I. INTRODUCTION (b)
Fig. 2. Examples of (a) integer band positioning for c = 3, and (b) half
sonar [3], communications [4], biomedical signals [ 5 ] , bandwidths from the origin, i.e., f L = c ( f u  f L ) , c = 0 ,
power measurement [6], and general instrumentation, +1, +2, * * ,. and c = 0 is the lowpass case. Fig. 2(a)
such as sampling oscilloscopes. indicates integer band positioning, for c = 3.
Historically, Cauchy seems to have been the first to hy Another special case is halfinteger positioning, when
pothesize the bandpass sampling requirement [7]. Nyquist fr. = ( ( 2 c + 1)/2)(fu  f L ) , Fig. 2(b) shows an example
[8] and Gabor [9] also alluded to the bandpass case. Koh of halfinteger positioning for c = 2. These cases of band
lenberg [ 101 introduced secondorder sampling and pro positioning are useful for illustrating aspects of aliasing,
vided the basic interpolation formula, which was then re and are particularly important in the application of sam
ported in the texts by Goldman [ 111 and Middleton [ 121. pling to the effective relocation of signals between band
The bandpass situation is depicted in Fig. 1, where the pass and lowpass positions.
sampling rate is expressed asfy Hz and the bandpass sig The classical bandpass theorem for uniform sampling
nal is located between f L Hz and f u Hz. The signal band states that the signal can be reconstructed if the sampling
width B is less than f u  f L , and the positive frequency rate is at leastff""") = 2f u / n , where n is the largest integer
band can be expressed as the interval ( f L , f u ) . within f u / B , denoted by n = I,[ f,/B].
The bund position refers to the fractional number of This minimum rate for uniform sampling is of interest
bandwidths from the origin at which the lower band edge from a theoretical viewpoint, but for practical applica
resides. A special case is integer bund positioning, which tions this rate is often presented in a misleading way. Fig.
holds when the band is located at an integral number of 3 from Feldman and Bennett [ 161, also reproduced in sev
eral texts (e.g., [13][15]), illustrates the minimum uni
Manuscript received July 5, 1989; revised June 24, 1990. form sampling rate for bandpass signals. The theoretical
R. G. Vaughan and N . L. Scott are with Industrial Development, DSIR, minimum rate f, = 2 B is seen to apply only for integer
Lower Hutt, New Zealand. band positioning. The skew lines represent the minimum
D. R. White is with Physical Sciences, DSIR, Lower Hutt, New Zea
land. uniform rate required when the passband is not located in
IEEE Log Number 9101475. an integer position. The vertical lines, which represent a
T
1974 IEEE TRANSACTIONS ON SIGNAL PROCESSING. VOL 39. NO. 9, SEPTEMBER 1991
version of Fig. 3 displays more clearly the discontinuity in which p is the sample number index and the interpolant
in the function by using dotted lines for the vertical sec is
tions. S(0 = so(0 + sI(0 (2)
Note that f, = 2 B is a valid uniform sampling rate only
where
cos [27r(rb  fL)t  rnBk]  cos [27rfLt  r7rBkI
SOW = (3)
2 n Bt sin r 7r Bk
S,(t>=
cos [27r(f L + B)t  ( r + l ) n B k ]  cos [2n(rB  h)t  ( r + l)nBk]
(4)
27rBt sin ( r + 1)aBk
and r is an integer given by the band position such that
if there is no signal component at the frequencies f L o r i , .
This is analogous to the anomaly of the lowpass case (cf. 2fL 2h +
 Ir < 1. (5)
Shannon's theorem) where the equality in f , L 2fu can B B
hold only if there is no signal component atL,, i.e., the
signal is band limited to less than B and the signal occu The righthand side of ( 5 ) can be expressed in terms of
pies the interval (0,id). I Kida and Kuroda [ 181 discuss the
the center frequency f c ,
disallowed signal components for higher order sampling.
The theoretical minimum sampling rate is pathological
in the sense that any engineering imperfections in an im
plementation will cause aliasing. This illustrates the need Geometrically, there are at least r  1 bandwidths be
to sample at above the theoretical minimum rate or, al tween the twosided spectrum, i.e., between & and +&.
ternatively stated, guardbands need to be included. Gregg The interpolant has the properties that S(0) = 1 , S ( p / B )
[ 171 states without elaboration that rates between f I""")
and = 0 f o r p # 0, and S( p / B + k ) = 0 , and in general it
2fu (the lowpass case rate) are not, in general, valid. has extrema which are larger than unity.
These rates correspond to the region above the function In the general case when the equality of ( 5 ) does not
in Fig. 3. Nevertheless, some authors mistakenly inter hold, the value of k may not take on the discrete values
pret figures such as Fig. 3 to mean that no aliasing will kBr, kB(r + 1 ) = 0, 1 , 2, *
 (7)
occur as long asf, > 4B. Gaskell [ I ] gives an expression
(see (16)) for the valid rates, but otherwise there is little for which the interpolant blows up. k is otherwise unre
information regarding bandpass sampling at rates above stricted, but implementation difficulty using finite word
the theoretical minimum but still well below the frequen length machines is affected by the choice of k . This sen
cies of the signal being sampled. In Section 11, this sub sitivity is discussed in Section 111.
ject is discussed and results are depicted graphically. The When the equality in ( 5 ) holds, the first term of the
existing information is clarified and the cases for band interpolant, So(t), is zero, and the restrictions kBr # 0,
pass sampling at above the minimum rate are reviewed. 1, 2 , * * on k are removed. The situation now corre
The discussion includes sensitivity of sampling rates and sponds to either integer band positioning ( r even) or half
offers a practical guide to bandpass uniform sampling. integer band positioning ( r odd) and for these conditions
The theoretical minimum uniform sampling rate fF = there are exactly r bandwidths between fL and +fL.*
2 B can be applied only when the band is integer posi Three special cases are noteworthy:
tioned. Kohlenberg's [ 101 secondorder sampling theorem
'An alternative definition for r in ( 5 ) is to place the equality with the
allows the minimum rate, in the form of an average rate, righthand term instead of the lefthand term. This causes a swap in the
above meaning of odd and even r , and a swap of the term that drops out of
'The lowpass case is exceptional in that the component atfi = 0 can be the interpolant when the equality holds. For this alternative definition, r
recovered because i t contains trivial phase information cannot be zero and the lowpass case corresponds to r = 1 .
1 I
VAUGHAN et al.: THE THEORY OF BANDPASS SAMPLING 1975
i) The lowpass case is f L = 0 and r = 0 for which the Matthewson [ 2 ] also discussed implementation of quad
interpolant reduces to rature sampling.
The spectrum of a sampled signal is periodic. When
COS t nBk)  COS TBk
( 2 ~ B
SLP(t) = . (8) ever a bandpass signal is reproduced at a baseband po
2nBt sin nBk sition by sampling, the noise from all the aliased bands is
ii) The special case of k = 1/ 2 B corresponds to uni combined into the baseband. Even with an ideal antialias
form rate sampling, with its wellknown sinc ( 2 n B t ) in ing filter, the signaltonoise ratio (SNR) is not preserved
terpolant, which, as mentioned above, requires integer for bandpass sampling owing to (postfilter) thermal noise
band positioning. contributions from the aliased spectra. This has clear im
iii) The quadrature sampling case has plications for communications and radar receivers where
bandpass sampling is applied to relocate the signal effec
tively to a low(er) pass position. This is in contrast to
(9)
analog complex mixing (i.e., using an image rejecting
mixer), in which the signaltonoise ratio is ideally pre
and the simplified interpolant
served. The degradation in signaltonoise ratio does not
sin n B t seem to have been discussed to date, despite its ubiqui
S,(t) = ___ cos 2nfct. tous presence in less critical applications, such as sam
nBt
pling oscilloscopes. Section IV describes and quantifies
Quadrature sampling is important because, as the name the signaltonoise ratio degradation, with a simple ex
indicates, the inphase and quadrature components are periment to demonstrate the effect. Also, the aliasing noise
sampled explicitly from the bandpass signal. This is seen resulting from using typical bandpass filters is presented
by denoting the bandpass signal in the usual way: in terms of a signalto(aliasing) distortion ratio. This es
f (t) = Z(t) cos a c t  Q(t) sin o,t (11) timates the effect of applying acceptable sampling rates
with practical, instead of ideal, rectangular bandpass fil
where Z(t) and Q ( t ) are quadrature components of the cen ters.
ter angular frequency U, rad/s. 11. UNIFORMSAMPLING
To extract Z(t) directly from f ( t ) ,i.e.,
The conditions for acceptable uniform sampling rates
can be written [ l ]
requires sampling at times 2fu
 5 f S s  2.h
n n  1
P
actp =pa, i.e., tp = 
2fc p = 0 , k,*2, * .
where n is the integer given by
Similarly, to obtain Q ( t )
(13)
1 s n 5 lgk]. (17)
1 5
6 4
5 3
fs
 4 2 %
B
3 1
2 0
0
1 2 3 4 5 6 I

fu
B
Fig. 4. The allowed and disallowed (shaded areas) uniform sampling rates versus the band position. The figure is an extension
of Fig. 3 , to show the practical areas of nonminimum sampling rates. The righthand ordinate is the total guardband (sum of
upper and lower guardbands). f, is the sampling rate, B is the bandwidth, and the band is located at (fL, f,).
Brown [20] has pointed out that for symmetric double wedge is then given by
sideband signals, the spectra can fold over each other
without loss of information, allowing a theoretical mini
mum sampling rate of 1/B for a bandlimited signal where
the total bandwidth (both sidebands) is B . This case would Fig. 5 is an expansion of Fig. 4, showing the nth wedge
have an allowed operating region in Fig. 4 of straight
with the guardbands and the sampling frequency toler
lines bisecting the disallowed areas between the parallel
ance.
borders. The case also represents a pathological condi
The allowable range of sampling frequencies is
tion, because any sampling rate variation will not only
cause aliasing, but will also cause the signal to become
folded incorrectly with a likely loss of otherwise retriev
able information.
Sampling at nonminimum rates is equivalent to aug and this range is divided into values above and below a
menting the signal band with a guardband. In fact, any nominal operating point (see Fig. 5 )
allowed operating point away from the tips of the wedges
of Fig. 4 can be interpreted as having a guardband be Ah = Af,U + ALL (23)
tween positions where the spectrum will be aliased. The giving the lower and upper guardbands as
total guardband is given by B G T = f,  2 B Hz, which is
labelled on the righthand ordinate of Fig. 4. n  1
To find the relation between the guardbands and the
BGL = Afsu Yy
sampling frequency, the order of the wedge n is required.
This is found from the overall bandwidth (signal band
width plus total guardband)
Note that symmetric guardbands imply asymmetric sam
W=B + BGT (18) pling frequency tolerances. However, the asymmetry de
and its location (ft,f ; ) , where creases with increasing n.
If the operating point is the vertical midpoint of the
wedge, then the sampling rate is
1 I
VAUGHAN et al.: THE THEORY OF BANDPASS SAMPLING 1977
1
For secondorder sampling, the spectra resulting from
each of the two interleaved sampling sequences applied
to the bandpass signal are [21]
FB(f) = F ( f ) * c BeJZTBkp6(f
P
 P 4 (32)
1
VAUGHAN et a l . : THE THEORY OF BANDPASS SAMPLING 1919
Flfl =
k
1 (0'
or?,,
FA+ FE)
(6"'FA I Fa)
In R,
m RI
phase factor
O = e x p IjZflBkI
Fig. 7. The geometric relations for aliasing in secondorder bandpass sampling and general band position. F(f) is the analog
spectrum, and F A ( f )and F B ( f )are the spectra from each of the two interleaved (by k s) uniform sample sequences. The aliased
bands are progressively phase shifted relative to the analog band as indicated by the notation y' = eJ2Bi1.For integer and half
integer band positioning, the region Ro becomes zero.
The bandpass signal construction is (cf. ( 1 ) ) As already noted for integer and halfinteger band po
sitioning, 2 f L / B = r and R, becomes zero. Further sim
1 plification in the signal construction occurs if e'"' =
Ro: F(f) = @8"  (e  . i 2 0 0 ~ ~ F ~ ) (43)
1, i.e., for quadrature sampling, in which case
1
F(f) = e~201  (eJ2'lFA  FB) (44) F(f) = ;(FA + FE). (50)
Ro: m
k = . m = 0, + I , f 2 , .  e (45) j2nkB(r + 1) = b ' ( 2 m + 1)a (51)
rB'
i.e.,
2m + 1
k =
which are unique except when k = 0, 1 / B , 2 / B , ;
2B(r 1) +
whence the sampling sequences coincide.
In Fig. 7, the phase factor notation (53)
e  ~ 2 ~ B k r e  J m
(47)
+
~
l
1980 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 39, NO. 9, SEPTEMBER 1991
nBt
+ sin2nBt
~
(54) halfinteger band positioning and quadrature sampling.
For general values of A r and eo, 8 , ; the noise power
The first term decays as 1/ n Bt whereas the second term relative to its minimum value can be expressed as the
decays as 1 / 2 n Bt. For a given dynamic range and coef number of bits of resolution irrecoverably lost in calcu
ficient word size, the magnitude of the first term should lating F; viz.,
be minimized, or at least kept small with respect to the
second term, for minimum filter length. Consequently,
uniform sampling where k = 1 / 2 B (corresponding to
quadrature sampling since fc = B / 2 ) , is optimum in this I2
case. For baseband interpolation of a sampled bandpass
signal, configuring the system such that the signal is in
teger positioned and applying uniform sampling is the
Ar
(
= log2 sin2 eo + sin e)
el
. (59)
1 I
:
VAUGHAN et al.: THE THEORY OF BANDPASS SAMPLING
25
20

fn.
1s
ul
10
where el, = nk,(r + l)B. For small A k
05
1
VAUGHAN et a1 THE THEORY OF BANDPASS SAMPLING 1983
7
1984 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 39, NO. 9. SEPTEMBER 1991
[I81 T. Kida and T. Kuroda, Relations between the possibility of resto Neil L. Scott received the B.E. and M.E. (Elec
ration of bandpasstype bandlimited waves by interpolation and ar trical) degrees from the University of Canterbury,
rangement of sampling points. Electron. Commun. Japan. pt. 1 , New Zealand.
vol. 69, pp. 110, 1986. He worked for six years at New Zealand Elec
[I91 D. W . Rice and K. H. W u , Quadrature sampling with high dynamic tricity on hydropower station remote control and
range. IEEE Trans. Aerosp. Electron. Sysr., vol. AES18. no. 4 , instrumentation. He then moved to the Depart
pp. 736739. Nov. 1982. ment of Scientific and Industrial Research, Phys
[201 J. L. Brown, Jr., On uniform sampling of amplitude modulated sig ics and Engineering Laboratory, where he has
nals, IEEE Trans. Aerosp. Electron. Syst., vol. AES19, no. 4, July worked on image processing, interactive graph
1983. ics, electronic and software system design, and
[ Z l ] D. A. Linden, A discussion of sampling theorem, Pror.. IRE, vol. digital signal processing. His recent work has been
47, pp. 12191226, 1959. on sampling theory, time series analysis, and the application of DSP in
[22] D. R. White, The noise bandwidth of sampled data systems, IEEE communications.
Truns. Instrum. Mens.. vol. 38, no. 6, pp. 10361043, 1989.
[23] N. L. Scott and R . G. Vaughan. The signal distortion ratio of filters
due to aliasing, Proc. Int. Symp. Signal Processing rind its Appli
cations (ISSPA90) (Gold Coast, Australia), Aug. 1990.
[23] N. L. Scott and R. G. Vaughan, The signal distortion ratio of filters
due to aliasing. in Proc. I t i t . symp. Signal Processing und i f s Ap
plications (ISSPA 90)(Gold Coast, Australia), Aug. 1990.
1241 R. M . Gagliardi. Iniroducfion to Communications Engineering, 2nd
ed. New York: Wiley (Series in Telecommunications), 1988 (1st
ed. 1978).