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Peak and Average AGC and AM Mode

Revision History
04 March 2009: Prepared
05 March 2009: Added modulation percentage / peak formula
05 March 2009: Corrected typographical errors found by Dave, G3TJP

In working on measuring my Elecraft K3 receiver in AM mode, I ran across something I didn't understand. After reflecting upon it and making measurements of other receivers, I now understand what I observed.

Whether the observations on this page make a real difference in AM recovered audio quality I don't know. I do know that when measured with single tones via a signal generator,  there's a major difference.

Let's start with fundamentals. Suppose we have an AM  receiver connected to a signal generator with variable modulation depth (percent modulation). We connect the receiver's speaker output to a dummy load (in this case, a GR 1840A audio wattmeter) and also connect an AC voltmeter (I used an HP 3468 digital multimeter) across the speaker load, as illustrated in the block diagram below.
 


In a theoretically perfect system, with no implementation errors in the receiver and test equipment, the audio output level is precisely linearly related to the modulation percentage. If, for example, 100% modulation results in the voltmeter reading 1.00 volts, reducing the modulation percentage to 50% causes the voltmeter to read 0.500 volts. Setting the signal generator modulation depth to 10% corresponds to 0.100 volts etc. This relationship is illustrated below.
 
Notional relationship between receiver audio output and AM modulation depth.

This sketch shows what I expected to see when I ran the test on a receiver. What I actually observed is plotted below.
 
Interesting, isn't it?
  • At 0 modulation, there's essentially no voltage output, as it obviously should be.
  • At 100% modulation, I've set the two curves to match--by "normalizing" the voltage outputs to be 1.000 regardless of what the actual voltmeter reading is, so that different receivers, different volume control settings and the like can be put into a consistent form for comparison. (The HP8657A signal generator I use has a maximum modulation depth of 99%. This is sufficiently close to 100% that we will ignore the difference.)
  • At all other modulation depths, however, the K3's audio output is significantly greater than it should be, based on how AM works. With the signal generator set at 40% modulation, the audio output level corresponds to a perfect receiver with an input signal modulated at 60%. This means the recovered audio output is non-linear with respect to this particular test setup. (We'll consider later on this page whether this test setup corresponds to real AM signals.)

To remove the possibility of test equipment malfunction, I checked the HP 8657A signal generator's modulation depth calibration using a spectrum analyzer to compare the carrier level and the modulation sideband level and compute the modulation depth from the ratio of carrier to sideband level. As the plot below reflects, the 8657A shows no significant error.

I decided to look at several other receivers and see if they show the same characteristics:
  • Icom R-7000 (25 MHz - 2000 MHz receiver)
  • Kenwood TS-940 HF transceiver
  • Elecraft K3 with AGC on and AGC off
  • Heath AJ-29 high fidelity AM/FM tuner

The plot below shows the K3, Icom and TS-940 share the "bowed" response. The AJ-29, in contrast, is quite close to the  theoretical perfect response. When the AGC is turned off, the K3's response is also quite close to the theoretical response, with the divergence at low modulation percentages being due to noise. (I used the 13 KHz bandwidth filter and in order to keep the K3 in the linear range, a relatively weak signal level.)

The fact that the K3 looks much closer to the theoretical response when the AGC is disabled is, as they say, a "clue" or in the alternative spelling of our friends across the Atlantic, a "clew." (Dave, G3TJP, writes to say he has never run across this use of "clew" so the time or two I've run across it in reading British mysteries likely represent an intentional use by the author of the word.)

Traditionally, AM receivers use an "average signal" based AGC system, whereby the AGC level—and hence the receiver's gain—is adjusted based on the average value of the signals within the AGC passband (which may differ from the main passband in some designs.) SSB receivers, however, use a peak-based AGC system, with the gain being set by the peak signal level within the passband.

Why does this make a difference? Consider a signal AM modulated at 100% as illustrated in the oscilloscope image below. This signal is close to 100% modulated with a 1 KHz sine wave. The peak value of the signal (peak-to-peak) is 1.284 volts.

Now consider the same level carrier, but with the modulation depth at 0, i.e., no modulation. It has a peak level of 652 mV. In theory, the 100% modulated signal should have peak of twice the un-modulated signal. Our measured data has a modulated peak of 1.97 times the un-modulated value, which is close enough to 2.00 for our purposes.
Now, what is the average of both these envelopes? In fact, they have an identical average. In the symmetrical about zero waveforms shown, both have an average value of 0. (If your aesthetic sensibility is offended generating AGC voltage from an average signal level of 0, imagine a constant offset of some voltage to the waveform such as might result from rectifying the carrier and low pass filtering the result.)

The difference between average and peak in these waveforms and their corresponding AGCs have a profound difference in receiver gain when an AM signal is received:

  • An average-based AGC system will keep the receiver gain constant for any modulation level between 0 and 100%, because the average value of the AM envelope is constant regardless of the modulation percentage. (This assumes the modulating waveform is symmetrical, of course.)
     
  • A peak-based AGC system, such as is required for SSB, will reduce the receiver gain by 6 dB as the modulating percentage increases from 0% to 100%. This is because the peak power in the AM signal increases proportionally as the modulation depth increases. Hence, a peak-based AGC system reads the increased modulation depth as a stronger signal and hence correspondingly reduces the receiver's gain.

To verify that the three receivers with peak-based AGC reduce the gain 6 dB as the AM signal modulation depth increases from 0 to 100%, I developed a test setup using a second "probe" signal using the setup illustrated below. The probe signal is an unmodulated carrier offset 1.5 KHz from the AM modulated generator, at a level 30 dB down from the modulated signal. The audio output is then viewed with an HP 3562A Dynamic Signal Analyzer (low frequency spectrum analyzer). The strength of the 1.5 KHz beat note between the two signal generators will be directly proportional to the receiver's gain.
 


The plot below shows the HP 3562A's output for the K3, with the AM source modulated with a depth of 50%. The probe signal is at 1.5 KHz with a level of -64.46 dBVrms (decibels below 1 volt RMS.)
A receiver with a peak-responding AGC system will, in theory, cause a gain reduction as modulation percentage increases and a gain increase as the modulation level decreases. The relationship between the peak value and modulation percentage can be easily determined as:

Peak = 1 + Modulation Percentage/100

The 100 divisor is necessary to change the modulation percentage to the range 0..1.  The leading 1 is the un-modulated carrier level.

Expressing this in dB and flipping the range to reflect gain increase with reduced modulation depth. the table below shows the expected gain increase as modulation depth decreases from 100% to 0. (These are voltage values, so the decibel conversion uses 20log10, not 10 log10.)

AM Modulation % Gain Increase (dB)
99 0.04
50 2.50
25 4.08
12 5.04
10 5.19
0 6.02

The figure below shows the measured gain increase for three receivers as modulation depth reduces below 100%.The K3 and R7000 are relatively close to the theoretical reduction values, with the K3 being within 1 dB or so and the R7000 within 1.5 dB. The high fidelity AJ-29 tuner, as well as the K3 with AGC off show much less gain variation with signal level. (In theory, with the AGC off, the K3 should show no gain changes.)
Now, the question to be resolved is whether the peak-based AGC causes distortion or audio artifacts when compared with either the AGC off or, preferably, an average-based AGC system.

One argument says that a voice modulated AM transmitter will have audio peaks at 100% occurring frequently enough such that a fast attack, slow decay AGC system will more or less act like an average-based AGC system. Where receiver testing is performed with a signal generator as described in the first setup, an artificial condition exists as a single tone level persists for some tens of seconds during which time the receiver's AGC reacts.

On  the opposite side of the equation is the unquestioned fact that an average-based AGC system will provide close to perfect AM demodulation, without  regard to how often voice peaks occur or what modulation level the peaks are. In essence, this view says that 70 years of AGC design in AM receivers use an average based system, so there must be a reason for it.

In the case of a DSP-based receiver such as the K3, a logical AM AGC system would be average based, with the gain set so as to provide a reasonable amount of "headroom" to allow for modulation peaks. At a minimum, 6 dB of headroom is necessary, but some AM broadcast stations operate with greater than 100% positive modulation. with 125% being the current FCC maximum. (100% remains the maximum negative modulation limit, as the carrier cannot be reduced below zero watts on negative modulation peaks.)

One of the most highly regarded receivers of recent years, the AOR-7030, implements both peak and average AGC systems:

AGC is carrier derived with peak detector in SSB modes and mean detector in AM modes.