=
=
otherwise , 0
, 2 , , 0 ], / [
] [
L L n L n x
n x
u
4
Copyright 2001, S. K. Mitra
UpSampler
Figure below shows the upsampling by a
factor of 3 of a sinusoidal sequence with a
frequency of 0.12 Hz obtained using
Program 10_1
0 10 20 30 40 50
1
0.5
0
0.5
1
Input Sequence
Time index n
A
m
p
l
i
t
u
d
e
0 10 20 30 40 50
1
0.5
0
0.5
1
Output sequence upsampled by 3
Time index n
A
m
p
l
i
t
u
d
e
5
Copyright 2001, S. K. Mitra
UpSampler
In practice, the zerovalued samples
inserted by the upsampler are replaced with
appropriate nonzero values using some type
of filtering process
Process is called interpolation and will be
discussed later
6
Copyright 2001, S. K. Mitra
DownSampler
TimeDomain Characterization
An downsampler with a downsampling
factor M, where M is a positive integer,
develops an output sequence y[n] with a
sampling rate that is (1/M)th of that of the
input sequence x[n]
Blockdiagram representation
M x[n]
y[n]
7
Copyright 2001, S. K. Mitra
DownSampler
Downsampling operation is implemented
by keeping every Mth sample of x[n] and
removing inbetween samples to
generate y[n]
Inputoutput relation
y[n] = x[nM]
1 M
8
Copyright 2001, S. K. Mitra
DownSampler
Figure below shows the downsampling by
a factor of 3 of a sinusoidal sequence of
frequency 0.042 Hz obtained using Program
10_2
0 10 20 30 40 50
1
0.5
0
0.5
1
Input Sequence
Time index n
A
m
p
l
i
t
u
d
e
0 10 20 30 40 50
1
0.5
0
0.5
1
Output sequence downsampled by 3
A
m
p
l
i
t
u
d
e
Time index n
9
Copyright 2001, S. K. Mitra
Basic Sampling Rate
Alteration Devices
Sampling periods have not been explicitly
shown in the blockdiagram representations
of the upsampler and the downsampler
This is for simplicity and the fact that the
mathematical theory of multirate systems
can be understood without bringing the
sampling period T or the sampling
frequency into the picture
T
F
10
Copyright 2001, S. K. Mitra
DownSampler
Figure below shows explicitly the time
dimensions for the downsampler
M
) ( ] [ nMT x n y
a
=
) ( ] [ nT x n x
a
=
Input sampling frequency
T
F
T
1
=
Output sampling frequency
'
1
'
T M
F
F
T
T
= =
11
Copyright 2001, S. K. Mitra
UpSampler
Figure below shows explicitly the time
dimensions for the upsampler
Input sampling frequency
T
F
T
1
=
=
=
otherwise 0
, 2 , , 0 ), / ( L L n L nT x
a
L
) ( ] [ nT x n x
a
=
y[n]
Output sampling frequency
'
1
'
T
LF F
T T
= =
12
Copyright 2001, S. K. Mitra
Basic Sampling Rate
Alteration Devices
The upsampler and the downsampler are
linear but timevarying discretetime
systems
We illustrate the timevarying property of a
downsampler
The timevarying property of an upsampler
can be proved in a similar manner
13
Copyright 2001, S. K. Mitra
Basic Sampling Rate
Alteration Devices
Consider a factorofM downsampler
defined by
Its output for an input
is then given by
From the inputoutput relation of the down
sampler we obtain
y[n] = x[nM]
] [
1
n y ] [ ] [
0 1
n n x n x =
] [ ] [ ] [
0 1 1
n Mn x Mn x n y = =
)] ( [ ] [
0 0
n n M x n n y =
] [ ] [
1 0
n y Mn Mn x = =
14
Copyright 2001, S. K. Mitra
UpSampler
FrequencyDomain Characterization
Consider first a factorof2 upsampler
whose inputoutput relation in the time
domain is given by
=
=
otherwise ,
, , , ], / [
] [
0
4 2 0 2 n n x
n x
u
15
Copyright 2001, S. K. Mitra
UpSampler
In terms of the ztransform, the inputoutput
relation is then given by
=
=
= =
even
] / [ ] [ ) (
n
n
n
n
n
u u
z n x z n x z X 2
2 2
[ ] ( )
m
m
x m z X z
=
= =
16
Copyright 2001, S. K. Mitra
UpSampler
In a similar manner, we can show that for a
factorofL upsampler
On the unit circle, for , the input
output relation is given by
) ( ) (
L
u
z X z X =
e j
e z =
) ( ) (
L j j
u
e X e X
e e
=
17
Copyright 2001, S. K. Mitra
UpSampler
Figure below shows the relation between
and for L = 2 in the case of
a typical sequence x[n]
) (
e j
e X
) (
e j
u
e X
18
Copyright 2001, S. K. Mitra
UpSampler
As can be seen, a factorof2 sampling rate
expansion leads to a compression of
by a factor of 2 and a 2fold repetition in the
baseband [0, 2t]
This process is called imaging as we get an
additional image of the input spectrum
) (
e j
e X
19
Copyright 2001, S. K. Mitra
UpSampler
Similarly in the case of a factorofL
sampling rate expansion, there will be
additional images of the input spectrum in
the baseband
Lowpass filtering of removes the
images and in effect fills in the zero
valued samples in with interpolated
sample values
1 L
1 L
] [n x
u
] [n x
u
20
Copyright 2001, S. K. Mitra
UpSampler
Program 10_3 can be used to illustrate the
frequencydomain properties of the up
sampler shown below for L = 4
0 0.2 0.4 0.6 0.8 1
0
0.2
0.4
0.6
0.8
1
e/t
M
a
g
n
i
t
u
d
e
Output spectrum
0 0.2 0.4 0.6 0.8 1
0
0.2
0.4
0.6
0.8
1
e/t
M
a
g
n
i
t
u
d
e
Input spectrum
21
Copyright 2001, S. K. Mitra
DownSampler
FrequencyDomain Characterization
Applying the ztransform to the inputoutput
relation of a factorofM downsampler
we get
The expression on the righthand side cannot be
directly expressed in terms of X(z)
=
=
n
n
z Mn x z Y ] [ ) (
] [ ] [ Mn x n y =
22
Copyright 2001, S. K. Mitra
DownSampler
To get around this problem, define a new
sequence :
Then
=
=
otherwise ,
, , , ], [
] [
int
0
2 0 M M n n x
n x
] [
int
n x
=
=
= =
n
n
n
n
z Mn x z Mn x z Y ] [ ] [ ) (
int
) ( ] [
/
int
/
int
M
k
M k
z X z k x
1
= =
=
23
Copyright 2001, S. K. Mitra
DownSampler
Now, can be formally related to x[n]
through
where
A convenient representation of c[n] is given
by
where
] [
int
n x
] [ ] [ ] [
int
n x n c n x =
=
=
otherwise ,
, , , ,
] [
0
2 0 1 M M n
n c
=
=
1
0
1
M
k
kn
M
W
M
n c ] [
M j
M
e W
/ t 2
=
24
Copyright 2001, S. K. Mitra
DownSampler
Taking the ztransform of
and making use of
we arrive at
] [ ] [ ] [
int
n x n c n x =
=
=
1
0
1
M
k
kn
M
W
M
n c ] [
n
n
M
k
kn
M
n
n
z n x W
M
z n x n c z X
=


.

\

= = ] [ ] [ ] [ ) (
int
1
0
1
( )
=
=
=


.

\

=
1
0
1
0
1 1
M
k
k
M
M
k n
n kn
M
W z X
M
z W n x
M
] [
25
Copyright 2001, S. K. Mitra
DownSampler
Consider a factorof2 downsampler with
an input x[n] whose spectrum is as shown
below
The DTFTs of the output and the input
sequences of this downsampler are then
related as
)} ( ) ( {
2
1
) (
2 / 2 / e e e
+ =
j j j
e X e X e Y
26
Copyright 2001, S. K. Mitra
DownSampler
Now implying
that the second term in the
previous equation is simply obtained by
shifting the first term to the right
by an amount 2t as shown below
) ( ) (
2 / ) 2 ( 2 / t e e
=
j j
e X e X
) (
2 / e
j
e X
) (
2 / e j
e X
27
Copyright 2001, S. K. Mitra
DownSampler
The plots of the two terms have an overlap,
and hence, in general, the original shape
of is lost when x[n] is down
sampled as indicated below
) (
e j
e X
28
Copyright 2001, S. K. Mitra
DownSampler
This overlap causes the aliasing that takes
place due to undersampling
There is no overlap, i.e., no aliasing, only if
Note: is indeed periodic with a
period 2t, even though the stretched version
of is periodic with a period 4t
2 / 0 ) ( t > e =
e
for
j
e X
) (
e j
e X
) (
e j
e Y
29
Copyright 2001, S. K. Mitra
DownSampler
For the general case, the relation between
the DTFTs of the output and the input of a
factorofM downsampler is given by
is a sum of M uniformly
shifted and stretched versions of
and scaled by a factor of 1/M
=
t e e
=
1
0
/ ) 2 (
) (
1
) (
M
k
M k j j
e X
M
e Y
) (
e j
e Y
) (
e j
e X
30
Copyright 2001, S. K. Mitra
DownSampler
Aliasing is absent if and only if
as shown below for M = 2
2 / for 0 ) ( t > e =
e j
e X
M for e X
j
/ 0 ) ( t > e =
e
31
Copyright 2001, S. K. Mitra
DownSampler
Program 10_4 can be used to illustrate the
frequencydomain properties of the up
sampler shown below for M = 2
0 0.2 0.4 0.6 0.8 1
0
0.2
0.4
0.6
0.8
1
e/t
M
a
g
n
i
t
u
d
e
Input spectrum
0 0.2 0.4 0.6 0.8 1
0
0.1
0.2
0.3
0.4
0.5
e/t
M
a
g
n
i
t
u
d
e
Output spectrum
32
Copyright 2001, S. K. Mitra
DownSampler
The input and output spectra of a down
sampler with M = 3 obtained using Program
104 are shown below
Effect of aliasing can be clearly seen
0 0.2 0.4 0.6 0.8 1
0
0.2
0.4
0.6
0.8
1
e/t
M
a
g
n
i
t
u
d
e
Input spectrum
0 0.2 0.4 0.6 0.8 1
0
0.1
0.2
0.3
0.4
0.5
e/t
M
a
g
n
i
t
u
d
e
Output spectrum
33
Copyright 2001, S. K. Mitra
Cascade Equivalences
A complex multirate system is formed by an
interconnection of the upsampler, the
downsampler, and the components of an
LTI digital filter
In many applications these devices appear
in a cascade form
An interchange of the positions of the
branches in a cascade often can lead to a
computationally efficient realization
34
Copyright 2001, S. K. Mitra
Cascade Equivalences
To implement a fractional change in the
sampling rate we need to employ a cascade
of an upsampler and a downsampler
Consider the two cascade connections
shown below
M L ] [n x
] [
1
n y
M L ] [n x
] [
2
n y
35
Copyright 2001, S. K. Mitra
Cascade Equivalences
A cascade of a factorofM downsampler
and a factorofL upsampler is
interchangeable with no change in the
inputoutput relation:
if and only if M and L are relatively prime,
i.e., M and L do not have any common
factor that is an integer k > 1
] [ ] [
2 1
n y n y =
36
Copyright 2001, S. K. Mitra
Cascade Equivalences
Two other cascade equivalences are shown
below
L ] [n x
] [
2
n y
) (
L
z H
L
] [n x
] [
2
n y
) (z H
M ] [n x
] [
1
n y
) (z H
M
] [n x
) (
M
z H
] [
1
n y
Cascade equivalence #1
Cascade equivalence #2
37
Copyright 2001, S. K. Mitra
Filters in Sampling Rate
Alteration Systems
From the sampling theorem it is known that
a the sampling rate of a critically sampled
discretetime signal with a spectrum
occupying the full Nyquist range cannot be
reduced any further since such a reduction
will introduce aliasing
Hence, the bandwidth of a critically
sampled signal must be reduced by lowpass
filtering before its sampling rate is reduced
by a downsampler
38
Copyright 2001, S. K. Mitra
Filters in Sampling Rate
Alteration Systems
Likewise, the zerovalued samples
introduced by an upsampler must be
interpolated to more appropriate values for
an effective sampling rate increase
We shall show next that this interpolation
can be achieved simply by digital lowpass
filtering
We now develop the frequency response
specifications of these lowpass filters
39
Copyright 2001, S. K. Mitra
Filter Specifications
Since upsampling causes periodic
repetition of the basic spectrum, the
unwanted images in the spectra of the up
sampled signal must be removed by
using a lowpass filter H(z), called the
interpolation filter, as indicated below
The above system is called an interpolator
] [n x
u
L ] [n x
] [n y
) (z H
] [n x
u
40
Copyright 2001, S. K. Mitra
Filter Specifications
On the other hand, prior to downsampling,
the signal v[n] should be bandlimited to
by means of a lowpass filter,
called the decimation filter, as indicated
below to avoid aliasing caused by down
sampling
The above system is called a decimator
M / t e <
M
] [n x ) (z H
] [n y
41
Copyright 2001, S. K. Mitra
Interpolation Filter
Specifications
Assume x[n] has been obtained by sampling a
continuoustime signal at the Nyquist
rate
If and denote the Fourier
transforms of and x[n], respectively,
then it can be shown
where is the sampling period
) (t x
a
) (t x
a
) ( O j X
a
) (
e j
e X

.

\

=
=
o o
) (
T
k j j
X
T
e X
k
a
j
t e
e
2 1
o
T
42
Copyright 2001, S. K. Mitra
Interpolation Filter
Specifications
Since the sampling is being performed at the
Nyquist rate, there is no overlap between the
shifted spectras of
If we instead sample at a much higher
rate yielding y[n], its Fourier
transform is related to
through
) / (
o
T j X e
) (t x
a
o
T L T =
) (
e j
e Y
) ( O j X
a
=
=

.

\

=

.

\

=
k
a
k
a
j
L T
k j j
X
T
L
T
k j j
X
T
e Y
/
) (
o o
t e t e
e
2 2 1
43
Copyright 2001, S. K. Mitra
Interpolation Filter
Specifications
On the other hand, if we pass x[n] through a
factorofL upsampler generating , the
relation between the Fourier transforms of
x[n] and are given by
It therefore follows that if is passed
through an ideal lowpass filter H(z) with a
cutoff at t/L and a gain of L, the output of
the filter will be precisely y[n]
] [n x
u
] [n x
u
) ( ) (
L j j
u
e X e X
e e
=
] [n x
u
44
Copyright 2001, S. K. Mitra
Interpolation Filter
Specifications
In practice, a transition band is provided to
ensure the realizability and stability of the
lowpass interpolation filter H(z)
Hence, the desired lowpass filter should
have a stopband edge at and a
passband edge close to to reduce the
distortion of the spectrum of x[n]
L
s
/ t e =
s
e
p
e
45
Copyright 2001, S. K. Mitra
Interpolation Filter
Specifications
If is the highest frequency that needs to
be preserved in x[n], then
Summarizing the specifications of the
lowpass interpolation filter are thus given
by
c
e
L
c p
/ e e =
s s
s
=
t e t
e e
e
L
L L
e H
c
j
/ ,
/ ,
) (
0
46
Copyright 2001, S. K. Mitra
Decimation Filter
Specifications
In a similar manner, we can develop the
specifications for the lowpass decimation
filter that are given by
s s
s
=
t e t
e e
e
M
M
e H
c
j
/ ,
/ ,
) (
0
1
47
Copyright 2001, S. K. Mitra
Filter Design Methods
The design of the filter H(z) is a standard
IIR or FIR lowpass filter design problem
Any one of the techniques outlined in
Chapter 7 can be applied for the design of
these lowpass filters
48
Copyright 2001, S. K. Mitra
Filters for Fractional Sampling
Rate Alteration
A fractional change in the sampling rate can
be achieved by cascading a factorofM
decimator with a factorofL interpolator,
where M and L are positive integers
Such a cascade is equivalent to a decimator
with a decimation factor of M/L or an
interpolator with an interpolation factor of
L/M
49
Copyright 2001, S. K. Mitra
Filters for Fractional Sampling
Rate Alteration
There are two possible such cascade
connections as indicated below
The second scheme is more computationally
efficient since only one of the filters,
or , is adequate to serve as both the
interpolation and the decimation filter
L
) (z H
u
M
) (z H
d
L
) (z H
u
M
) (z H
d
) (z H
u
) (z H
d
50
Copyright 2001, S. K. Mitra
Filters for Fractional Sampling
Rate Alteration
Hence, the desired configuration for the
fractional sampling rate alteration is as
indicated below where the lowpass filter
H(z) has a stopband edge frequency given
by
L
) (z H
M

.

\

=
M L
s
t t
e , min
51
Copyright 2001, S. K. Mitra
Computational Requirements
The lowpass decimation or interpolation
filter can be designed either as an FIR or an
IIR digital filter
In the case of singlerate digital signal
processing, IIR digital filters are, in general,
computationally more efficient than
equivalent FIR digital filters, and are
therefore preferred where computational
cost needs to be minimized
52
Copyright 2001, S. K. Mitra
Computational Requirements
This issue is not quite the same in the case
of multirate digital signal processing
To illustrate this point further, consider the
factorofM decimator shown below
If the decimation filter H(z) is an FIR filter
of length N implemented in a direct form,
then
M
] [n x ) (z H
] [n y
] [n v
=
=
1
0
N
m
m n x m h n v ] [ ] [ ] [
53
Copyright 2001, S. K. Mitra
Computational Requirements
Now, the downsampler keeps only every
Mth sample of v[n] at its output
Hence, it is sufficient to compute v[n] only
for values of n that are multiples of M and
skip the computations of inbetween
samples
This leads to a factor of M savings in the
computational complexity
54
Copyright 2001, S. K. Mitra
Computational Requirements
Now assume H(z) to be an IIR filter of order
K with a transfer function
where
) (
) (
) (
) (
) (
z D
z P
z H
z X
z V
= =
n
K
n
n
z p z P
=
=
0
) (
n
K
n
n
z d z D
=
+ =
1
1 ) (
55
Copyright 2001, S. K. Mitra
Computational Requirements
Its direct form implementation is given by
Since v[n] is being downsampled, it is
sufficient to compute v[n] only for values of
n that are integer multiples of M
= ] [ ] [ ] [ 2 1
2 1
n w d n w d n w
] [ ] [ n x K n w d
K
+
] [ ] [ ] [ ] [ K n w p n w p n w p n v
K
+ + + = 1
1 0
56
Copyright 2001, S. K. Mitra
Computational Requirements
However, the intermediate signal w[n] must
be computed for all values of n
For example, in the computation of
K+1 successive values of w[n] are still
required
As a result, the savings in the computation
in this case is going to be less than a factor
of M
] [ ] [ ] [ ] [ K M w p M w p M w p M v
K
+ + + = 1
1 0
57
Copyright 2001, S. K. Mitra
Computational Requirements
For the case of interpolator design, very
similar arguments hold
If H(z) is an FIR interpolation filter, then
the computational savings is by a factor of L
(since v[n] has zeros between its
consecutive nonzero samples)
On the other hand, computational savings is
significantly less with IIR filters
1 L
58
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
The function decimate can be employed
to reduce the sampling rate of an input
signal vector x by an integer factor M to
generate the output signal vector y
The decimation of a sequence by a factor of
M can be obtained using Program 10_5
which employs the function decimate
59
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
Example  The input and output plots of a
factorof2 decimator designed using the
Program 10_5 are shown below
0 20 40 60 80 100
2
1
0
1
2
Input sequence
Time index n
A
m
p
l
i
t
u
d
e
0 10 20 30 40 50
2
1
0
1
2
Output sequence
Time index n
A
m
p
l
i
t
u
d
e
60
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
The function interp can be employed to
increase the sampling rate of an input signal
x by an integer factor L generating the
output vector y
The lowpass filter designed by the Mfile is
a symmetric FIR filter
61
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
The filter allows the original input samples
to appear as is in the output and finds the
missing samples by minimizing the mean
square errors between these samples and
their ideal values
The interpolation of a sequence x by a
factor of L can be obtained using the
Program 10_6 which employs the function
interp
62
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
Example  The input and output plots of a
factorof2 interpolator designed using
Program 10_6 are shown below
0 10 20 30 40 50
2
1
0
1
2
Input sequence
Time index n
A
m
p
l
i
t
u
d
e
0 20 40 60 80 100
2
1
0
1
2
Output sequence
Time index n
A
m
p
l
i
t
u
d
e
63
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
The function resample can be employed
to increase the sampling rate of an input
vector x by a ratio of two positive integers,
L/M, generating an output vector y
The Mfile employs a lowpass FIR filter
designed using fir1 with a Kaiser
window
The fractional interpolation of a sequence
can be obtained using Program 10_7 which
employs the function resample
64
Copyright 2001, S. K. Mitra
Sampling Rate Alteration
Using MATLAB
Example  The input and output plots of a
factorof5/3 interpolator designed using
Program 10_7 are given below
0 10 20 30
2
1
0
1
2
Input sequence
Time index n
A
m
p
l
i
t
u
d
e
0 10 20 30 40 50
2
1
0
1
2
Output sequence
Time index n
A
m
p
l
i
t
u
d
e