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6
Coding and Modulation
The block diagram in Figure 6.1 describes a digital communication system. Similarly,
data transfer between reader and transponder in an RFID system requires three main
functional blocks. From the reader to the transponder — the direction of data trans-
fer — these are: signal coding (signal processing)andthemodulator (carrier circuit)
in the reader (transmitter), the transmission medium (channel), and the demodulator
(carrier circuit)andsignal decoding (signal processing)inthetransponder (receiver).
A signal coding system takes the message to be transmitted and its signal represen-
tation and matches it optimally to the characteristics of the transmission channel .This
process involves providing the message with some degree of protection against inter-
ference or collision and against intentional modification of certain signal characteristics
(Herter and L
¨
orcher, 1987). Signal coding should not be confused with modulation,
and therefore it is referred to as coding in the baseband .
Modulation is the process of altering the signal parameters of a high frequency
carrier, i.e. its amplitude, frequency or phase, in relation to a modulated signal, the
baseband signal.
The transmission medium transmits the message over a predetermined distance. The
only transmission media used in RFID systems are magnetic fields (inductive coupling)
and electromagnetic waves (microwaves).
Demodulation is an additional modulation procedure to reclaim the signal in the
baseband. As there is often an information source (input) in both the transponder and
the reader, and information is thus transmitted alternately in both directions, these
components contain both a modulator and a demodulator. This is therefore known as
a modem (Modulator — Demodulator), a term that describes the normal configura-
tion (Herter and L
¨
orcher, 1987).
ReceiverTransmitter

Channel
Carrier
circuit
Carrier
circuit
Information
source
m
(
t
)
To information
sink (user)
m
(
t
)
Noise
n
(
t
)
Signal
processing
Signal
processing
s
(
t
)

r
(
t
)
Figure 6.1 Signal and data flow in a digital communications system (Couch, 1997)
RFID Handbook: Fundamentals and Applications in Contactless Smart Cards and Identification,
Second Edition
Klaus Finkenzeller
Copyright
 2003 John Wiley & Sons, Ltd.
ISBN: 0-470-84402-7
184 6CODINGANDMODULATION
The task of signal decoding is to reconstruct the original message from the baseband
coded received signal and to recognise any transmission errors and flag them as such.
6.1 Coding in the Baseband
Binary ones and zeros can be represented in various line codes. RFID systems normally
use one of the following coding procedures: NRZ, Manchester, Unipolar RZ, DBP
(differential bi-phase), Miller, differential coding on PP coding (Figure 6.2).
NRZ code
A binary 1 is represented by a ‘high’ signal and a binary 0 is rep-
resented by a ‘low’ signal. The NRZ code is used almost exclusively with FSK or
PSK modulation.
Manchester code
A binary 1 is represented by a negative transition in the half
bit period and a binary 0 is represented by a positive transition. The Manchester code
is therefore also known as split-phase coding (Couch, 1997).
The Manchester code is often used for data transmission from the transponder to
the reader based upon load modulation using a subcarrier.
NRZ coding:
Manchester coding:

(bi-phase)
111 10000
111
1
000
0
1
11
10
00
0
Unipolar RZ coding:
111
1
000
0
DBP
111
1
000
0
111
1
000
0
Miller coding:
Differential coding:
1
111
1

000
0
Modified Miller
coding:
Figure 6.2 Signal coding by frequently changing line codes in RFID systems
6.1 CODING IN THE BASEBAND 185
Unipolar RZ code
A binary 1 is represented by a ‘high’ signal during the first half
bit period, a binary 0 is represented by a ‘low’ signal lasting for the entire duration of
the bit.
DBP code
A binary 0 is coded by a transition of either type in the half bit period,
a binary 1 is coded by the lack of a transition. Furthermore, the level is inverted at the
start of every bit period, so that the bit pulse can be more easily reconstructed in the
receiver (if necessary).
Miller code
A binary 1 is represented by a transition of either type in the half bit
period, a binary 0 is represented by the continuance of the 1 level over the next bit
period. A sequence of zeros creates a transition at the start of a bit period, so that the
bit pulse can be more easily reconstructed in the receiver (if necessary).
Modified Miller code
In this variant of the Miller code each transition is replaced
by a ‘negative’ pulse. The modified Miller code is highly suitable for use in inductively
coupled RFID systems for data transfer from the reader to the transponder.
Due to the very short pulse durations (t
pulse
 T
bit
) it is possible to ensure a con-
tinuous power supply to the transponder from the HF field of the reader even during

data transfer.
Differential coding
In ‘differential coding’ every binary 1 to be transmitted causes
a change (toggle) in the signal level, whereas the signal level remains unchanged for
a binary zero. Differential coding can be generated very simply from an NRZ signal
by using an XOR gate and a D flip-flop. Figure 6.3 shows a circuit to achieve this.
Pulse-pause coding
In pulse-pause coding (PPC) a binary 1 is represented by
a pause of duration t before the next pulse; a binary 0 is represented by a pause of
duration 2t before the next pulse (Figure 6.4). This coding procedure is popular in
inductively coupled RFID systems for data transfer from the reader to the transponder.
Due to the very short pulse durations (t
pulse
 T
bit
) it is possible to ensure a contin-
uous power supply to the transponder from the HF field of the reader even during
data transfer.
Clock
Data in
(NRZ)
Data out
(differential)
XOR
DQ
Figure 6.3 Generating differential coding from NRZ coding
186 6CODINGANDMODULATION
1
11 1
0

00 0
Pulse/Pause-
length coding:
START SYNC
Figure 6.4 Possible signal path in pulse-pause coding
Various boundary conditions should be taken into consideration when selecting a
suitable signal coding system for an RFID system. The most important consideration
is the signal spectrum after modulation (Couch, 1997; M
¨
ausl, 1985) and suscepti-
bility to transmission errors. Furthermore, in the case of passive transponders (the
transponder’s power supply is drawn from the HF field of the reader) the power sup-
ply must not be interrupted by an inappropriate combination of signal coding and
modulation procedures.
6.2 Digital Modulation Procedures
Energy is radiated from an antenna into the surrounding area in the form of electro-
magnetic waves. By carefully influencing one of three signal parameters — power,
frequency, phase position — of an electromagnetic wave, messages can be coded and
transmitted to any point within the area. The procedure of influencing an electromag-
netic wave by messages (data) is called modulation, and an unmodulated electromag-
netic wave is called a carrier.
By analysing the characteristics of an electromagnetic wave at any point in the area,
we can reconstruct the message by measuring the change in reception power, frequency
or phase position of the wave. This procedure is known as demodulation.
Classical radio technology is largely concerned with analogue modulation proce-
dures. We can differentiate between amplitude modulation, frequency modulation and
phase modulation, these being the three main variables of an electromagnetic wave.
All other modulation procedures are derived from one of these three types. The pro-
cedures used in RFID systems are the digital modulation procedures ASK (amplitude
shift keying), FSK (frequency shift keying) and PSK (phase shift keying) (Figure 6.5).

In every modulation procedure symmetric modulation products — so-called side-
bands — are generated around the carrier. The spectrum and amplitude of the
sidebands are influenced by the spectrum of the code signal in the baseband and
by the modulation procedure. We differentiate between the upper and lower sideband.
6.2.1 Amplitude shift keying (ASK)
In amplitude shift keying the amplitude of a carrier oscillation is switched between
two states u
0
and u
1
(keying) by a binary code signal. U
1
can take on values between
u
0
and 0. The ratio of u
0
to u
1
is known as the duty factor m.
6.2 DIGITAL MODULATION PROCEDURES 187
Carrier
Sideband
P
f
Figure 6.5 Each modulation of a sinusoidal signal — the carrier — generates so-called (mod-
ulation) sidebands
To find the duty factor m we calculate the arithmetic mean of the keyed and unkeyed
amplitude of the carrier signal:
ˆu

m
=
ˆu
0
+ˆu
1
2
(6.1)
The duty factor is now calculated from the ratio of amplitude change ˆu
0
−ˆu
m
to
the mean value ˆu
m
:
m =
 ˆu
m
ˆu
m
=
ˆu
0
−ˆu
m
ˆu
m
=
ˆu

0
−ˆu
1
ˆu
0
+ˆu
1
(6.2)
In 100% ASK the amplitude of the carrier oscillation is switched between the carrier
amplitude values 2 ˆu
m
and 0 (On-Off keying; Figure 6.6). In amplitude modulation
using an analogue signal (sinusoidal oscillation) this would also correspond with a
modulation factor of m = 1 (or 100%) (M
¨
ausl, 1985).
The procedure described for calculating the duty factor is thus the same as that
for the calculation of the modulation factor for amplitude modulation using analogue
∆
û
m
û
m
û
1
û
0
t
m
= 0.5; (ASK 50%)

Figure 6.6 In ASK modulation the amplitude of the carrier is switched between two states by
a binary code signal
188 6CODINGANDMODULATION
signals (sinusoidal oscillation). However, there is one significant difference between
keying and analogue modulation. In keying, a carrier takes on the amplitude ˆu
0
in
the unmodulated state, whereas in analogue modulation the carrier signal takes on the
amplitude ˆu
m
in the unmodulated state.
In the literature the duty factor is sometimes referred to as the percentage carrier
reduction m

during keying:
m

= 1 −
ˆu
1
ˆu
0
(6.3)
For the example in Figure 6.7 the duty factor would be m

= 0.66 (= 66%). In the
case of duty factors <15% and duty factors >85% the differences between the two
calculation methods can be disregarded.
The binary code signal consists of a sequence of 1 and 0 states, with a period
duration T and a bit duration τ . From a mathematical point of view, ASK modulation

is achieved by multiplying this code signal u
code
(t) by the carrier oscillation u
Cr
(t).
For duty factors m<1 we introduce an additional constant (1 − m), so for this case
we can still multiply u
HF
(t) by 1 in the unkeyed state:
U
ASK
(t) = (m · u
code
(t) + 1 − m) · u
HF
(t) (6.4)
The spectrum of ASK signals is therefore found by the convolution of the code
signal spectrum with the carrier frequency f
Cr
or by multiplication of the Fourier
expansion of the code signal by the carrier oscillation. It contains the spectrum of the
code signal in the upper and lower sideband, symmetric to the carrier (M
¨
ausl, 1985).
A regular, pulse-shaped signal of period duration T and bit duration τ yields the
spectrum of Table 6.1 (see also Figure 6.8).
HF
Gen
0
t

Time
Amplitude
HF amplitude
ASK modulator
Digital
signal
HF
signal
T
Figure 6.7 The generation of 100% ASK modulation by the keying of the sinusoidal carrier
signal from a HF generator into an ASK modulator using a binary code signal
6.2 DIGITAL MODULATION PROCEDURES 189
Table 6.1 Spectral lines for a pulse-shaped modulated carrier
oscillation
Designation Frequency Amplitude
Carrier oscillation f
CR
u
HF
· (1 − m) · (T − τ)/T
1st spectral line f
CR
± 1/T u
HF
· m · sin(π · τ/T)
2nd spectral line f
CR
± 2/T u
HF
· m · sin(2π · τ/T)

3rd spectral line f
CR
± 3/T u
HF
· m · sin(3π · τ/T)
nth spectral line f
CR
± n/T u
HF
· m · sin(nπ · τ/T)
0
T
t
Time
Amplitude
Figure 6.8 Representation of the period duration T and the bit duration τ of a binary
code signal
0
t
Time
Amplitude
HF amplitude
Digital
signal
HF
signal
2FSK modulator
f
2
f

1
T
Figure 6.9 The generation of 2 FSK modulation by switching between two frequencies f
1
and
f
2
in time with a binary code signal
6.2.2 2 FSK
In 2 frequency shift keying the frequency of a carrier oscillation is switched between
two frequencies f
1
and f
2
by a binary code signal (Figure 6.9).
The carrier frequency f
CR
is defined as the arithmetic mean of the two charac-
teristic frequencies f
1
and f
2
. The difference between the carrier frequency and the
190 6CODINGANDMODULATION
characteristic frequencies is termed the frequency deviation f
CR
:
f
CR
=

f
1
+ f
2
2
f
CR
=
|f
1
+ f
2
|
2
(6.5)
From the point of view of the time function, the 2FSK signal can be considered
as the composition of two amplitude shift keyed signals of frequencies f
1
and f
2
.
The spectrum of a 2 FSK signal is therefore obtained by superimposing the spectra of
the two amplitude shift keyed oscillations (Figure 6.10). The baseband coding used in
RFID systems produces an asymmetric frequency shift keying:
τ =
T
2
(6.6)
In these cases there is also an asymmetric distribution of spectra in relation to the
mid-frequency f

CR
(M
¨
ausl, 1985).
6.2.3 2 PSK
In phase shift keying the binary states ‘0’ and ‘1’ of a code signal are converted into
corresponding phase states of the carrier oscillation, in relation to a reference phase.
In 2 PSK the signal is switched between the phase states 0
◦
and 180
◦
.
Mathematically speaking, the shift keying of the phase position between 0
◦
and
180
◦
corresponds with the multiplication of the carrier oscillation by 1 and −1.
The power spectrum of a 2 PSK can be calculated as follows for a mark-space ratio
τ /T of 50% (Mansukhani, 1996):
P(f) =

P · T
s
2

· [sin c
2
π(f − f
0

)T
s
+ sin c
2
π(f + f
0
)T
s
] (6.7)
where P is transmitter power, T
s
is bit duration (= τ ), f
0
is centre frequency, and
sin c(x) = (sin(x)/x).
Sidebands
P
f
f
2
f
1
f
CR
Figure 6.10 The spectrum of a 2 FSK modulation is obtained by the addition of the individual
spectra of two amplitude shift keyed oscillations of frequencies f
1
and f
2
6.2 DIGITAL MODULATION PROCEDURES 191

The envelope of the two sidebands around the carrier frequency f
0
follows the
function (sin(x)/x)
2
. This yields zero positions at the frequencies f
0
± 1/T
s
,f
0
±
2/T
S
,f
0
± n/T
S
. In the frequency range f
0
± 1/T
S
, 90% of the transmitter power is
transmitted. See Figure 6.11.
6.2.4 Modulation procedures with subcarrier
The use of a modulated subcarrier is widespread in radio technology. In VHF broad-
casting, a stereo subcarrier with a frequency of 38 kHz is transmitted along with the
baseband tone channel. The baseband contains only the monotone signal. The differ-
ential ‘L–R’ signal required to obtain the ‘L’ and ‘R’ tone channels can be transmitted
‘silently’ by the modulation of the stereo subcarrier. The use of a subcarrier therefore

represents a multilevel modulation. Thus, in our example, the subcarrier is first modu-
lated with the differential signal, in order to finally modulate the VHF transmitter once
again with the modulated subcarrier signal (Figure 6.12).
In RFID systems, modulation procedures using a subcarrier are primarily used
in inductively coupled systems in the frequency ranges 6.78 MHz, 13.56 MHz or
27.125 MHz and in load modulation for data transfer from the transponder to the
reader. The load modulation of an inductively coupled RFID system has a similar
effect to ASK modulation of HF voltage at the antenna of the reader. Instead of
switching the load resistance on and off in time with a baseband coded signal, a
low frequency subcarrier is first modulated by the baseband coded data signal. ASK,
FSK or PSK modulation may be selected as the modulation procedure for the sub-
carrier. The subcarrier frequency itself is normally obtained by the binary division of
the operating frequency. For 13.56 MHz systems, the subcarrier frequencies 847 kHz
(13.56 MHz ÷ 16), 424 kHz (13.56 Mhz ÷ 32) or 212 kHz (13.56 MHz ÷ 64) are usu-
ally used. The modulated subcarrier signal is now used to switch the load resistor on
and off.
The great advantage of using a subcarrier only becomes clear when we consider the
frequency spectrum generated. Load modulation with a subcarrier initially generates
× 1, −1
T
time
Amplitude
HF amplitude
Digital
signal
HF signal
2 PSK modulator
0
f
1

t
Figure 6.11 Generation of the 2 PSK modulation by the inversion of a sinusoidal carrier signal
in time with a binary code signal
192 6CODINGANDMODULATION
Subcarrier 212 kHz
Data stream − baseband coded
Carrier signal 13.56 MHz
Modulated subcarrier
ASK-Modulation 2
= Load modulation
ASK-Modulation 1
Load modulated signal with subcarrier
Figure 6.12 Step-by-step generation of a multiple modulation, by load modulation with ASK
modulated subcarrier
two spectral lines at a distance ± the subcarrier frequency f
H
around the operating
frequency (Figure 6.12). The actual information is now transmitted in the sidebands
of the two subcarrier lines, depending upon the modulation of the subcarrier with the
baseband coded data stream. If load modulation in the baseband were used, on the other
hand, the sidebands of the data stream would lie directly next to the carrier signal at
the operating frequency.
f
Signal
0 dB
−80 dB
f
T
= 13.560 MHz
f

H
= 212
Carrier signal of the reader,
measured at the antenna coil
Modulation products by load
modulation with a subcarrier
13.772 MHz13.348 MHz
Figure 6.13 Modulation products using load modulation with a subcarrier
6.2 DIGITAL MODULATION PROCEDURES 193
In very loosely coupled transponder systems the difference between the carrier sig-
nal of the reader f
T
and the received modulation sidebands of the load modulation
varies within the range 80–90 dB (Figure 6.13). One of the two subcarrier modulation
products can be filtered out and demodulated by shifting the frequency of the modula-
tion sidebands of the data stream. It is irrelevant here whether the frequencies f
T
+ f
H
or f
T
− f
H
are used, because the information is contained in all sidebands.