Advanced Digital Signal Processing

Part 6: Multi-Rate Digital Signal Processing

Gerhard Schmidt

Christian-Albrechts-Universität zu Kiel
Faculty of Engineering
Institute of Electrical and Information Engineering
Digital Signal Processing and System Theory
Multi-Rate Digital Signal Processing

•Contents

❑ Introduction
❑ Digital processing of continuous-time signals
❑ Efficient FIR structures
❑ DFT and FFT
❑ Digital filters
❑ Multi-rate digital signal processing
❑ Decimation and interpolation
❑ Filters in sampling rate alteration systems
❑ Polyphase decomposition and efficient structures

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•Basic Ideas
Why multi-rate systems?

❑ In many practical signal processing applications different sampling rates are present, corresponding to different
bandwidths of the individual signals multi-rate systems.
❑ Often a signal has to be converted from one rate to another. This process is called sampling rate conversion.
❑ Sampling rate conversion can be carried out by analog means, that is D/A conversion followed by A/D conversion
using a different sampling rate
D/A converter introduces signal distortion, and the A/D converter leads to quantization effects.
❑ Sampling rate conversion can also be carried out completely in the digital domain:
Less signal distortions, more elegant and efficient approach.
❑ Topic of this chapter is multi-rate signal processing and sampling rate conversion in the digital domain.

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•Basic Multi-Rate Operations – Part 1

Sampling rate reduction – Part 1:
Reduction of the sampling rate (downsampling) by a factor : Only every -th value of the signal is used for further
processing, i.e. .

Example: Sampling rate reduction by factor 4

Some kind of intermediate signal

that is used for easier understanding
of the equations that will follow!

From [Fliege: Multiraten-Signalverarbeitung, 1993]

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•Basic Multi-Rate Operations – Part 2

Sampling rate reduction – Part 1:
Spectrum after downsampling – Part 1:

In the z-domain we have

… Inserting the definition of the signal and exploiting that contains a lot of zeros ...

… inserting the definition of …

… inserting the definition of the z-transform …

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•Basic Multi-Rate Operations – Part 3

Sampling rate reduction – Part 2:
Spectrum after downsampling – Part 2:
Starting point: orthogonality of the complex exponential sequence

With it follows

Inserting
the result
The z-transform can be obtained as
from above

… rearranging the sums and inserting the definition of the z-transform …

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•Basic Multi-Rate Operations – Part 4

Sampling rate reduction – Part 3:
Spectrum after downsampling – Part 3:
By replacing in the last equation we have for the z-transform of the downsampled sequence

With and the corresponding spectrum can be derived from

Downsampling by factor leads to a periodic repetition of the spectrum at intervals of

(related to the high sampling frequency).

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•Basic Multi-Rate Operations – Part 5

Sampling rate reduction – Part 5:
Frequency response after downsampling – Part 3:
Example: Sampling rate reduction of a bandpass signal by

(a) Bandpass spectrum is

obtained by filtering.
(b) Shift to the baseband, followed by
decimation with
(c) Magnitude frequency response
at the lower sampling rate.

From [Vary, Heute, Hess: Digitale Sprachsignalverarbeitung, 1998]

Remark: Shifted versions of are weighted with the factor according to the last slide.

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•Basic Multi-Rate Operations – Part 6

Sampling rate reduction – Part 6:
Decimation and aliasing – Part 1:
If the sampling theorem is violated in the lower clock rate, we obtain spectral overlapping between the repeated spectra
This is called aliasing.
How to avoid aliasing? Band limitation of the input signal prior to the sampling rate reduction with an anti-aliasing filter
(lowpass filter).

Anti-aliasing filtering followed by downsampling is often called decimation.

Specification for the desired magnitude frequency response of the lowpass anti-aliasing (or decimation) filter:

where denotes the highest frequency that needs to be preserved in the decimated signal.

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•Basic Multi-Rate Operations – Part 7

Sampling rate reduction – Part 7:
Decimation and aliasing – Part 2:
Downsampling in the frequency domain, illustration for :
(a) input filter spectra,
(b) output of the decimator,
(c) no filtering, only downsampling

From [Mitra, 2000]

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Multi-Rate Digital Signal Processing

•Questions
Questions about sample rate reduction:
Partner work – Please think about the following questions and try to find answers
(first group discussions, afterwards broad discussion in the whole group).
❑ What happens in the spectral domain when you decimate (without filtering) the time-domain signal?

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❑ Is an anti-aliasing filter always necessary? If not, what are the conditions for applying such a filter?

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•Basic Multi-Rate Operations – Part 8

Sampling rate reduction – Part 8:
More general approach: sampling rate reduction with phase offset – Part 1:
Up to now we have always used , now we introduce an additional phase offset into the decimation process.
Example for

From [Fliege: Multiraten-Signal-

verarbeitung, 1993]

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•Basic Multi-Rate Operations – Part 9

Sampling rate reduction – Part 9:
More general approach: sampling rate reduction with phase offset – Part 2:
Derivation of the Fourier transform of the output signal :
Orthogonality relation of the complex exponential sequence:

Using that we have

and transforming that into the z-domain yields

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•Basic Multi-Rate Operations – Part 10

Sampling rate reduction – Part 10:
More general approach: sampling rate reduction with phase offset – Part 3:
The frequency response can be obtained from the last equation by substituting and as

We can see that each repeated spectrum is weighted with a complex exponential (rotation) factor (called “twiddle” factor).

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•Basic Multi-Rate Operations – Part 11

Sampling rate increase – Part 1:
Increase of the sampling rate by factor (upsampling):

Insertion of zeros samples between all samples of

Notation: Since the upsampling factor is named with in conformance with the majority of the technical literature in the
following we will denote the length for an FIR filter with .

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•Basic Multi-Rate Operations – Part 12

Sampling rate increase – Part 2:
Example: Sampling rate increase by factor 4

From [Fliege: Multiraten-Signalverarbeitung, 1993]

In the z-domain the input/output relation is

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•Basic Multi-Rate Operations – Part 13

Sampling rate increase – Part 3:
Frequency response after upsampling:
From the last equation we obtain with

The frequency response of does not change by upsampling, however the frequency axis is scaled differently.
The new sampling frequency is now (in terns of for the lower sampling rate) equal to

From [Fliege: Multiraten-Signalverarbeitung, 1993]

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•Basic Multi-Rate Operations – Part 14

Sampling rate increase – Part 4:
Interpolation – Part 1:
The inserted zero values are interpolated with suitable values which corresponds to the suppression of the
imaging spectra in the frequency domain by a suitable lowpass interpolation filter.

Interpolation or anti-imaging lowpass filter

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•Basic Multi-Rate Operations – Part 15

Sampling rate increase – Part 5:
Interpolation – Part 2:
Specifications for the interpolation filter:
Suppose is obtained by sampling a bandlimited continuous-time signal at the Nyquist rate (such that the
sampling theorem is just satisfied). The Fourier transform can thus be written with as

where denotes the sampling period. If we instead sample at a much higher rate we have

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•Basic Multi-Rate Operations – Part 16

Sampling rate increase – Part 6:
Interpolation – Part 3:
On the other hand by upsampling of with factor we obtain the Fourier transform of the upsampled sequence
analog to the first equation of the last slide as

If is passed through an ideal lowpass filter with cut-off frequency and a gain of , the output of the filter
will be precisely .
Therefore, we can now state our specifications for the lowpass interpolation filter:

Where denotes the highest frequency that needs to be preserved in the interpolated signal
(related to the lower sampling frequency).

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•Basic Multi-Rate Operations – Part 17

Sampling rate increase – Part 7:
Interpolation – Part 4:
Upsampling in the frequency domain, illustration for :
(a) Input spectrum, (b) output of the upsampler, (c) output after interpolation with the filter

From [Mitra, 2000]

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•Basic Multi-Rate Operations – Part 18

Example: Decimation and interpolation – Part 1:
Consider the following structure:

Input-output relation?

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•Basic Multi-Rate Operations – Part 19

Example: Decimation and interpolation – Part 2:
Relation between and , where is replaced by :

which by using leads to

With it follows

And we finally have

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•Basic Multi-Rate Operations – Part 20

Example: Decimation and interpolation – Part 3:
Example
, no aliasing: with aliasing:

From [Mertins: Signal Analysis, 1999]

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Multi-Rate Digital Signal Processing

•Questions
Motivation of multi-rate structures
Partner work – Please think about the following questions and try to find answers
(first group discussions, afterwards broad discussion in the whole group).
❑ If you would like to convolve a signal at a sample rate of 10 kHz with an impulse response (FIR filter) of 10 seconds
length, how many multiplications and additions do you need per second?

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❑ Assume that you can split the signal into 10 equally wide bandpass signals (assmuming that you have ideal filters that
are “for free”) and you can use the largest possible subsampling rate, how many multiplications and additions do you
need now (again per second)?

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•Basic Multi-Rate Operations – Part 21

Polyphase decomposition – Part 1:
A polyphase decomposition of a sequence leads to subsequences which contain only every
-th value of .
Example for :
Decomposition into an even and odd subsequence.
This is an important tool for the derivation of efficient multi-rate filtering structures (as we will see later on).
Three different decomposition types:
❑ Type-1 polyphase components:
Decomposition of into with

With the z-transform can be obtained as

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•Basic Multi-Rate Operations – Part 22

Polyphase decomposition – Part 2:
Example for

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•Basic Multi-Rate Operations – Part 23

Polyphase decomposition – Part 3:
❑ Type-2 polyphase components:

with
Example for

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•Basic Multi-Rate Operations – Part 24

Polyphase decomposition – Part 4:
❑ Type-3 polyphase components:

with

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•Basic Multi-Rate Operations – Part 25

Nyquist-Filters – Part 1:
Nyquist- or L-band filters:
❑ Used as interpolator filters since they preserve the nonzero samples at the output of the upsampler
also at the interpolator output.
❑ Computationally more efficient since they contain zero coefficients.
❑ Preferred in interpolator and decimator designs.

The input-output relation of the interpolator can be stated as

The filter can be written in polyphase notation according to

Where denote the type 1 polyphase components of the filter .

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•Basic Multi-Rate Operations – Part 26

Nyquist-Filters – Part 2:
Suppose now that the polyphase component of is a constant, i.e. .
Then the interpolator output can be expressed as

the input samples appear at the output of the system without any distortion for all .
All in-between samples are determined by interpolation.

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•Basic Multi-Rate Operations – Part 27

Nyquist-Filters – Part 3:
Properties
❑ Impulse response of a zero-phase -th band filter:

every -th coefficient is zero (except for ) computationally attractive

From [Mitra, 2000]

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•Basic Multi-Rate Operations – Part 28

Nyquist-Filters – Part 4:
Properties
❑ It can be shown for that for a zero-phase -th band filter:

The sum of all uniformly shifted version of add up to a constant.

From [Mitra, 2000]

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•Questions
Questions about sample filterbanks:
Partner work – Please think about the following question and try to find answers
(first group discussions, afterwards broad discussion in the whole group).
❑ Please try to derive the equation

by transforming the equation first to the Fourier domain and afterwards to the time domain.

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•Basic Multi-Rate Operations – Part 29

Nyquist-Filters – Part 5:
Half-band filters:
Special case of -band filters for
❑ Transfer function
❑ For we have for the zero-phase filter

❑ If is real-valued then and it follows

exhibits a symmetry with respect to the half-band frequency

halfband filter.

❑ FIR linear phase halfband filter: Length is restricted to

From [Mitra, 2000]

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Multi-Rate Digital Signal Processing

•Structures for Decimation and Interpolation – Part 1

FIR direct form realization for decimation – Part 1:

The convolution with the length FIR Filter can be described as

and the downsampling as . Combining both equations we can write the decimation operation according to

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•Structures for Decimation and Interpolation – Part 2

FIR direct form realization for decimation – Part 2:
Visualization :

→ Multiplication of with and leads to the result and which are discarded in the decimation process
→ these compositions are not necessary.
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•Structures for Decimation and Interpolation – Part 3

FIR direct form realization for decimation – Part 3:
More efficient implementation :

From [Fliege: Multiraten-Signalverarbeitung, 1993]

(a) Antialiasing FIR filter in first direct form followed by downsampling.

(b) Efficient structure obtained from shifting the downsampler before the multipliers:
❑ Multiplications and additions are now performed at the lower sampling rate.
❑ Additional reductions can be obtained by exploiting the symmetry of (linear-phase).
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•Structures for Decimation and Interpolation – Part 4

FIR direct form realization for interpolation – Part 1:

The output of the interpolation filter can be obtained as convolution with the length

Which is depicted in the following:

→ The output sample is obtained by multiplication of with , where a lot of zero multiplications are involved,
which are inserted by upsampling operation.
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•Structures for Decimation and Interpolation – Part 5

FIR direct form realization for interpolation – Part 2:
More efficient implementation :

Transposed FIR structure

(a) Upsampling followed by interpolation FIR filter in second direct form

(b) Efficient structure obtained from shifting the upsampler behind the multipliers:
❑ Multiplications are now performed at the lower sampling rate, however the output delay chain still runs in the higher sampling rate.
❑ Zero multiplications are avoided.
❑ Additional reductions can be obtained by exploiting the symmetry of (linear-phase).

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•Decimation and Interpolation with Polyphase Filters – Part 1

Decimation – Part 1:
❑ From previous sections we know that a sequence can be decomposed into polyphase components.
Here type-1 polyphase components are considered in the following.
❑ Type-1 polyphase decomposition of the decimation filter The z-transform can be written as

denoting the downsampling factor and the z-transform for type-1 polyphase components

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•Decimation and Interpolation with Polyphase Filters – Part 2

Decimation – Part 2:
Resulting decimator structure :

From [Fliege: Multiraten-

Signalverarbeitung, 1993]

(a) Decimator with decimation filter in polyphase representation

(b) Efficient version of (a) with M times reduced complexity

Remark: The structure (b) has the same complexity as the direct form structure from the previous section, therefore no
further advantage. However, the polyphase structures are important for digital filter banks.

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•Decimation and Interpolation with Polyphase Filters – Part 3

Decimation – Part 3:
Structure (b) in time domain :

From [Fliege: Multiraten-Signalverarbeitung, 1993]

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•Decimation and Interpolation with Polyphase Filters – Part 4

Interpolation – Part 1:
Transfer function of the interpolation filter can be written for the decimation filter as

denoting the upsampling factor, and the type-1 polyphase components of with .
Resulting interpolator structure :

From [Fliege: Multiraten-Signalverarbeitung, 1993]

(a) Interpolator with interpolation filter in polyphase representation
(b) Efficient version of (a) with times reduced complexity
As in the decimator case the computational complexity of the efficient structure is the same as for the direct form
interpolation from the previous section.

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•Non-Integer Sampling Rate Conversion – Part 1

Notation: For simplicity a delay by one sample will be generally denoted with for every sampling rate in a multi-rate system in
the following (instead of introducing a special for each sampling rate as in the sections before).
❑ In practice often there are applications where data has to be converted between different sampling rates with a rational ratio.
❑ Non-integer (synchronous) sampling rate conversion by factor
Interpolation by factor , followed by a decimation by factor ; decimation and interpolation filter can be combined:

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•Non-Integer Sampling Rate Conversion – Part 2

❑ Magnitude frequency responses:

From [Fliege: Multiraten-Signalverarbeitung, 1993]

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•Non-Integer Sampling Rate Conversion – Part 3

Efficient conversion structure – Part 1:
In the following derivation of the conversion structure we assume a ratio . However, a ration can also be
used with dual structures.
1. Implementation of the filter in polyphase structure, shifting of all subsamplers into the polyphase branches:

From [Fliege: Multiraten-Signalverarbeitung, 1993]

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•Non-Integer Sampling Rate Conversion – Part 4

Efficient conversion structure – Part 1:
2. Application of the following structural simplifications:
a. It is known that if and are coprime (that is they have no common divider except one) we can find such that

→ delay in one branch of the polyphase structure can be replaced with the delay

b. The factor can be shifted before the upsampler, and the factor behind the downsampler:

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•Non-Integer Sampling Rate Conversion – Part 5

Efficient conversion structure – Part 2:
2. Application of the following structural simplifications:
c. Finally, if and are coprime, it can be shown that up- and downsampler may be exchanged in their order:

d. In every branch we now have a decimator (marked with the dashed box), which can again be efficiently realized using
the polyphase structure from the previous section. Thus, each type-1 polyphase component is itself decomposed
again in polyphase components

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•Non-Integer Sampling Rate Conversion – Part 6

Efficient conversion structure – Part 3:
Resulting structure:

From [Fliege: Multiraten-Signalverarbeitung, 1993]

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•Non-Integer Sampling Rate Conversion – Part 7

Efficient conversion structure – Part 4:
❑ Delays are realized with the output delay chain.
❑ The terms are non-causal elements: In order to obtain a causal representation, we have to insert the extra delay block
at the input of the whole system, which cancels out the “negative“ delays .
❑ Polyphase filters are calculated with the lowest possible sampling rate.
❑ is realized using the dual structure (exchange: input ↔ output, downsamplers ↔ upsamplers, summation points
↔ branching points, reverse all branching directions)

(transposition with exchanging up and down sampling)

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•Non-Integer Sampling Rate Conversion – Part 8

Efficient conversion structure – Part 5:
Example for and :
Application: Sampling rate conversion for digital audio signals from 48 kHz to 32 kHz sampling rate

From [Fliege: Multiraten-Signalverarbeitung, 1993]

Polyphase filters are calculated with 16 kHz sampling rate compared to 48 kHz sampling rate in the original structure.
Rate conversion from 32 kHz to 48 kHz: Exercise!

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•Summary – Part 1

❑ Introduction
❑ Digital processing of continuous-time signals
❑ DFT and FFT
❑ Digital filters
❑ Multi-rate digital signal processing
❑ Decimation and interpolation
❑ Filters in sampling rate alteration systems
❑ Polyphase decomposition and efficient structures

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•Summary – Part 2

❑ Introduction
❑ Digital processing of continuous-time signals
❑ Efficient FIR structures
❑ DFT and FFT
❑ Digital filters
❑ Multi-rate digital signal processing

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•Summary – Part 3
And finally:

Enjoy applying your new knowledge – in the upcoming lectures, during a lab, while working on your thesis and most importantly
during your profession as an engineer.

The DSS team

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