
Vc
69
 mV c mV c
2 2

LSB USB

fLSB fc fUSB Frequency

fc-fm fc+fm

Bandwidth =2fm

Figure 6.4: Frequency spectrum of AM wave

Bandwidth of AM wave
BW=fUSB-fLSB
=[fc+fm]-[fc-fm]
=2fm
The bandwidth of an AM wave is twice the frequency of the modulating signal.
Modulation index
It measures the depth of modulation and it is defined as the ratio of the amplitude of
the modulating signal to the amplitude of carrier signal.
Vm
m= , it lies between o and 1.
Vc

If expressed as a percentage, then it is called percentage modulation.

If Vm<Vc i.e. m<1, the envelope of the modulated waveform does not touch to the reference
axis and the information can be easily recovered by the demodulation process in the receiver.
If Vm=Vc i.e. m=1, this modulation is known as 100% modulation
If Vm>Vc i.e. m>1, modulation is greater than 100%, the portion of envelope cross the zero
amplitude axis from both sides cancelling each other. Therefore certain information is lost in
this period such distortion is known as envelope or overmodulation.
Thus for proper recovery of modulating signals, the percentage of modulation should
be less than 100%.
Modulation index of AM wave

70
Figure 6.5
Vm
m=
Vc

V max +V min
From fig, V m =
2
1
V c = (V max −V min )
2

Substitute equation 2 and 4 in equation 1, we get

1
(V ¿ ¿ max−V min⁡)
2
m= ¿
1
(V ¿ ¿ max+ V min )¿
2
V max −V min ⁡
m=
V max + V min

Total transmitted power of AM wave

An AM wave is given by;
V mVc mV c
AM =¿V c sin ωc t + cos(ω¿ ¿ c−ω m )t− cos (ω¿ ¿c+ ωm )t ¿ ¿¿
2 2

The AM wave has three components;

(i) Unmodulated wave
(ii) Lower sideband
(iii) Upper sideband
The total power of AM wave is the sum of the carrier power P c and power of the sidebands
i.e. PUSB and PLSB.

71
PT=Pc+ PUSB +PLSB
The average carrier power;

Vc 2
( )
√2 V2
PC = = c
R 2R
The average sideband power is;
mV c 2
PUSB =PLSB=( ¿¿
2 √2
2 2
m Vc
=
8R
The average total power;
PT=Pc+ PUSB +PLSB

V 2c m2 V 2c m2 V 2c
= + +
2R 8 R 8R
2
V
= c ¿]
2R
2
m
= Pc[1+ ¿
2
Note: For 100% modulation m=1
We have
2
m
PT= Pc[1+ ¿
2
2
m
= Pc[1+ ¿
2
PT=1.5Pc
1
Pc= P =0.6667 PT
1.5 T

In AM wave, the 66.67% of the transmitted power is used by the carrier signal and the
remaining 33.33% of the power is used by the sidebands (PUSB and PLSB). Therefore, power in
the sidebands is given by;
PUSB=PT-Pc
Transmission efficiency of an AM wave
It is defined as the ratio of power carried by the sidebands to the total transmitted and
is given by;
72
 P SB PUSB + P LSB
η= =
PT PT
2 2 2
m m Vc
PT= Pc[1+ ¿ and PUSB =PLSB=
2 8R

m2 V 2c m 2 V 2c
+
8R 8R
η=
P c 1+[ ] m2
2
2 2
m Vc
4R
=
2+ m2
P c[ ]
2
2
m2 V c
[ ]
2 2R
= 2
2+ m
P c[ ]
2

m2
2
= 2
2+m
2

m2
η=
m2+2
The percentage transmission efficiency is;

m2
%η=( 2 ¿× 100 %
m +2
Example
When m=1, calculate the percentage efficiency (%η).

m2
%η= ×100 %
m2+2

12
= 2
×100 %
1 +2
=33.33%
Hence the maximum transmission efficiency of the AM wave is 33.33%.
Modulation index in terms of PT and Pc

73
 2
m
PT= Pc[1+ ¿
2
PT m
2
=1+
Pc 2

m PT
2
= −1
2 Pc

2 PT
m =2[ −1]
Pc

PT
m=√ 2[ −1]
Pc

Worked Examples
1. A carrier of 1MHz with 400W of its power is amplitude modulated with a sinusoidal signal
of 2500Hz. The depth of modulation is 75%. Calculate:
(i) The sideband frequencies,
(ii) The bandwidth,
(iii) The power in the sidebands and
(iv) The total power in the modulated wave
Solution
Given fc=1MHz, Pc=400W, fm=2500Hz m=0.75
fUSB=fc+fm=1MHz+2500Hz=1002.5kHz
fLSB=fc-fm=1MHz-2500Hz=997.5KHz
BW=2fm=2×2500Hz=5kHz

m2 0.752
PT= Pc[1+ ¿=400[1+ ]
2 2
=512.5W
PSB= PT- Pc=512.5-400W=112.5W
Power in each sideband

m2 0.752
PUSB= PLSB= Pc[ ¿=400× =56.25W
4 2
2. A sinusoidal carrier voltage of frequency 1.2MHz is amplitude modulated by a sinusoidal
voltage of frequency 20KHz resulting in maximum and minimum modulated carrier
amplitude of 110V and 90V respectively. Calculate;
i. Frequency of lower and upper sidebands
ii. Unmodulated carrier amplitude
iii. Modulation index
74
 iv. Amplitude of each sideband
Solution
Given fc=1.2MHz, fm=20KHz, Vcmax=110V, Vcmin=90v
fUSB=fc+fm=1.2MHz+20kHz=1220kHz
fLSB=fc-fm=1.2MHz-20kHz=1180KHz
V cmax +V cmin 110+90
Vc= = =100v
2 2
V cmax −V cmin 110−90
m= = =0.1
V cmax −V cmin 110+90

mV c 0.1× 100
Amplitude of each sideband= = =25v
2 2
3. A 500W, 100 kHz carrier is modulated to a depth of 60% by modulating signal frequency
of 1kHz. Calculate the total power transmitted. What are the sideband components of the AM
wave?

Solution
Pc=500W, fc=100 kHz, fm=1kHz, m=0.6

PT= Pc[1+
m2
2 [
¿=500 1+
0.62
2 ]
=590 W

Sideband components of the Am wave

m2
PUSB=PLSB= Pc[ ¿=500 ¿=45 W
4
PSB= PUSB=PLSB=45W+45W=90W
fUSB=fc+fm=100kHz+1kHz=101kHz
fLSB=fc-fm=100 kHz-1kHz=99 kHz
4. A 500W, 1MHz carrieris amplitude modulated with a sinusoidal signal of 1KHz. The
depth of modulation is 60%. Calculate the bandwidth power in the sidebands and the total
power transmitted.
5. Draw the waveform of an AM signal with Vmax=80V and Vmin=20V. Assume fc=10fm. find;
i. Modulation index
ii. Magnitude of the carrier wave
iii. Magnitude of the sideband components

75
6. A carrier of 2MHz with 1kW of its power is amplitude modulated with a sinusoidal signal
of 2kHz. The depth of modulation is 65%. Calculate the sidebands frequencies, the
bandwidth, the power in the sidebands and the total power in the modulated wave.
7. A carrier of 750W, 1MHz is amplitude modulated by sinusoidal signal of 2kHz to a depth
of 50%. Calculate the bandwidth, power in the sidebands, and the total power transmitted.
Advantages of AM
(i) It is simple to implement
(ii) It can be demodulated using a circuit consisting of very few components.
(iii) AM receivers are very cheap as no specialized components are needed.
Disadvantages
(i) It is not efficient in terms of its power usage.
(ii) It is not efficient in terms of its use of bandwidth, requiring bandwidth equal to twice
that of the highest audio frequency.
(iii) It is prone to high levels of noise because most noise is amplitude based and
obviously AM detectors are sensitive to it.
6.5 Angle modulation
It is the process of varying total phase angle of a carrier wave in accordance with the
instantaneous value of modulating signal constant. The unmodulated carrier wave is given by
¿ ASin(ω ¿¿ c t +θ)¿

=ASin ψ
Where ψ=¿ ¿=instantaneous phase
It this phase angle ψ is varied with modulating signal, angle modulation is gotten. Ψ can
be varied either by varying frequency or by phase of the carrier wave. There are two types of
angle modulation.
(i) Frequency modulation and
(ii) Phase modulation
6.5.1 Frequency modulation
If the frequency of the carrier signal is varied in accordance with the instantaneous
amplitude of the modulating signal, then it is called frequency modulation. In FM the
amplitude of the carrier remains constant. The variation in carrier frequency from the
unmodulated carrier frequency is called as frequency deviation δ. In FM the information is
contained in the feequency deviation of FM. The FM is a nonlinear process and the frequency
deviation is proportional to the amplitude of the modulating signal.
Mathematical Analysis of FM

76
Figure 6.6: Frequency Modulation
The FM wave in time domain is given by;
S(t)=ASin [θ(t)]…………………………………………………….…1
The modulating signal is defined by;
m(t)=VmCos 2πfmt……………………………………………………2
The instantaneous frequency of the FM signal is given by;
fi(t)=fc+Kf m(t)………………………………………………………..3
Substitute equation (2) in equation (3), we get;
fi(t)= fc+Kf VmCos 2πfmt
fi(t)= fc+Δf Cos 2πfmt………………………………………………….4
where Δf=Kf Vm and it is called frequency deviation
Angular velocity ωi(t) is the rate of change of θ(t).
d
ωi(t)= θ(t)
dt
d
2π fi= θ(t)…………………………………………………………..5
dt

Integrating equation 5 with respect to t

t
θ ( t )=∫ 2 π f i ( t ) dt …………………………………………………..6
0

Substitute equation 4 in equation 6, we get;

77
 t
θ ( t )=∫ 2 π [f ¿ ¿ c ¿ +∆ fCos 2 π f m t ]dt ¿ ¿
0

t t
θ ( t )=∫ 2 π f c dt +∫ 2 π ∆ fCos 2 π f m t dt
0 0

sin 2 π f m t
¿ 2 π f c t +2 π ∆ f
2πfm
t
sin at
Since ∫ cos at dt=
0 a

∆f
¿2π f ct + sin 2 π f m t
fm

θ ( t )=2 π f c t +mf sin 2 π f m t ………………………………………….7

∆f
where mf =
fm

Substitute equation 7 in equation 1 we get;

S(t)=A Sin [2 π f c t+ mf sin 2 π f m t ]

Figure 6.7: FM spectrum

Modulation index (mf)

It is defined as the ratio of frequency deviation Δf to the modulating frequency, fm.
Frequency deviation
mf =
Modulating frequency
∆f
mf =
fm

Note: In FM, the modulation index is greater than 1.

Bandwidth of FM

78
 Ideal bandwidth of FM is infinite but as per the significant sideband concept, the
effective bandwidth for transmission of FM wave can be defined as per the Carson’s rule
where
BW =2( δ+ f m)

=2(mf+1)fm
As per Bessel table, the BW of FM is given as;
BW=2nfm
Where n is the number of significant sideband
Carson’s rule uses bandwidth that are slightly narrow than the bandwidth determined using
Bessel table.
Deviation ratio
It is the worst case modulation index and is the ratio of maximum frequency deviation to
maximum modulating frequency.
δ max
∆ R=
f m max

The FM wave can also be expressed in terms of frequency deviation Δf.

∆f
mf =
fm

Δf=mf . f m

From BW=2(mf+1)fm
BW=2fm+2mf.fm
=2fm+2Δf
fm 1
=2Δf(1+ ) hence, BW=2Δf(1+ ¿
∆f mf

Power in FM
Power transmitted by FM wave is constant. It does not change due to change in
modulation index. The total power in FM is equal to the sum power of modulated carrier
component and sideband components. As the modulation index increases, J o ( mf )decreases.
Therefore, sideband power increases. However, the total power transmitted by FM wave
remains constant and it is equal to the unmodulated carrier power.

V 2c
PT =
2R

79
Where Vc=Amplitude of unmodulated carrier
PT =Po +¿P1+P2+P3+……………………………….+Pn
2 2 2 2
V 2V 2 V 2V
= c + 1 + 2 + …+ n
2R 2 R 2 R 2R

Where Vc= J 0 ( mf ) V c =¿Amplitude of carrier component in FM

V1= J 1 ( mf ) V c =¿ Amplitude of first pair of sideband

V2= J 2 ( mf ) V c =¿ Amplitude of second pair of sideband

Therefore,
2 2 2 2 2 2
J 20 (mf )V 2c 2 J 1 ( mf ) V c 2 J 2 ( m f ) V c 2 J n ( mf ) V c
PT = + + + …+
2R 2R 2R 2R

V 2c
¿ ¿
2R

For any value of mf , the [..] term as approximate value equal to unity

V 2c
PT=Pc=
2R
Transmission efficiency of FM
Total power of FM signal is same as that of the unmodulated carrier. In FM, out of the
total power carried by the carrier components depends on J 0 ( m f ) . If mf is adjusted as mf =2.4 ,
5.45, 8.65, or any such value so that J 0 ( m f ) =0; then power carried by carrier component is
zero and all the power being carried by the sideband only giving 100% transmission
efficiency.

For other values of mf , the transmission efficiency will be found to be less than 100%.
Therefore, by using proper modulation index, it is possible to get transmission efficiency of
more than AM (33%).

Advantages of FM
i. In FM all transmitted power is useful whereas in AM 66.67% of the transmitted
power is used by the carrier and remaining 33.3% of the power is used by the
sidebands which convey information, so the efficiency of AM is less compared to
FM.
ii. FM receivers use amplitude limiter circuits to eliminate the amplitude variations
caused by noise. Due to this FM reception is more immune to noise than AM
reception.
iii. For commercial FM transmitting stations a guard band of frequencies is allocated
which reduces adjacent channel interferences compared to AM.
80
 iv. Since FM operates in VHF and UHF range, the propagation is LOS propagation by
space wave.
v. In FM amplitude of the carrier is constant. Hence transmitted power is constant and
independent of modulation index.
vi. In FM greater transmitter efficiency can be realized using class C amplifiers as
amplitude of FM wave is constant.
vii. Better quality, higher SNR.
Disadvantages
i. FM wave requires much larger transmission BW than AM wave.
ii. FM transmitter and receiver designs are complex compared to AM.
iii. In FM the area of reception is small as it is limited to the LOS.
Narrow band FM
Broadcast FM allows high fidelity and relatively low distortion but requires
considerable spectrum bandwidth for each station. Bandwidth is always a resource that must
be conserved, and many applications that can benefit from the noise resistance of FM do not
need the signal fidelity. For example, police, fire and taxi radios need minimum static to
make sure that the message gets through but the voice must only be understandable, not
necessarily recognizable.
This can be achieved with a form of FM called narrowband FM developed for these
applications. It uses low modulation index values, with a much smaller range of modulation
index across all values of the modulating signal. A narrowband FM system restricts the
modulation signal to the minimum acceptable value; which is 300 HZ to 3KHz for intelligible
voice ( but the voice may not be recognizable which is acceptable in the application. The user
is allocated anywhere from 10 to 15 KHz of spectrum (sometimes less) depending on the
frequency band.
Narrowband FM often uses deviation figures of around ±3 kHz or possibly slightly
more. As quality is not as important for radio communications applications, the much
narrower bandwidth has advantages in terms of radio spectrum efficiency.
Wideband FM
The level of deviation is important in many aspects. It obviously is important in
determining the bandwidth of the overall signal. As a result the deviation used for FM is
different between different applications. Broadcast stations in the VHF portion of the
frequency spectrum between 88.5 and 108 MHz use large values of deviation, typically ±75
kHz. This is known as wideband FM (WBFM).
These signals are capable of supporting high quality transmissions, but occupy a large
amount of bandwidth. Usually 200 kHz is allowed for each wideband FM transmission. For
radio communications purposes less bandwidth is used.
Comparison of Wideband FM and Narrowband FM

Wideband FM Narrowband FM

1. The FM system in which mf>1 1. The FM system in which mf<1

2. Maximum deviation allowed is 2. Maximum deviation allowed is 5KHz

81
 75KHz

3. Modulating frequency from 30Hz 3. Modulating frequency from 30Hz to 3 KHz

to 15KHz allowed for transmission allowed for transmission

4. Due to large bandwidth, noise has 4. Due to small bandwidth, noise is less
more effect

5. Application 5. Application
i. FM broadcasting
ii. FM sound in TV used for high i. Ship-to-shore communication
quality entertainment broadcasting ii. FM mobile communication services such
as used by police, wireless, ambulances,
taxi cabs etc.

Comparison of performance of FM and AM communication Systems

FM AM
The equation of FM wave is The equation of AM wave is

S(t)FM=A Sin [ωc t+m f sin ωm t] S(t)AM= A[1+mSin ωmt]Sinω c t

The modulation index can have any value i.e either <1 or The modulation index is always in
>1 between 0 and 1

All the transmitted power is useful Carrier power and one sideband power
are useless

BW=2(mf+1)fm BW=2fm

∆f Am
Modulation index m f = Modulation index m=
fm Ac

The main advantage of FM over AM is the noise The AM system is more susceptible to
immunity noise and more affected by noise than
FM

The bandwidth required to transmit FM signal is much The bandwidth required to transmit AM
larger than the bandwidth of AM signal is much less than that of FM

FM transmission and reception equipments are more AM equipments are less complex and
complex less expensive

FM transmission is expensive than AM transmission AM transmission is cheaper than FM

transmission

Used for short distance communication Used for long distance communication

In FM;
Highest frequency reached fimax=fc+Δf
Lowest frequency reached fimin=fc-Δf

82
Carrier swing= fimax- fimin
= [fc+Δf]- [fc-Δf]
=2 Δf
Therefore, carrier swing=2 Δf and
carrier swing
Δf=
2

Broadcast FM
For broadcasting purpose, frequency deviation of 75KHz is used and modulating
signal is present from 30Hz to 15KHZ. So commercial bandwidth will be
BW=2Δf+2fm
BW=2(75KHz)+ 2(15KHz)
=180KHz
During transmission a guard band of 20kHz is included.
Worked examples

1. Given V =10sin [(2 π ×10 8 t )+5 sin (2 π ×15 ×103 t)]. Find
i. The carrier frequency
ii. Modulation index
iii. Frequency deviation
iv. Modulating frequency
What power will this FM wave dissipate in 10Ω resitance.
Solution
Ac=10v

S(t)=A Sin [2 π f c t+ mf sin 2 π f m t ]

Comparing this expression with the one given

i. fc=108Hz=100MHz
ii. mf=5
iii. fm=15×103Hz=15kHz
iv. Δf=mffm=5×15kHz=75kHz
v. The power dissipated in a 10Ω resistor will be;
A2c 10
2
P= = =5W
2 R 2 ×10
2. If an FM wave is represented by the equation;
V =50sin [ ( 5× 108 t ) −10 cos(1000 t)], calculate:
i. Carrier and modulating frequencies
ii. Modulation index and maximum deviation
iii. Power dissipate by the wave in resistance of 75Ω

83
Solution

S(t)=A Sin [2 π f c t+ mf sin 2 π f m t ]

Given A=50v, R=75Ω

ωc=5 ×108 ωm=1000 mf=10

(i) ωc=2πfc
ω c 5× 108
f c= = =79.57 MHz
2π 2π
ωm=2πfm
ω m 1000
f m= = =159.15 Hz
2π 2π
(ii) mf=10 Δf=mffm=10×159.15Hz=1591.55Hz
A2 502
(iii) P= = =16.67W
2 R 2 ×75
3. A 93.2MHz carrier is frequency modulated by a 5kHz sine wave. The resultant FM
signal has a frequency deviation of 40kHz.
a) Find the carrier swing of the FM signal
b) What are the highest and lowest frequencies attained by the frequency
modulated signal
c) Calculate the modulation index for the wave

Solution
Given fc=93.2MHz, fm=5kHz and Δf=40kHz
a) Carrier swing=2Δf=2×40kHz=80kHz
b) fimax=fc+ Δf=93.2MHz+40kHz=93.24MHz
fimin= fc- Δf=93.2MHz-40kHz=93.16MHz
∆ f 40 kHz
c) mf= = =8
f m 5 kHz
4. When a 50.4MHz carrier is frequency modulated by a sinusoidal AF modulating
signal the highest frequency reached is 50.405MHz. Calculate;
i. The frequency deviation produced
ii. Carrier swing of the wave
iii. Lowest frequency reached
5. A 25MHz carrier is frequency modulated by a 400MHz audio sine wave. The carrier
voltage is 4V and the maximum deviation is 10kHz. Write the equation of the FM
wave.
6. In an FM system Kf=1kHz/v and a sinusoidal modulating voltage of amplitude 15v
and frequency 3kHz is applied. Find the maximum frequency deviation and
modulation index
Solution
Given Kf=1kHz/v, Vm=15v, fm=3KHz
84
Δf= Kf Vm=1×15kHz=15kHz
∆ f 15 kHz
mf= = =5
f m 3 kHz

7. In a FM system the audio frequency (AF) is 500Hz, the audio frequency voltage is
2.5v and the deviation is 5kHz. If the AF voltage is now increased to 7.5v, what is the
new deviation? If the AF voltage is raised to 10v while AF is dropped to 250Hz. What
is the deviation? Find the modulation index in each case.
Solution
Given
i. Vm=2.5v, fm=500Hz, Δf=5kHz
ii. Vm=7.5v, fm=500Hz, Δf=?
iii. Vm=10v, fm=250Hz, Δf=?

V m 5 kHz
Δf= Kf Vm, K f = = =2 kHz/ v
∆f 2.5
When Vm=7.5V, Δf= Kf Vm=2kHz/v×7.5V=15kHz
When Vm=10V, Δf= Kf Vm=2kHz/v×10 V=20kHz
Modulation index
∆ f 1 5× 103
i. mf 1 = = =10
f m1 500
∆ f 2 15× 103
ii. mf 2 = = =30
f m2 500
∆ f 3 20 ×103
iii. mf 3 = = =80
f m3 250
8. Calculate the carrier swing, carrier frequency, frequency deviation and modulation
index for a FM signal which reaches a maximum frequency of 99.047MHz and a
minimum frequency of 99.023MHz. The frequency of the modulating signal is 7
KHz.
Solution
f imax=99.047 MHz , f imin=99.023 MHz , fm=?

i. Carrier swing= f imax−f imin

=99.047MHz-99.023MHz=24kHz
carrier swing 24 kHz
ii. Carrier swing=2 Δf, Δf= = =12 kHz
2 2
iii. f imax =f c + ∆ f
f c =f imax−∆ f
=99.047MHz-12kHz=99.035MHz
∆ f 12 kHz
iv. m= = =1.714
f m 7 kHz

6.5.2 PHASE MODULATION

85
 If the phase of the carrier signal is varied in accordance with the amplitude of the
modulating signal then the resulting wave is said to be phase modulated. Here, the phase
deviation is proportional to amplitude of modulating signal.
Phase deviation=θ
θ α modulating signal (phase deviation proportional to modulating signal)

Therefore, θ=K p V m cos ωm t

Where Kp=phase deviation sensitivity

The maximum value of phase deviation is θmax =K p V m

The instantaneous phase of PM wave is ψ¿ ω c t+ θ=ωc t + K p V m cos ω m t

The equation of PM wave is e (t )= A sin ψ

= A sin(ω ¿ ¿ c t+ K p V m cos ω m t )¿

Therefore, e (t )= A sin ¿ ¿ )

Then A=Vc where Mp=KpVm

Mp is the modulation index of phase modulation and it is proportional to amplitude of
modulating signal and it is independent of frequency of modulating signal.
Bandwidth of PM

The instantaneous phase of PM is Ψ=ω c t+ K p V m cos ωm t and the instantaneous frequency is

dψ d
ω i= = [ωc t+ K p V m cos ω m t ]
dt dt

=ω c −K p V m ωm sin ωm t
ω i=ω c −δ

Relationship between FM and PM

There is a very little difference in the expression of PM and FM. In FM there is
integration of modulating signal so if the modulating signal is integrated and applied as one
input to a phase modulator, then an FM signal is obtained at the output.
Similarly, if the modulating signal is differentiated and applied as one input to
frequency modulator, then phase modulation at output is obtained as shown in the figure
below.
FM from PM

86
PM from FM

Exercise

1. The equation of an angle modulated voltage is e=10 sin [108 t+ 3 sin10 4 t].

i. What form of angle modulation is this?

ii. Calculate:
 The carrier and modulating frequency.
 The modulation index and deviation
 The power dissipated in the 100Ω resistor

The single tone FM signal is given by S ( t ) =10 sin [ 16 π ×106 t+ 20 sin2 π × 103 t ) V . Find;

i. Modulation index
ii. Modulating frequency
iii. Frequency deviation
iv. Carrier frequency and
v. Power of FM
2. The carrier frequency of an FM broadcast transmitter is 100MHz and maximum frequency
deviation is 75kHz. If the highest audio frequency modulating the carrier is 15kHz, what is
the approximate bandwidth of the signal.
3. When the modulating frequency in an FM is 400Hz and modulating voltage is 2.4V, the
modulation index is 60.
i. Calculate the maximum deviation
ii. What is the modulation index when the modulating frequency is reduced to 250Hz
and modulating voltage is simultaneously raised to 3.2V.

4. The modulating signal in a FM system is given by V m =2.4 sin 800 πt and modulation index
is 60%.
i. What is the range of frequency in modulated signal?
ii. What will be the modulation index if the modulating voltage changes to
V m 2=3.2 sin 500 πt

87
 5. Consider the angle modulated signal x c ( t )=10 cos [ωc t +3 cos ω m t] with fm=1000Hz.
Assume the modulation to be FM and determine modulation index and transmission
bandwidth if:
i. ωm is increased by factor of 4
ii. ωm is decreased by factor of 4

6.6 NOISE
The undesired signals mixed with the message signal during the transmission are
called noise. There are two types of noise namely;
 Predictable noise and
 Unpredictable noise
Predictable noise
The predictable noise can be estimated and eliminated by proper engineering design
e.g. power supply hum, ignition radiation pick up, radiation pick up, radiation pick up
generated by electrical appliances, fluorescent lighting. The predictable noise generally is
man made and can be reduced or eliminated.

Unpredictable noise
Unpredictable noise varies randomly with time and there is no control over this noise
e.g lighting in sky. This noise can be divided into two types;
 Correlated
 Uncorrelated
The correlated noise exists only when the signal is present while uncorrelated noise is
present at all times whether there is a signal or not. The uncorrelated noise can be further be
subdivided into general categories.
i. External and
ii. Internal noise
External noise
This is the noise which is generated outside the device or circuit. There are three
primary sources which generates external noise as;
a) Atmosphere
b) Extra-terrestrial
c) Man-made
(a) Atmospheric noise
It is caused by naturally occurring disturbances in the earth’s atmosphere e.g lightning
discharge. The frequency range of noise signal is spread over entire radio spectrum. But the
intensity of the noise signal is inversely proportional to frequency. So noise has more effect at
lower frequencies (MW than FM, less for TV and more for radio).

88
  The atmospheric noise is generally referred to as static electricity. Due to atmospheric
noise, there is always sputtering crackling heard from speaker when there is no signal
present.
 Atmospheric noise is not significant above 30MHz.
(b) Extraterrestrial noise
This noise consists of electrical signals that originates from outside earth’s
atmosphere and is also called the deep space noise.

 Extraterrestrial noise originates from the Milky Way, other galaxies and the sun. It is
subdivided into two categories.
(i) Solar
It is generated directly from the sun’s heat.
(ii) Cosmic noise
They are continuously distributed throughout the galaxies. The sources of this noise
are located much further away than the sun. There noise intensity is relatively small. Cosmic
noise is often called black-body noise and is distributed fairly evenly throughout the sky.

(c) Man-made noise

This noise is generated by undesired pickups from electrical appliances, such as
motors, switch gears, automobile and aircraft ignitions. This type of noise is under human
control and can be eliminated by removing sources of the noise. This noise is effective in the
frequency range 1MHz-500MHz.
INTERNAL NOISE
This noise is created by the active and passive components in the circuit. This is also
called fluctuation noise. It is caused by spontaneous fluctuation in the physical system e.g

 Thermal motion of the free electrons inside a resistor which is random in nature.
 Random emission of electrons in the vacuum tubes.
 Random diffusion of electrons and holes in a semiconductor.
There are three types of internal noise;
 Shot noise
 Transit noise
 Thermal noise
Shot noise
This is present in all amplifying devices. It is due to the random variation in the
arrival of majority current carrier(electrons or holes) at the terminal of an amplifying device.
The term shot noise is used because excessively randomly varying noise current, when
superimposed on the d.c of output terminal and amplified sound like a shower of lead shot
dropping onto a metal surface (shot noise is current while thermal noise is voltage).

89
 The effect occurs because the carriers (holes and electrons) do not cross the barrier
simultaneously; the path taken by them is random so a random component of current is
superimposed entire steady current.
Shot noise is normally observed during measurement of direct current because it is
small compared to the d.c value. The nature of currents variation with time is as below.

The current fluctuates around the mean value I dc. The current In(t) which vary around the Idc is
known as shot noise. The total current I(t)=Io+In(t)………………………………….1
The shot noise current is given by;

I n ( t )=√ 2 I dc qe Bn

Where Idc=direct current

qe=1.6 ×10−19 C

Bn=Equivalent noise bandwidth

In=r.m.s shot noise current
Example
Calculate the shot noise component of current present over the direct current of 1mA flowing
across a semiconductor junction, given that the effective noise bandwidth is 1MHz.
(In=18nA)
Thermal noise
This noise is generated by the random motion of atoms and electrons in conducting
equipment such as resistor, so it is also called resistor noise. This noise is also known as
Johnson noise, white noise. The random motion of electron is due to heat. The intensity of
random motion is proportional to thermal energy supplied and zero at absolute zero
temperature.
Thermal noise power is proportional to product of bandwidth and temperature.
Pn=KTB…………………………………………...1

K=Boltzmann’s constant 1.38 ×10−23 J /° K

T=Temperature in degree Kelvin

Absolute temperature (° K=℃+273 ° ¿
B=bandwidth in Hz

90
The value of r.m.s noise voltage Vn is given by

V n= √ 4 KTBR

Thermal noise is random and continuous and occurs at all frequencies. It is predictable and
present in all devices.
Derivation

The figure above shows the equivalent circuit for thermal noise. The maximum noise
power will be transferred to the load R when R=R1. So the noise voltage across R is half of
Vn. Therefore, noise power developed across load resistor is given by;
Pn=KTB=¿ ¿
2
V N =4 KTBR

V N = √ 4 KTBR

Example
The electronic device is operating at a temperature of 17°C and a bandwidth of 10kHz.
Determine ;
i. Thermal noise power in watts and in dBm
ii. R.m.s noise voltage for 100Ω internal resistance and a 100Ω load resistance
Solution
−23 4
Pn=KTB=1.38× 10 × 290 ×1× 10

Pn=4 ×10−17 W

Power in dBm is given by

Pn
Pn dB=10 log
0.001
¿¿

4 ×10−17
Pn dB=10 log =−134 dBm
0.001

V N = √ 4 KTBR

V N = √ 4 × 4 ×10
−17
×100
91
=0.1265µV
Signal to noise ratio
It is defined as the ratio of signal power to noise power at same point. It is given by;
S Signal power
=
N Noise power

S Ps
=
N Pn

In dB it is given by;

S P
( )dB=¿10log s
N Pn

S V
( )dB=¿20log s
N Vn

The S/N ratio is always referred to power ratio if it is not specified. Sometimes, it is
also defined as r.m.s signal voltage to r.m.s noise voltage. S/N ratio is one of the most
important specifications in any communication system. The range of S/N ratio varies from
10dB to 90dB.
Significance
Signal to noise ratio is the figure of merit of any communication system. Therefore all
possible efforts should be made to keep BNR as high as possible. The signal to noise ratio at
the output of an amplifier is always lower than that at its input. This is because of the noise
that is added to the amplifier itself.
Noise Factor and Noise Figure
Noise factor (F) and noise figure (NF) are figure of merits used to indicate how much
signal to noise ratio becomes worse as signal passes through a circuit or series of circuit.
Noise factor is simply a ratio of input S/N power ratio. Mathematically, it is given by;
I /P S / N
F= (Unitless)
O/P S/ N

Noise figure is simply noise factor in dB. It is commonly used to indicate the quality of a
receiver. It is given by;
I / P S /N
NF (dB)=10 log
O/ P S / N

i.e NF (dB)=10log F
If a circuit is perfectly noiseless (it does not add additional noise to the signal) then
S/N ratio at output will be equal to S/N ratio at the input. So noise factor for such circuit will
be 1 and noise figure will be 0dB.
For ideal amplifier the input S/N ratio is same as output S/N ratio and for non-ideal
amplifier the input S/N ratio is not the same as output S/N ratio.
92
Example
For a non-ideal amplifier and for the given parameter determine;
i. Input S/N ratio in dB
ii. Output S/N (dB)
iii. Noise factor and noise figure

Input signal power=2 ×10−10 W

Input noise power=2 ×10−18 W

Power gain=106

Internal noise=6×10−12 W

Solution
−10
2× 10 W 8
(i) Input S/N = −18
=10
2× 10 W
8
¿ 10 log 10 =80 dB
Output noise power is the sum of internal noise and amplified input noise
N out =2× 10−18 × 106 W +6 ×10−12 W =8× 10−12 W
Pout =P ¿ . A p
Pout =2× 10−10 × 106=2 ×10−4=200 μW
(ii) Output S/N

( )
S S out 200 ×10−6 6
out= = =25 ×10
N N out 8 ×10 −12

6
¿ 10 log 25 ×10 =74 dB
I /P S / N
(iii) Noise factor F=
O/P S/ N
8
10
= 6
=4
25× 10
Therefore, F=4
Noise figure=N.F=10log F
=10log 4
=6dB

93
 Chapter 7

7.1 TRANSMISSION LINES

Introduction

A transmission line is a metallic conductor system that is used to transfer electrical

energy from one point to another. More specifically, a transmission line is a two or more
conductor separated by an insulator, such as a pair of wires or a system of wire pairs.
Transmission lines can be used to propagate dc or low frequency ac (such as 60-cycle
electrical power and audio signals); they can also be used to propagate very high frequencies
(such as intermediate and radio-frequency signals).
When propagating low-frequency signals, transmission line behaviour is rather simple
and quite predictable; however, when propagating high-frequency signals, the characteristics
of transmission lines become more involved.

All transmission lines have two ends namely:

i. The input end or the generator end: is the end of a two-wire transmission line
connected to a source. It is also called the transmitter end, sending end, and source.
ii. The output end or receiving end which is also called load end and sink.

Figure 7.1- Basic transmission line.

The transmission line can be described in terms of its impedance. The ratio of voltage
to current (Ein/Iin) at the input end is known as the input impedance (Z in). This is the
impedance presented to the transmitter by the transmission line and its load, the antenna.

The ratio of voltage to current at the output (E out/Iout) end is known as the output
impedance (Zout). This is the impedance presented to the load by the transmission line and its
source.

If an infinitely long transmission line could be used, the ratio of voltage to current at
any point on that transmission line would be some particular value of impedance. This
impedance is known as the characteristic impedance

Types of transmission lines

There are many different types of transmission mediums in the electronic

applications. Each medium (line or waveguide) has a certain characteristic impedance value,

94
current-carrying capacity, and physical shape and is designed to meet a particular
requirement.

The five types of transmission mediums include;

i. Parallel line
ii. Twisted pair
iii. Shielded pair
iv. Coaxial line
v. Waveguides

The use of a particular line depends, among other things,

i. Applied frequency,
ii. Power-handling capabilities, and
iii. Type of installation.

Two-Wire Open Line

This line consists of two wires that are generally spaced from 2 to 6 inches apart by
insulating spacers. This type of line is most often used for power lines, rural telephone lines,
and telegraph lines. It is sometimes used as a transmission line between a transmitter and an
antenna or between an antenna and a receiver.

Advantage: simple construction.

Disadvantage

The main disadvantages of this type of line are;

 High radiation losses and

 Electrical noise pickup because of the lack of shielding.

Radiation losses are produced by the changing fields created by the changing current in each
conductor.

Figure 7.2 - Parallel two-wire line.

Two-wire ribbon (twin lead)

This is another example of a parallel line. It is commonly used to connect a television

receiving antenna to a home television set. This line is essentially the same as the two-wire

95
open line except that uniform spacing is assured by embedding the two wires in a low-loss
dielectric, usually polyethylene. Since the wires are embedded in the thin ribbon of
polyethylene, the dielectric space is partly air and partly polyethylene.

Figure 7.3 - Two-wire ribbon type line.

Twisted Pair

The line consists of two insulated wires twisted together to form a flexible line
without the use of spacers. It is not used for transmitting high frequency because of the high
dielectric losses that occur in the rubber insulation. When the line is wet, the losses increase
greatly.

Figure 7.4 - Twisted pair

Shielded Pair

It consists of parallel conductors separated from each other and surrounded by a solid
dielectric. The conductors are contained within braided copper tubing that acts as an electrical
shield. The assembly is covered with a rubber or flexible composition coating that protects
the line from moisture and mechanical damage. Outwardly, it looks much like the power cord
of a washing machine or refrigerator.

Figure 7.5 - Shielded pair.

The main advantage of the shielded pair is that the conductors are balanced to ground;
that is, the capacitance between the wires is uniform throughout the length of the line. This
balance is due to the uniform spacing of the grounded shield that surrounds the wires along
their entire length. The braided copper shield isolates the conductors from stray magnetic
fields.

96
Coaxial Lines

There are two types of coaxial lines;

 Rigid or air
 Flexible or solid

(a) Rigid coaxial lines

The physical construction of both types is basically the same; that is, each contains
two concentric conductors. The rigid coaxial line consists of a central, insulated wire (inner
conductor) mounted inside a tubular outer conductor. This line is shown in figure 7.6.

In some applications, the inner conductor is also tubular. The inner conductor is
insulated from the outer conductor by insulating spacers or beads at regular intervals. The
spacers are made of pyrex, polystyrene, or some other material that has good insulating
characteristics and low dielectric losses at high frequencies.

Figure 7.6 - Air coaxial line

Advantages

i. The main advantage of the rigid line is its ability to minimize radiation losses.

The electric and magnetic fields in a two-wire parallel line extend into space for relatively
great distances and radiation losses occur. However, in a coaxial line no electric or
magnetic fields extend outside of the outer conductor. The fields are confined to the space
between the two conductors, resulting in a perfectly shielded coaxial line.

ii. In addition, the interference from other lines is reduced.

Disadvantages

i. It is expensive to construct;
ii. It must be kept dry to prevent excessive leakage between the two conductors; and
iii. Although high-frequency losses are somewhat less than in previously mentioned
lines, they are still excessive enough to limit the practical length of the line.

Prevention of Leakage

Leakage caused by the condensation of moisture is prevented in some rigid line

applications by the use of an inert gas, such as nitrogen, helium, or argon. It is pumped into
97
the dielectric space of the line at a pressure that can vary from 3 to 35 pounds per square inch.
The inert gas is used to dry the line when it is first installed and pressure is maintained to
ensure that no moisture enters the line.

(b) Flexible coaxial lines

They are made with an inner conductor that consists of flexible wire insulated from
the outer conductor by a solid, continuous insulating material. The outer conductor is made of
metal braid, which gives the line flexibility. Early attempts at gaining flexibility involved
using rubber insulators between the two conductors. However, the rubber insulators caused
excessive losses at high frequencies.

Figure 7.7- Flexible coaxial line.

Because of the high-frequency losses associated with rubber insulators, polyethylene

plastic was developed to replace rubber and eliminate these losses. Polyethylene plastic is a
solid substance that remains flexible over a wide range of temperatures.

It is unaffected by seawater, gasoline, oil, and most other liquids that may be found
aboard ship. The use of polyethylene as an insulator results in greater high-frequency losses
than the use of air as an insulator. However, these losses are still lower than the losses
associated with most other solid dielectric materials.

Waveguides

It is classified as a transmission line. However, the method by which it transmits

energy down its length differs from the conventional methods. Waveguides are cylindrical,
elliptical, or rectangular. The rectangular waveguide is used more frequently than the
cylindrical waveguide.

Figure 7.8- Waveguides.

The term waveguide can be applied to all types of transmission lines in the sense that
they are all used to guide energy from one point to another. However, usage has generally
limited the term to mean a hollow metal tube or a dielectric transmission line. Therefore, here
the term waveguide will be used to mean hollow metal tube.

98
 It should be noted that the transmission of electromagnetic energy along a waveguide
travels at a velocity somewhat slower than electromagnetic energy travelling through free
space. A waveguide may be classified as;

i. According to its cross section (rectangular, elliptical, or circular), or

ii. According to the material used in its construction (metallic or dielectric).

Dielectric waveguides are seldom used because the dielectric losses for all known
dielectric materials are too great to transfer the electric and magnetic fields efficiently.

The installation of a complete waveguide transmission system is somewhat more

difficult than the installation of other types of transmission lines. The radius of bends in the
waveguide must measure greater than two wavelengths at the operating frequency of the
equipment to avoid excessive attenuation. The cross section must remain uniform around the
bend. These requirements hamper installation in confined spaces.

If the waveguide is dented, or if solder is permitted to run inside the joints, the
attenuation of the line is greatly increased. Dents and obstructions in the waveguide also
reduce its breakdown voltage, thus limiting the waveguide's power-handling capability
because of possible arc over. Great care must be exercised during installation; one or two
carelessly made joints can seriously inhibit the advantage of using the waveguide.

Losses in transmission lines

Copper Losses

The first type of copper loss is I 2R loss. In RF lines the resistance of the conductors is
never equal to zero. Whenever current flows through one of these conductors, some energy is
dissipated in the form of heat. This heat loss is a power loss. With copper braid, which has a
resistance higher than solid tubing, this power loss is higher.

Another type of copper loss is due to skin effect. When dc flows through a conductor,
the movement of electrons through the conductor's cross section is uniform. The situation is
somewhat different when ac is applied. The expanding and collapsing fields about each
electron encircle other electrons. This phenomenon, called self induction, retards the
movement of the encircled electrons.

The flux density at the center is so great that electron movement at this point is
reduced. As frequency is increased, the opposition to the flow of current in the center of the
wire increases. Current in the center of the wire becomes smaller and most of the electron
flow is on the wire surface.

When the frequency applied is 100MHz or higher, the electron movement in the
center is so small that the center of the wire could be removed without any noticeable effect
on current. It should be seen that the effective cross-sectional area decreases as the frequency
increases.

Since resistance is inversely proportional to the cross-sectional area, the resistance

will increase as the frequency is increased. Also, since power loss increases as resistance
increases, power losses increase with an increase in frequency because of skin effect.

99
 Copper losses can be minimized and conductivity increased in an RF line by plating
the line with silver. Since silver is a better conductor than copper, most of the current will
flow through the silver layer. The tubing then serves primarily as a mechanical support.

Dielectric Losses

It results from the heating effect on the dielectric material between the conductors.
Power from the source is used in heating the dielectric. The heat produced is dissipated into
the surrounding medium.

When there is no potential difference between two conductors, the atoms in the
dielectric material between them are normal and the orbits of the electrons are circular. When
there is a potential difference between two conductors, the orbits of the electrons change.

The excessive negative charge on one conductor repels electrons on the dielectric
toward the positive conductor and thus distorts the orbits of the electrons. A change in the
path of electrons requires more energy, introducing a power loss.

The atomic structure of rubber is more difficult to distort than the structure of some
other dielectric materials. The atoms of materials, such as polyethylene, distort easily.
Therefore, polyethylene is often used as a dielectric because less power is consumed when its
electron orbits are distorted.

Radiation and Induction Losses

They are similar in that both are caused by the fields surrounding the conductors.
Induction losses occur when the electromagnetic field about a conductor cuts through any
nearby metallic object and a current is induced in that object. As a result, power is dissipated
in the object and is lost.

Radiation losses occur because some magnetic lines of force about a conductor do not
return to the conductor when the cycle alternates. These lines of force are projected into space
as radiation and results in power losses. That is, power is supplied by the source, but is not
available to the load.

Electrical Characteristics of Transmission Lines

Primary constants of a Transmission line

(a) Inductance (L)

When current flows through a wire, magnetic lines of force are set up around the wire.
As the current increases and decreases in amplitude, the field around the wire expands and
collapses accordingly.

The energy produced by the magnetic lines of force collapsing back into the wire
tends to keep the current flowing in the same direction. This represents a certain amount of
inductance, which is expressed in microhenrys per unit length. Figure 6.10 illustrates the
inductance and magnetic fields of a transmission line.

100
Figure 7.9 - Distributed inductance

(b) Capacitance(C)

Capacitance also exists between the transmission line wires, as illustrated in figure
7.10. it should be noted that the two parallel wires act as plates of a capacitor and that the air
between them acts as a dielectric. The capacitance between the wires is usually expressed in
picofarads per unit length. This electric field between the wires is similar to the field that
exists between the two plates of a capacitor.

Figure 7.10- Distributed capacitance.

(c) Resistance (R)

The transmission line shown in figure 7.11 has electrical resistance along its length.
This resistance is usually expressed in ohms per unit length and is shown to exist
continuously from one end of the line to the other.

Figure 7.11- Distributed resistance.

Conductance (G)

Since any dielectric, even air, is not a perfect insulator, a small current known as
leakage current flows between the two wires. In effect, the insulator acts as a resistor,
permitting current to pass between the two wires.

Figure 7.12 shows this leakage path as resistors in parallel connected between the two
lines. This property is called conductance (G) and is the opposite of resistance. Conductance
in transmission lines is expressed as the reciprocal of resistance and is usually given in
micromhos per unit length.

101
Figure 7.12- Leakage in a transmission line.

Secondary Constants of a transmission line

The secondary constants of a line are:
 Characteristic Impedance
 Propagation Constant

Characteristic Impedance
For maximum power transfer from the source to the load, a transmission line must be
terminated in a purely resistive load equal to the characteristics impedance of the line. The
characteristic impedance (Zo) of a transmission line is a complex quantity that is expressed in
ohms, is ideally independent of line length, and cannot be measured.

Characteristic impedance is defined as the impedance looking into finite length of line
that is terminated in a purely resistive load equal to the characteristic impedance of the line.
A transmission line stores energy in its distributed inductance and capacitance. If the line is
infinite long, it can store energy indefinitely; energy from the source is entering the line and
none is returned. Therefore, the line acts as a resistor that dissipates all the energy.

An infinite line can be stimulated if a finite line is terminated in a purely resistive load
equal to Zo; all the energy that enters the line from the source is dissipated in the load (this
assumes a totally lossless line).
The characteristic impedance of the transmission line in ohms (Ω) is calculated as
follows:
Z o=
√ jωL+ R
jωC +G
Since the losses of the transmission lines in digital system buses can be neglected, the
characteristic impedance becomes real and has the following value:
Z o=
√ L
C
Another important parameter of a transmission line is the propagation time between
the two ends. For long buses it is more dominant than the propagation delays caused by the
line drivers. The propagation delay of a transmission line in seconds per metre is calculated
as;

τ 0=√ LC

Finally, important calculated parameters of a transmission line are the reflection

coefficients:
RT −Z o
r L=
RT + Zo

R G−Z o
rG =
RG + Z o

102
where RG and RT are the generator and load resistances, respectively.
For a parallel-wire line with air insulation, the characteristic impedance may be
calculated as such:

Figure 7.13
The characteristic impedance of this line is given as;
276 d
Z o= ∈ where d=distance between conductor centres, r =conductor radius,
√ εr r
εr =relative permittivity of insulation between conductors
If the transmission line is coaxial in construction, the characteristic impedance follows
a different equation:

Figure 7.14
The characteristic impedance of this line is given as;

138 d 1
Z o= ∈
√ εr d 2
where, d1=inside diameter of outer diameter and d2=outside diameter of inner conductor
If the insulating material is other than air (or a vacuum) then both the characteristic
impedance and the propagation velocity will be affected. The ratio of a transmission line’s
true propagation velocity and the speed of light in a vacuum referred to as velocity factor of
that line.
Characteristic impedance is also known as natural impedance, and it refers to the
equivalent resistance of a transmission line if it were infinitely long, owing to distributed
capacitance and inductance as the voltage and current waves propagate along its length at a
propagation velocity equal to some large fraction of light speed.
It can be seen in either of the first two equations that a transmission line's
characteristic impedance (Zo) increases as the conductor spacing increases. If the conductors
are moved away from each other, the distributed capacitance will decrease (greater spacing
between capacitor plates), and the distributed inductance will increase (less cancellation of
the two opposing magnetic fields).
If there is less parallel capacitance and more series inductance, it results in a smaller
current drawn by the line for any given amount of applied voltage, which by definition is
greater impedance.

103
 Conversely, bringing the two conductors closer together increases the parallel
capacitance and decreases the series inductance. Both changes result in a larger current drawn
for a given applied voltage, equating to a lesser impedance.
Excluding any dissipative effects such as dielectric leakage and conductor resistance,
the characteristic impedance of a transmission line is equal to the square root of the ratio of
the line's inductance per unit length divided by the line's capacitance per unit length:

Z o=
√ L
C
Where Zo=characteristic impedance of the line, L=inductance per unit length of the line
C=capacitance per unit length of the line
Propagation constant
It is defined as the natural logarithm of the ratio of the sending end current or voltage
to the receiving end current or voltage of the line. It gives the manner in which the wave is
propagated along a line and specifies the variation of voltage and current in the line as a
function of distance.
Propagation constant is a complex quantity and is expressed as = + j. The real part is
called the attenuation constant whereas the imaginary part of propagation constant is called
the phase constant.The propagation constant is separated into two components that have very
different effects on signals:

γ=α+jβ

where γ=propagation constant, α=Attenuation constant, β=Phase constant

The two parts of the propagation constant have radically different effects on a wave.
The amplitude of a wave (frozen in time) goes as Cos ( β 1,). In a lossless transmission line,
the wave would propagate as a perfect sine wave. In real life there is some loss to the
transmission line, and that is where the attenuation constant comes in. The amplitude of the
signal decays as e−α .The composite behaviour of the propagation constant is observed when
1

the effects of α and β are multiplied.

γ= √( R+ jωL) (G+ jωC ¿)=α + jβ ¿

Attenuation constant

In telecommunications, the term attenuation constant, also called attenuation

parameter or coefficient, is the attenuation of an electromagnetic wave propagating through a
medium per unit distance from the source. It is the real part of the propagation constant and is
measured in nepers per metre. A neper is approximately 8.7dB. Attenuation constant can be
defined by the amplitude ratio;

| |
Ao
Ax
= e αx

104
 The propagation constant per unit length is defined as the natural logarithmic of ratio
of the sending end current or voltage to the receiving end current or voltage.

Phase constant

In electromagnetic theory, the phase constant, also called phase change constant,
parameter or coefficient is the imaginary component of the propagation constant for a plane
wave. It represents the change in phase per metre along the path travelled by the wave at any
instant and is equal to real part of the angular wave number of the wave.

It is represented by the symbol β and is measured in units of radians per metre.From

the definition of (angular) wave number;

2π
k= =β
λ

For a transmission line, wave number must be proportional to frequency for the
transmission of the wave to be undistorted in the time domain. This includes, but is not
limited to, the ideal case of a lossless line. The reason for this condition can be seen by
considering that a useful signal is composed of many different wavelengths in the frequency
domain.

For there to be no distortion of the waveform, all these waves must travel at the same
velocity so that they arrive at the far end of the line at the same time as a group. Since wave
phase velocity is given by;

λ f ω
up= = =
T v β

It is proved that β is required to be proportional to ω. In terms of primary coefficients

of the line, this yields the telegrapher's equation for a distortionless or lossless line the
condition;

β=ω √ LC

However, practical lines can only be expected to approximately meet this condition
over a limited frequency band.

Velocity Factor
Velocity factor is purely a factor of the insulating material's relative permittivity
(otherwise known as its dielectric constant), defined as the ratio of a material's electric field
permittivity to that of a pure vacuum. The velocity factor of any cable type, coaxial or
otherwise may be calculated quite simply by the following formula:
v 1
velocity factor = =
c √εr

v= velocity of wave propagation, c=velocity of light in vacuum, ε r=relative permittivity of

insulation between conductors

105
Fig 7.15

Phase velocity

The phase velocity is the speed at which a point of fixed phase propagates, which is
not always the speed that electromagnetic information travels. In TEM waves, the phase
velocity is the same as the velocity of light in the chosen medium.

For TEM waves:

1 1
u p =v light = = =VF ×c
√ μϵ √ μ R ε R
ω
It can also be found by the equation, u p =
β

Reflection Coefficient
The reflection coefficient is a vector quantity that represents the ratio of reflected
voltage to incident voltage or reflected current to incident current. Mathematically, the
reflection coefficient is gamma, Г, defined by
Er
Γ=
Ei

Where
Г = reflection coefficient
Er = reflected voltage (volts)
Ei = incident voltage (volts)
Er = ZL – ZO
Ei = ZL + ZO
Z o−Z L
So, Г=
Zo+ ZL

Where
ZL = load impedance
ZO = characteristic impedance
Related to SWR, we have

106
 SWR−1
Г=
SWR+ 1

Standing waves on a transmission line

There is a large variety of terminations for RF lines. Each type of termination has a
characteristic effect on the standing waves on the line. From the nature of the standing waves,
you can determine the type of termination that produces the waves.

Termination in Z0

Termination in Z0 (characteristic impedance) will cause a constant reading on an ac

meter when it is moved along the length of the line. As illustrated in figure 7.16, view A, the
curve, provided there are no losses in the line, will be a straight line. If there are losses in the
line, the amplitude of the voltage and current will diminish as they move down the line (view
B). The losses are due to dc resistance in the line itself.

Figure 7.16 - Effects of various terminations on standing waves.

Termination in an open circuit

In an open-circuited RF line (Figure 7.16, view C), the voltage is maximum at the
1
end, but the current is minimum. The distance between two adjacent zero current points is λ
2
and the distance between alternate zero current points is 1λ. The voltage is zero at a distance
1
of λ from the end of the line. This is true at any frequency. A voltage peak occurs at the end
4
1 1
of the line, at λ from the end, and at each λ thereafter.
2 2

Termination in a short circuit

On the line terminated in a short circuit, shown in Figure 7.16, view D, the voltage is
1
zero at the end and maximum at λ from the end. The current is maximum at the end, zero at
4
1 1
λ from the end, and alternately maximum and zero every λ thereafter.
4 4

Termination in capacitance
107
 When a line is terminated in capacitance, the capacitor does not absorb energy, but
returns all of the energy to the circuit. This means there is 100% reflection. The current and
voltage relationships are somewhat more involved than in previous types of termination.

For this explanation, assume that the capacitive reactance is equal to the Z 0 of the line.
Current and voltage are in phase when they arrive at the end of the line, but in flowing
through the capacitor and the characteristic impedance (Z 0) connected in series, they shift in
phase relationship.

Current and voltage arrive in phase and leave out of phase. This results in a standing
wave configuration as shown in figure 7.16, view E. The standing wave voltage is a
minimum at a distance of exactly 1/8λ from the end.

If the capacitive reactance is greater than Z 0 (smaller capacitance), the termination

looks more like an open circuit; the voltage minimum moves away from the end. If the
capacitive reactance is smaller than Z0, the minimum moves toward the end.

Termination in inductance

When the line is terminated in an inductance, both the current and voltage shift in
phase as they arrive at the end of the line. When XL is equal to Z0, the resulting standing
waves are as shown in figure 7.16, view F.

1
The current minimum is located λ from the end of the line. When the inductive
8
reactance is increased, the standing waves appear closer to the end. When the inductive
reactance is decreased, the standing waves move away from the end of the line.

Termination in a resistance not equal to the characteristic impedance (Z0)

Whenever the termination is not equal to Z0, reflections occur on the line. For
example, if the terminating element contains resistance, it absorbs some energy, but if the
resistive element does not equal the Z0 of the line, some of the energy is reflected.

The amount of voltage reflected may be found by using the equation:

E R=E i
( R L −Z o
R L+ Z o )
Where:

ER = the reflected voltage , Ei = the incident voltage

RL = the terminating resistance, Z0= the characteristic impedance of the line

If different values of RL are tried in the preceding equation, it will be found that the
reflected voltage is equal to the incident voltage only when RL equals 0 or is infinitely large.

108
 When RL= Z0, no reflected voltage occurs. When RLis greater than Z0, ER is positive,
but less than Ei. As RL increases and approaches an infinite value, ER increases and
approaches Ei in value.

When RL is smaller than Z0, ER has a negative value. This means that the reflected
voltage is of opposite polarity to the incident wave at the termination of the line. As R L
approaches zero, ER approaches Ei in value. The smaller the value of E R, the smaller is the
peak amplitude of the standing waves and the higher are the minimum values.

Termination in a resistance greater than Z0

When RL is greater than Z0, the end of the line is somewhat like an open circuit; that
is, standing waves appear on the line. The voltage maximum appears at the end of the line
and also at half-wave intervals back from the end.

The current is minimum (not zero) at the end of the line and maximum at the odd
quarter-wave points. Since part of the power in the incident wave is consumed by the load
resistance, the minimum voltage and current are less than for the standing waves on an open-
ended line. Figure 7.16, view G, illustrates the standing waves for this condition.

Termination in a resistance less than Z0

When RL is less than Z0, the termination appears as a short circuit. The standing waves
are shown in figure 7.16 view H. It should be noted that the line terminates in a current
LOOP (peak) and a voltage NODE (minimum). The values of the maximum and minimum
voltage and current approach those for a shorted line as the value of RL approaches zero.

A line does not have to be any particular length to produce standing waves; however,
it cannot be an infinite line. Voltage and current must be reflected to produce standing waves.
For reflection to occur, a line must not be terminated in its characteristic impedance.

Reflection occurs on lines terminated in opens, shorts, capacitances, and inductances,

because no energy is absorbed by the load. If the line is terminated in a resistance not equal to
the characteristic impedance of the line, some energy will be absorbed and the rest will be
reflected.

The voltage and current relationships for open-ended and shorted lines are opposite to
each other, as shown in figure 7.16, views C and D. The points of maximum and minimum
voltage and current are determined from the output end of the line, because reflection always
begins at that end.

Standing-wave ratio

The measurement of standing waves on a transmission line yields information about

equipment operating conditions. Maximum power is absorbed by the load when Z L = Z0. If a
line has no standing waves, the termination for that line is correct and maximum power
transfer takes place.

The variation of standing waves shows how near the RF line is to being terminated in
Z0. A wide variation in voltage along the length means a termination far from Z 0. A small

109
variation means termination near Z0. Therefore, the ratio of the maximum to the minimum is
a measure of the perfection of the termination of a line. This ratio is called the standing wave
ratio (SWR) and is always expressed in whole numbers. For example, a ratio of 1:1 describes
a line terminated in its characteristic impedance (Z0).

Voltage Standing-Wave Ratio

The ratio of maximum voltage to minimum voltage on a line is called the voltage
standing wave ratio (VSWR). Therefore:

Emax
vswr=
E min

The absolute values are used without regard to polarity. Depending on the nature of
the standing waves, the numerical value of VSWR ranges from a value of 1 (Z L = Z0, no
standing waves) to an infinite value for theoretically complete reflection. Since there is
always a small loss on a line, the minimum voltage is never zero and the VSWR is always
some finite value.

However, if the VSWR is to be a useful quantity, the power losses along the line must
be small in comparison to the transmitted power. VSWR is a function of the reflection
coefficient, which describes the power reflected from the antenna. If the reflection coefficient
is given by Γ, then the VSWR is defined as:

1+| Γ|
VSWR=
1−|Γ|

The VSWR is always a real and positive number for antennas. The smaller the VSWR
is, the better the antenna is matched to the transmission line and the more power is delivered
to the antenna. The minimum VSWR is 1.0. In this case, no power is reflected from the
antenna, which is ideal.

Often antennas must satisfy a bandwidth requirement that is given in terms of VSWR.
For instance, an antenna might claim to operate from 100-200 MHz with VSWR<3. This
implies that the VSWR is less than 3.0 over the specified frequency range. This VSWR
specifications also implies that the reflection coefficient is less than 0.5 (i.e., <0.5) over the
quoted frequency range.

Physical Meaning of VSWR

The VSWR is determined from the voltage measured along a transmission line
leading to an antenna. VSWR is the ratio of the peak amplitude of a standing wave to the
minimum amplitude of a standing wave, as seen in figure 7.17:

110
Figure 7.17: Voltage Measured Along a Transmission Line.

When an antenna is not matched to the receiver, power is reflected (so that the
reflection coefficient, Γ, is not zero). This causes a reflected voltage wave, which creates
standing waves along the transmission line. The results are the peaks and valleys as seen in
Figure 7.17. If the VSWR = 1.0, there would be no reflected power and the voltage would
have a constant magnitude along the transmission line.

Power Standing-Wave Ratio

The square of the voltage standing-wave ratio is called the power standing wave ratio
(PSWR). Therefore:

P max
pswr=
P min

This ratio is useful because the instruments used to detect standing waves react to the
square of the voltage. Since power is proportional to the square of the voltage, the ratio of the
square of the maximum and minimum voltages is called the power standing-wave ratio.

Current Standing-Wave Ratio

The ratio of maximum to minimum current along a transmission line is called current
standing wave ratio (ISWR). Therefore;

I max
iswr =
I min

This ratio is the same as that for voltages. It can be used where measurements are
made with loops that sample the magnetic field along a line.

Balanced and Unbalanced Lines

In telecommunications and professional audio, a balanced line or balanced signal pair

is a transmission line consisting of two conductors of the same type, each of which have
equal impedances along their lengths and equal impedances to ground and to other circuits.

The main advantage of the balanced line format is good rejection of external noise.
Common forms of balanced line are twin-lead, used for radio frequency signals and twisted
pair, used for lower frequencies.

111
 Circuits driving balanced lines must themselves be balanced to maintain the benefits
of balance. This may be achieved by differential signalling, transformer coupling or by
merely balancing the impedance in each conductor.

Lines carrying symmetrical signals (those with equal but opposite voltages to ground
on each leg) are often referred to as balanced, but this is an entirely different meaning. The
two conditions are not related.

Balanced lines do not have a common. The signal information is carried on both
wires. One wire carries positive (+ve) signal and the other carries a signal 180°out of phase
called the negative (-ve) signal.

Figure 7.17: Balanced line - usually a twisted pair

Figure 7.18: Noise appears on both wires

Often the wires are twisted together in order to tightly couple the wires electrically.
The goal is to have any noise that appears on one wire to appear on the other wire. Because
the signals are 180 degrees out of phase, the noise will cancel

Unbalanced line

In electrical engineering, an unbalanced line is a transmission line, usually coaxial

cable, whose conductors have unequal impedances with respect to ground; as opposed to a
balanced line. Microstrip and single-wire lines are also unbalanced lines.

They are designed to have its return conductor connected to ground, or circuits whose
return conductor actually is ground. Balanced and unbalanced circuits can be interconnected
using a transformer called a balun.
112
 Unbalanced lines consist of two wires. One wire carries the signal and the other is the
reference line called the common. The common wire is usually at ground potential. Often the
common wire will also be used as a shield for noise immunity.

Figure 7.19: Unbalanced line

Figure 7.20: Unbalanced line using common as shield

Unbalanced lines have difficulty with noise immunity as any EMI noise will appear
on the signal lead. Unbalanced lines are used for short distances because of the inherent
problem with noise immunity.

Transmission Line Impedance Matching

Power is transferred most efficiently to a load when there are no reflected waves, that
is, when the load is purely resistive and equal to Zo. Whenever the characteristic impedance
of a transmission line and its load are not matched (equal), standing waves are present on the
line and maximum power is not transferred to the load.
Standing waves cause power loss, dielectric breakdown, noise, radiation, and ghost
signals. Therefore, whenever possible a transmission line should be matched to its load. Two
common transmission-line techniques are used to match a transmission line to a load having
impedance that is not equal to Zo. They are quarter-wavelength transformer matching and
stub matching.
Quarter-wavelength transformer matching
This is use to match transmission lines to purely resistive loads whose resistance is
not equal to the characteristic impedance of the line. Keep in mind that quarter-wavelength
transformer is not actually a transformer, but rather a quarter-wavelength section of
transmission line that acts as if it was a transformer.
The input impedance to a transmission line varies from some maximum value to some
minimum value, or vice versa, every quarter-wavelength. Therefore, a transmission line one-
quarter wavelength long acts as a step-up or step-down transformer, depending on whether ZL
is greater than or less than Zo.
A quarter-wavelength transformer is not a broadband impedance-matching device; it
is a quarter-wavelength at only a single frequency. The impedance transformations for a
quarter-wavelength transmission line are as follows:

113
 1. RL = Zo: The quarter-wavelength line acts as transformer with a 1:1 turns ratio.
2. RL > Zo: The quarter-wavelength line acts as step-down transformer.
3. RL < Zo: The quarter-wavelength line acts as step-up transformer.
As with a transformer, a quarter-wavelength transformer is placed between a
transmission line and its load. A quarter-wavelength transformer is simply a length of
transmission line one-quarter wavelength long.
Figure 7.21 shows how a quarter-wavelength transformer is used to match a
transmission line to a purely resistive load. The characteristic impedance of the quarter-
wavelength section is determined mathematically from the formula
Z o =√ Z o Z L
'

Where
'
Z o = characteristic impedance of a quarter-wavelength transformer
Zo = characteristic impedance of the transmission line that is being matched
ZL = load impedance

Figure 7.21: Quarter-wavelength transformer

Stub matching
When a load is purely inductive or purely capacitive, it absorbs no energy. The
reflection coefficient is 1 and the SWR is infinity. When the load is a complex impedance
(which is usually the case), it is necessary to remove the reactive component to match the
transmission line to the load.
Transmission-line stubs are commonly used for this purpose. A transmission-line stub
is simply a piece of additional transmission line that is placed across the primary line as close
to the load as possible. The susceptance of the stub is used to tune out the susceptance of the
load. With stub matching, either a shorted or an open stub can be used. However, shorted
stubs are preferred because open stubs have a tendency to radiate, especially at the higher
frequency.

114
Figure 7.22: Shorted stub impedance matching
Figure 7.22 shows how a shorted stub is used to cancel the susceptance of the load
and match the load resistance to the characteristic impedance of the transmission line. It has
been shown how a shorted section of transmission line can look resistive, inductive, or
capacitive, depending on its electrical length. A transmission line that is one-half wavelength
or shorter can be used to tune out the reactive component of a load.

The process of matching a load to a transmission line with a shorted stub is as

follows:
1. Locate a point as close to the load as possible where the conductive component of
the input admittance is equal to the characteristic admittance of the transmission
line.
Yin = G – jB, where G = 1/ZO

2. Attach the shorted stub to the point on the transmission line identified in step 1.
3. Depending on whether the reactive component at the point identified in step 1 is
inductive or capacitive, the stub length is adjusted accordingly.
Example
1. A transmitter operating with 4W output is connected via a 10m of RG-8A/U 50-Ohm
coaxial cable to an antenna that has an input resistance of 300Ω.  Determine
(a)   VSWR,
(b) Amount of the transmitter's 4W output absorbed by the antenna.

Solution
(a)

(b)

The reflected voltage is r times the incident voltage.  Since power is proportional to the
square of the voltage, the reflected power, Prefl is (5/7)2 x 4 W = 2.04 W and
the power to the antenna = 4 W  - Prefl = 1.96 W

Parameters of common transmission lines

Coaxial cable

It is a transmission line consisting of two cylindrical conductors separated by a

dielectric. The two conductors are often made of braided small diameter copper wires. If εr
denotes the relative permittivity of the insulator, the line parameters are given by;

2π ϵo ϵr
C=
D
¿( )
d

μo D
L= ∈( )
2π d

115
 Z o=
√ μo 1
ϵ o ϵr 2 π
D
∈( )≅
60
d √ϵr
D
∈( )
d

Velocity of propagation of the wave along the line

c
up=
√ϵr
The maximum frequency for which the coaxial cable is single mode is approximately

up
f max =
π (D+ d)

The corresponding minimum wavelength is;

λ min =π ( D+ d)

Example
Given a coaxial cable whose inner conductor diameter d=1.6mm, outer conductor
diameter D=5.8mm, ϵ r =2.3, calculate the following parameters of the cable.

i. Inductance
ii. Capacitance
iii. Characteristic impedance
iv. Phase velocity
v. Maximum frequency
vi. Minimum wavelength
Solution
L=0.2576µH/m, C=99.35pF/m, Zo=50.92Ω, up=0.659(3*108), fmax=8.5GHz
Two-Wire Line
They consist of two parallel cylindrical conductors. This structure has a TEM only, if
the dielectric that surrounds the conductors is homogenous. In practice, the conductors are
embedded in a thin insulating support structure which causes the fundamental mode to be
only approximately TEM.

The parameters of the two-wire transmission line are given as follows;

π ϵo ϵ r
C=
D
cosh−1 ( )
d
116
 μo −1 D
L= cosh ( )
π d

Z o=
1
2π √ μo
ϵo ϵr
−1 D
cosh ( )≅
d
120
√ϵr
−1 D
cosh ( )
d

Example
The two wire line has wires which have a diameter of 1.5mm and a separation of 5.0mm.
They are located in air. Calculate the:
i. Capacitance (C=14.84pF/m)
ii. Inductance (L=750nH/m)
iii. Phase velocity (up=c) and
iv. Characteristic impedance of the wire (Zo=224.71Ω)
Wire on a metal plane

The line consists of a single wire running parallel to a grounded metal plate. The
parameters of the two-wire line are;
π ϵ oϵr
C=
h
cosh−1 ( )
d
μo −1 2 h
L= cosh ( )
π d

Z o=
√
1 μo
π ϵo ϵr
−1 2 h
cosh ( )≅
d
120
√ϵr
−1 2 h
cosh ( )
d

c
up=
√ϵr
Example
Consider a wire with diameter d=3.2mm in air placed at a height h=5.74cm on a ground
lane. Find;
i. Capacitance (C=6.51pF/m)
ii. Inductance (L=1.71µH/m)
iii. Characteristic impedance (Zo=512.4Ω)

117
Shielded Two wire line
This is a three conductor line (two plus a ground one). In this case there are two TEM
modes, a symmetrical (balanced) one where the potentials of the two inner conductors are
symmetric with respect to that of the outer one, connected to the ground, and an asymmetric
(unbalanced) one with different parameters.

The parameters for the symmetric mode can be computed from the following equations;
π ϵo ϵr
C=
¿
[ 2 h(D 2−h2 )
d (D2 +h 2) ]
π 2
[
μo 2 h( D 2 −h2 )
L= ∈ 2
d ( D +h ) ]
Z o=
√ [
1 μo
π ϵo ϵr
∈
2 h( D 2−h2 )
2 2
d (D +h ) ]
Example
Consider a shielded two-wire line with diameter of the outer conductor D=100mm, inner
conductors with diameter d=15mm and a spacing 2h=50mm. Calculate;
i. Capacitance (C=25.77pF)
ii. Inductance (L=0.43µH)
iii. Characteristic Impedance (Zo=129.39Ω)

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