Digital Signal Processing Techniques for Multirate Systems

10 MULTIRATE DIGITAL SIGNAL PROCESSING
10.1 Introduction 783

10.2 Decimation by a Factor D 784
10.3 Interpolation by a Factor / 787
10.4 Sampling Rate Conversion by a Rational Factor IID 790
10.5 Filter Design and Implementation for Sampling -Rate Conversion 792
10.5.1 Direct-Form FIR Filter Structures, 793
10.5.2 Polyphase Filter Structures, 794
10.5.3 Time-Variant Filter Structures. 800
10.6 Multistage Implementation of Sampling -Rate Conversion 806
10.7 Sampling -Rate Conversion of Band pass Signals 810
10.7.1 Decimation and Interpolation by Frequency Conversion, 812
10.7.2 Modulation-Free Method for Decimation and Interpolation. 814
10.8 Sampling -Rate Conversion by an Arbitrary Factor 815
10.8.1 First-Order Approximation, 816
10.8.2 Second-Order Approximation (Linear Interpolation). 819
10.9 Applications of Multirate Signal Processing 821

10.9.1 Design of Phase Shifters. 821
10.9.2 Interfacing of Digital Systems with Different Sampling Rates, 823
10.9.3 Implementation of Narrowband Lowpass Filters, 824
10.9.4 Implementation of Digital Filter Banks. 825
10.9.5 Subband Coding of Speech Signals, 831
10.9.6 Quadrature Mirror Filters. 833
10.9.7 Transmultiplexers. 841
10.9.8 Oversampling A/D and D/A Conversion, 843
10.10 Summary and References 844
Problems 846
10
Multirate Digital Signal
Processing
In m an y p ractical a p p lic a tio n s o f d igital signal pro cessin g , o n e is faced w ith th e

p ro b le m o f c h an g in g th e sa m p lin g ra te o f a signal, e ith e r in c re a sin g it o r d e creasin g
it by so m e a m o u n t. F o r e x a m p le , in te le c o m m u n ic a tio n sy stem s th a t tra n sm it an d
receiv e d ifferen t ty p e s o f signals (e.g., te le ty p e , facsim ile, sp e e c h , v id eo , e tc .), th e re
is a re q u ire m e n t to p ro cess th e v ario u s signals at d iffe re n t ra te s c o m m e n s u ra te w ith
th e c o rre sp o n d in g b a n d w id th s o f th e signals. T h e p ro cess o f c o n v e rtin g a signal
fro m a given ra te to a d iffe re n t ra te is called samp l i n g rate conversi on. In tu rn ,
sy stem s th a t em p lo y m u ltip le sa m p lin g ra te s in th e p ro cessin g o f d ig ital signals a re
called multirale digital si gnal proc es s i ng systems.
S am p lin g ra te c o n v ersio n o f a d igital signal can b e a c c o m p lish ed in o n e of
tw o g en eral m e th o d s. O n e m e th o d is to p ass th e digital signal th ro u g h a D /A
co n v e rte r, filter it if n ecessa ry , a n d th e n to re sa m p le th e re su ltin g a n a lo g signal at
th e d esired ra te (i.e., to p ass th e a n a lo g signal th ro u g h an A /D c o n v e rte r). T h e
se co n d m e th o d is to p e rfo rm th e sa m p lin g ra te c o n v ersio n e n tire ly in th e d igital
d o m ain .
O n e a p p a re n t a d v a n ta g e o f th e first m e th o d is th a t th e new sa m p lin g ra te
can b e a rb itra rily se le c te d a n d n e e d n o t h av e a n y special re la tio n s h ip to th e old
sa m p lin g ra te . A m a jo r d isa d v a n ta g e , h o w ev er, is th e signal d is to rtio n , in tro d u c e d
by th e D /A c o n v e rte r in th e signal re c o n stru c tio n , a n d by th e q u a n tiz a tio n effects
in th e A /D co n v e rsio n . S am p lin g ra te c o n v ersio n p e rfo rm e d in th e d igital d o m ain
av o id s this m a jo r d isa d v a n ta g e .
In th is c h a p te r w e d e sc rib e sa m p lin g r a te co n v ersio n a n d m u ltira te signal
p ro cessin g in th e d ig ital d o m a in . F irs t w e d esc rib e sa m p lin g r a te c o n v ersio n by a
ra tio n a l fa c to r a n d p re s e n t se v e ra l m e th o d s fo r im p le m e n tin g th e ra te c o n v e rte r, in
clu d in g sin g le-stag e a n d m u ltista g e im p le m e n ta tio n s. T h e n , w e d e sc rib e a m e th o d
fo r sa m p lin g ra te co n v e rsio n by an a rb itra ry fa c to r a n d discuss its im p le m e n ta tio n .
F in ally , w e p re s e n t se v era l a p p lic a tio n s o f sa m p lin g r a te c o n v e rsio n in m u ltira te
signal p ro cessin g sy stem s, w hich in c lu d e th e im p le m e n ta tio n o f n a rro w b a n d fil
ters, d igital filter b a n k s, a n d q u a d r a tu re m irro r filters. W e a lso discuss th e use o f
782
Sec. 10.1 Introduction 783
q u a d r a tu re m irro r filters in su b b a n d coding, tra n sm u ltip le x e rs, a n d finally o v er-

sam p lin g A /D an d D /A co n v e rte rs.
10.1 INTRODUCTION
T h e p ro c e ss o f sa m p lin g ra te co n v ersio n in th e d ig ital d o m a in can b e v iew ed as

a lin e a r filterin g o p e ra tio n , as illu stra te d in Fig. 10.1(a). T h e in p u t signal jr(n)
is c h a ra c te riz e d b y th e sa m p lin g ra te Fx = \ / T x a n d th e o u tp u t signal y ( m ) is
c h a ra c te riz e d by th e sa m p lin g ra te F v = 1/7V, w h e re Tx a n d Ty are th e c o r re
s p o n d in g sam p lin g in terv als. In th e m ain p a r t o f o u r tr e a tm e n t, th e ra tio Fy/ F x is
co n s tra in e d to b e ra tio n a l,
£Fx =L
D
w h ere D a n d / a re relativ ely p rim e in teg ers. W e shall show th a t th e lin e a r filter
is c h a ra c te riz e d by a tim e -v a ria n t im pulse re sp o n se , d e n o te d as h ( n , m ) . H e n c e
th e in p u t x ( n ) an d th e o u tp u t v( m) a re re la te d by th e c o n v o lu tio n su m m a tio n fo r
tim e -v a ria n t system s.
T h e sam p lin g ra te co n v ersio n p ro cess can also b e u n d e rsto o d fro m th e p o in t
o f view o f d igital re sam p lin g o f th e sam e an a lo g signal. L et x ( i ) b e th e a n a
log signal th a t is sa m p le d at th e first ra te Fx to g e n e ra te x ( n) . T h e goal o f
ra te co n v ersio n is to o b ta in a n o th e r se q u e n c e y(m ) d ire c tly from jr(n). w hich
is eq u a l to th e sa m p le d v alu es o f x ( t ) at a se co n d ra te Fy. A s is d e p ic te d in
Fig. 10.1(b), y(m ) is a tim e-sh ifted version o f * (n ). S uch a tim e shift can be
x(n) Linear filter y{i")

k(n, m)
Fx mT
Tx ky
(a)
(b)
Figure 10.1 Sampling rate conversion viewed as a linear filtering process.

7B4 Multirate Digital Signal Processing Chap. 10
r e a liz e d by u sin g a lin e a r filter th a t h as a flat m a g n itu d e re sp o n s e a n d a lin e a r

p h a s e re sp o n s e (i.e., it h a s a fre q u e n c y re sp o n s e o f e~>u>r‘, w h e re r, is th e tim e
d e la y g e n e ra te d by th e filter). If th e tw o sa m p lin g r a te s a r e n o t e q u a l, th e r e
q u ire d a m o u n t o f tim e sh iftin g will vary fro m sa m p le to sa m p le , a s show n in
Fig. 10.1(b). T h u s th e ra te c o n v e rte r can b e im p le m e n te d u sin g a se t o f lin ear
filters th a t h av e th e sa m e flat m a g n itu d e re sp o n s e b u t g e n e r a te d iffe re n t tim e
d elays.
B e fo re co n sid e rin g th e g e n e ra l case o f sa m p lin g r a te co n v e rsio n , w e shall
c o n s id e r tw o sp ecial cases. O n e is th e case o f sa m p lin g ra te r e d u c tio n by an in te g e r
fa c to r D, a n d th e se co n d is th e case o f a sa m p lin g ra te in c re a se b y an in te g e r facto r
I . T h e p ro c e ss o f re d u c in g th e sa m p lin g ra te b y a fa c to r D (d o w n sa m p lin g by D)
is called deci mati on. T h e p ro c e ss o f in c re a sin g th e sa m p lin g r a te by an in te g e r
fa c to r I (u p sam p lin g b y I ) is ca lle d interpolation.
10.2 DECIMATION BY A FACTOR D
L e t us assu m e th a t th e signal x ( n ) w ith sp e c tru m X(co) is t o be d o w n sam p led

by a n in te g e r fa c to r D. T h e sp e c tru m X(a>) is assu m ed to b e n o n z e ro in th e
freq u e n cy in te rv a l 0 < )co\ < n o r, e q u iv a le n tly , \F\ < Fx /2. W e k n o w th a t if w e
re d u c e th e sam p lin g ra te sim p ly by se lectin g ev ery D th v alu e o f x ( n ) , th e resu ltin g
sig n al will b e an alia se d v ersio n o f jr(n), w ith a fo ld in g f re q u e n c y o f FX/ 2 D . T o
av o id aliasing, w e m u st first re d u c e th e b a n d w id th o f x ( n ) to Fmax = FX/ 2 D or,
eq u iv alen tly , to a>max = n j D . T h e n we m ay d o w n sam p le by D a n d th u s avoid
aliasing.
"Hie d e c im a tio n p ro c e ss is illu stra te d in Fig. 10.2. T h e in p u t s e q u e n c e x{n) is
p a s se d th ro u g h a lo w p ass filter, c h a ra c te riz e d by th e im p u lse re s p o n s e h ( n ) an d a
fre q u e n c y re sp o n se H D(a>), w hich id eally satisfies th e c o n d itio n
H d (o>) = ( J ’ M * * ! D (10.2.1)
10, o th erw ise
T h u s th e filter e lim in a te s th e sp e c tru m o f X (a>) in th e ra n g e n / D < w < n . O f

c o u rse, th e im p licatio n is th a t o n ly th e fre q u e n c y c o m p o n e n ts o f x i n ) in th e ran g e
M < tc/ D a re o f in te re st in f u rth e r p ro cessin g o f th e signal.
T h e o u tp u t o f th e filter is a s e q u e n c e v(n) given as
OC
v(n) = Y ^ ^ ) x ( n - k) (10.2.2)
t=o
X(fl) i<n) 1! Downsampler yim)

h(n)
W
1 i\ Fx
Figure 103. D ecimation by a factor D.

Sec. 10.2 Decimation by a Factor D 785
w hich is th e n d o w n sa m p le d by th e fa c to r D to p ro d u c e y ( m) . T h u s
y(m) = v ( m D )
(10.2.3)
= h ( k ) x { m D — k)
A lth o u g h th e filtering o p e ra tio n o n x ( n ) is iin e a r an d tim e in v a ria n t, th e

d o w n sam p lin g o p e r a tio n in c o m b in a tio n w ith th e filterin g resu lts in a tim e -v a ria n t
sy stem . T h is is easily verified. G iv en th e fact th a t x (n) p ro d u c e s y ( m) , w e n o te
th a t x ( n —no) d o e s n o t im ply y( n —no) u n less no is a m u ltip le o f D. C o n seq u en tly ,
th e o v e ra ll lin e a r o p e ra tio n (lin e a r filtering fo llo w ed by d o w n sam p lin g ) on x ( n ) is
n o t tim e in v arian t.
T h e fre q u e n c y -d o m a in c h a racteristics o f th e o u tp u t se q u e n c e y ( m ) can be
o b ta in e d b y re la tin g th e sp e c tru m o f y (m ) to th e s p e c tru m o f th e in p u t se q u e n c e
x ( n ) . F irs t, it is c o n v e n ie n t to define a se q u e n c e v(n) as
n = 0, ± D , ± 2 D , . . .
(10.2.4)
o th erw ise
C learly , v(n) can b e view ed as a se q u e n c e o b ta in e d by m u ltiplying v(n) w ith a
p e rio d ic tr a in o f im p u lses p (n ), w ith p e rio d D, as illu stra te d in Fig. 10.3. T h e
d isc re te F o u rie r se ries re p re s e n ta tio n o f p( n) is
(10.2.5)
H ence
v(n) = v ( n ) p ( n ) ( 10.2 .6 )
an d
y( m) = v (mD) = v ( m D ) p ( m D ) — v( mD) (10.2.7)
n
-6 -5 -4 -3 - 2 (-1 0 1 2 3 4 5
Pin)
n
-6 -3 0 3 6
Figure 1 0 3 Multiplication o f v(n) with a periodic impulse train pin) with period
D = 3.
786 Multirate Digital Signal Processing Chap. 10
N o w th e z -tra n sfo rm o f th e o u tp u t se q u e n c e y ( m ) is
OO
y(z) = £
m=—oc
oo
= J2 v( r nD) z ~m (10.2.8)
ms=—oc
00
Y(z) = ]T v ( m ) z - m/D
m=—oc
w h ere th e last ste p follow s fro m th e fact th a t v ( m) = 0, e x c e p t a t m u ltip le s o f D.

B y m ak in g use o f th e re la tio n s in (10.2.5) a n d (10.2.6) in (10.2.8), w e o b ta in
1 u ~ l i
Y( z ) = v __ ejlxmk/D | „-m/D
m=—cc <t=0
j D—1 oc
j2nk/D 1/D^-m
*=0 m=-oo
(10.2.9)
"* -0
= 7J £ H D ( e - i2* t /Dz l/D) X ( e - W > z l / D)

*=0
w h ere th e last ste p fo llow s fro m th e fact th a t V (z) = H q { z ) X ( z ).
B y e v a lu a tin g y ( 2) in th e u n it circle, w e o b ta in th e s p e c tru m o f th e o u tp u t
signal y{m) . S ince th e ra te o f y ( m ) is Fy = 1/TV, th e fre q u e n c y v a ria b le , w hich w e
d e n o te as w v, is in ra d ia n s a n d is re la tiv e to th e sa m p lin g r a te F v,
ti)y = = 2 n F T s. (10.2.10)
Fy
S ince th e sa m p lin g ra te s a re r e la te d by th e ex p ressio n
Fy = ^ (10.2.11)
it fo llow s th a t th e fre q u e n c y v a ria b le s wy a n d

2tr F
cox = — - = 2 n F T x (10.2.12)
Fx
a re re la te d by
a>v = D ojx (10.2.13)
T h u s, as e x p ected , th e fre q u e n c y ra n g e 0 < \ojx \ < n / D is stre tc h e d in to th e

c o rre sp o n d in g fre q u e n c y ra n g e 0 < \a>y l < n by th e d o w n sam p lin g p ro cess.
Sec. 10.3 Interpolation by a Factor I 787
W e c o n clu d e th a t th e sp e c tru m Y (wv), w hich is o b ta in e d by e v a lu a tin g (10.2.9)

o n th e u n it circle, can b e e x p ressed as
(10.2.14)
W ith a p ro p e rly d esig n e d fitter H D(a)), th e aliasin g is e lim in a te d a n d , c o n seq u en tly ,

all b u t th e first te rm in (10.2.14) vanish. H e n c e
(10.2.15)
fo r 0 < |w v| < tt. T h e s p e c tra fo r th e se q u en ces x i n ) , v{n), a n d y ( m) a re illu stra te d

in Fig. 10.4.
10.3 INTERPOLATION BY A FACTOR I
A n in crease in th e sam p lin g rate by an in te g e r fa c to r o f I can be acco m p lish ed

b y in te rp o la tin g I — 1 new sam ples b etw e e n successive v alu es o f th e signal. T h e
in te rp o la tio n p ro cess can b e acco m p lish ed in a v ariety o f w ays. W e sh all d escrib e
a p ro cess th a t p re se rv e s th e sp e c tra l sh a p e o f th e signal se q u e n c e x ( n ) .
L et u(m ) d e n o te a se q u e n c e w ith a ra te F v = I Fx , w hich is o b ta in e d fro m
x i n ) by a d d in g / - 1 z e ro s b e tw e e n successive v alu es o f x{n) . T h u s
(10.3.1)
a n d its sa m p lin g ra te is id en tical to th e ra te o f y{m) . T h is se q u e n c e has a z-

tra n sfo rm
V( z ) = Y , v^ z ~ m
m = —oc
oc
(10.3.2)
= Xiz')
T h e c o rre sp o n d in g sp e c tru m of v ( m) is o b ta in e d by e v a lu a tin g (10.3.2) o n th e u nit
circle. T h u s
Vicoy) = X { w y I) (10.3.3)
w h e re <uv d e n o te s th e fre q u e n c y v a ria b le re lativ e to th e n ew sa m p lin g ra te F , (i.e.,
o)y = 2 n F / F y ) . N o w th e re la tio n sh ip b e tw e e n sa m p lin g ra te s is F y = 1 Fx an d
h e n c e , th e fre q u e n c y v a ria b le s (oI a n d toy a re re la te d a c c o rd in g to th e fo rm u la
l* K )l
I Via,)I
Figure 10.4 Spectra of signals in the

decimation of x( n ) by a factor D.
T h e s p e c tra X(a>x) a n d V(a>y) a re illu stra te d in Fig. 10.5. W e o b se rv e th a t the

sa m p lin g ra te in c re a se , o b ta in e d by th e a d d itio n o f / — 1 z e ro sa m p le s b etw e e n
successiv e v alu es o f x ( n) , re su lts in a sig n a l w h o se sp e c tru m V(<wv) is an /-fo ld
p e rio d ic re p e titio n o f th e in p u t signal sp e c tru m X
S ince o n ly th e fre q u e n c y c o m p o n e n ts o f x (n) in th e ra n g e 0 < coy < n j l
a re u n iq u e , th e im ag es o f X ( oj) ab o v e coy = n f l sh o u ld b e r e je c te d b y passing
th e se q u e n c e v ( m ) th ro u g h a low pass filter w ith fre q u e n c y r e s p o n s e Hi(a>y) th a t
Sec. 10.3 Interpolation by a Factor / 789
l* K )l
Figure 10.5 Spectra of .run and run

where V(a>v) - X(wvl).
id eally has th e ch a ra c te ristic
C. 0 < |a>v| < n / I

Hl((i}y) = (10.3.5)
0. o th erw ise
w h e re C is a scale fa c to r re q u ire d to p ro p e rly n o rm a liz e th e o u tp u t se q u e n c e v(/7?).

C o n s e q u e n tly , th e o u tp u t sp e c tru m is
(10.3.6)
T h e scale fa c to r C is se le c te d so th a t th e o u tp u t y ( m ) = jc ( m/ 1 ) fo r m = 0,
± / , + 2 1 .........F o r m a th e m a tic a l co n v e n ie n c e , w e select th e p o in t m = 0. T h u s
y( 0) = 2~ /
-
~
£.Jr_n X {(I)vI)d(Dx
(10.3.7)
S in ce a>y = tox / I , (10.3.7) can be e x p re ss e d as
c i r
v(0) = — — / X ( w x) dwx
I 2n
(10.3.8)
C
= -x (0 )
T h e re fo re , C = / is th e d esired n o rm a liz a tio n facto r.

F in ally , w e in d ic a te th a t th e o u tp u t se q u e n c e y ( m ) c a n b e ex p re sse d as a
c o n v o lu tio n o f th e s e q u e n c e v(n) w ith th e u n it sa m p le re sp o n s e h( n) o f th e low pass
filter. T h u s
OC
y( m) = Y 2 h( m — k) v( k) (10.3.9)
k = —oc
S in ce v(k) = 0 e x cep t at m u ltip le s o f / , w h e re v ( k l ) = x ( k) , (10.3.9) b ec o m e s

OO
y (m )= Y2 h{m -kl)x(k) (10.3.10)
10.4 SAMPLING RATE CONVERSION BY A RATIONAL FACTOR U D
H a v in g discussed th e sp ecial cases o f d e c im a tio n (d o w n sa m p lin g by a fa c to r D )

a n d in te rp o la tio n (u p sa m p lin g by a fa c to r / ) , w e no w c o n s id e r th e g e n e ra l case
o f sam p lin g ra te co n v e rsio n by a ra tio n a l fa c to r I / D . B asically, w e can ach iev e
th is sa m p lin g ra te c o n v ersio n by first p e rfo rm in g in te rp o la tio n by th e fa c to r I a n d
th e n d e c im atin g th e o u tp u t o f th e in te r p o la to r by th e fa c to r D. In o th e r w o rd s, a
sa m p lin g ra te co n v ersio n by th e ra tio n a l fa c to r I ( D is ac c o m p lish e d by cascad in g
an in te rp o la to r w ith a d e c im a to r, as illu stra te d in Fig. 10.6.
W e em p h asize th a t th e im p o rta n c e o f p e rfo rm in g th e in te rp o la tio n first an d
th e d e c im atio n se co n d , is to p re se rv e th e d e sire d sp e c tra l c h a ra c te ristic s o f x(n).
F u rth e rm o re , w ith th e cascad e co n fig u ra tio n illu stra te d in Fig. 10.6, th e tw o filters
w ith im p u lse re sp o n se {/»„(/)} a n d {hd (l)\ a re o p e ra te d at th e sa m e r a te , n am ely I F X
an d h e n c e can b e c o m b in e d in to a single low pass filter w ith im p u lse re sp o n s e h(l)
as illu stra te d in Fig. 10.7. T h e fre q u e n c y re sp o n s e H( t ov) of th e co m b in e d filter
m u st in c o rp o ra te th e filtering o p e ra tio n s fo r b o th in te rp o la tio n an d d ecim atio n ,
a n d h e n c e it sh o u ld id eally p o ssess th e fre q u e n c y re sp o n s e c h a ra c te ristic
0 < \&v\ < m m ( n / D , n / 1 )

(10.4.1)
o th e rw ise
w h e re cut. = 2x F / F v = 2n F / I Fx = a)x/ / .
Rate = / F t
Rate = — Fx = Fv
D
Figure 10.6 M ethod for sampling rate conversion by a factor f/D .

Sec. 10.4 Sampling Rate Conversion by a Rational Factor IID 791
x(n) Upsampler u(t) Lowpass w([) v(m)

Down sampler
filter 4D
Rate = F, T/
h(D
Rate =
Rate = IFX = Fv
Figure 10.7 Method for sampling rate conversion by a factor 1/D.
In th e tim e d o m a in , th e o u tp u t o f th e u p sa m p le r is th e se q u e n c e
( ///) , / = 0, ± / , ± 2 / , . . .
u (0 = ( j ( , (10.4.2)
[ 0. o th erw ise
a n d th e o u tp u t o f th e lin e a r tim e -in v a ria n t filter is
OO
w( l ) = ^ h(! — k) v( k)
k=-oc
(10.4.3)
oc
= h(l — k l ) x ( k )
F inally, th e o u tp u t o f th e sa m p lin g ra te c o n v e rte r is th e se q u e n c e (y(m )}, w hich is

o b ta in e d b y d o w n sa m p lin g th e se q u e n c e {«>(/)} by a fa c to r o f D. T h u s
v(m) = w{mD)
~ (10.4.4)
= 2_j h ( m D — k l ) x ( k )
k—— oc
It is illu m in a tin g to ex p ress (10.4.4) in a d iffe re n t fo rm by m a k in g a ch an g e
in v ariab le. L e t
mD
k = (10.4.5)
w h e re th e n o ta tio n [ r j d e n o te s th e la rg e st in te g e r c o n ta in e d in r. W ith th is ch an g e
in v ariab le, (10.4.4) b ec o m e s
y( m) = Y j h ( m D — ----- ~ ”1 (10.4.6)
oc V - ^ - / V- ^ _ /
W e n o te th a t
mD
mD — I - mD m o d u lo I
= ( mD) !
C o n s e q u e n tly , (10.4.6) can b e e x p re sse d as
00 / L) \
y(m )- Y j h(~n I + (m D ) i ) x ( —j - ~ n) (10.4.7)
n=- oc VL J /
It is a p p a r e n t fro m th is fo rm th a t th e o u tp u t y ( m ) is o b ta in e d by p assin g th e
in p u t se q u e n c e x ( n ) th ro u g h a tim e -v a ria n t filter w ith im p u lse re sp o n s e
g(n,m) — h(n l + (mD)i) —oo< m ,n< oo (10.4.8)
w h e re h(k) is th e im p u lse re sp o n s e o f th e tim e -in v a ria n t lo w p ass filter o p e ra tin g

at th e sam p lin g r a te 1FX. W e fu rth e r o b se rv e , th a t fo r any in te g e r k,
g ( n , m -I- k l ) = h ( n l -I- ( m D -I- k D I ) , )
= h(nl + (mD),) (10.4.9)
= g(n,m)
H e n c e g(n, m) is p e rio d ic in th e v a ria b le m w ith p e rio d I.

T h e fre q u e n c y -d o m a in re la tio n sh ip s can b e o b ta in e d by c o m b in in g th e resu lts
o f th e in te rp o la tio n a n d d e c im a tio n p ro cesses. T h u s th e s p e c tru m a t th e o u tp u t of
th e lin e a r filter w ith im p u lse re sp o n s e h(l) is
V (a) v) = H( ai v)X(a>vl )
I X ( w vI ) , 0 < IojJ < m in (7 r /0 , n / I ) (10.4.10)

0, o th e rw ise
T h e sp e ctru m o f th e o u tp u t se q u e n c e y (m ), o b ta in e d by d e c im a tin g th e se q u e n c e
v(n) by a fa c to r o f D , is
= a o .4 .1 1 )
w h e re w v = D(ov. S in ce th e lin e a r filter p re v e n ts aliasin g as im p lie d by (10.4.10),

th e sp e c tru m o f th e o u tp u t se q u e n c e given by (10.4.11) re d u c e s to
o th e rw ise
10.5 FILTER DESIGN AND IMPLEMENTATION FOR SAMPLING-RATE

CONVERSION
A s in d ic a te d in th e discu ssion a b o v e , sa m p lin g ra te c o n v e rsio n b y a fa c to r I } D can

b e a c h iev ed by first in creasin g th e sa m p lin g r a te b y 1, ac c o m p lish e d by in se rtin g
7 - 1 z e ro s b e tw e e n su ccessive v alu es o f th e in p u t signal x( n ) , fo llo w e d by lin e a r
filterin g o f th e re su ltin g se q u e n c e to elim in a te th e u n w a n te d im a g e s o f X (co), an d
finally, by d o w n sam p lin g th e filte re d signal by th e fa c to r D. I n th is se c tio n we
c o n s id e r th e d esig n a n d im p le m e n ta tio n o f th e lin e a r filter.
Sec. 10.5 Filter Design and Implementation for Sampling-Rate Conversion 793
10.5.1 Direct-Form FIR Filter Structures
In p rin c ip le , th e sim p lest re a liz a tio n o f th e filter is th e d ire c t-fo rm F IR s tru c tu re

w ith sy stem fu n ctio n
M -l
H{z ) = Y b ( k ] z ~k (10-5 -1)

t =o
w h e re {/j {/:)} is th e u n it sam ple re sp o n se o f th e F IR filter. T h e low pass filter
c an b e d e sig n e d to h av e lin e a r p h a s e , a specified p a s sb a n d rip p le a n d sto p b a n d
a tte n u a tio n . A n y o f th e sta n d a rd , w ell k n o w n F IR filter design te c h n iq u e s (e.g.,
w in d o w m e th o d , freq u e n cy sa m p lin g m e th o d ) can be u se d to c a rry o u t this design.
T h u s w e w ill h av e th e filter p a ra m e te rs {/j (£)}, w hich allo w us to im p le m e n t th e
F IR filter d ire c tly as sh ow n in Fig. 10.8.
A lth o u g h th e d ire c t-fo rm F IR filter re a liz a tio n illu stra te d in Fig. 10.8 is sim
p le, it is also v ery in efficient. T h e inefficiency resu lts fro m th e fact th a t th e u p -
sa m p lin g p ro cess in tro d u c e s / — 1 ze ro s b e tw e e n successive p o in ts o f th e in p u t
sig n al. If I is larg e, m o st o f th e signal c o m p o n e n ts in th e F IR filter are zero. C o n
se q u e n tly , m o st o f th e m u ltip lic atio n s an d a d d itio n s re su lt in zero s. F u rth e rm o re ,
th e d o w n sam p lin g p ro cess at th e o u tp u t o f th e filter im p lies th a t only on e o u t o f
Figure 10.8 Direct-form realization of FIR filter in sampling rate conversion by

factor I/D.
794 Mullirate Digital Signal Processing Chap. 10
ev ery D o u tp u t sa m p le s is re q u ire d a t th e o u tp u t o f th e filter. C o n s e q u e n tly , only

o n e o u t o f ev ery D p o ssib le v a lu e s a t th e o u tp u t o f th e filter sh o u ld be co m p u te d .
T o d ev elo p a m o re efficien t filter s tru c tu re , let us b eg in w ith a d e c im a to r th a t
re d u c e s th e sa m p lin g ra te by an in te g e r fa c to r D. F ro m o u r p re v io u s discussion,
th e d e c im a to r is o b ta in e d by p assin g th e in p u t se q u e n c e x ( n ) th r o u g h an F IR filter
a n d th e n d o w n sam p lin g th e filter o u tp u t by a fa c to r £>, as illu stra te d in Fig. 10.9a.
In th is co n fig u ratio n , th e filter is o p e ra tin g a t th e high sa m p lin g ra te Fx, w hile
o n ly o n e o u t o f ev ery D o u tp u t sa m p le s is ac tu a lly n e e d e d . T h e logical so lu tio n
to th is inefficiency p ro b le m is to e m b e d th e d o w n sam p lin g o p e ra tio n w ith in th e
filter, as illu stra te d in th e filter re a liz a tio n given in Fig. 10.9b. In this filter stru c
tu re , all th e m u ltip lic a tio n s an d a d d itio n s a re p e rfo rm e d a t th e lo w er sam p lin g
ra te Fx / D. T h u s w e h av e ach ie v e d th e d e s ire d efficiency. A d d itio n a l re d u c tio n in
c o m p u ta tio n can b e ach ie v e d by e x p lo itin g th e sy m m etry c h a ra c te ristic s of
F ig u re 10.10 illu stra te s an efficient re a liz a tio n o f th e d e c im a to r in w hich th e F IR
filter h as lin ear p h a s e , a n d h e n c e {/i{&)} is sym m etric.
N ex t, let us co n sid e r th e efficien t im p le m e n ta tio n o f an in te rp o la to r, w hich
is realized by first in se rtin g I — l z e ro s b e tw e e n sa m p le s o f x ( n ) a n d th e n filtering
th e re su ltin g se q u en ce. T h e d ire c t-fo rm re a liz a tio n is illu stra te d in Fig. 10.11. T h e
m a jo r p ro b lem w ith th is s tru c tu re is th a t th e filter c o m p u ta tio n s a re p e rfo rm e d at
th e hig h sam p lin g ra te 1FX. T h e d e s ire d sim p lificatio n is a c h ie v e d by first using th e
tra n sp o s e d fo rm o f th e F IR filter, as illu stra te d in Fig. 10.12a, a n d th e n e m b ed d in g
th e u p sa m p le r w ithin th e filter, as show n in Fig. 10.12b. T h u s, all th e filter m u ltip li
c a tio n s a re p e rfo rm e d at th e low ra te Fx, w hile th e u p sa m p lin g p ro c e ss in tro d u c e s
1 — 1 ze ro s in ea c h o f th e filte r b ra n c h e s o f th e stru c tu re show n in Fig. 10.12b. T h e
r e a d e r can easily verify th a t th e tw o filteT s tru c tu re s in Fig. 10.12 a re e q u iv a le n t.
It is in te re stin g to n o te th a t th e s tru c tu re o f th e in te rp o la to r, sh o w n in
Fig. 10.12b, can b e obtained by tra n sp o s in g th e stru c tu re o f th e d e c im a to r sh o w n
in Fig. 10.9. W e o b se rv e th a t th e tra n s p o s e o f a d e c im a to r is a n in te rp o la to r, an d
vice v ersa. T h ese re la tio n sh ip s a re illu stra te d in Fig. 10.13, w h e re (b ) is obtained
by tra n sp o sin g (a ) a n d (d) is obtained by tra n sp o s in g (c). C o n s e q u e n tly , a d e c i
m a to r is th e d u al o f an in te rp o la to r, a n d vice v ersa. F ro m th e s e re la tio n sh ip s, it
fo llow s th a t th e re is an in te r p o la to r w h o se s tru c tu re is th e d u a l o f th e decimatoT
sh o w n in Fig, 10.10, w hich ex p lo its th e sy m m etry in h(n).
10.5.2 Polyphase Filter Structures
T h e c o m p u ta tio n a l efficiency o f th e filter s tru c tu re show n in Fig. 10.12 can also

b e ach iev ed by re d u c in g th e larg e F IR filter o f le n g th M in to a se t o f sm a ller
filters o f len g th K = M / 1 , w h ere M is se le c te d to b e a m u ltip le o f I . T o d e m o n
s tr a te th is p o in t, le t u s c o n s id e r th e in te r p o la to r given in F ig. 10.11. S ince th e
u p sa m p lin g p ro cess in se rts 1 — 1 z e ro s b e tw e e n successive v a lu e s o f x( n) , o n ly K
o u t o f th e M in p u t v alu es sto re d in th e F IR filter a t an y o n e tim e a re n o n z e ro .
A t o n e tim e in sta n t, th e s e n o n z e ro v a lu e s co in cid e a n d a re m u ltip lie d by th e fil
te r co efficien ts h{0), h ( I ) , h ( 2 l ) , . . . , h ( M — I ) . In th e fo llo w in g tim e in sta n t, th e
(a)
Figure 10.9 Decimation by a factor D.

Multirate Digital Signal Processing Chap. 10
Sec. 10.5 Rlter Design and Implementation for Sampling-Rate Conversion 797
JT(n)
h(M - 2)
Figure 10.11 Direct-form realization of

MM- 1)
FIR filter in interpolation by a factor /,
n o n z e ro v a lu e s o f th e in p u t se q u e n c e co in cid e a n d a re m u ltip lie d by th e filter co

efficien ts /?(!). h ( I + 1), h ( 2 I + 1)___ h ( M - 7 + 1), a n d so o n . T h is o b se rv a tio n
le a d s us to d efin e a se t o f sm a ller filters, called p o ly p h a s e filters, w ith u n it sa m p le
re sp o n se s
p t ( n ) = h( k + n ! ) k = 0 ,1 ,..., 7 —1
(10.5.2)
n = 0, ~ 1
w h e re K = A //7 is an in teg er.
F ro m th is d iscussion it follow s th a t th e se t o f 7 p o ly p h a se filters can b e
a rra n g e d as a p a ra lle l re a liz a tio n , a n d th e o u tp u t o f e a c h filter can be se le c te d
b y a c o m m u ta to r as illu stra te d in Fig. 10.14. T h e ro ta tio n o f th e c o m m u ta to r is
in th e co u n te rc lo c k w ise d ire c tio n b e g in n in g w ith th e p o in t a t m ~ 0. T h u s, th e
p o ly p h a s e filters p e rfo rm th e c o m p u ta tio n s a t th e low sa m p lin g ra te Fx , a n d th e
r a te c o n v e rsio n resu lts fro m th e fact th a t 7 o u tp u t sa m p le s a re g e n e ra te d , o n e
fro m each o f th e filters, fo r each in p u t sa m p le .’
T h e d e c o m p o s itio n o f {/r{£)} in to th e se t o f 7 su b filters w ith im p u lse re sp o n se
Pk(n), k = 0, 1 , . . . , 7 — 1, is c o n siste n t w ith o u r p re v io u s o b s e rv a tio n th a t th e in p u t
sig n a l w as b e in g filte re d by a p erio d ically tim e -v a ria n t lin e a r filter w ith im p u lse
re sp o n se
g ( n , m ) = h ( n l + ( mD) [ ) (10.5.3)
w h e re D = 1 in th e c a se o f th e in te rp o la to r. W e n o te d p rev io u sly th a t g( n, m)
v a rie s p e rio d ic a lly w ith p e rio d 7. C o n se q u e n tly , a d iffe re n t se t o f coefficients a re
u se d to g e n e ra te th e se t o f 7 o u tp u t sa m p le s y ( m ) , m = 0, 1 , . . . , I - 1.
A d d itio n a l in sig h t can b e g ain e d a b o u t th e c h a ra c te ristic s o f th e se t o f p o ly
p h a s e su b filte rs b y n o tin g th a t pk(n) is o b ta in e d fro m h( n ) by d e c im a tio n w ith a
f a c to r 7. C o n s e q u e n tly , if th e o rig in a l filter fre q u e n c y re s p o n s e H {co) is flat o v e r
th e ra n g e 0 < M < c o/ I , e a c h o f th e p o ly p h a se su b filters p o ssesses a re lativ ely flat
(b)
Figure 10.12 Efficient realization of an interpolator.
(a) <b)
(O (d)
Figure 10.13 Duality relationships obtainedthroughtransposition.
Rate - Fr - IFX
Pi- i<")
Rate=Fx Rate=F,
Figure 10.14 Interpolation byuse of polyphase filters.
re sp o n s e o v e r th e ra n g e 0 < |a>| < n (i.e., th e p o ly p h a s e su b filters a re b asically

all-p ass filters a n d d iffer p rim a rily in th e ir p h a se c h a ra c te ristic s). T h is ex p lain s th e
re a so n fo r th e te rm “p o ly p h a s e ” in d e sc rib in g .th e s e filters.
T h e p o ly p h a se filter can also b e view ed as a se t o f I su b filters c o n n e c te d to a
co m m o n d e la y line. Id eally, th e fcth su b filter will g e n e ra te a fo rw a rd tim e sh ift o f
(.k / I ) T x, fo r k = 0, 1. 2 ........./ — 1, re la tiv e to th e z e ro th subfilter. T h e re fo re , if th e
z e ro th filter g e n e ra te s z e ro d elay , th e fre q u e n c y re sp o n s e o f th e Jtth su b filter is
pk((o) = e)wk/I
A tim e sh ift o f an in te g e r n u m b e r o f in p u t sa m p lin g in te rv a ls (e.g., ITX) can b e
g e n e ra te d by sh iftin g th e in p u t d a ta in th e d e la y line by I sa m p le s an d using th e
sa m e su b filters. B y c o m b in in g th e s e tw o m e th o d s, w e c a n g e n e ra te an o u tp u t th a t
is sh ifted fo rw a rd b y an a m o u n t (/ + i / I ) T x re la tiv e to th e p re v io u s o u tp u t.
B y tra n sp o s in g th e in te rp o la to r stru c tu re in Fig. 10.14, w e o b ta in a c o m m u
ta to r stru c tu re fo r a d e c im a to r b a s e d o n th e p a ra lle l b a n k o f p o ly p h a se filters, as
illu stra te d in Fig. 10.15. T h e u n it sa m p le re sp o n s e s o f th e p o ly p h ase filters a re
Figure 10.15 Decimation by use of polyphase filters.
n o w d efin ed as
Pk{n) = h( k + n D ) k = 0, 1____ O - l
(10.5.4)
n = 0 , 1 .........K - l
w h e re K = M / D is an in te g e r w h en M is se le c te d to be a m u ltip le o f D. T h e
c o m m u ta to r ro ta te s in a c o u n terclo ck w ise d ire c tio n sta rtin g w ith th e filter po(n) at
m = 0.
A lth o u g h th e tw o c o m m u ta to r s tru c tu re s fo r th e in te r p o la to r a n d th e d e c i
m a to r ju st d escrib ed r o ta te in a c o u n te rc lo c k w ise d ire c tio n , it is also p o ssib le to
d e riv e an e q u iv a le n t p a ir o f c o m m u ta to r s tru c tu re s hav in g a clockw ise ro ta tio n .
In th is a lte rn a tiv e fo rm u la tio n , th e se ts o f p o ly p h a se filters a re d efin ed to h ave
im p u lse resp o n ses
P k ( n ) = h ( n l — k) k = 0 ,1 ,...,/- 1 (10.5.5)
Pk( n ) = h { n D - k ) * = 0 , 1 .........D - 1 (10.5.6)

f o r th e in te rp o la to r a n d d e c im a to r, resp ectiv ely .
10.5.3 Time-Variant Filter Structures
H av in g d esc rib e d th e filter im p le m e n ta tio n fo r a d e c im a to r a n d an in te rp o la to r,

let us no w c o n sid e r th e g e n e ra l p ro b le m o f sa m p lin g ra te c o n v e rsio n by th e fa c to r
I / D . In th e g e n e ra l case o f sa m p lin g r a te c o n v e rsio n by a fa c to r I / D , th e filtering
can b e acco m p lish ed by m e a n s o f th e lin e a r tim e -v a ria n t filte r d e s c rib e d by th e
re sp o n se fu n ctio n
g( n, m) = h ( n l — (m D )/) (10.5.7)
w h ere h(n) is th e im p u lse re sp o n s e o f th e low -pass F IR filter, w hich id eally , has
th e fre q u e n c y re sp o n s e specified by (10.4.1). F o r c o n v e n ie n c e w e se lect th e length
o f th e F I R filter {/i(n)} to a m u ltip le o f I (i.e., M = K I ) . A s a c o n s e q u e n c e , th e
s e t o f coefficien ts {#(«, m)} fo r e a c h m = 0 , 1, 2 , — 1, c o n ta in s K elem en ts.
S in ce g( n, m ) is also p e rio d ic w ith p e rio d I , a s d e m o n s tr a te d in (10.4.9), it follow s

th a t th e o u tp u t y { m) can b e e x p re ss e d as
y(m ) = X I# - [_ y j l ) x -n ) (10.5.8)
n—0 \L J /
C o n c e p tu a lly , w e can th in k o f p e rfo rm in g th e c o m p u ta tio n s specified by

(10.5.8) b y p ro cessin g blocks o f d a ta o f le n g th AT b y a se t o f K filter coefficients
g ( n , m — j_ m / l \ I ) , n = 0 , 1 , . . . , K — 1. T h e re a re I such se ts o f coefficients, o n e
se t fo r e a c h b lo ck o f I o u tp u t p o in ts o f y{m) . F o r e a c h b lock o f 1 o u tp u t p o in ts,
th e r e is a c o rre sp o n d in g b lo ck o f D in p u t p o in ts o f x ( n ) th a t e n te r in th e c o m p u
ta tio n .
T h e b lo ck p ro cessin g a lg o rith m fo r co m p u tin g (10.5.8) can b e visualized as
illu stra te d in Fig. 10.16. A b lo ck o f D in p u t sa m p le s is b u ffe re d a n d sh ifted in to
a se co n d b u ffe r o f len g th K , o n e sa m p le a t a tim e. T h e sh iftin g fro m th e in p u t
b u ffe r to th e se co n d b u ffe r o ccu rs a t a ra te o f o n e sa m p le ea c h tim e th e q u a n tity
\ m D / I J in c re a se s by o n e. F o r ea c h o u tp u t sa m p le y( f ) , th e sa m p le s fro m th e
se co n d b u ffe r a re m u ltip lie d by th e c o rre sp o n d in g se t o f filter coefficients g( n, I)
fo r n = 0, 1 , ___ K — 1, an d th e K p ro d u c ts a re a c c u m u la te d to give y (/), fo r 1 = 0,
x(n) Coefficient storage
Figure 10.16 Efficient implementation of sampling-rate conversion by block pro

cessing.
1 , — 1. T h u s th is c o m p u ta tio n p ro d u c e s / o u tp u ts. It is th e n re p e a te d fo r a
new se t o f D in p u t sam p les, a n d so on.
A n a lte rn a tiv e m e th o d fo r co m p u tin g th e o u tp u t o f th e sa m p le ra te c o n v e rte r,
sp ecified by (10.5.8), is b y m e a n s o f an F IR filter stru c tu re w ith p e rio d ic a lly varying
filter coefficients. Such a stru c tu re is illu stra te d in Fig. 10.17. T h e in p u t sam ples
x{n) a re p a sse d in to a sh ift re g iste r th a t o p e ra te s a t th e sa m p lin g ra te Fx an d is of
le n g th K = M / 1 , w h e re M is th e le n g th o f th e tim e -in v a ria n t F I R filter specified by
th e fre q u e n c y re sp o n s e g iv en by (10.4.1). E a c h sta g e o f th e re g is te r is c o n n e c te d to
a h o ld -a n d -sa m p le dev ice th a t se rv es to co u p le th e in p u t sa m p le ra te Fx to th e o u t
p u t sa m p le r a te Fy = (I / D ) F X. T h e sa m p le at th e in p u t to ea c h h o ld -a n d -sa m p le
d ev ice is h eld u n til th e n e x t in p u t sa m p le arriv es a n d th e n is d isc a rd e d . T h e o u tp u t
sa m p les o f th e h o ld -a n d -sa m p le d ev ice a re ta k e n a t tim es m D / l , m = 0, 1, 2 ........
W h e n b o th th e in p u t a n d o u tp u t sa m p lin g tim e s co in cid e (i.e.. w h en m D / I is an
in te g e r), th e in p u t to th e h o ld -a n d -sa m p le is ch an g e d first a n d th e n th e o u tp u t
sa m p le s th e n ew in p u t. T h e K o u tp u ts fro m th e K h o ld -a n d -s a m p le devices a re
m u ltip lie d by th e p e rio d ic a lly tim e-v a ry in g co effic ie n ts g( n, m - \ m / I \ l ) , fo r n = 0,
1 , . . . , K - 1, an d th e re su ltin g p ro d u c ts a re su m m e d to yield y(m ). T h e c o m p u
ta tio n s a t th e o u tp u t o f th e h o ld -a n d -sa m p le d ev ices are r e p e a te d a t th e o u tp u t
sa m p lin g ra te o f F v = ( I / D ) F X.
F inally, ra te co n v ersio n by a ra tio n a l fa c to r 1 / D can also be p e rfo rm e d by
use o f a p o ly p h ase filter h av in g 1 subfilters. If w e assu m e th a t th e m th sam p le
n(0.l).l = 0. I......./ - I
Figure 10.17 Efficient realization of sampling-rate conversion by a factor //£>.

Sec. 10.5 Fitter Design and Implementation for Sampling-Rate Conversion 803
y ( m ) is com p uted by taking the output o f the imth subfilter with input data x( n ) ,
x ( n - 1 ) , . . . , x ( n — K + 1 ) , in the delay line, the n ext sam p le y ( m + 1) is taken from
the (i« + i)st subfilter after shifting lm+j new sam ples in the d elay lin es w here i m+i =
(i„ + D )mod / and l m+1 is the in teger part o f (im + D ) / I . T h e in teger im+i should be
saved to b e used in determ ining the subfilter from w hich the n ext sam p le is taken.
L et us now dem onstrate the filter design procedure, first in the design o f a
d ecim ator, secon d in th e design o f an interpolator, and finally, in th e design o f a
rational sam ple-rate converter.
Example 10.5.1
Design a decim ator that downsamples an input signal x(n) by a factor D = 2. Use
the Rem ez algorithm to determ ine the coefficients of the F IR filter that has a 0.1-dB
ripple in the passband and is down by at least 30 dB in the stopband. Also determ ine
the polyphase filter structure in a decim ator realization that employs polyphase filters.
Solution A filter of length M = 30 achieves the design specifications given above.
The impulse response of the FIR filter is given in Table 10.1 and the frequency
response is illustrated in Fig. 10.18. Note that the cutoff frequency is wc = jr/2.
The polyphase filters obtained from h{n) have impulse responses
p*(n) = h(2n + k) k = 0,1; n = 0 ,1 , ,.. ,1 4
N ote that po(n) = h(2n) and p\{tt) = h(2n + 1). Hence one filter consists of the even-
num bered samples o f h(n) and the other filter consists of the odd-num bered samples
of h(n).
Example 10.5.2
Design an interpolator that increases the input sampling rate by a factor of I = 5. Use
the R em ez algorithm to determ ine the coefficients of the F IR filter that has 0.1-dB
ripple in the passband and is down by at least 30 dB in the stopband. Also, determ ine
the polyphase filter structure in an interpolator realization based on polyphase filters.
Solution A filter o f length M = 30 achieves the design specifications given above.
The frequency response of the F IR filter is illustrated in Fig. 10.19 and its coefficients
are given in Table 10.2. The cutoff frequency-is wc = n/5.
The polyphase filters obtained from h(n) have impulse responses
pk{n) = h(Sn + jt) * = 0 ,1 ,2 ,3 ,4
Consequently, each filter has length 6.
Example 10.53
Design a sam ple-rate converter that increases the sampling rate by a factor 2.5. Use
the Rem ez algorithm to determ ine the coefficients of the F IR filter that has 0.1-dB
ripple in the passband and is down by at least 30 dB in the stopband. Specify the
sets of time-varying coefficients g( n, m) used in the realization of the sampling-rate
converter according to the structure in Fig. 10.17.
Solution The F IR filter that m eets the specifications of this problem is exactly the
same as the filter designed in Example 10.5.2. Its bandwidth is tt/5.
804 Muttirate Digital Signal Processing Chap. 10
TABLE 10.1 COEFFICIENTS OF LINEAR-PHASE FIR FILTER IN

EXAMPLE 10.5.1
FINITE IMPULSE RESPONSE (FIR)

LINEAR-PHASE DIGITAL FILTER DESIGN
REMEZ EXCHANGE ALGORITHM
FILTER LENGTH =30
IMPULSE RESPONSE ’
H { 1) = 0 .6 0 2 5 6 1 6 5 E - 0 2 = H ( 30)
H ( 2) = -0 .1 2 8 1 7 1 4 3 E - 0 1 = H ( 29)
H ( 3) -0..2 8 5 8 2 0 6 6 E - 0 2 = HI 28)
H( 4) = 0..1 3 6 6 3 3 4 6 E - 0 1 H ( 27)
H( 5) = -0,,4 6 6 8 8 9 6 1 E - 0 2 = H ( 26)
H( 6) = -0,.1 9 7 0 4 4 1 5 E - 0 1 = H ( 25)
H ( 7) = 0,.1 5 9 8 4 6 2 3 E - 0 1 = H ( 24)
H( 8) = 0 .21384886E-01 = H ( 23)
H( 9) = -0..3 4 9 7 9 4 4 0 E - 0 1 = H( 22)
H (10) = -0 . 1 5 6 1 5 5 2 2 E - 0 1 = H ( 21)
H (11) = 0..6 4 0 0 6 1 1 3 E - 0 1 = H( 20)
H (12 ) = - 0 .7 3 4 5 1 7 7 2 E - 0 2 = H ( 19)
H(13) = -0. 1 1 8 7 3 1 8 5 E + 0 0 H( 18)
H (14) = 0. 9 8 0 4 7 8 4 5 E - 0 1 = H{ 17)
H (15) = 0. 4 9 2 2 5 0 6 8 E + 0 0 = H( 16)
BAND 1 BAND 2
LOWER BAND EDGE 0.0000000 0.. 3 1 0 0 0 0 0
UPPER BAND EDGE 0.2500000 0.. 5 0 0 0 0 0 0
DESIRED VALUE 1.0000000 0.. 0 0 0 0 0 0 0
WEIGHTING 2.0000000 1.. 0 0 0 0 0 0 0
DEVIATION 0.0107151 0.. 0 2 1 4 3 0 2
DEVIA T I O N IN DB 0.0925753 •33. 3 7 9 4 7 4 6
EXTREMAL FREQUENCIES-MAXIMA OF THE ERROR CURVE

0.0000000 0.0416667 0.0791667 0.1166666 0.1520833
0.1854166 0.2145832 0.2395832 0.2500000 0.3100000
0.3225000 0.3495833 0.3808333 0.4141666 0.4474999
0.4829165
The coefficients of the filter are given by (10.4.8) as
g( n, m) ~ h(rtl + (mD)/)
= h ^ nill + mD — mDA
I
By substituting 1 = 5 and D =
= 2, we obtain
2m \
g(n,
x,m)
m) = h {^5
5n + 2 m - 5
y\)
By evaluating g(n, m) for n = 0, 1 , . . . . 5 and m = 0 , 1 , . . . , 4 we obtain the following
Figure 10.18 Magnitude response o f linear-phase FIR filter of length M = 30 in

Example 10.5.1.
Figure 10.19 Magnitude response o f linear-phase FIR filter of length M = 30 in

Example 10.5.2.
coefficients for the time-variant filter:
*(0,m ) = {*(0) *(2) h{ 4) *(1) *(3)}

* (l,m ) = {*(5) *(7) *( 9) *( 6) A(8)J
g ( 2 , m ) = {*(10) *(12) *(14) *(11) *(13)}
g ( 3 , m ) = {*(15) *(17) *(19) *(16) *(18)}
g ( 4 , m ) = {*(20) *(22) *(24) *(21) *(23)}
g ( 5 , m ) = {*(25) *(27) *(29) *(26) *(28)}
A polyphase filter im plementation would employ five subfilters, each of length

six. To decim ate the output of the polyphase filters by a factor of D = 2 simply means
TABLE 10.2 COEFFICIENTS OF LINEAR-PHASE FIR FILTER IN

EXAMPLE 10.5.2
F I N I T E I M P U L S E R E S P O N S E (FIR)
LINEAR-PHASE DIGITAL FILTER DESIGN
REMEZ EXCHANGE ALGORITHM
FILTER LENGTH = 3 0
IMPULSE RESPONSE ’
H ( 1) = 0 .6 3 9 8 7 2 1 6 E - 0 2 = H ( 30!
H ( 2) = -0..1 4 7 6 1 3 0 4 E - 0 1 = H ( 29)
H< 3) = -0..1 0 8 8 6 5 7 7 E - 0 2 = H ( 28)
H ( 4) = -0..2 8 7 1 4 9 5 7 E - 0 2 = H { 27)
H ( 5) 0 .1 0 4 8 6 4 3 0 E - 0 1 = H< 26)
H( 6) = 0 .2 1 4 7 7 1 4 2 E - 0 1 = H ( 25)
H ( 7) = 0,.1 9 4 7 9 3 6 2 E - 0 1 H( 24)
H< 8) = -0,.3 1 0 6 7 4 3 1 E - 0 3 = H( 23)
H( 9) = - 0 ,.3 0 0 5 3 0 3 3 E - 0 1 = H ( 22)
H (10) = - 0 .4 9 8 7 7 0 2 9 E - 0 1 = H ( 21)
H {11) = - 0 .3 7 3 7 1 2 8 5 E - 0 1 = H { 20)
H (12) = 0. 1 8 4 8 2 8 9 6 E - 0 1 = H( 19)
H (13) = 0. 1 0 7 4 7 1 4 1 E + 0 0 = H { 18)
H (14) 0..1 9 9 5 1 0 9 8 E + 0 0 = H ( 17)
H(15) = 0 .2 5 7 9 4 8 2 8 E + 0 0 = H ( 16)
BAND 1 BAND 2
LOWER BAND EDGE 0.0000000 0 . 1600000
UPPER BAND EDGE 0.1000000 0. 5 0 0 0 0 0 0
DESIRED VALUE 1.0000000 0., 0 0 0 0 0 0 0
WEIGHTING 3.0000000 1 .0000000
DEVIATION 0.0097524 0,.0 2 9 2 5 7 2
DEVIATION :I N D B 0.0842978 •30. 6 7 5 3 3 4 9
EXTREMAL FREQUENCIES-MAXIMA OF THE ERROR CURVE

0.0000000 0.0333333 0.0645834 0.0895833 0.1000000
0.1600000 0.1745833 0.2016666 0.2370833 0.2704166
0.3058332 0.3412498 0.3766665 0.4120831 0.4474997
0 .4829164
that we take every other output from the polyphase filters. Thus the first output v(0)
is taken from pQ(n), the second output y (l) is taken from P2(n), the third from p*(n),
the fourth from pi(n), the fifth from p-i(n). and so on.
10.6 MULTISTAGE IMPLEMENTATION OF SAMPLING-RATE

CONVERSION
In practical applications o f sam pling-rate con version w e often en cou n ter decim a
tion factors and in terp olation factors that are m uch larger than unity. For exam
ple, su p p ose that w e are given the task o f altering th e sam pling rate by the factor
Sec. 10.6 Multistage Implementation of Sampling-Rate Conversion 807
I / D = 130/63. A lth o u g h , in th e o ry , th is ra te a lte ra tio n can b e a c h iev ed exactly,

th e im p le m e n ta tio n w o u ld re q u ire a b a n k o f 130 p o ly p h a se filters a n d m ay b e
c o m p u ta tio n a lly in efficien t. In th is section w e c o n s id e r m e th o d s f o r p e rfo rm in g
sa m p lin g -ra te c o n v e rsio n fo r e ith e r D » 1 a n d /o r 7 > 1 in m u ltip le stages.
F irst, let us c o n s id e r in te rp o la tio n by a fa c to r 7 » 1 a n d le t u s a ssu m e th a t
7 can b e fa c to re d in to a p r o d u c t o f p o sitiv e in te g e rs as
'-fl* ( 10 . 6 . 1)
T h e n , in te rp o la tio n by a fa c to r 7 c a n b e a c c o m p lish e d b y cascad in g L sta g es o f

in te rp o la tio n a n d filterin g , as sh o w n in Fig. 10.20. N o te th a t th e filter in ea c h o f
th e in te rp o la to rs e lim in a te s th e im ag es in tro d u c e d by th e u p sa m p lin g p ro cess in
th e c o rre sp o n d in g in te rp o la to r.
In a sim ilar m a n n e r, d e c im a tio n by a fa c to r D, w h e re D m ay b e fa c to re d in to
a p ro d u c t o f p o sitiv e in te g e rs as
D = \\D . ( 10.6 .2)
can be im p le m e n te d as a cascad e o f J stag es o f filtering an d d e c im atio n as illu s

tr a te d in Fig. 10.21. T h u s th e sa m p lin g ra te a t th e o u tp u t o f th e ith sta g e is
Fj-i
F, = i = 1 ,2 ........ J (10.6.3)
D,
w h ere th e in p u t ra te fo r th e se q u e n c e {*(«)] is F0 = Fx .
T o e n s u re th a t n o aliasing o ccu rs in th e o v erall d e c im a tio n p ro cess, w e can
d esig n each filter stag e to avoid aliasin g w ithin th e fre q u e n c y b a n d o f in te re st. T o
*(n)
F,
Stage 1 Stage 2 h h Fi Stage L
Figure 10.20 Multistage implementation of interpolation by a factor /,
Stage 1 Stage 2 Fx Staged

D\Dt
Figure 10.21 Multistage implementation of decimation by a factor D.

e la b o ra te , let us d efin e th e d e s ire d p a s sb a n d an d th e tra n sitio n b a n d in th e overall

d e c im a to r as
P assb an d : 0 < F <
(10.6.4)
T ra n s itio n b a n d : Fpc 2; F < Fsc
w h e re Fx < FX/ 2 D . T h e n , aliasing in th e b a n d 0 < F < Fx is a v o id e d by selectin g

th e fre q u e n c y b a n d s o f ea c h filter sta g e a s follow s:
P a ssb a n d : 0 < F < F ^
T ra n s itio n b an d : Fpc < F < Fj - Fx ^^

F ,
S to p b a n d : Fj - Fx < F < ~ -
F o r ex am p le, in th e first filter sta g e we h av e F\ = Fx / D \ . a n d th e filter is

d esig n ed to h av e th e fo llow ing fre q u e n c y bands:
P assb an d : 0 < F < F ^
T ra n s itio n b an d : F ^ < F < Fy - Fsz (10 6 6)

fT
S to p b a n d : F\ - Fx < F < - y
A f te r d e c im atio n b y D\ , th e re is aliasing from th e signal c o m p o n e n ts th a t fall in

th e filter tra n sitio n b a n d , b u t th e aliasin g o ccu rs at fre q u e n c ie s ab o v e Fsc. T h u s
th e re is n o aliasin g in the fre q u e n c y b a n d 0 < F < Fx . B y d esig n in g th e filters in
th e su b s e q u e n t sta g es to satisfy th e sp ecificatio n s given in (10.6.5). w e e n su re th at
n o aliasin g o ccu rs in th e p rim a ry fre q u e n c y b a n d 0 < F < Fsc.
Example 10.6.1
Consider an audio-band signal with a nominal bandwidth of 4 kH z that has been
sampled at a rate of 8 kHz. Suppose that we wish to isolate the frequency components
below 80 Hz with a filter that has a passband 0 < F < 75 and a transition band
15 < F < 80. H ence F ^ = 75 Hz and FK = 80. The signal in the band 0 < F < 80
may be decim ated by the factor D = F J 2 F X = 50. We also specify that the filter
have a passband ripple 8, = 10“2 and a stopband ripple of <52 = 10-4.
The length o f the linear phase F IR filter required to satisfy these specifications
can be estim ated from one of the well known formulas given in the literature. R e
call that a particularly simple formula for approxim ating the length M , attributed to
Kaiser, is
^ = - ' 0 lo ^ - 1 3 + 1 (1 M 7 )
14.6 A /
where A/ is the norm alized (by the sampling rate) width of the transition region [i.e.,
A f = (Fx — Fpc)/Fs]. A m ore accurate formula proposed by H errm ann et al. (1973)
is
^ l M + 1 (10.6.8)
A/
Sec. 10.6 Multistage Implementation of Sampling-Rate Conversion 809
where D^i Si , ^2) and /( 5 i, 52) are defined as

A »(S i.fc) = [0.005309(logini i ) 2 + G.07114(log]0Si)
-0.4761] log1052
-[0.00266(logi0 5i)2 + 0.5941 log10Si + 0.4278] (10.6.9)
f ( S 1, i 2) = 11.012 + O.51244[log105, - log10«2] (10.6.10)

Now a single FIR filter followed by a decim ator would require (using the Kaiser
form ula) a filter of (approximate) length
14.6(5/8000) 1 3 + ^ ^ 2
As an alternative, let us consider a two-stage decimation process with D\ = 25 and
Di = 2. In the first stage we have the specifications F\ = 320 Hz and
Passband: 0 < F < 75

Transition band: 15 < F < 240
J61
A^ “ 8000
fin = y ^21 = £2
Note that we have reduced the passband ripple <5[ by a factor of 2, so that the total
passband ripple in the cascade of the two filters does not exceed Si. On the other
hand, the stopband ripple is maintained at S2 in both stages. Now the Kaiser formula
yields an estim ate of A/, as
Ml = ~ 101ogn > ^ 2 1 - 1 3 + J % 167

14.6A/
For the second stage, we have F2 = F\fL — 160 and the specifications

A f = 320
<5i2 ~ y &n = h
Hence the estim ate of the length M2 of the second filter is
M2 ~ 220
Therefore, the total length of the two F IR filters is approxim ately M\ + M2 = 387.
This represents a reduction in the filter length by a factor of more than 13.
The reader is encouraged to repeat the com putation above with D\ = 10 and
£>2 = 5.
It is apparent from the com p utations in E xam p le 10.6.1 that the reduction
in th e filter length results from increasing the factor A f , w hich appears in the
d en om in ator in (10.6.7) and (10.6.8). By decim ating in m ultiple stages, w e are
ab le to in c re a se th e w id th o f th e tra n sitio n reg io n th ro u g h a re d u c tio n in th e

sa m p lin g rate.
In th e case o f a m u ltista g e in te rp o la to r, th e sa m p lin g r a te a t th e o u tp u t of
th e / t h stag e is
/■/_! = ItFi i = J , J - l .........1
a n d th e o u tp u t ra te is Fo = I F j w h e n th e in p u t sa m p lin g ra te is Fj . T h e c o r re
sp o n d in g freq u e n cy b a n d sp e cificatio n s a re
P a ssb a n d : 0 < F < Fp
T ra n s itio n b an d : Fp < F < F; — Fsc

T h e fo llow ing e x am p le illu stra te s th e a d v a n ta g e s o f m u ltista g e in te rp o la tio n .
Example 10.6.2
Let us reverse the filtering problem described in Exam ple 10.6.1 by beginning with a
signal having a passband 0 < F < 75 and a transition band of 75 < F < 80. We wish
to interpolate by a factor of 50. By selecting I\ = 2 and l2 = 25. we have basically a
transposed form of the decim ation problem considered in Exam ple 10.6.1. Thus we
can simply transpose the two-stage decim ator to achieve the two-stage interpolator
with /, = 2 , i2 = 25. Mi « 220. and M2 % 167.
10.7 SAMPLING-RATE CONVERSION OF BANDPASS SIGNALS
A b an d p a ss signal is a signal w ith fre q u e n c y c o n te n t c o n c e n tra te d in a n a rro w

b an d o f fre q u e n c ie s ab o v e z e ro freq u e n cy . T h e c e n te r fre q u e n c y Fc o f th e signal
is g en erally m uch la rg e r th a n th e b a n d w id th B (i.e., Fc » B). B a n d p a ss signals
arise fre q u e n tly in p ra c tic e , m o st n o ta b ly in c o m m u n ic a tio n s, w h e re in fo rm a tio n
b e a rin g signals su c h as sp e ech an d v id eo a re tra n s la te d in fre q u e n c y a n d th e n
tra n sm itte d o v e r such c h a n n e ls as w ire lines, m icro w av e ra d io , a n d sa tellites.
In th is se ctio n w e c o n s id e r th e d e c im a tio n a n d in te rp o la tio n o f b a n d p a ss
signals. W e b eg in b y n o tin g th a t an y b a n d p a s s signal has an e q u iv a le n t low pass
re p re se n ta tio n , o b ta in e d by a sim ple fre q u e n c y tra n sla tio n o f th e b a n d p a s s signal.
F o r ex am p le, th e b a n d p a s s signal w ith sp e c tru m X ( F ) sh o w n in Fig. 10.22a can
b e tra n s la te d to lo w p ass by m e a n s o f a fre q u e n c y tra n sla tio n o f Fc, w h e re Fc
is an a p p ro p ria te ch o ice o f fre q u e n c y (u su ally , th e c e n te r fre q u e n c y ) w ith in th e
b a n d w id th o c c u p ied b y th e b a n d p a s s signal. T h u s w e o b ta in th e e q u iv a le n t low pass
signal as illu stra te d in Fig. 10.22b.
F ro m S ectio n 9.1 w e re c a ll th a t an a n a lo g b a n d p a s s signal c a n b e re p re se n te d
as
x ( t ) = ,4(/) cos[27rFcr + £?(/)]
= A( t ) cosf?(r) c o s 2 jrF cr — - 4 (/) s in 0 ( /)s in 2 7 rF c/

(10.7.1)
= u c(t) cos 2 n F ct — us (t) s i n 2 n F ct
= R & [x i( t)e J7* Fcl]

Sec. 10.7 Sampling-Rate Conversion of Bandpass Signals 811
|W)|
Bandpass signal
(a)
Equivalent lowpass signal
<b)
Figure 10.22 Bandpass signal and its equivalent lowpass representation.
w h ere, by d efin itio n ,

u c( t ) = y 4 (r)c o s# (0 (10.7.2)
u s (t) ~ j4 (O sin 0 (O (10.7.3)

x t (t) = u c(t) + j u s (t) (10.7.4)
A( t ) is called th e a mp l i t u d e o r envel ope o f th e signal, O(t') is th e p h a se , a n d u c(t)
a n d u s( t ) a re called th e quadrat ur e c o mp o n e n t s o f th e signal.
P h y sically , th e tra n s la tio n o f x {t ) to low pass in volves m u ltip ly in g (m ixing)
x (r) by th e q u a d r a tu re c a rrie rs cos 2 tz Fct a n d s i n 2 ^ F c; a n d th e n low pass filtering
th e tw o p ro d u c ts to e lim in a te th e fre q u e n c y c o m p o n e n ts g e n e ra te d a ro u n d th e
f re q u e n c y 2FC (th e d o u b le freq u e n c y te rm s). T h u s all th e in fo rm a tio n c o n te n t
c o n ta in e d in th e b a n d p a s s signal is p re se rv e d in th e low pass signal, a n d h en ce th e
la tte r is e q u iv a le n t to th e fo rm er. T h is fact is o b v io u s fro m th e sp e c tra l r e p re s e n
ta tio n o f th e b a n d p a s s signal, w hich can b e w ritte n as
X ( F ) = \ [ X , { F - Fc) + X ; { - F - Fc)] (10.7.5)
w h e re X i ( f ) is th e F o u rie r tra n sfo rm o f th e e q u iv a le n t low pass sig n al xi{t) a n d
X { F ) is th e F o u rie r tra n s fo rm o f ;c(f).
It w as sh o w n in S ectio n 9.1 th a t a b a n d p a s s signal o f b a n d w id th B can be

u n iq u e ly re p re s e n te d by sa m p le s ta k e n at a ra te o f 2 B sa m p le s p e r se co n d , p r o
v id ed th a t th e u p p e r b a n d (h ig h e st) fre q u e n c y is a m u ltip le o f th e signal b a n d
w id th B. O n th e o th e r h a n d , if th e u p p e r b a n d fre q u e n c y is n o t a m u ltip le of
B, th e sa m p lin g r a te m u st b e in c re a se d by a sm all a m o u n t to a v o id aliasing. In
an y case, th e sa m p lin g ra te fo r th e b a n d p a s s sig n a l is b o u n d e d fro m a b o v e a n d
b elo w as
2 B < Fs < 4 B (10.7.6)
T h e re p re s e n ta tio n o f d isc re te -tim e b a n d p a ss signals is b asically th e sa m e as

th a t fo r an alo g sig n als given by (10.7.1) w ith th e su b s titu tio n o f t = n T , w h e re T
is th e sa m p lin g in terv al.
10.7.1 Decimation and Interpolation by Frequency

Conversion
T h e m a th e m a tic a l eq u iv a le n c e b e tw e e n th e b a n d p a s s signal x ( t ) a n d its e q u iv a le n t

lo w p ass re p re s e n ta tio n xi( t ) p ro v id e s o n e m e th o d fo r a lte rin g th e sa m p lin g rate
o f th e signal. S pecifically, w e can ta k e th e b a n d p a s s signal w h ich h as b e e n sa m
p led a t ra te Fx , c o n v e rt it to low pass th ro u g h th e fre q u e n c y c o n v e rsio n p ro cess
illu stra te d in Fig. 10.23, a n d p e rfo rm th e sa m p lin g -ra te c o n v e rsio n o n th e low pass
sig n al u sing th e m e th o d s d e sc rib e d prev io u sly . T h e low pass filters fo r o b ta in in g
th e tw o q u a d r a tu re c o m p o n e n ts can b e d esig n e d to h av e lin e a r p h a s e w ithin the
Figure 10.23 Conversion of a bandpass signal to lowpass.

Sec. 10.7 Sampling-Rate Conversion of Bandpass Signals 813
b a n d w id th o f th e sig n al an d to a p p ro x im a te th e id eal fre q u e n c y re sp o n s e c h a ra c

te ristic
*<•>-(£ <m7-7)
w h e re coB is th e b a n d w id th o f th e d isc re te -tim e b a n d p a s s sig n al (a>B < n ) .
I f d e c im a tio n is to b e p e rfo rm e d by a n in te g e r fa c to r D, th e an tialiasin g
filter p re c e d in g th e d e c im a to r can be c o m b in e d w ith th e low pass filter u se d fo r
fre q u e n c y c o n v e rsio n in to a single filter th a t a p p ro x im a te s th e id eal freq u e n c y
r e sp o n s e
H D(a>) = h M <a >p / D (10.7.8)

0, o th e rw ise
w h e re coD is an y d e s ire d freq u e n cy in th e ra n g e 0 < coD < n . F o r e x am p le, w e m ay

se le c t <
d d = m b / 2 if w e a re in te re ste d only in th e fre q u e n c y ran g e 0 < co < coB/ 2 D
o f th e o rig in a l signal.
If in te rp o la tio n is to be p e rfo rm e d by an in te g e r fa c to r I o n th e fre q u e n c y -
tra n s la te d sig n al, th e filter used to re je c t th e im ag es in th e sp e c tru m sh o u ld b e
d e sig n e d to a p p ro x im a te th e low pass filter c h a ra c te ristic
"'<->-{£ (10-7-9>
W e n o te th a t in th e case o f in te rp o la tio n , th e low pass filte r n o rm ally u se d to re je c t
th e d o u b le -fre q u e n c y c o m p o n e n ts is re d u n d a n t an d m ay b e o m itte d . Its fu n ctio n
is e sse n tia lly se rv e d by th e im age re je c tio n filter H[(co).
F in ally , w e in d ic a te th a t sa m p lin g -ra te co n v e rsio n by an y ra tio n a l fa c to r //£>
can b e acco m p lish ed o n th e b a n d p a s s signal as illu stra te d in Fig. 10.24. A g a in ,
th e lo w p ass filter fo r re je c tin g th e d o u b le -fre q u e n c y c o m p o n e n ts g e n e ra te d in th e
fre q u e n c y -c o n v e rsio n p ro cess can b e o m itte d . Its fu n c tio n is sim ply se rv e d by th e
im a g e -re je c tio n /a n tia lia s in g filter follow ing th e in te r p o la to r , w hich is d esig n ed to
a p p ro x im a te th e id eal fre q u e n c y re sp o n s e c h a ra c te ristic :
= (10.7.10)
[ 0, o th erw ise
O n c e th e sa m p lin g ra te o f th e q u a d r a tu re signal c o m p o n e n ts h a s b e e n a lte re d

by e ith e r d e c im a tio n o r in te rp o la tio n o r b o th , a b a n d p a s s signal c a n b e r e g e n e r
a te d by a m p litu d e m o d u la tin g th e q u a d r a tu re c a rrie rs cos<wcn a n d sin cocn by th e
c o rre s p o n d in g signal c o m p o n e n ts a n d th e n a d d in g th e tw o signals. T h e c e n te r
Figure 10.24 Sampling rate conversion of a bandpass signal.

fre q u e n c y is an y d e s ira b le fre q u e n c y in th e ran g e
mi n(u>B/ 2D, (oB/ 2 l ) < coc < n (10.7.11)
10.7.2 Modulation-Free Method for Decimation and

Interpolation
B y re stric tin g th e fre q u e n c y ra n g e fo r th e signal w hose fre q u e n c y is to be a lte re d ,

it is p o ssib le to av o id th e c a rrie r m o d u la tio n p ro c e ss a n d to ach iev e freq u e n cy
tra n sla tio n d irectly . In th is case w e e x p lo it th e freq u e n cy tra n sla tio n p ro p e rty
in h e re n t in th e p ro c e ss o f d e c im a tio n an d in te rp o la tio n .
T o b e specific, let us c o n s id e r th e d e c im a tio n o f th e sa m p le d b an d p a ss signal
w h o se sp e ctru m is sh o w n in Fig. 10.25. N o te th a t th e signal sp e c tru m is confined
to th e freq u e n c y ran g e
mir (m + l ) 7 r ,„ _
----- < co < :--------- — (10.7.12)
D ~ ~ D
w h ere m is a p o sitiv e in te g e r. A b a n d p a s s filter w o u ld n o rm a lly b e u sed to elim
in ate signal fre q u e n c y c o m p o n e n ts o u tsid e th e d e s ire d fre q u e n c y ran g e. T h e n
d irect d e cim atio n o f th e b a n d p a s s signal by th e fa c to r D re su lts in th e sp e c tru m
sh o w n in Fig. 10.26a, fo r m o d d , a n d Fig. 10.26b fo r m even. In th e case w h ere
m is o d d . th e re is an in v ersio n o f th e sp e c tru m o f th e signal. T h is in v ersio n can
b e u n d o n e by m u ltip ly in g ea c h sa m p le o f th e d e c im a te d signal by ( - 1 ) " , n = 0.
1, — N o te th a t v io la tio n o f th e b a n d w id th c o n s tra in t given by (10.7.12) re su lts in
signat aliasing,
M o d u la tio n -fre e in te rp o la tio n o f a b a n d p a s s signal by an in te g e r fa c to r I can
b e acco m p lish ed in a sim ilar m a n n e r. T h e p ro c e ss o f u p sa m p lin g by in se rtin g zero s
b e tw e e n sa m p les o f x( n ) p ro d u c e s I im ag es in th e b a n d 0 < w < i t . T h e d e sire d
im ag e can b e se le c te d by b a n d p a s s filtering. N o te th a t th e p ro c e ss o f in te r p o la
tio n also p ro v id es u s w ith th e o p p o rtu n ity to ach iev e fre q u e n c y tra n sla tio n o f th e
sp e ctru m .
F inally, m o d u la tio n -fre e sa m p lin g r a te co n v e rsio n fo r a b a n d p a s s signal by
a ra tio n a l fa c to r I / D can b e acco m p lish ed b y cascad in g a d e c im a to r w ith an in
te r p o la to r in a m a n n e r th a t d e p e n d s on th e ch o ice o f th e p a r a m e te r s D a n d I.
A b a n d p a s s filter p re c e d in g th e sa m p lin g c o n v e rte r is u su ally re q u ire d to isolate
th e signal freq u e n c y b an d o f in te re st. N o te th a t th is a p p ro a c h p ro v id e s us w ith a
m o d u la tio n -fre e m e th o d fo r ach iev in g fre q u e n c y tra n sla tio n o f a signal by selecting
D = 1.
(m + i) n mTi 0 mn {m + 1)n
D D D D
Figure 10.25 Spectrum o f a bandpass signal.

Sec. 10.8 Sampling-Rate Conversion by an Arbitrary Factor 815
m odd
(«>
m even
(b>
Figure 10.26 Spectrum of decimated bandpass signal.
10.8 SAMPLING-RATE CONVERSION BY AN ARBITRARY FACTOR
In the previou s sectio n s o f this chapter, w e have show n h ow to perform sam pling
rate con version exactly by a rational num ber I / D . In som e applications, it is either
inefficient or, so m etim es im possib le to use such an exact rate con version schem e.
W e first con sid er the fo llow in g tw o cases.
Case 1. W e n eed to perform rate con version by the rational num ber I / D ,
w h ere / is a large in teger (e.g., l / D = 1023/511). A lth ou gh w e can ach ieve
exact rate con version by this num ber, w e w ould n eed a p olyp hase filter with 1023
subfilters. Such an exact im plem en tation is ob viou sly inefficient in m em ory usage
b ecau se w e n eed to store a large num ber o f filter coefficients.
Case 2. In so m e applications, th e exact con version rate is n ot know n w hen

w e design the rate converter, or th e rate is con tinu ou sly changing during the co n
version p rocess. For exam p le, w e m ay en cou n ter the situation w here th e input and
ou tp u t sam p les are con trolled by tw o in d ep en dent clocks. E ven though it is still
p ossib le to d efine a n om in al con version rate that is a rational num ber, the actual
ra te w o u ld b e slig h tly d iffe re n t, d e p e n d in g on th e fre q u e n c y d iffe re n c e b etw een

th e tw o clocks. O b v io u sly , it is n o t p o ssible to design an e x a c t ra te c o n v e rte r in
th is case.
T o im p le m e n t sa m p lin g r a te c o n v ersio n fo r a p p lic a tio n s sim ilar to th e se
cases, we re s o rt to n o n e x a c t ra te c o n v ersio n sc h em es. U n a v o id a b ly , a n o n ex act
sc h em e will in tro d u c e so m e d isto rtio n in th e c o n v e rte d o u tp u t signal. (It sh ould
be n o te d th a t d isto rtio n exists ev en in an ex a c t ra tio n a l r a te c o n v e rte r because
th e p o ly p h a se filter is n e v e r id eal.) S uch a c o n v e rte r will b e a d e q u a te , as long
as th e to ta l d isto rtio n d o e s n o t ex cee d th e specification r e q u ire d in th e a p p li
catio n .
D e p e n d in g on th e ap p lic a tio n re q u ire m e n ts a n d im p le m e n ta tio n c o n stra in ts,
w e can use first-o rd e r, se c o n d -o rd e r, o r h ig h e r-o rd e r a p p ro x im a tio n s . W e shall d e
sc rib e first-o rd e r a n d se c o n d -o rd e r a p p ro x im a tio n m e th o d s a n d p ro v id e an analysis
o f th e resu ltin g tim in g e rro rs.
10.8.1 First-Order Approximation
L e t u s d e n o te th e a rb itra ry c o n v e rsio n ra te by r a n d su p p o se th a t th e in p u t to th e
ra te c o n v e rte r is th e se q u e n c e (jr(n)}. W e n e e d to g e n e ra te a se q u e n c e o f o u tp u t
sa m p le s se p a ra te d in tim e by Tx f r , w h e re Tx is th e sa m p le in te rv a l for {x(n)i. By
co n stru ctin g a p o ly p h a se filter w ith a larg e n u m b e r o f su b filters as ju s t d esc rib e d ,
we can a p p ro x im a te such a se q u e n c e w ith a n o n u n ifo rm ly sp a c e d se q u e n c e . W ith
o u t loss o f g e n e ra lity , w e can e x p ress 1 j r as
w h ere k a n d I a re p o sitiv e in te g e rs a n d 0 is a n u m b e r in th e ra n g e
0 < &< y
C o n se q u e n tly , 1j r is b o u n d e d fro m ab o v e an d b e lo w as
k 1 jfc + 1
_ < _ < -------------
I r I
I c o rre sp o n d s to th e in te rp o la tio n fa c to r, w hich w ill b e d e te r m in e d to satisfy th e
specificatio n on th e a m o u n t o f to le ra b le d isto rtio n in tro d u c e d b y ra te c o n v ersio n .
/ is also eq u a l to th e n u m b e r o f p o ly p h a se filters.
F o r e x am p le, su p p o se th a t r = 2.2 a n d th a t w e h a v e d e te r m in e d , as we
will d e m o n s tra te , th a t 1 = 6 p o ly p h a se filters a re r e q u ire d to m e e t th e d isto rtio n
specificatio n . T h e n
k ^ 2 1 3 k + 1
/ 6 r 6 I
so th a t k = 2. T h e tim e sp a cin g b e tw e e n sa m p le s o f th e in te r p o la te d se q u e n c e is
Tx / I . H o w e v e r, th e d e s ire d c o n v ersio n ra te r = 2.2 fo r / = 6 c o rre sp o n d s to a
d e c im a tio n fa c to r o f 2.727, w h ich falls b e tw e e n k = 2 a n d k = 3. In th e first-o rd e r
a p p ro x im a tio n , w e ach iev e th e d e s ire d d e c im a tio n r a te b y se le c tin g th e o u tp u t
Figure 10.27 Sample rate conversion by use of first-order approximation.
sa m p le fro m th e p o ly p h a se filter closest in tim e to th e d e s ire d sa m p lin g tim e. T h is

is illu stra te d in Fig. 10.27 fo r 1 = 6.
In g e n e ra l, to p e rfo rm ra te c o n v ersio n by a fa c to r r, w e em p lo y a p o ly p h ase
filter to p e rfo rm in te rp o la tio n an d th e re fo re to in c re a se th e fre q u e n c y o f th e o rig
in al s e q u e n c e o f a fa c to r o f I. T h e tim e sp acin g b e tw e e n th e sa m p le s o f th e
in te r p o la te d se q u e n c e is e q u a l to Tx/ J . If th e id eal sa m p lin g tim e o f th e m th s a m
p le , y ( m) , o f th e d e sire d o u tp u t se q u e n c e is b e tw e e n th e sa m p lin g tim e s o f tw o
sa m p le s o f th e in te rp o la te d se q u en ce, w e se lect th e sa m p le clo se r to y ( m ) as its
ap p ro x im a tio n .
L e t u s a ssu m e th a t th e m th se le c te d sa m p le is g e n e ra te d b y th e (im)th su b filter
u sin g th e in p u t sa m p le s x( n) , x ( n — 1 ) , . . . , x ( n — K + 1) in th e d e la y line. T h e
n o rm a liz e d sa m p lin g tim e e rro r (i.e., th e tim e d iffe re n c e b e tw e e n th e se le c te d
sa m p lin g tim e a n d th e d e s ire d sam p lin g tim e n o rm a liz e d b y Tx) is d e n o te d by tm.
T h e sign o f tm is p o sitiv e if th e d e s ire d sa m p lin g tim e le a d s th e se le c te d sam pling
tim e , a n d n e g a tiv e o th e rw ise . It is easy to show th a t \tm | < 0 .5 / / . T h e n o rm a liz e d
tim e a d v a n c e fro m th e m th o u tp u t y ( m ) to th e (m + l ) s t o u tp u t y ( m + 1) is e q u a l
t o ( 1 / r ) + tm.
T o c o m p u te th e n e x t o u tp u t, w e first d e te rm in e a n u m b e r clo sest to im/ J +
+ km/ I th a t is o f th e fo rm /m_] + im+ i / I , w h e re b o th /m+1 a n d i m+1 a re
in te g e rs a n d im+i < I. T h e n , th e (m + l ) s t o u tp u t y(m + 1) is c o m p u te d using th e
(jm+i) th su b filte r a f te r sh iftin g th e signal in th e d e la y line by lm+i in p u t sam p les.
T h e n o rm a liz e d tim in g e r r o r fo r th e (m + l ) th sa m p le is tm+1 = ( i m/ I + l / r + t m) ~
(lm+] + im+i / I ) . I t is sa v ed fo r th e c o m p u ta tio n o f th e n e x t o u tp u t sam ple.
B y in creasin g th e n u m b e r o f su b filters u se d , w e can a rb itra rily in c re a se th e

co n v ersio n accu racy . H o w e v e r, w e also re q u ire m o re m e m o ry to sto re th e larg e
n u m b e r of filter coefficients. H e n c e it is d e s ira b le to use as few su b filters as possible
w hile k e e p in g th e d isto rtio n in th e c o n v e rte d signal below th e sp ecificatio n . T he
d isto rtio n in tro d u c e d d u e to th e sa m p lin g -tim e a p p ro x im a tio n is m o st c o n v en ien tly
e v a lu a te d in th e fre q u e n c y d o m a in .
S u p p o se th a t th e in p u t d a ta se q u e n c e {x( n)\ h a s a flat s p e c tru m fro m - t o x
to cox , w h e re u>x < w ith a m a g n itu d e A. Its to ta l p o w e r can b e c o m p u te d using
P a rse v a l’s th e o re m , n am ely ,
Ssi
5
r \X{(o)\2d ( o =
2?r ; _ tUj
(10.8.1)
F ro m th is d iscussion given, w e k n o w th a t fo r each o u tp u t v(m ), th e tim e d ifferen ce

b e tw e e n th e d e s ire d filter a n d th e filter actu ally u se d is tm, w h e re | r j < 0 .5 / / .
H e n c e th e fre q u e n c y re sp o n se o f th e s e filters c a n b e w ritte n as eJa>T a n d
resp ectiv ely . W h e n / is la rg e , wtm is sm all. By ig n o rin g h ig h -o rd e r e rro rs, we can
w rite th e d ifferen ce b e tw e e n th e fre q u e n c y re sp o n s e s as
e jur _ eja>U-l„) _ 1 _ e - j w,»)
( 10.8 .2 )
= e i0J1 (1 — cos cot,,, + j sin colm) % j e JU'Tcot,,,
B y using th e b o u n d |irn\ < 0 .5 / / , w e o b ta in an u p p e r b o u n d fo r th e to ta l e rro r

p o w e r as
Pe = - L f
J—
' \ X ( c o ) e ^ T ~ X(co)eJU,lT~ ^ \ 2d w ^
ojx
[ ' \X(<o)jeJ^a>tm\2dco
2-7T J —
(u,
- ^ L a2 {t) “2dw=^ ( 1 0 '8 '3 )
T h is b o u n d show s th a t th e e r r o r p o w e r is in v ersely p ro p o rtio n a l to th e s q u a re o f th e

n u m b e r o f su b filters I. T h e re fo re , th e e r r o r m a g n itu d e is in v e rse ly p ro p o rtio n a l
to I. H e n c e w e call th e a p p ro x im a tio n o f th e ra te c o n v ersio n m e th o d d e sc rib e d
a b o v e a first-o rd e r a p p ro x im a tio n . B y u sin g (10.8.3) a n d (10.8.1), th e r a tio o f th e
sig n a l-to -d isto rtio n d u e to a sa m p lin g -tim e e r r o r fo r th e firs t-o rd e r a p p ro x im a tio n ,
d e n o te d as S D rR l , is lo w e r b o u n d e d as
P M l2
S D ,R 1 = > —~ (10.8.4)
pe (4
It can be seen fro m (10.8.4) th a t th e sig n a l-to -d isto rtio n r a tio is p ro p o rtio n a l
to th e sq u a re o f th e n u m b e r o f su b filters.
Exam ple 10.8.1

Suppose that the input signal has a flat spectrum betw een - 0 .8 jt and 0.8 tt. Determ ine
the num ber of subfilters to achieve a signal-to-distortion ratio of 50 dB.
Solution T o achieve an SDrR > 105, we set S D iR l = 12/2/wJ equal to 105. Thus
we find that
fw
1 «s w ,,/ ~ ~ ~ 230 subfilters
10.8.2 Second-Order Approximation (Linear Interpolation)
T h e d isa d v a n ta g e o f th e first-o rd e r a p p ro x im a tio n m e th o d is th e larg e n u m b e r o f

su b filte rs n e e d e d to ach iev e a specified d isto rtio n re q u ire m e n t. In th e follow ing
d iscu ssio n , w e d esc rib e a m e th o d th a t u se s lin e a r in te rp o la tio n to ach iev e th e sa m e
p e rfo rm a n c e w ith a r e d u c e d n u m b e r o f subfilters.
T h e im p le m e n ta tio n o f th e lin e a r in te rp o la tio n m e th o d is v ery sim ilar to th e
firs t-o rd e r a p p ro x im a tio n d iscu ssed ab o v e. In ste a d o f u sin g th e sa m p le fro m th e
in te rp o la tin g filter clo sest to th e d e s ire d c o n v ersio n o u tp u t as th e a p p ro x im a tio n ,
w e c o m p u te tw o a d ja c e n t sa m p le s w ith th e d e s ire d sa m p lin g tim e falling b e tw e e n
th e ir sa m p lin g tim es, as is illu stra te d in Fig. 10.28. T h e n o rm a liz e d tim e spacing
y(«+1M i
a m=Ilm
Figure 10.28 Sample rale conversion by use o f linear interpolation.

b e tw e e n th e se tw o sa m p le s is 1 j l . A ssu m in g th a t th e sa m p lin g tim e o f th e first

sa m p le lags th e d e s ire d sa m p lin g tim e by jm, th e sa m p lin g tim e o f th e se c o n d sa m
p le is th e n lead in g th e d e s ire d sa m p lin g tim e by ( 1 / / ) — tm. If w e d e n o te th ese
tw o sa m p le s by vi (m) a n d y i ( m ) a n d use lin e a r in te rp o la tio n , w e can c o m p u te the
a p p ro x im a tio n to th e d e s ire d o u tp u t as
v(m ) = (1 - a m)vi(m ) + a n,y2(m) (10.8.5)
w h e re a m = l t m. N o te th a t 0 < a„, < 1 .
T h e im p le m e n ta tio n o f lin e a r in te rp o la tio n is sim ilar to th a t fo r th e first-
o r d e r a p p ro x im a tio n . N o rm a lly , b o th y i(m ) a n d yz i m) a re c o m p u te d using th e /th
an d (/ + l) th su b filters, re sp e c tiv e ly , w ith th e sa m e se t o f in p u t d a ta sa m p le s in
th e d elay line. T h e o n ly e x c e p tio n is in th e b o u n d a ry case, w h e re / = / - 1. In
th is case w e u se th e ( / — l ) t h su b filte r to c o m p u te >'i(/w), b u t th e se co n d sam ple
yi ( m) is c o m p u te d u sin g th e z e ro th su b filter a fte r new in p u t d a ta a re sh ifted into
th e d e la y line.
T o an aly ze th e e r r o r in tro d u c e d by th e se c o n d -o rd e r a p p ro x im a tio n , we first
w rite th e fre q u e n c y re sp o n s e s o f th e d esired filter an d th e tw o su b filters u se d to
c o m p u te vi(m ) a n d V2(w ), as e-/£Wr, ancj €ja>u-t„+'\/i)^ resp ec tiv ely . B e cau se
lin e a r in te rp o la tio n is a iin e a r o p e ra tio n , w e can also use lin e a r in te rp o la tio n to
co m p u te th e fre q u e n c y re sp o n se o f th e filter th a t g e n e ra te s y(w?) as
= e Jtur[(l — a m)e~JW'"' + ameJ“'i~!’"+l / n ]

( 10 . 8 .6 )
- ejmT0 - a„,)(cos coin, - ;s in o tf m)
-h e ^ Ta „ [ c o s a j ( l / / - tm) + j sin c o (l/7 - r ,„ ) ]

B y ig n o rin g h ig h -o rd e r e rro rs, w e can w rite th e d ifferen ce b e tw e e n th e d esired
fre q u e n c y resp o n se s an d th e o n e given by (10.8.6) as
ei m - (1 - a m)e Jtu<t“ ," ) -
- \ - (i cim) c o s u)tm — am costL>(l// - tm)]

(10.8.7)
+ j [ ( l - a m) sin (Dtm - a m s in a > ( l// - rm)]}
U sin g (1 - a m) am < w e o b ta in a n u p p e r b o u n d fo r th e to ta l e r r o r p o w e r as
1
Pe = = - / \X(u>)[ejwT - (1 - - a me ^ - ' ^ n ]\2dco
(10.8.8)
Sec. 10.9 Applications of Multirate Signal Processing 821
T his result indicates that the error m agnitude is inversely proportional to I 2. H en ce

w e call the approxim ation using linear interpolation a s e c ond- or d e r appr ox i ma t i o n.
U sin g (10.8.8) and (10.8.1), the ratio o f signal-to-distortion d u e to a sam pling tim e
error for the secon d-ord er approxim ation, d en oted by S D ,R 2 , is b ou n ded from
b elo w as
P 80/ 4
S D jR 2 = > — (10.8.9)
Pe arx
T h erefore, th e signal-to-distortion ratio is p roportional to the fourth p ow er o f the

num ber o f subfilters.
Exam ple 10.8.2

D eterm ine the num ber of subfilters required to meet the specifications given in E x
ample 10.8.1 when linear interpolation is employed.
Solution To achieve S D ,R > 105, we set S D iR 2 = 80I A/w* equal to 10s. Thus we
obtain
From this exam ple we see that the required num ber o f subfilters for the
secon d-ord er approxim ation is reduced by a factor o f ab ou t 15 com pared to the
first-order approxim ation. H ow ever, w e now n eed to co m p u te tw o interpolated
sam p les in this case, instead o f o n e for the first-order approxim ation. H en ce w e
have d ou b led the com putational com plexity.
L inear interpolation is the sim plest case o f the class o f approxim ation m eth
od s based o n Lagrange p olynom ials. It is also p ossib le to use higher-order L a
grange polyn om ial approxim ations (interp olation) to further reduce the num ber
o f subfilters required to m eet specifications. H ow ever, th e secon d-ord er approx
im ation seem s sufficient for m ost practical applications. T h e in terested reader is
referred to the paper by R am stad (1984) for higlier-order L agrange interpolation
m ethods.
10.9 APPLICATIONS OF MULTIRATE SIGNAL PROCESSING
T here are num erous practical applications o f m ultirate signal processing. In this
sectio n w e d escribe a few o f these applications.
10.9.1 Design of Phase Shifters
S u p p ose that w e w ish to design a netw ork that delays th e signal x ( n ) by a fraction
o f a sam ple. L et us assum e that the d elay is a rational fraction o f a sam pling
x(n) Lowpass Delay by 1

71
Ft If I filler IF, k samples j
Figure 10.29 Method for generating a delay in a discrete-time signal.
in te rv a l Tx [i.e.. d = (k / I ) T x, w h e re k a n d / a re relativ ely p rim e po sitiv e in teg ers].

In th e freq u e n cy d o m ain , th e d elay c o rre sp o n d s to a lin e a r p h a s e shift o f th e fo rm
kio
@(a>) = (10.9.1)
T h e d esign o f an all-p ass lin e a r-p h a s e filter is relativ ely difficult. H o w e v e r,

w e can use th e m e th o d s o f sa m p le -ra te co n v e rsio n to ach iev e a d elay o f (k / l ) T x,
ex actly , w ith o u t in tro d u c in g an y significant d isto rtio n in th e sig n al. T o be specific,
let us co n sid e r th e sy stem sh o w n in Fig. 10.29. T h e sa m p lin g r a te is in crease d by a
fa c to r / using a s ta n d a rd in te rp o la to r. T h e lo w p ass filter e lim in a te s th e im ages in
th e sp e ctru m o f th e in te rp o la te d signal, a n d its o u tp u t is d e la y e d by k sa m p le s a t
th e sam p lin g r a te I F x . T h e d e la y e d sig n a l is d e c im a te d by a fa c to r D = I. T h u s
we h av e ach iev ed th e d e sire d d e la y o f (k / l ) T x .
A n efficient im p le m e n ta tio n o f th e in te r p o la to r is th e p o ly p h a s e filter illu s
tra te d in Fig. 10.30. T h e d e la y o f k sa m p le s is ach iev ed by p lacing th e initial
p o sitio n o f th e c o m m u ta to r a t th e o u tp u t o f th e Jtth su b filter. S in ce d e c im a tio n by
Figure 10.30 Polyphase filter structure for implementing the syslem shown in
Fig. 10.29.
D = I m e a n s th a t w e ta k e o n e o u t o f ev ery / sa m p le s fro m th e p o ly p h a s e filter, th e

c o m m u ta to r p o sitio n c a n b e fixed to th e o u tp u t o f th e fcth su b filter. T h u s a d e la y
in k / I can b e a c h iev ed by using o n ly th e k th su b filter o f th e p o ly p h ase filter. W e
n o te th a t th e p o ly p h a se filter in tro d u c e s an a d d itio n a l d e la y o f (Af — l ) /2 sam ples,
w h ere M is th e le n g th o f its im p u lse re sp o n se .
F in ally , w e m e n tio n th a t if th e d e s ire d d elay is a n o n ra tio n a l fa c to r o f th e
sa m p le in te rv a l Tx , e ith e r th e firs t-o rd e r o r se c o n d -o rd e r a p p ro x im a tio n m e th o d
d e s c rib e d in S ectio n 10.8 can b e u se d to o b ta in th e delay.
10.9.2 Interfacing of Digital Systems with Different

Sampling Rates
In p ra c tic e w e fre q u e n tly e n c o u n te r th e p ro b le m o f in terfacin g tw o d igital sy stem s

th a t a re c o n tro lle d b y in d e p e n d e n tly o p e ra tin g clocks. A n an a lo g so lu tio n to
th is p ro b le m is to c o n v e rt th e signal fro m th e first sy stem to a n a lo g form an d
th e n re sa m p le it a t th e in p u t to th e se c o n d sy stem u sin g th e clock in th is system .
H o w e v e r, a sim p le r a p p ro a c h is o n e w h e re th e in te rfa c in g is d o n e by a digital
m e th o d u sin g th e b asic sa m p le -ra te c o n v ersio n m e th o d s d e sc rib e d in this c h a p te r.
T o b e specific, le t us c o n s id e r in te rfa c in g th e tw o sy stem s w ith in d e p e n d e n t
clocks as sh o w n in F ig. 10.31. T h e o u tp u t o f system A a t ra te Fx is fed to an
in te rp o la to r w hich in c re a se s th e sa m p lin g ra te by I . T h e o u tp u t o f th e in te rp o la to r
is fed a t th e ra te I Fx to a d igital sa m p le -a n d -h o ld w hich se rv es as th e in te rfa c e to
sy stem B a t th e h ig h sa m p lin g r a te 1FX. S ignals fro m th e d igital sa m p le -a n d -h o ld
a re re a d o u t in to sy stem B at th e clock ra te D F y of sy stem B. T h u s th e o u tp u t
r a te fro m th e sa m p le -a n d -h o ld is n o t sy n c h ro n iz e d w ith th e in p u t rate.
In th e sp ecial case w h e re D = I a n d th e tw o clock ra te s a re c o m p a ra b le
b u t n o t id en tical, so m e sa m p le s a t th e o u tp u t o f th e sa m p le -a n d -h o ld m ay be
r e p e a te d o r d ro p p e d a t tim es. T h e a m o u n t o f signal d isto rtio n re su ltin g from th is
m e th o d can b e k e p t sm a ll if th e in te rp o la to r/d e c im a to r fa c to r is large. B y using
lin e a r in te rp o la tio n in p la c e o f th e d ig ital sa m p le -a n d -h o ld , as w e d e sc rib e d in
S ectio n 10.8, w e can f u rth e r re d u c e th e d isto rtio n a n d th u s re d u c e th e size o f th e
in te rp o la to r facto r.
Figure 1031 Interfacing of two digital systems with different sampling rates.
10.9.3 Implementation of Narrowband Lowpass Filters
In S ectio n 10.6 w e d e m o n s tra te d th a t a m u ltista g e im p le m e n ta tio n o f sam pling-

ra te co n v ersio n o fte n p ro v id es fo r a m o re efficient re alizatio n , esp ecially w h en th e
filter sp ecificatio n s a re v ery tig h t (e.g., a n a rro w p a s sb a n d a n d a n a rro w tra n sitio n
b a n d ). U n d e r sim ilar c o n d itio n s, a low pass, lin e a r-p h a s e F I R filte r m ay b e m o re
efficien tly im p le m e n te d in a m u ltista g e d e c im a to r-in te rp o la to r co n fig u ratio n . T o
b e m o re specific, w e can e m p lo y a m u ltistag e im p le m e n ta tio n o f a d e c im a to r o f
size D, fo llo w ed by a m u ltista g e im p le m e n ta tio n o f an in te r p o la to r o f size / , w h ere
I = D.
W e d e m o n s tra te th e p ro c e d u re b y m ean s o f a n ex a m p le fo r th e desig n o f
a lo w p ass filter w hich h as th e sa m e sp ecificatio n s as th e filter th a t is given in
E x a m p le 10.6.1.
Example 10.9.1
Design a linear-phase FIR filter that satisfies the following specifications:
Sampling frequency: 8000 Hz
Stopband 80 < F < 4000
Passband ripple: 5] = 10-2
Stopband ripple: &2 = 10~4
Solution If this filter were designed as a single-rate linear-phase F IR filter, the length
of the filter required to m eet the specifications is (from Kaiser’s form ula)
M 5152
Now, suppose that we employ a multirate im plem entation of the lowpass filter
based on a decimation and interpolation factor of D = / = 100. A single-stage
implem entation of the decim ator-interpolator requires an FIR filter of length
^ ^ - ■ O l o g W ;/ 2 ) - 1 3 + l a 5 4 a )
14.6 A /
However, there is a significant savings in computational complexity by implementing
the decimator and interpolator filters using their corresponding polyphase filters. If
we employ linear-phase (symmetric) decimation and interpolation filters, the use of
polyphase filters reduces the multiplication rate by a factor of 100.
A significantly more efficient im plementation is obtained by using two stages
of decimation followed by two stages of interpolation. For example, suppose that we
select D\ = 50, D2 = 2, h = 2, and I2 = 50. Then the required filter lengths are
-lO lo g C JA /4 ) - 1 3 _____
W l.......... 1 4 .6 V ---------+
-101oglo( W 4 ) - 1 3 . , _
---------- u Z T f ----------+ 1 ^ 233
Thus we obtain a reduction in the overall filter length of 2(5480)/2(177+233) ~ 13.36-
In addition, we obtain further reduction in the multiplication rate by using polyphase
filters. For the first stage of decimation, the reduction in multiplication rate is 50, while
for the second stage the reduction in multiplication rate is 100. F urther reductions
can be obtained by increasing the num ber of stages of decim ation and interpolation.
10.9.4 Implementation of Digital Filter Banks
F ilte r b a n k s a re g en erally c a teg o rized as tw o types, analysis filter b a n k s a n d s y n

thesis filter ban k s . A n analysis filter b a n k co n sists o f a se t o f filters, w ith system
fu n c tio n s {#;(&)}, a rra n g e d in a p a ra lle l b a n k as illu s tra te d in Fig. 10.32a. T h e
f re q u e n c y re sp o n s e c h a ra c te ristic s o f th is filter b a n k sp lits th e signal in to a c o r re
sp o n d in g n u m b e r o f su b b a n d s. O n th e o th e r h a n d , a sy n th e sis filter b a n k co n sists
o f a se t o f filters w ith system fu n ctio n s {G *(')}, a rra n g e d as sh o w n in Fig. 10.32b,
w ith c o rre sp o n d in g in p u ts {v*(/i)}- T h e o u tp u ts o f th e filters a re su m m e d to fo rm
th e sy n th e siz e d signal {*(/;))■
F ilte r b a n k s a re o fte n u se d fo r p e rfo rm in g sp e c tru m analysis a n d signal syn
th esis. W h en a filter b a n k is em p lo y ed in th e c o m p u ta tio n o f th e d isc re te F o u rie r
Analysis fitter bank

(a)
Synthesis filter bank

(b)
Figure 10.32 A digital filter bank.

tra n sfo rm (D F T ) o f a se q u e n c e {*(«)}, th e filter b a n k is called a D F T filter b an k .

A n an aly sis filter b an k co n sistin g o f N filters {Hk(z), Jt = 0 , 1 , ___ N — 1} is called a
u n ifo rm D F T filter b a n k if Hk (z), it = 1, 2 , . . . , N — 1, a re d e riv e d fro m a p ro to ty p e
filter H q(z ), w h ere
(10.9.2)
H e n c e th e fre q u e n c y re sp o n se c h a ra c te ristic s o f th e filters { //* ( '), Jt = 0, 1 , ,

/ / —l} a re sim ply o b ta in e d b y u n ifo rm ly sh iftin g th e fre q u e n c y re sp o n s e o f th e p ro
to ty p e filter b y m u ltip le s of 2n / N . In th e tim e d o m a in th e filters a re c h a ra c te riz e d
by th e ir im p u lse resp o n ses, w hich can b e e x p re ss e d as
h k (n) = h 0( n)ej2nnk/N k = 0 , l ____ N - l (10.9.3)
w h e re {/iq(«)} is th e im pulse re sp o n s e o f th e p ro to ty p e filter.

T h e u n ifo rm D F T analysis filter b a n k can be re a liz e d as sh o w n in Fig. 10.33a,
w h e re th e fre q u e n c y c o m p o n e n ts in th e se q u e n c e {jr(n)} a re tra n s la te d in freq u e n cy
to lo w p ass by m u ltip ly in g x( n) w ith th e co m p lex e x p o n e n tia ls e x p ( —j l n n k j N ) , k =
1___ N - 1, an d th e re su ltin g p ro d u c t signals a re p assed th ro u g h a low pass filter
w ith im p u lse re sp o n se {ho(n)). Since th e o u tp u t o f th e low pass filter is relativ ely
n a rro w in b an d w id th , th e signal can b e d e c im a te d by a fa c to r D < N . T h e resu ltin g
d e c im a te d o u tp u t signal can b e e x p re ss e d as
X k(m) — h o ( mD — n)x(/i)e', -jlxnk/N k = 0, 1, . . . , N - 1

n (10.9.4)
m = 0 , 1,...
w h e re {X*(m)} a re sa m p les o f th e D F T a t fre q u e n c ie s a>k = 2 n k / N .

T h e c o rre sp o n d in g sy n th e sis filte r fo r ea c h e le m e n t in th e filter b a n k can
b e v iew ed as show n in Fig. 10.33b, w h e re th e in p u t signal se q u e n c e s {l*(m ), k =
0, 1 , . . . , N — 1} a re u p sa m p le d by a fa c to r o f I = D, filte re d to re m o v e th e
im ag es, a n d tra n sla te d in fre q u e n c y by m u ltip lic a tio n by th e c o m p lex ex p o n e n tia ls
{ e x p i j l n n k / N ) , k = 0, 1, . . N — 1). T h e re su ltin g fre q u e n c y -tra n sla te d signals
fro m th e N filters are th e n su m m ed . T h u s w e o b ta in th e se q u e n c e
= ^ ej2”"klN Y , y^ m ^8o(n - m l )
i —n _
Jlnnk/N (10.9.5)
= !> ( * - m l) 1 £ Y d m ) e ^ nklN
wn 1* I__ n
w h e re th e fa c to r 1 / N is a n o rm a liz a tio n fa c to r, {y„(m)} re p re s e n t sa m p le s o f th e

in v e rse D F T se q u e n c e c o rre sp o n d in g to {}*(m)}, {go(«)} is th e im p u lse resp o n se
o f th e in te rp o la tio n filter, a n d I ~ D.
Sec. 10.9 Applications of Muttirate Signal Processing 627
e-jainn
Analysis
(a)
e)<w
Synthesis w* = ——
N
(b)
Figure 1033 A uniform D FT filter bank.
T h e re la tio n sh ip b e tw e e n th e o u tp u t (X*(n)} o f th e analysis filter b a n k a n d

th e in p u t {y*(m )} to th e sy n th e sis filter b a n k d e p e n d s o n th e a p p lic a tio n . U s u
ally, {y*(rn)| is a m o d ified v ersio n o f {X*(m)), w h e re th e specific m o d ifica tio n is
d e te rm in e d b y th e ap p licatio n .
A n a lte rn a tiv e re a liz a tio n o f th e an aly sis a n d sy n th e sis filter b a n k s is illu s
tr a te d in Fig. 10.34. T h e filters a re re a liz e d as b a n d p a s s filters w ith im p u lse r e
sp o n ses
hk(n) = h0(n)eJ7* nk/N k = 0,1,..., N - 1 (10.9.6)

p-jtiitfnD
Analysis
(a)
ejm<jnD
Synthesis
(b)
Figure 10.34 Alternative realization of a uniform DFT filter bank.
T h e output o f each bandpass filter is d ecim ated by a factor D and m ultiplied by

e x p i —j l n m k / N ) to p roduce the D F T seq u en ce {X*(m)}. T h e m odu lation by the
com plex exp on en tial allow s us to shift the spectrum o f the signal from = 2nk/N
to oo = 0. H en ce this realization is equ ivalen t to the realization given in Fig. 10.33.
T h e filter bank output can b e written as
X k( m) = "-jlnmkD/N (10.9.7)
£ j c ( n ) * o ( m D - n ) e j2nk(mD~n)/N
T h e corresponding filter bank syn th esizer can be realized as show n in

Fig. 10.34b, w h ere the input seq u en ces are first m ultiplied by the exp on en tial
factors [ e x p ( j 2 n k m D / N) ] , upsam pled by the factor I = D, and the resulting se-
q u e n c e s a re filtered by th e b a n d p a s s in te rp o la tio n filters w ith im p u lse re sp o n se s
g k ( n) = g 0( n ) e j2j!nk/N (10.9.8)
w h e re {£o(«)) is th e im p u lse re sp o n se o f th e p r o to ty p e filter. T h e o u tp u ts o f th e se

filters are th e n su m m e d to yield
N-1
1
(10.9.9)
■’< " ) = j j i .
k=0
w h e re I — D.
In th e im p le m e n ta tio n of d igital filters b a n k s, c o m p u ta tio n a l efficiency can be
ac h iev ed by u se o f p o ly p h a se filters fo r d e cim atio n a n d in te rp o la tio n . O f p a rtic u la r
in te re st is th e case w h e re th e d e c im a tio n fa c to r D is se le c te d to be e q u a l to th e
n u m b e r N o f fre q u e n c y b an d s. W h en D = N, w e say th a t th e filter b a n k is critically
sampled.
F o r th e an aly sis filter b an k , let us define a se t o f N = D p o ly p h a se filters
w ith im p u lse resp o n ses
p t ( n ) = ho ( n N — k) k = 0. 1.........jV — 1 (10.9.10)
a n d th e c o rre sp o n d in g se t o f d e c im a te d in p u t se q u e n c e s
x k (n) = x ( n N + k) * = 0 . 1 .........N - 1 (10.9.11)
N o te th a t th is d efin itio n o f {/;*(«)) im plies th a t th e c o m m u ta to r fo r th e d e c im a to r

r o ta te s clockw ise.
T h e s tru c tu re o f th e analysis filter b an k b ased o n th e use o f p o ly p h ase filters
can b e o b ta in e d by su b stitu tin g (10.9.10) a n d (10,9.11) in to (10.9.7) a n d re a rra n g in g
th e s u m m a tio n in to th e fo rm
-jZ n n k / N
k - 0 , 1 ____ D - 1 (10.9.12)
w h e re N = D. N o te th a t th e in n e r su m m a tio n r e p re s e n ts th e co n v o lu tio n o f
i p n(l)} w ith {*„(/)). T h e o u te r su m m atio n re p re s e n ts th e W -point D F T o f th e
filter o u tp u ts. T h e filter s tru c tu re c o rre sp o n d in g to th is c o m p u ta tio n is illu strated
in Fig. 10.35. E a c h sw eep o f th e c o m m u ta to r re su lts in N o u tp u ts, d e n o te d as
( r „ ( m ), n = 0, 1.........A ' - l ) from th e N p o ly p h ase filters. T h e / V -p o in t D F T o f
th is se q u e n c e yield s th e sp e c tra l sa m p le s (Jft(m )]. F o r la rg e valu es o f N , th e F F T
alg o rith m p ro v id e s an efficient m e a n s fo r co m p u tin g th e D F T .
N o w su p p o se th a t th e sp e ctral sa m p le s { ^ ( m ) } a re m o d ified in so m e m a n n e r,
p re sc rib e d by th e ap p lic a tio n , to p ro d u c e |y t.(m)}. A filter b a n k sy n th e sis filter
b a s e d o n a p o ly p h a se filter s tru c tu re can b e re a liz e d in a sim ilar m a n n e r. F irst,
w e d efin e th e im p u lse re sp o n se o f th e N {D = I — N ) p o ly p h a se filters fo r th e
in te rp o la tio n filter as
qk(n) = go( nN + k) k = 0 ,1 ........N - 1 (10.9.13)

Figure 1035 Digital filter bank structure for the computation of (10.9.12).
a n d th e c o rre sp o n d in g set o f o u tp u t signals as
vt («) = v(n N + k) * = 0 , 1 .........A ' - l (10.9.14)

N o te th a t th is d efin itio n o f {qt(n)} im plies th a t th e c o m m u ta to r fo r th e in te rp o la to r
r o ta te s co u n terclo ck w ise .
B y su b stitu tin g (10.9.13) in to (10.9.5), w e can ex p ress th e o u tp u t v/(n) o f th e
/th p o ly p h a se filter as
j N -\
j2Kkl/H
V i(n) = ^ < ? /( « - m ) -]T n(m )e i =0,1...., N - 1 (10.9.15)
T h e te rm in b ra c k e ts is th e /V -point in v e rse D F T o f {% ("*)}, w h ich w e d e n o te as

{y; (m)}. H en ce
Vi (tt) = ^ qt(n — m) yi {m) I — 0, 1, . .. , N —1 (10.9.16)
T h e sy n th esis s tru c tu re c o rre sp o n d in g to (10.9.16) is sh o w n in Fig. 10.36. It is

in te re stin g to n o te th a t by d efin in g th e p o ly p h a s e in te rp o la tio n filte r as in (10.9.13),
th e stru c tu re in Fig. 10.36 is th e tra n sp o s e o f th e p o ly p h a se an aly sis filter show n
in Fig. 10.35.
In o u r tr e a tm e n t o f d ig ital filter b a n k s w e c o n s id e re d th e im p o rta n t case o f
critically sa m p le d D F T filter b a n k s, w h e re D ~ N . O th e r ch o ic e s o f D a n d N
c an b e e m p lo y ed in p ra c tic e , b u t th e im p le m e n ta tio n o f th e filters b e c o m e s m o re
c o m p lex . O f p a rtic u la r im p o rta n c e is th e o v e rsa m p le d D F T filte r b a n k , w h ere
N = K D, D d e n o te s th e d e c im a tio n f a c to r a n d K is an in te g e r th a t specifies the
Figure 10,36 Digital filter bank structure for the computation of (10.9.16).
o v e rsam p lin g facto r. In this case it can be sh o w n t hat th e p o ly p h ase filter b a n k

s tru c tu re s for th e an alysis an d sy n th e sis filters can be im p le m e n te d by use o f N
su b filters a n d /V-point D F T s an d in v erse D F T s.
10.9.5 Subband Coding of Speech Signals
A v ariety o f te c h n iq u e s have b e e n d e v e lo p e d to efficiently r e p re s e n t sp e ech signals

in dig ital fo rm fo r e ith e r tran sm issio n o r sto ra g e . S ince m o st o f th e sp e ech en e rg y
is c o n ta in e d in th e lo w er freq u e n cies, w e w ould like to e n c o d e th e lo w er-freq u en cy
b a n d w ith m o re b its th a n th e h ig h -fre q u e n c y b a n d . S u b b a n d coding is a m e th o d ,
w h ere th e sp e ech signal is su b d iv id ed in to se v e ra l fre q u e n c y b an d s a n d each b a n d
is d ig itally e n c o d e d se p a ra te ly .
A n e x am p le o f a fre q u e n c y su b d iv isio n is show n in Fig. 10.37a. L e t us a s
su m e th a t th e sp eech signal is sa m p le d a t a ra te Fs sa m p le s p e r se co n d . T h e
first fre q u e n c y su b d iv ision splits th e signal sp e c tru m in to tw o eq u al-w id th se g
m e n ts, a lo w p ass sig n al (0 < F < Fxj 4) a n d a h ig h p ass signal (Fs/ 4 < F < Fs / 2).
T h e se co n d fre q u e n c y subdivision sp lits th e low pass signal from th e first stag e
in to tw o e q u a l b an d s, a low pass signal (0 < F < Fs/ 8) an d a h ig h p ass signal
( Fs/& < F < F J 4). F inally, th e th ird fre q u e n c y su b d iv isio n splits th e low pass
signal fro m th e se co n d sta g e in to tw o e q u a l b a n d w id th signals. T h u s th e sig
n a l is su b d iv id e d in to fo u r fre q u e n c y b an d s, co v erin g th re e o ctav es, as sh o w n in
Fig. 10.37b.
D e c im a tio n by a fa c to r o f 2 is p e rfo rm e d a fte r fre q u e n c y su b division. By
a llo catin g a d iffe re n t n u m b e r o f b its p e r sa m p le to th e signal in th e fo u r su b b a n d s,
w e can a c h iev e a re d u c tio n in th e b it ra te o f th e d ig italized sp e ech signal.
(a)
j 1 2 3 4 [
0 JT JT 7T JT
8 4 2
(b)
Figure 10.37 Block diagram of a subband speech coder.
F ilte r d esign is p a rtic u la rly im p o rta n t in ach iev in g goo d p e rfo rm a n c e in s u b

b a n d coding. A liasin g re su ltin g fro m d e c im a tio n o f th e su b b a n d signals m u st be
n eg ligible. It is c le a r th a t w e c a n n o t use brickw all filter c h a ra c te ristic s as sh o w n in
Fig. 10.38a, since such filters a re ph y sically u n re a liz a b le . A p a rtic u la rly p ractical
so lu tio n to th e aliasin g p ro b le m is to u se quadrat ur e mi r r or filters (Q M F ), w hich
h a v e th e fre q u e n c y re sp o n se c h a ra c te ristic s show n in Fig. 10.38b. T h e se filters are
d e sc rib e d in th e fo llo w ing sectio n .
T h e syn th esis m e th o d for th e su b b a n d e n c o d e d sp e ech signal is b asically th e
rev erse o f th e e n c o d in g p ro cess. T h e signals in a d ja c e n t lo w p ass a n d h ig h p ass
freq u e n cy b an d s a re in te rp o la te d , filte re d , a n d c o m b in e d as sh o w n in Fig. 10.39.
A p a ir o f Q M F is u se d in th e signal sy n th e sis fo r ea c h o ctav e o f th e signal.
S u b b a n d co d in g is also an effe ctiv e m e th o d to ach iev e d a ta co m p re ssio n in
im ag e signal p ro cessin g . B y c o m b in in g su b b a n d co d in g w ith v e c to r q u a n tiz a tio n
fo r each su b b a n d sig n al, S a fra n e k e t al. (1988) h av e o b ta in e d c o d e d im ag es w ith
a p p ro x im a te ly ^ b it p e r pixel, c o m p a re d w ith 8 b its p e r p ix el fo r th e u n c o d e d
im age.
In g e n eral, s u b b a n d co d in g o f signals is an effe ctiv e m e th o d fo r achieving
b an d w id th c o m p ressio n in a d ig ital r e p re s e n ta tio n o f th e signal, w h en th e signal
e n erg y is c o n c e n tra te d in a p a rtic u la r re g io n o f th e fre q u e n c y b a n d . M u ltira te
signal p ro cessin g n o tio n s p ro v id e efficient im p le m e n ta tio n s o f th e su b b a n d e n
co d er.
(a)
QMF
(b)
Figure 10.38 Filter characteristics for subband coding.
10.9.6 Quadrature Mirror Filters
T h e b asic b u ild in g b lo c k in a p p licatio n s o f q u a d r a tu re m irro r filters (Q M F ) is

th e tw o -c h a n n e l Q M F b a n k show n in Fig. 10.40. T h is is a m u ltira te digital filter
s tru c tu re th a t em p lo y s tw o d e c im a to rs in th e “signal an a ly sis” se c tio n a n d tw o
in te r p o la to r s in th e “sig nal sy n th e sis” sectio n . T h e lo w p ass a n d h ig h p ass filters in
th e an aly sis se c tio n h a v e im p u lse resp o n ses ho(n) a n d h \ ( n ) , resp ec tiv ely . S im ilarly,
th e lo w p ass a n d h ig h p ass filters c o n ta in e d in th e sy n th e sis se c tio n h a v e im p u lse
re sp o n s e s go(n) a n d g i( n ), respectively.
Outpa
Figure 10J9 Synthesis o f subband-encoded signals.
Analysis Synthesis
section section
Figure 10.40 Two-channel QM F bank.
T h e F o u rie r tra n sfo rm s o f th e sig n a ls a t th e o u tp u ts o f th e tw o d ecim ato rs
X a0(co) = -
(10.9.17)
X aX(co) = -
If Xsq(m) and Xlt(<u) represent the two inputs to the synthesis section, the output
is sim ply
X(co) = Xfo(2(o)Go(co) + X s\(2(o)G\(co) (10.9.18)
N o w , su p p o s e th a t we c o n n ect th e analysis filter to th e c o rre sp o n d in g sy nthesis

filter, so th a t X ao{(o) = a n d X a\(oo) = -X*i(ew). T h e n , by su b stitu tin g fro m
(10.9.17) in to (10.9.18), w e o b ta in
X(co) = ^ \ H q{(o ) G q((o ) + H\(a))G\{( d ) ]X {w)

(10.9.19)
+ \[H0(u>—7t)Go(<o) + Hi(co —7t)G\(u))]X(o} —tt)
T h e first te rm in (10.9.19) is th e d e sire d signal o u tp u t fro m th e Q M F b an k .
T h e seco n d te rm re p re s e n ts th e effect o f aliasing, w hich w e w o u ld like to elim in ate.
H e n c e w e re q u ire th a t
H 0((o - n)Gu(a>) + Hi(co - 7t)Gx(co) = 0 (10.9.20)
T h is co n d itio n can be sim ply satisfied by selectin g Go(co) a n d G i M as
G q(cd) = Hiico - tt) G x(a>) = - H a( o > - n ) (10.9.21)
T h u s th e se co n d term in (10.9.19) vanishes.

T o e la b o ra te , let us assum e th a t Hu(co) is a lo w p ass filter an d H x(io) is a
m irro r-im a g e h ig h p ass filter. T h e n w e can e x p ress Hti(u>) a n d H\(u>) as
H0(a>) = H(to)
(10.9.22)
H\ (w) = H ( oj — tt)
w h e re H( w) is th e fre q u e n c y re sp o n se o f a lo w p ass filter. In th e tim e d o m ain , th e

c o rre sp o n d in g re la tio n s a re
hnin) = h(n)
(10.9.23)
h\ ( n) = ( - 1 )nh( n)
A s a c o n s e q u e n c e , Hn(a>) a n d H x(u>) h ave m irro r-im a g e sy m m e try a b o u t th e fre

q u e n c y a) —tt/2, as sh o w n in Fig. 10.38b. T o b e c o n siste n t w ith th e c o n s tra in t in
(10.9.21), w e se lect th e low pass filter G0(to) as
G 0(co) = 2H(co) (10.9.24)
a n d th e h ig h p ass filter G x(a>) as
G x (co) = - 2 H(co - n ) (10.9.25)
In th e tim e d o m ain , th e s e re la tio n s b eco m e

go(n) = 2h( n)
(10.9.26)
g\( n) = —2 (—1 )nh{n)
T h e scale fa c to r o f 2 in g0(n) a n d g x(n) c o rre sp o n d s to th e in te rp o la tio n fa c to r

u se d to n o rm a liz e th e o v erall fre q u e n c y re sp o n s e o f th e Q M F . W ith th is choice o f
th e filter c h aracteristics, th e c o m p o n e n t d u e to aliasin g v an ish es. T h u s th e aliasing

resu ltin g fro m d e c im a tio n in th e analysis se ctio n o f th e Q M F b a n k is p e rfe c tly
can ce le d by th e im ag e signal sp e c tru m th a t arises d u e to in te rp o la tio n . A s a
resu lt, th e tw o -ch an n el Q M F b e h a v e s as a lin ear, tim e -in v a ria n t system .
If we su b s titu te fo r Ho(a>), H-\(co), Go(co), a n d Gi(a>) in to th e first te rm o f
(10.9.19), w e o b ta in
X(co) = [ H 2(co) - H 2(u) - tt) ] X ( co) (10.9.27)
Id eally , th e tw o -c h a n n e l Q M F b a n k sh o u ld h ave u n ity gain,
\ H 2{oj) — H 2(co — n ) \ = 1 fo r all co (10.9.28)
w h ere H(co) is th e fre q u e n c y re sp o n se o f a low pass filter. F u rth e rm o r e , it is also

d e s ira b le fo r th e Q M F to h av e lin e a r p h ase.
N ow , let u s c o n sid e r th e use o f a lin e a r p h a se filter H(co). H e n c e H(co) m ay
be ex p ressed in th e form
H ( w ) = Hr (co)e~Jai<N- h/2 (10.9.29)
w h ere N is th e filter len g th . T h en
H 2 (co) = H 2( w ) e - j,”' N - h
(10.9.30)
= \ H ( w ) \ 2e~J‘°(N- ])
an d
H 2( a>- tt) = H ? ( o > - j r ) e - jia,- ,niN- ' )
(10.9.31)
= ( - l ) N~ l \H(co - jz)\2e - JwiN- l)
T h e re fo re , th e o v erall tra n s f e r fu n ctio n o f th e tw o -ch an n el Q M F w hich em p lo y s

lin e a r-p h a se F IR filters is
= [\H(a>)\2 - ( - l f - ]\ H( c o - 7 T ) \ 2] e - JU,'N- ]) (10.9.32)

X(co)
N o te th a t th e o v erall filter h a s a d elay o f N — 1 sa m p le s an d a m a g n itu d e c h a ra c
te ristic
A(co) = \H(co)\2 - { - \ ) N- ' \ H { c o - n ) \ 2 (10.9.33)
W e also n o te th a t w h en N is o d d , A ( n f l ) = 0, b e c a u se \H{7ijT)\ = |// ( 3 j t/ 2 ) |.

T h is is an u n d e sira b le p r o p e rty fo r a Q M F design. O n th e o th e r h a n d , w h e n N is
ev en ,
A((D) = \H{co)\2 + \ H { c o - n ) \ 2 (10.9.34)
w h ich av o id s th e p ro b le m o f a z e ro at a) = n f l . F o r N ev en , th e id e a l tw o -ch an n el
Q M F sh o u ld satisfy th e c o n d itio n
A(<d) = \ H( w) \ 2 -I-1H(C0 - n ) I2 = 1 for all to (10.9.35)

w h ich fo llo w s fro m (10.9.33). U n fo rtu n a te ly , th e only filter fre q u e n c y re sp o n se

fu n c tio n th a t satisfies (10.9.35) is th e trivial fu n ctio n \H(u>)\2 = co s2 aw. C o n s e
q u e n tly , a n y n o n triv ia l lin e a r-p h a se F IR filter H(a>) in tro d u c e s so m e a m p litu d e
d isto rtio n .
T h e a m o u n t o f a m p litu d e d isto rtio n in tro d u c e d by a n o n triv ia l lin e a r p h a s e
F IR filter in th e Q M F c a n be m in im ized by o p tim izin g th e F IR filter coefficients.
A p a rtic u la rly effe ctiv e m e th o d is to select th e filter coefficients o f H(<o) such th a t
A ((d) is m a d e as flat as p o ssib le w hile sim u ltan eo u sly m in im iz in g ( o r c o n strain in g )
th e s to p b a n d en erg y o f H(u>). T his a p p ro a c h lead s to th e m in im iz atio n o f th e
in te g ra l sq u a re d e r ro r
(10.9.36)
w h e re w; is a w eig h tin g fa c to r in th e ran g e 0 < w < 1. In p e rfo rm in g th e o p ti

m izatio n , th e filter im p u lse re sp o n se is c o n s tra in e d to b e sy m m e tric (lin e a r p h a se ).
T h is o p tim iz a tio n is easily d o n e n u m erically on a d igital c o m p u te r. T h is a p p ro a c h
h as b e e n u se d by J o h n s to n (1980), an d Ja in a n d C ro c h ie re (1984) to design tw o-
ch a n n e l Q M F s. T a b le s o f o p tim u m filter coefficients h ave b e e n ta b u la te d by J o h n
sto n (1980).
A s an a lte rn a tiv e to lin e a r-p h a se F IR filters, w e can design an I I R filter th a t
satisfies th e all-p ass c o n s tra in t given by (10.9.28). F o r th is p u rp o s e , e llip tic filters
p ro v id e esp ecially efficient designs. Since th e Q M F w o u ld in tro d u c e so m e p h ase
d isto rtio n , th e signal a t th e o u tp u t o f th e Q M F can be p a sse d th ro u g h an all-pass
p h a s e e q u a liz e r d esig n e d to m inim ize p h ase d isto rtio n .
In a d d itio n to th e s e tw o m e th o d s fo r Q M F design, o n e can also design th e
tw o -c h a n n e l Q M F s to e lim in a te co m p letely b o th a m p litu d e a n d p h a s e d isto rtio n
as w ell as c a n c e lin g aliasin g d isto rtio n . Sm ith a n d B a rn w e ll (1984) h a v e show n
th a t su ch p er f ect reconstruct i on Q M F can be d esig n ed by relax in g th e lin e a r-p h a se
co n d itio n o f th e F IR lo w pass filter H{(o). T o ach iev e p e rfe c t re c o n stru c tio n , w e
b eg in by d esig n in g a lin e a r-p h a se F IR h a lfb a n d filter o f le n g th 2 N — 1.
A h a lf-b a n d filter is defin ed as a z e ro -p h a se F I R filter w h o se im p u lse resp o n se
{b(n}} satisfies th e c o n d itio n
co n stan t, n = 0
b(2n) = (10.9.37)
0, n 7^0
H e n c e all th e e v e n -n u m b e re d sa m p le s are z e ro e x c e p t a t n = 0. T h e z e ro -p h a se
r e q u ire m e n t im p lies th a t b( n) = b( —n). T h e fre q u e n c y re sp o n s e o f such a filter is
K
(10.9.38)
w h ere K is o d d . F u rth e rm o r e , B(co) satisfies th e c o n d itio n B( w) + B(7i ~ co) is e q u a l

to a c o n s ta n t fo r all freq u e n cies. T h e typical fre q u e n c y re sp o n s e c h a ra c te ristic o f a
h a lf-b a n d filter is sh o w n in Fig. 10.41. W e n o te th a t th e filter re sp o n s e is sym m etric
w ith re sp e c t to n j 2, th e b a n d e d g es freq u e n cies cup a n d a)s a re sy m m etric a b o u t
w = n / 2 , a n d th e p e a k p a s s b a n d a n d s to p b a n d e r r o r s a r e e q u a l. W e a ls o n o te th a t
th e f ilte r c a n b e m a d e c a u s a l b y in tr o d u c in g a d e la y o f K s a m p le s .
N o w , s u p p o s e th a t w e d e s ig n an F I R h a lf- b a n d filte r o f le n g th 2jV — 1, w h e r e
N is e v e n , w ith f r e q u e n c y r e s p o n s e a s s h o w n in F ig . 1 0 .4 2 ( a ) . F ro m B(a>) w e
c o n s t r u c t a n o th e r h a lf-b a n d filte r w ith fr e q u e n c y r e s p o n s e
B+(w) = B(co) + ( 1 0 .9 .3 9 )
as s h o w n in F ig . 1 0 .4 2 ( b ) . N o t e th a t B +(a>) is n o n n e g a tiv e a n d h e n c e it h a s th e
s p e c tr a l fa c to r iz a tio n
fl+ ( z ) = H { z ) H { z - \ - (N~ h ( 1 0 .9 .4 0 )
o r , e q u iv a le n tly ,
B+(a>) = \H(co)\2e~ ja>(N~1) (1 0 .9 .4 1 )
w h e r e H (to) is th e f r e q u e n c y r e s p o n s e o f a n F I R f ilt e r o f le n g th N w ith re a l

c o e f f ic ie n ts . D u e t o th e s y m m e tr y o f B+(co ) w ith r e s p e c t to co = n / 2 , w e a ls o h a v e
B+(z) + ( - 1 ) " - ' B + i - z ) = c t z - ^ - V ( 1 0 .9 .4 2 )
o r , e q u iv a le n tly ,
B+{a>) -I- ( - D ^ f l + O w - n) = a e ( 1 0 .9 .4 3 )
w h e r e a is a c o n s t a n t . T h u s , b y s u b s t itu tin g ( 1 0 .9 .4 0 ) in to ( 1 0 .9 .4 2 ) , w e o b ta in
H(z)H(z~l) + H ( - z ) H ( ~ z ~ l ) = a ( 1 0 .9 .4 4 )
S in c e H ( z ) s a tis fie s ( 1 0 .9 .4 4 ) a n d s in c e a lia s in g is e lim in a te d w h e n w e h a v e G o (z ) =

H \ ( —z) a n d G i ( z ) = — H q ( —z ) , it fo llo w s t h a t t h e s e c o n d itio n s a r e s a tis fie d b y
Bffft)
amplitude
response of
G(z)
-S
BJta)
amplitude
response of
*♦ (*)
Figure 10.42 Frequency response characteristics of half-band filters B(a>) and

B+(<u>). (From Vaidyanathan (1987))
c h o o s in g H \ ( z ) , G o ( z ) , a n d G \ ( z ) as
H o (z) = H { z)
H \{ z ) = - z - iN - h H 0( - Z ~ ')
( 1 0 .9 .4 5 )
G 0{z) = z - (N- u H q {z - 1)
G ,( z ) = z ^ - ^ H ^ r 1 ) = - H o ( - z )
T h u s a lia s in g d is to r tio n is e lim in a te d a n d s in c e X { a > ) /X { a ) ) is a c o n s t a n t , t h e Q M F

p e r f o r m s p e r f e c t r e c o n s tr u c tio n s o t h a t x ( n ) = a x ( n — N + 1 ). H o w e v e r , w e n o te
th a t H ( z ) is n o t a l i n e a r -p h a s e f ilte r .
T h e F I R filte r s H o (z), H ] ( z ), G o (z ), a n d G i ( z ) in th e tw o - c h a n n e l Q M F b a n k
a r e e f fic ie n tly r e a liz e d as p o ly p h a s e filte r s . S in c e I = D = 2 , tw o p o ly p h a s e filte r s
a r e im p le m e n te d f o r e a c h d e c im a t o r a n d tw o f o r e a c h in te r p o la to r . H o w e v e r , if
w e e m p lo y lin e a r -p h a s e F I R filte r s , th e s y m m e tr y p r o p e r tie s o f th e a n a ly s is filte r s
a n d s y n th e s is f ilte r s a llo w u s to s im p lify th e s tr u c tu r e a n d r e d u c e th e n u m b e r o f
p o ly p h a s e filte r s in th e a n a ly sts s e c tio n t o tw o filte r s a n d t o a n o t h e r tw o f ilte r s in
th e s y n th e s is s e c tio n .
T o d e m o n s tr a t e th is c o n s t r u c tio n , le t u s a s s u m e th a t th e filte r s a r e lin e a r -
p h a s e F I R filte r s o f le n g th N ( N e v e n ) , w h ich h a v e im p u ls e r e s p o n s e s g iv e n by
( 1 0 .9 .2 3 ) . T h e n th e o u tp u ts o f th e a n a ly s is f ilte r p a ir , a f t e r d e c im a tio n b y a fa c to r
o f 2 , ca n b e ex p ressed as
X a k (m ) = Y ^ ( — l ) knh ( n ) x ( 2 m - n ) * = 0 ,1
f l = — OC
1 OO
= £ £ ( - 1 )k<l2J+l)h { 2 l + l) x ( 2 m - 2 1 - i)
i'= 0 l=—oc
N -1 N —\
= J2 h ( 2 i) x ( 2 m - H ) + ( - 1 ) * Y i^ (2 ! + l) x ( 2 m - 2 1 - 1 ) ( 1 0 .9 .4 6 )
1=0 1 =0
N o w le t u s d e fin e th e im p u ls e r e s p o n s e o f tw o p o ly p h a s e filte r s o f le n g th N ( 2 as
P i i m ) = h {2m + i) i = 0 ,1 ( 1 0 .9 .4 7 )
T h e n ( 1 0 .9 .4 6 ) c a n b e e x p r e s s e d as
N/2- 1
X ak{m) = Y2 P o (m )x (2 (m - /))
1=0
( 1 0 .9 .4 8 )
AT/2-1
+ ( —1 )* P \{ m ) x ( 2 m — 2 1 — 1 ) Jt = 0 , 1
1=0
T h is e x p r e s s io n c o r r e s p o n d s t o th e p o ly p h a s e f ilt e r s tr u c tu r e f o r th e a n a ly s is
s e c t i o n sh o w n in F ig . 1 0 .4 3 . N o t e t h a t t h e c o m m u t a t o r r o t a t e s c o u n te r c lo c k w is e
A nalysis____________ 11 ___________ Synthesis

section section
F ig u re 10.43 Polyphase filter structure for the Q M F bank.
a n d th a t th e filte r w ith im p u ls e r e s p o n s e (p o (ro )} p r o c e s s e s th e e v e n - n u m b e r e d

s a m p le s o f th e in p u t s e q u e n c e a n d th e f ilte r w ith im p u ls e r e s p o n s e {/ ?i(m )} p r o
c e s s e s th e o d d -n u m b e r e d s a m p le s o f th e in p u t s ig n a l.
In a s im ila r m a n n e r , b y u sin g ( 1 0 .9 .2 6 ) , w e c a n o b ta in th e s tr u c tu r e f o r th e
p o ly p h a s e s y n th e s is s e c tio n , w h ich is a ls o sh o w n in F ig . 1 0 .4 3 . T h is d e r iv a tio n is
le ft a s an e x e r c is e fo r th e r e a d e r (P r o b le m 1 0 .1 6 ) , N o te t h a t th e c o m m u t a t o r a ls o
r o ta te s c o u n te r c lo c k w is e .
F in a lly , w e o b s e r v e th a t th e p o ly p h a s e filte r s tr u c tu r e s h o w n in F ig . 1 0 ,4 3 is
a p p r o x im a te ly fo u r tim e s m o r e e f fic ie n t th a n th e d ir e c t -fo r m F I R f ilte r r e a liz a tio n .
10.9.7 Transmultiplexers
A n o t h e r a p p lic a t io n o f m u ltir a te s ig n a l p r o c e s s in g is in t h e d e s ig n a n d im p le m e n
t a tio n o f d ig ita l tr a n s m u lt ip le x e r s w h ic h a r e d e v ic e s f o r c o n v e r tin g b e tw e e n tim e -
d iv is io n -m u ltip le x e d ( T D M ) s ig n a ls a n d f r e q u e n c y - d iv is io n - m u ltip le x e d (F D M )
s ig n a ls .
In a tr a n s m u lt ip le x e r fo r T D M - t o - F D M c o n v e r s io n , t h e in p u t s ig n a l {jr(/?)}
is a tim e -d iv is io n m u ltip le x e d s ig n a l c o n s is tin g o f L s ig n a ls , w h ich a r e s e p a r a te d
b y a c o m m u t a t o r s w itc h . E a c h o f th e s e L s ig n a ls a r e th e n m o d u la te d o n d if f e r e n t
c a r r i e r f r e q u e n c ie s t o o b t a in an F D M s ig n a l f o r tr a n s m is s io n . In a t r a n s m u lt ip le x e r
fo r F D M - t o - T D M c o n v e r s io n , th e c o m p o s ite s ig n a l is s e p a r a te d b y filte r in g in to
t h e L s ig n a l c o m p o n e n ts w h ic h a r e th e n tim e -d iv is io n m u ltip le x e d .
I n te le p h o n y , s in g le - s id e b a n d tr a n s m is s io n is u s e d w ith c h a n n e ls s p a c e d a t
a n o m in a l 4 - k H z b a n d w id th . T w e lv e c h a n n e ls a r e u s u a lly s ta c k e d in f r e q u e n c y
t o f o r m a b a s ic g ro u p c h a n n e l, w ith a b a n d w id th o f 4 8 k H z . L a r g e r b a n d w id th
F D M s ig n a ls a r e f o r m e d b y f r e q u e n c y tr a n s la tio n o f m u ltip le g ro u p s in to a d ja c e n t
f r e q u e n c y b a n d s . W e s h a ll c o n fin e o u r d is c u s s io n to d ig ita l t r a n s m u lt ip le x e r s f o r
1 2 - c h a n n e l F D M a n d T D M s ig n a ls .
L e t us firs t c o n s id e r F D M - t o - T D M c o n v e r s io n . T h e a n a lo g F D M s ig n a l is
p a s s e d th r o u g h an A / D c o n v e r t e r a s sh o w n in F ig . 1 0 .4 4 a . T h e d ig ita l s ig n a l is th e n
TD M
(a)
(b)
Figure 10.44 Block diagram of FDM-to-TDM transmultiplexer.
d e m o d u la te d t o b a s e b a n d b y m e a n s o f s in g le -s id e b a n d d e m o d u la to r s . T h e o u tp u t
o f e a c h d e m o d u la to r is d e c im a te d a n d fe d to c o m m u t a t o r o f t h e T D M s y s te m .
T o b e s p e c ific , le t us a s s u m e t h a t th e 1 2 -c h a n n e l F D M s ig n a l is s a m p le d a t
th e N y q u is t r a t e o f 9 6 k H z a n d p a s s e d th r o u g h a f ilte r - b a n k d e m o d u la to r . The
b a s ic b u ild in g b lo c k in th e F D M d e m o d u la to r c o n s is ts o f a f r e q u e n c y c o n v e r te r , a
lo w p a s s filte r , a n d a d e c im a to r , a s illu s tr a te d in F ig . 1 0 .4 4 b . F r e q u e n c y c o n v e r s io n
ca n b e e ff ic ie n tly im p le m e n te d b y th e D F T f ilte r b a n k d e s c r ib e d p r e v io u s ly . T h e
lo w p a s s filte r a n d d e c im a to r a r e e ff ic ie n tly i m p le m e n te d b y u s e o f th e p o ly p h a s e
filte r s tr u c tu r e . T h u s th e b a s ic s tr u c tu r e f o r th e F D M - t o - T D M c o n v e r t e r h a s th e
f o r m o f a D F T f ilte r b a n k a n a ly z e r . S in c e th e s ig n a l in e a c h c h a n n e l o c c u p ie s a
4 - k H z b a n d w id th , its N y q u is t r a t e is 8 k H z , a n d h e n c e th e p o ly p h a s e f ilte r o u t
p u t c a n b e d e c im a te d b y a f a c t o r o f 1 2 . C o n s e q u e n tly , th e T D M c o m m u t a t o r is
o p e r a tin g a t a r a t e o f 1 2 x 8 k H z o r 9 6 k H z .
In T D M - t o - F D M c o n v e r s io n , th e 1 2 -c h a n n e l T D M s ig n a l is d e m u ltip le x e d
in to th e 1 2 in d iv id u a l s ig n a ls , w h e r e e a c h s ig n a l h a s a r a t e o f 8 k H z . T h e sig n a l
Figure 10.45 Block diagram of TDM-to-FDM transmultiplexer.
in e a c h c h a n n e l is in te r p o la te d b y a fa c t o r o f 1 2 a n d -fre q u e n c y c o n v e r te d b y a
s in g le -s id e b a n d m o d u la to r , as s h o w n in F ig . 1 0 .4 5 . T h e s ig n a l o u tp u ts fro m th e 1 2
s in g le -s id e b a n d m o d u la to r s a r e s u m m e d an d fe d to th e D / A c o n v e r te r . T h u s w e
o b ta in th e a n a lo g F D M s ig n a l fo r tr a n s m is s io n . A s in th e c a s e o f F D M - t o - T D M
c o n v e r s io n , th e in t e r p o la t o r an d th e m o d u la to r f ilte r a r e c o m b in e d a n d e f f ic ie n tly
im p le m e n te d b y u se o f a p o ly p h a s e filte r . T h e f r e q u e n c y tr a n s la tio n c a n b e a c
c o m p lis h e d b y th e D F T . C o n s e q u e n tly , th e T D M - t o - F D M c o n v e r t e r e n c o m p a s s e s
th e b a s ic p r in c ip le s in tr o d u c e d p r e v io u s ly in o u r d is c u s s io n o f D F T f ilte r b a n k
s y n th e s is .
10.9.8 Oversampling A/D and D/A Conversion
O u r tr e a t m e n t o f o v e r s a m p lin g A / D a n d D / A c o n v e r te r s in C h a p te r 9 p r o v id e s
a n o t h e r e x a m p le o f m u ltir a te s ig n a l p r o c e s s in g . R e c a l l t h a t a n o v e r s a m p lin g A /D
c o n v e r t e r is im p le m e n te d b y a c a s c a d e o f a n a n a lo g s ig m a - d e lta m o d u la to r ( S D M )
fo llo w e d b y a d ig ita l a n tia lia s in g d e c im a tio n filte r a n d a d ig ita l h ig h p a s s f ilte r a s
s h o w n in F ig . 1 0 .4 6 . T h e a n a lo g S D M p r o d u c e s a 1 -b it p e r s a m p le o u tp u t a t a v e r y
h ig h s a m p lin g r a t e . T h is 1 -b it p e r s a m p le o u tp u t is p a s s e d th ro u g h a d ig ita l lo w p a ss
f ilte r , w h ic h p r o v id e s a h ig h -p r e c is io n ( m u ltip le -b it) o u tp u t th a t is d e c im a te d to
a lo w e r s a m p lin g r a t e . T h is o u tp u t is th e n p a s s e d to a d ig ita l h ig h p a s s f ilte r th a t
s e r v e s to a t te n u a te th e q u a n tiz a tio n n o is e a t th e lo w e r fr e q u e n c ie s .
T h e r e v e r s e o p e r a tio n s t a k e p la c e in a n o v e r s a m p lin g D / A c o n v e r te r , a s
s h o w n in F ig . 1 0 .4 7 . A s illu s tr a te d in th is fig u re , th e d ig ita l s ig n a l is p a s s e d th ro u g h
a h ig h p a s s f ilt e r w h o s e o u tp u t is fe d t o a d ig ita l in t e r p o l a t o r (u p s a m p le r a n d a n t i
im a g in g f ilte r ) . T h is h ig h -s a m p lin g -r a te s ig n a l is th e in p u t t o th e d ig ita l S D M th a t
p r o v id e s a h ig h -s a m p lin g -r a te 1 -b it p e r s a m p le o u tp u t. T h e 1 - b it p e r s a m p le o u tp u t
FigDre 10.46 Diagram of oversampling A/D converter

precision digital signal per sam ple
Figure 10.47 Diagram of oversampling D/A converter
is th e n c o n v e r te d to a n a n a lo g s ig n a l b y lo w p a s s filte r in g a n d f u r t h e r s m o o th in g
w ith a n a lo g filte r s .
F ig u r e 1 0 .4 8 illu s tr a te s t h e b lo c k d ia g ra m o f a c o m m e r c ia l ( A n a l o g D e v ic e s
A D S P - 2 8 m s p 0 2 ) c o d e c ( e n c o d e r a n d d e c o d e r ) f o r v o ic e -b a n d s ig n a ls b a s e d o n
s ig m a -d e lta A / D a n d D / A c o n v e r t e r s a n d a n a lo g fr o n t- e n d c ir c u its n e e d e d a s a n
in t e r f a c e to th e a n a lo g v o ic e -b a n d s ig n a ls . T h e n o m in a l s a m p lin g r a t e ( a f t e r d e c
i m a tio n ) is 8 k H z a n d th e s a m p lin g r a t e o f th e S D M is 1 M H z . T h e c o d e c h a s a
6 5 - d B S N R a n d h a r m o n ic d is to r tio n p e r f o r m a n c e .
10.10 SUMMARY AND REFERENCES
T h e n e e d f o r s a m p lin g r a t e c o n v e r s io n a r is e s fr e q u e n t ly in d ig ita l s ig n a l p r o c e s s in g
a p p lic a tio n s . I n th is c h a p t e r w e firs t t r e a t e d s a m p lin g r a t e r e d u c tio n ( d e c im a tio n )
a n d s a m p lin g r a t e in c r e a s e ( in t e r p o l a t i o n ) b y in t e g e r fa c to r s a n d th e n d e m o n
s tr a t e d h o w th e tw o p r o c e s s e s c a n b e c o m b in e d t o o b t a i n s a m p lin g r a t e c o n v e r s io n
b y a n y r a t io n a l f a c t o r . L a t e r , in S e c t i o n 1 0 .8 , w e d e s c r ib e d a m e t h o d to a c h ie v e
s a m p lin g r a t e c o n v e r s io n b y a n a r b itr a r y f a c t o r .
I n g e n e r a l, th e im p le m e n ta tio n o f s a m p lin g r a t e c o n v e r s io n r e q u ir e s t h e u s e
o f a lin e a r tim e - v a r ia n t filte r . W e d e s c r ib e d m e t h o d s f o r im p le m e n tin g s u c h filte r s ,
in c lu d in g th e c la s s o f p o ly p h a s e f ilte r s tr u c tu r e s , w h ic h a r e e s p e c ia lly s im p le to
im p le m e n t. W e a ls o d e s c r ib e d th e u s e o f m u ltis ta g e im p le m e n ta tio n s o f m u ltir a te
c o n v e r s io n as a m e a n s o f s im p lify in g th e c o m p le x ity o f th e f ilte r r e q u ir e d t o m e e t
t h e s p e c ific a tio n s .
In th e s p e c ia l c a s e w h e r e t h e s ig n a l t o b e r e s a m p le d is a b a n d p a s s s ig n a l, w e
d e s c r ib e d tw o m e t h o d s f o r p e r f o r m in g th e s a m p lin g r a t e c o n v e r s io n , o n e o f w h ich
in v o lv e s fr e q u e n c y c o n v e r s io n , w h ile th e s e c o n d is a d ir e c t c o n v e r s io n m e t h o d th a t
d o e s n o t e m p lo y m o d u la tio n .
F in a lly , w e d e s c r ib e d a n u m b e r o f a p p lic a t io n s t h a t e m p lo y m u ltir a te s ig n a l
p r o c e s s in g , in c lu d in g th e im p le m e n ta tio n o f n a r r o w b a n d filte r s , p h a s e s h ifte r s , fil
t e r b a n k s , s u b b a n d s p e e c h c o d e r s , a n d tr a n s m u lt ip le x e r s . T h e s e a r e ju s t a fe w o f
th e m a n y a p p lic a t io n s e n c o u n t e r e d in p r a c t ic e w h e r e m u ltir a te s ig n a l p r o c e s s in g
is u se d .
T h e firs t c o m p r e h e n s iv e t r e a t m e n t o f m u ltir a te s ig n a l p r o c e s s in g w a s g iv e n
in th e b o o k b y C r o c h i e r e a n d R a b in e r ( 1 9 8 3 ) . In t h e te c h n ic a l l i t e r a t u r e , w e c ite
th e p a p e r s b y S c h a f e r a n d R a b i n e r ( 1 9 7 3 ) , a n d C r o c h i e r e a n d R a b i n e r ( 1 9 7 5 , 1 9 7 6 ,
1 9 8 1 , 1 9 8 3 ) . T h e u s e o f i n te r p o la tio n m e t h o d s t o a c h i e v e s a m p lin g r a t e c o n v e r s io n
Serial
output
D igital
control
select
Sclk
Serial
input
Figure 10.48 Diagram of Analog Devices ADSP-28 codec

845
b y a n a r b itr a r y f a c t o r is t r e a t e d in a p a p e r b y R a m s t a d ( 1 9 8 4 ) . A th o r o u g h tu to r ia l
tr e a t m e n t o f m u ltir a te d ig ita l filte r s a n d f ilt e r b a n k s , in c lu d in g q u a d r a tu r e m ir r o r
filte r s , is g iv e n b y V e t t e r l i ( 1 9 8 7 ) , a n d b y V a id y a n a t h a n ( 1 9 9 0 , 1 9 9 3 ) , w h e r e m a n y
r e f e r e n c e s o n v a r io u s a p p lic a tio n s a r e c ite d . A c o m p r e h e n s iv e s u r v e y o f d ig ita l
tr a n s m u lt ip le x in g m e t h o d s is fo u n d in t h e p a p e r b y S c h e u e r m a n n a n d G o c k l e r
( 1 9 8 1 ) . S u b b a n d c o d in g o f s p e e c h h a s b e e n c o n s id e r e d in m a n y p u b lic a tio n s . T h e
p io n e e r in g w o r k o n th is to p ic w a s d o n e b y C r o c h i e r e ( 1 9 7 7 , 1 9 8 1 ) a n d b y G a r la n d
a n d E s t e b a n ( 1 9 8 0 ) . S u b b a n d c o d in g h a s a ls o b e e n a p p lie d t o c o d in g o f im a g e s .
W e m e n tio n th e p a p e r s b y V e t t e r l i ( 1 9 8 4 ) , W o o d s a n d O ’N e il ( 1 9 8 6 ) , S m ith a n d
E d d in s ( 1 9 8 8 ) , a n d S a f r a n e k e t a l. ( 1 9 8 8 ) a s ju s t a fe w e x a m p le s . I n c lo s in g , w e
w ish t o e m p h a s iz e th a t m u ltir a te s ig n a l p r o c e s s in g c o n tin u e s t o b e a v e r y a c tiv e
re s e a r c h a re a .
PROBLEMS
10.1 An analog signal x a(t) is bandlimited to the range 90 0 < F < 1 1 0 0 Hz. It is used as
an input to the system shown in Fig. P10.1. In this system, H(&) is an ideal lowpass
filter with cutoff frequency Fc = 125Hz.
jr = 2500 = 1 = 250
Tx Ty
Fignre P10.1
(a) Determine and sketch the spectra for the signals x(n), w(n), v(n), and y(n).
(b) Show that it is possible to obtain y(n) by sampling x*(t) with period T = 4
milliseconds.
10.2 Consider the signal x(n) = a*u(rt), \a\ < 1.
(a) Determine the spectrum X(w).
(b) The signal x(n) is applied to a decimator that reduces the rate by a factor of 2.
Determine the output spectrum.
(c ) Show that the spectrum in part (b) is simply the Fourier transform of x(2n).
10-3 The sequence x(n) is obtained by sampling an analog signal with period T. From
this signal a new signal is derived having the sampling period T/2 by use of a linear
interpolation method described by the equation
x{n j 2), n even
Chap. 10 Problems 847
(a) Show that this linear interpolation scheme can be realized by basic digital signal
processing elements.
(b) Determine the spectrum of y(n) when the spectrum of x(n) is
f 1, 0 < M < 0.2*
W 1 0, otherwise
(c) Determine the spectrum of y(.n) when the spectrum of x(n) is
* ( ,) = ! '' 0.7* < M <0.9*

10, otherwise
10.4 Consider a signal x(n) with Fourier transform
X (co) = 0 for w,„ < |£o| < n
fm < I/I < \
(a) Show that the signal x( n) can be recovered from its samples x(mD) if the sampling
frequency ws = 2tt/ D — 2uim( f s = 1/ D > 2f m).
(b) Show that x(n) can be reconstructed using the formula
OC
x(n) = x( k D) h r(n — kD)
w here
sin (2^/ rn)
hr(n) = — --------- fm
2n n
COm < (t)c < Cl)J — co„
(c) Show that the bandlimited interpolation in part (b) can be thought as a two-step
process: First, increasing the sampling rate by a factor of D by inserting (£> —1)
zero samples between successive samples of the decimated signal xa(rt) = x(nD)
and second, filtering the resulting signal using an ideal lowpass filter with cutoff
frequency cuc.
10.5 In this problem we illustrate the concepts of sampling and decimation for discrete-
time signals. To this end consider a signal x ( n ) with Fourier transform X (w) as in
Fig. P10.5.
X(o>)
l L m
- 2 - 1 0 1 2 ...
Figure P10.5
(a) Sampling x(n) with a sampling period D = 2 results to the signal

, , [ x(n), n = 0 , ± 2 , ± 4 , . ..
'■W - l o , n = ± 1 , ±3, ± 5 . . . .
Compute and sketch the signal x,(n) and its Fourier transform X s(w). Can we
reconstruct jc(n) from xt (n)? How?
(b) D ecim atin g x(n) by a facto r o f D = 2 produ ces the signal
x<i(n) = x(2n) all n
Show th at X d{a)) = X x(a>/2). P lo t the signal x j( n ) and its transfo rm X d(cj). D o

we lose any in form ation w hen we d ecim ate th e sam pled signal xr (n)?
1 0 .6 * D esign a d ecim ato r th at dow nsam ples an input signal x(n) by a fa cto r D = 5. U se
th e R e m ez algorithm to d eterm in e th e co efficien ts o f the F I R filter that has 0.1 -d B
ripple in th e passband (0 < w < 7t/5) and is dow n by at least 3 0 d B in th e stopband.
A lso determ in e the correspond ing polyphase filter stru ctu re fo r im plem enting th e
decim ator.
1 0 .7 * D esig n an in terp o lato r th at in creases th e input sam pling rate by a fa cto r o f / = 2. U se
the R e m ez algorithm to determ in e th e coefficien ts o f the F I R filter th at has a 0.1-d B
ripple in th e passband (0 < w < n /2 ) and is down by at least 3 0 d B in the stopband.
A iso , determ in e the correspond ing polyphase filter stru ctu re fo r im plem enting the
in terp olato r.
1 0 .8 * D esign a sam p le-rate co n v e rte r th at redu ces the sam pling rate by a fa cto r \ . U se the
R e m ez algorithm to d eterm in e th e co efficien ts o f the F I R filter th at has a
0 .1 -d B ripple in the passband and is dow n by at least 30 d B in th e stopband. Specify
the sets o f tim e-v ariant co efficien ts g (n ,m ) and th e co rresp o nd ing co efficien ts in the
polyphase filter realization o f the sam p le-rate co n v erter.
10.9 C onsid er the two d ifferen t ways o f cascad ing a d ecim ato r with an in terp o la to r shown
in Fig. P I 0.9.
x(n) >' i(«)
(a)
x(n) ID 17 ---------------- « - y2(n)
(b) Figure P10.9
(a) If D = I , show th at th e outpu ts o f th e tw o con figu rations are different. H en ce,

in g en eral, the two system s are n o t identical.
(b) Show th at th e tw o system s are id en tical if and only if D and I a re relatively prim e.
10.10 Prove th e eq u iv alen ce o f th e two d ecim ato r and in terp o lato r con fig u rations shown
in Fig. P 10.10. T h e se equivalen t relation s are called the “ n ob le id en tities” (see
V aid y anathan , 1990).
10.11 C onsid er an arb itrary digital filter with tran sfer fun ction
OO
H (z) = h (n )z~n
n*-00
(a) P erfo rm a tw o-com p on en t polyphase d eco m p osition o f H ( z ) by grouping the

even -nu m bered sam ples Ao(n) = h(2n ) and th e odd-n um bered sam ples h \(n ) =
(a)
x(n)
(b)
Figure P1G.10
h(2n + 1). T hu s show that H ( z ) can b e exp ressed as
H ( i ) = H o ( z 2) + r 1H ,(zJ )
and d eterm in e N 0(z) and N ,(~).

(b) G en era liz e the result in part (a ) by showing that H ( z ) can be decom p osed in to
an £>-com ponent polyphase filter structure with tran sfer function
D ete rm in e //*(;).
(c) F o r th e I I R filter with transfer function
H {z) =
1 —a z~ l
d eterm in e Ho(z) and H \ (z) fo r the tw o-com p on en t d ecom p osition .

10.12 D esign a tw o-stage d ecim ato r for th e follow ing specification s
D = 100
T ran sitio n band: 5 0 < F < 55
In pu t sam pling rate: 1 0,000 H z
R ip p le: 8i = 1 0 " ', 5 2 = 1 0 " 3
1 0 ,1 3 D esign a lin ear ph ase F I R filter th a t satisfies th e follow ing sp ecification s based on a
single-stage and a tw o-stage m ultirate stru ctu re.
Sam pling rate: 1 0,000 H z

Passband: 0 < F <60
T ran sitio n band: 60 < F < 65
R ip p le: 5, = 1 0 - 1,S 2 = 1 0 - 3
1 0 .1 4 Prov e th at th e h alf-ban d filter th at satisfies (1 0 .9 .4 3 ) is alw ays odd and the even
coefficien ts are zero.
10.15 D esign o n e-stag e and tw o-stage in terp olato rs to m ee t the follow ing specification :
/ =20
Input sam pling rate: 10.000 H z
T ran sitio n band: 90 < F < 100
R ip p le: a, = lO "2. ^ = lO "3
10.16 B y using (1 0 .9 .2 6 ) derive the equations correspond ing to the stru ctu re fo r the poly
phase synthesis section shown in Fig. 10.43.
10 .1 7 Show th at th e transpose o f an L-stage in terp o lato r fo r increasin g th e sam pling rate by
an in teg er facto r I is equivalen t to an L -stag e d ecim ato r th at d e cre a ses the sam pling
rate by a facto r D = I.
1 0.18 Sk etch the polyphase filter structure fo r achieving a tim e ad v an ce o f ( k / l ) T , in a
seq u en ce x(n).
10.19 Prov e th e follow ing exp ressions fo r an in terp olato r o f o rd e r /.
(a) T h e im pulse response h{n) can be expressed as
where
n = 0. ± I . ± 2 1 , . . .
o therw ise
(b) H (z) may be expressed as
« ( ;) =
i-i
1 0 .2 0 * Zoom -frequertcy an alysis C o nsid er the system in Fig. P I0 .2 0 a .

(a) Sketch th e spectrum o f the signal _v(n) = y*(/i) + jy i( n ) if th e input signal jc(n)
has the spectru m shown in Fig. P I 0.20b.
(b) Suppose th at we are in terested in th e analysis o f the fre q u e n cies in th e band
fo 5 / £ fo + A / , w here /o = jt/6 and A / = tt/3. D e te rm in e th e cu to ff of
a lowpass filter and the decim ation fa cto r D requ ired to re ta in th e inform ation
con tain ed in this band o f frequ en cies.
(c) A ssum e th at
w here p = 4 0 and /* = k/ p, Jt = 0 , 1 , , p —1. C om pute and p lo t th e 1024-point

D F T o f x(n ).
(a)
X(a>)
(b)
Figure P10.19
(d ) R e p e a t p art (b ) for the signal x(n) given in part (c ) by using an appropriately

designed low pass lin ear phase F I R filter to d eterm in e th e decim ated signal *(«> =
•**{") + j s i (n ).
( e ) C o m p u te th e 1024-p o in t D F T o f s(n ) and in v estig ate to see if you h av e obtain ed

th e exp ected results.

Digital Signal Processing Techniques for Multirate Systems

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10 MULTIRATE DIGITAL SIGNAL PROCESSING

10.1 Introduction 783

10.9 Applications of Multirate Signal Processing 821

In m an y p ractical a p p lic a tio n s o f d igital signal pro cessin g , o n e is faced w ith th e

q u a d r a tu re m irro r filters in su b b a n d coding, tra n sm u ltip le x e rs, a n d finally o v er-

T h e p ro c e ss o f sa m p lin g ra te co n v ersio n in th e d ig ital d o m a in can b e v iew ed as

x(n) Linear filter y{i")

Figure 10.1 Sampling rate conversion viewed as a linear filtering process.

r e a liz e d by u sin g a lin e a r filter th a t h as a flat m a g n itu d e re sp o n s e a n d a lin e a r

10.2 DECIMATION BY A FACTOR D

L e t us assu m e th a t th e signal x ( n ) w ith sp e c tru m X(co) is t o be d o w n sam p led

T h u s th e filter e lim in a te s th e sp e c tru m o f X (a>) in th e ra n g e n / D < w < n . O f

X(fl) i<n) 1! Downsampler yim)

Figure 103. D ecimation by a factor D.

A lth o u g h th e filtering o p e ra tio n o n x ( n ) is iin e a r an d tim e in v a ria n t, th e

w h ere th e last ste p follow s fro m th e fact th a t v ( m) = 0, e x c e p t a t m u ltip le s o f D.

= 7J £ H D ( e - i2* t /Dz l/D) X ( e - W > z l / D)

it fo llow s th a t th e fre q u e n c y v a ria b le s wy a n d

a>v = D ojx (10.2.13)

T h u s, as e x p ected , th e fre q u e n c y ra n g e 0 < \ojx \ < n / D is stre tc h e d in to th e

W e c o n clu d e th a t th e sp e c tru m Y (wv), w hich is o b ta in e d by e v a lu a tin g (10.2.9)

W ith a p ro p e rly d esig n e d fitter H D(a)), th e aliasin g is e lim in a te d a n d , c o n seq u en tly ,

fo r 0 < |w v| < tt. T h e s p e c tra fo r th e se q u en ces x i n ) , v{n), a n d y ( m) a re illu stra te d

10.3 INTERPOLATION BY A FACTOR I

A n in crease in th e sam p lin g rate by an in te g e r fa c to r o f I can be acco m p lish ed

a n d its sa m p lin g ra te is id en tical to th e ra te o f y{m) . T h is se q u e n c e has a z-

Figure 10.4 Spectra of signals in the

T h e s p e c tra X(a>x) a n d V(a>y) a re illu stra te d in Fig. 10.5. W e o b se rv e th a t the

Figure 10.5 Spectra of .run and run

id eally has th e ch a ra c te ristic

C. 0 < |a>v| < n / I

w h e re C is a scale fa c to r re q u ire d to p ro p e rly n o rm a liz e th e o u tp u t se q u e n c e v(/7?).

S in ce a>y = tox / I , (10.3.7) can be e x p re ss e d as

T h e re fo re , C = / is th e d esired n o rm a liz a tio n facto r.

S in ce v(k) = 0 e x cep t at m u ltip le s o f / , w h e re v ( k l ) = x ( k) , (10.3.9) b ec o m e s

10.4 SAMPLING RATE CONVERSION BY A RATIONAL FACTOR U D

H a v in g discussed th e sp ecial cases o f d e c im a tio n (d o w n sa m p lin g by a fa c to r D )

0 < \&v\ < m m ( n / D , n / 1 )

Figure 10.6 M ethod for sampling rate conversion by a factor f/D .

x(n) Upsampler u(t) Lowpass w([) v(m)

Figure 10.7 Method for sampling rate conversion by a factor 1/D.

F inally, th e o u tp u t o f th e sa m p lin g ra te c o n v e rte r is th e se q u e n c e (y(m )}, w hich is

g(n,m) — h(n l + (mD)i) —oo< m ,n< oo (10.4.8)

w h e re h(k) is th e im p u lse re sp o n s e o f th e tim e -in v a ria n t lo w p ass filter o p e ra tin g

g ( n , m -I- k l ) = h ( n l -I- ( m D -I- k D I ) , )

= h(nl + (mD),) (10.4.9)

H e n c e g(n, m) is p e rio d ic in th e v a ria b le m w ith p e rio d I.

I X ( w vI ) , 0 < IojJ < m in (7 r /0 , n / I ) (10.4.10)

w h e re w v = D(ov. S in ce th e lin e a r filter p re v e n ts aliasin g as im p lie d by (10.4.10),

10.5 FILTER DESIGN AND IMPLEMENTATION FOR SAMPLING-RATE

A s in d ic a te d in th e discu ssion a b o v e , sa m p lin g ra te c o n v e rsio n b y a fa c to r I } D can

10.5.1 Direct-Form FIR Filter Structures

In p rin c ip le , th e sim p lest re a liz a tio n o f th e filter is th e d ire c t-fo rm F IR s tru c tu re

H{z ) = Y b ( k ] z ~k (10-5 -1)

Figure 10.8 Direct-form realization of FIR filter in sampling rate conversion by

ev ery D o u tp u t sa m p le s is re q u ire d a t th e o u tp u t o f th e filter. C o n s e q u e n tly , only

10.5.2 Polyphase Filter Structures

T h e c o m p u ta tio n a l efficiency o f th e filter s tru c tu re show n in Fig. 10.12 can also

Figure 10.9 Decimation by a factor D.

Figure 10.11 Direct-form realization of

n o n z e ro v a lu e s o f th e in p u t se q u e n c e co in cid e a n d a re m u ltip lie d by th e filter co ­

re sp o n s e o v e r th e ra n g e 0 < |a>| < n (i.e., th e p o ly p h a s e su b filters a re b asically

n o n z e ro v a lu e s o f th e in p u t se q u e n c e co in cid e a n d a re m u ltip lie d by th e filter co

Figure 10.16 Efficient implementation of sampling-rate conversion by block pro

(0,m ) = {(0) (2) h{ 4) (1) *(3)}

can be im p le m e n te d as a cascad e o f J stag es o f filtering an d d e c im atio n as illu s

b a n d w id th o f th e sig n al an d to a p p ro x im a te th e id eal fre q u e n c y re sp o n s e c h a ra c