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IEEE, OF THE
550
Invited Paper
as a method for fast and erroraee calculation of r i t e digital convolution. The transforms are defiied on finite fields and rings of integers
with arithmetic &
e
d out modulo a n integer and it is shown that
undercertainconditions
this gives the sameresults as conventional
digital conwlution. -use
of these characteristics ihey are ideally
suited to digital computation by taking into account quantization of
amplitude as well as timeintheir d e f h i o n . When the modulus is
chosen as a Fezmat number a transform results that requires only on
t h e o r d a of N log N additions and word shifts but no multiplications.
In addition to being efficient, they have no roundoff enor and do not
require storage of basis functions. There is a restriction on sequence
lengthimposedbywordlengthanda
problem withovertlow but
methods for overcoming these are presented. Results of an implementation on an IBM 370/155 are presented and compared with the fast
Fourier tnnsfom showing a substantial improvement in effkiency and
accuracy. Variations on the basic number theoretic transforms are also
4 X(k)=
N- 1
x(n)exp(-j2nnk/N),
n=o
k=O,l;.-,Nand the inverse transform
IDFT[Xl
4 x(n) =N-'
N- 1
X ( k ) exp(j2nnk/N),
k =O
presented.
n = 0 , l , . * * , N -1. (3)
I. INTRODUCTION
1 (2)
INITEDIGITALconvolution
defined by
is anumericalprocedure
N-1
h(n - m)x(m),
y ( n )=
=o,
1,2,.
..
(1)
m +O
* x]
= DFT[h]
- DFT[x].
- DFT[x]}
(4)
~ ( n=)h ( n ) * x ( n )
N- 1
~ ( k= )
x(n)ank
(5)
n=O
55 1
Strassen[61defined
transforms having the CCP modulo a
Fermat number and discussed their application t o fast multiplication of very large integers. Knuth [ 121 elaborated on the
1.
(6) work of Schonhage and Strassen. Nicholson [ 101 presented an
This analysis shows thatinthecomplexnumber
field, the algebraic theory of FFTs in any ring and established fast FFT[ 131,
transforms.Rader
conventional DFT witha = exp (- j27r/N) is the only transform type algorithms tocomputethese
[
141
proposed
number
theoretic
transforms
in
rings
of
integers
given by ( 5 ) withthe CCP. If, however, other fieldsand
arithmetic systems are used, new transforms become possible modulo bothMersenne and Fermat numbers. He f i i t proposed
with very interesting properties. This is pursued by considering the application to digital signal processing, showed that the
using onlyadditionsandbit
mathematical systems that are fundamentally compatible with transforms couldbecalculated
shifting,
showed
the
word
length
constraint, and suggested
digital computing capability.
two-dimensional
transforms
as
a
possible relaxation of that
In any practical situation,orwhen
workingwith digital
[ 151 discussed number
constraint.
Agarwal
and
Burrus
[9],
machines, thedata are available onlywithsomefinite
precision, and therefore, without loss of generality, the data can theoretic transforms in detail, defined Fermat number transbe considered to be integers with some upper bound. To com- forms and also proposed their application for fast digital convolution. They also suggested possible hardware and software
pute convolution in thisdigital domain,operationsinthe
IBM 370/155
complexnumber
field of thecontinuousdomain
can be implementations. Their implementation on the
imitated in a finite field or, more generally, in a finite ring of showed a factor of 3 t o 5 speed improvement over efficient
integers underadditions
andmultiplications
modulo some FFT implementations of cyclic convolution for lengths up to
256. An earlierarticle by TakahasiandIshibashi
[30] was
integer M. An integer a of order N replaces exp(-j2n/N)
recently
brought
to
our
attention
by
Dr.
J.
W.
Cooley
of IBM.
used in a DFT. In this ring, when two integer sequencesx(n)
and h ( n ) are convolved, the output integer sequence y ( n ) is
11. MODULAR ARITHMETIC
congruent to the conventional convolution of x(n) and h ( n )
In
this
section,
some of the basic concepts of modular
mod M. In the ring of integers mod M, conventional integers
arithmetic
from
number
theory
relevant to NTT will be discan beunambiguouslyrepresented
if theirabsolute value is
foundinmost basic booksonnumber
less than M/2. If the input integer sequences x(n) and h ( n ) are cussed. Thiscanbe
so scaled that ly(n)l never exceeds M/2, we would get the theory [ 161, [ 171.
Two integers Q and b are said t o be congruent modM if
same results by implementing convolution in the ring of integers mod M as that obtained with normal arithmetic. This is
a=b+kM
(7)
similar to the overflow constraint infixed-point digital machines. In most digital filteringapplications, h ( n ) represents where k is some integer and M is the modulus. This is written
the impulse response and is known a priori; also the maximum as
magnitude of the input signal is usually known.
Q = b (mod M).
(8)
By working
in
a
finite field or ring of integers with
arithmetic carried out modulo an integer M, a large class of All integers are congruent mod M to some integer in the finite
transforms exist that have the CCP. By special choices of the set (0, 1 , 2 , * ,M - 1) which is called the set of integers
length N, the mod M, and the value a, it is possible to have mod M and denoted by Z M . ZM is also known as the ring of
transforms that need only word shifts and additions but no
integers mod M. If in a ring of integers multiplicative inverses
multiplications, that have an FFT type fast algorithm, that do exist for all nonzero integers, this ring becomesa
field
not require storage of complex values for a,and that have no and it can be shown that Z , is a field if and only if M is a
roundoff errors. These transforms are called number theoretic prime. We will use the symbol ZM and the expression the
transforms (NTT) and they look very promising in the evalua- ring of integers mod M for rings as well as fields since a field
tion of finite convolutions. Their main disadvantage seems to is also a ring. The following basic arithmeticoperations are
be a relation of the sequence length N to the required word permissible with modular arithmetic.
length that can require long word lengths for longsequence
Addition: Example, 7 + 12 = 19 = 2 (mod 17).
lengths.
Negation:
Example, -7 = - 7 + 17 = 10 (mod 17).
These number theoretic transforms are truly digital transSubtraction:
Example, 7 - 12 = 7 + (- 12) = 7 + 5 = 12
forms, taking into account the quantization in amplitude and
(mod 17).
the finite precision of digital signals. They bear the same relaMultiplication: Example, 7 X 12 = 8 4 = 16 (mod 17).
tionto digital signals as theDFT does to discrete-time or
Multiplicative Inverse: Multiplicative inverse of an integer
sampled data signals and the Fourier or Laplace transforms do
b in Z M exists if and only if b and M are relatively prime.
to continuous-time signals. In the same manner that the relaInthat case b- is an integer suchthat b X b- =1
tion of discrete-time signals to continuous-time signals through
(mod M). Example, 7- = 5 (mod 17); 7 X 5 = 35 = 1
sampling involves a possible folding or aliasing in the frequency
(mod 17).
domain, the relation of calculations with the DFT t o calculaDivision: a / b exists if and only if b has an inverse. In
tions with the number theoretic transforms invohesa possible
that case a / b = Q X b- . Example, 12/7 = 12 X 5 = 9
folding of the amplitude that must be taken into account.
(mod 17); 7 X 9 = 12 (mod 17).
The literature on transforms of these types is fairly recent.
Knuth [4] has proposed the use of transforms in finite fields.
This may seem like a rather peculiar way to do arithmetic
Pollard [5] discussed transforms having the CCP in a finite but it is used quite often by everyone. In discussing the day of
field and also gives conditions for having transforms with the the week, one uses an arithmetic mod 7 or in stating the time,
CCP in a finite ring of integers. Good [ 11 ] also mentioned the one is calculating mod 12 or perhaps 24. Indeed the mantissa
use of transforms in a finite ring of integers. Schonhage and of a number in scientific notation is evaluated mod 10.
dv=
552
IEEE,PROCEEDINGS OF THE
APRIL
(1 - l/Pl).
~~
(mod MI.
1N=l
2N=1
3N=1
4N=1
5N=1
gN=l
1
2
3
4
5
6
1
4
2
2
4
1
3
1
1
6
1
6 ,
6
4
1
2
4
4
2
1
5
1
4
5
2
3
6
6
1
1
1
1
1
1
aq(M)= 1
1975
Roots of order N
1
2
3
6
1
6
2,4
3, 5
the
(9)
..
(14)
553
and
N l ( p i - l )i ,= l , 2 ; * . , 1
r' -1
-1
(mod $1
di
lN I g c d b , - 1,pz - l , * * * , ~ 1).
We define O(M)as the greatest common divisor (gcd) of the
( P i - 1)
1).
(24)
O ( M ) P g c d { p 1 -, p zl ,-. . * , p l -
then
Therefore,
111. NUMBERTHEORETIC
TRANSFORMS
In this section, the definition and basic conditions for the
existence of the NTT will be presented and in particular the
allowed relations between the modulus M and the transform
length N and basis function a are spelled out.
If we have a length N sequence of numbers, then a transform
pair of the form given by
N-1
X(k)=
x(n)a"k
n =O
N- 1
x ( n ) =N-1
X ( k ) a-nk
(20)
k= 0
(25)
N I OW).
Equation (25) gives the necessary condition for the existence
of a transform of length N in the arithmetic mod.!r
Now consider the converse of it. If NIO(M)or N(cp(pi'), then there
exist integers a i (mod p y ) of order N in Z ri. Using these ai
pi
we can construct transforms (mod p y ) whch have the DFT
structure of (1 9) and areinvertible.Combiningthesetransforms by the Chinese remainder theorem (18) one can obtain
Alternatively,
a transform(modM) having the CCP in Z,.
one can combine the ai's by the Chinese remainder theorem
to obtain an a (mod M ) of order N in ZW and construct the
finaltransform using this a. The results will beidentical.
Therefore, (25) is the necessary and sufficient condition for
the existence of an invertible transform of length N which has
the CCP mod M. This is stated in theform of a theorem
[91,[151.
Theorem 2: A length N transform having the DFT structure
will implement cyclic convolution modM if and only if
N I O(M).
d v = 1.
Nmax
a N = 1 (modp?),
i = 1,2;**,2.
(22)
Furthermore, since the inverse transform requires N-' ; the inverse of N should exist in Z ',., or, N should be relatively
Pi
prime to M. Now we investigate the existence of an a of order
N , in each Zp:,. By Euler's theorem (9) and (22), we have
~ ~ c p ( p ? ) , i = 1,2, *
Or
(pi - l)
ri
(Phi
-pi
* *
ri-1
,I
(26)
= O(M).
(23)
(pi - l ) . SinceN is
'An
example
otransform
fa
structure w a s produced
by
observation.
554
not give a systematic way of determining the "best" choices. Number theoretictransforms witha
Fermatnumber
As a result one must use intuition, insight, and a bit of search- modulus are calIed Fermat number transforms (FNT).
ing. Usually an M is selected and the resulting possible N and
1975
as a
aN=l2
3N=1 3
qN= 1'4
gN=l 6
8
10
13
12
16
13
1
4
15
5
4
13
15
16
8
9
11
13
14
1
16
2
14
4
11
N = O
9
16
2
1
16
10 1211
4
8
16
15
8
7
13
5
16
4
1
13
13
14 16 15
15
12
4
10
13
2
16
1
9
6
13
3
1
1
1
For M = 2 k + 1 and k odd, 3 divides 2& + 1 and the largest Here we see that 3 and 6 are primitive roots that will generate
possible transform length is 2 , thus we consider only k even. the entire field 21,. The value 2 is of order 8 and 4 is of order
the sense that 62 = 2 (mod 17).
Let k be s2', where s is an odd integer. Then 2 2 f+ 1 divides 4 . Also note that 6 =*in
For digital filtering applications, the composites F s ( b = 3 2 )
2"'+ 1 and 'the length of the possible transform will be gov[ 191 has
erned by the length possible for 22' + 1. Therefore, integers of and F6(b = 6 4 ) also seem to bepractical.Lucas
the form M = 22'+ 1 are of interest. These numbers are known proven that every prime factor of a composite F , is of the form
as Fermat numbers andwill be discussed in detail inthis paper. K2'" + 1. Therefore, 2'" divides O(F,), for r 4 . In parFermatnumbers seem to
optimum in the sense of having ticular it can be verified that for Fs and F 6 , O ( F , ) = 2"'.
transforms whose length is interesting while the word size is Therefore, for these choices of Fermat numbers, the maximum
possible transform length is N = 2'+' = 4 b . Also, we assert that
moderate. Numbers of the form 2"'+ 1 are also of limited
%b given by ( 2 8 ) is of order 4 b in ZF,,r 2 2 .
interest and are discussed in Section IX. A systematic investigation of those M which require more than two bitrepresenta*4 a4b = 2b/4 ( p / 2 - 1)
(28)
tion is difficult. Our preliminary investigation in that direction
has not been very encouraging.
We denote this (Y4b as *because
>
IV. FERMATNUMBERTRANSFORMS
In this section, we consider one of the most promising number theoretic transforms where the modulus is chosen to be a
(Y&
=2
(mod F f ) .
'
i}
TABLE I
PARAMETERS
FOR SEVERAL
POSSIBLEIMPLEMENTATIONS
FOR FNTs
P
r
8
16
3
4
5
6
F,
32
64
2 + 1
216 + 1
2 + 1
264 + 1
555
T- is given by
rll
=2
16
32
64
128
Nmax
CY
32 6
64
128
256
25
65536
128
25 6
forNm,x
T-1
11
= 4-1
a mcase
~ corresponds to the Rader Transform.
=-4
3I
l l l
1 -4 -1
1 -1
1 -1
L1 4 -1 - 4
Example
T o make the ideas of this section more clear, we now present
an example. This example will illustrate several points: treatment of negative values in the data, the structure of the transform and the inverse transform matrix, negative powers of a,
frequent overflow during computation, meaninglessness of
the transform values, and exactness of the final answer. This
example will not demonstrate the efficient implementation of
the FNT using the binary arithmetic.
Consider two sequences x = ( 2 , - 2 ,1, 0) and h = (1, 2 , 0,0 ) ,
whose convolution is desired. From the overflow consideration,it is sufficient ifwe workmodulo F2 = 17. We want
N = 4, for F2 the integer 2 is of order 8, therefore 2 = 4 is an
a of order 4.
The transformation matrix Tis given by
16 13
L1 16
13
Since 4- = - 4 (mod 17), the
(mod 17).
4J
inverse transformationmatrix
According to OUT assumption, integers are supposed to lie between - 8 and 8. Therefore, 14must
be
represented
as
14 - 17 = -3. This gives y = ( 2 , 2 ,-3, 2 ) , which is the correct
answer. Also, note that y is a symmetric sequence, therefore,
Y is also a symmetric sequence. Other than this, the transform
values seem to have no interpretation.
For many applicationsa direct application of the FNT to
implement convolution will result in a significant improvement
over any alternative methods. There are many other situations
where the constraintsof the transform are too severe.
If data magnitude or machine constraints dictate acertain
word length andhencea
certain F,, the allowed sequences
length N may be too short. If input data magnitude and filter
length indicate a possible output magnitude that would exceed
F , / 2 , then overflow becomesaproblem.
If b bit words are
used with a modulus of F , = 2b + 1, themachine can represent
2b integers but the transform needs 2b + 1. We now consider
several partial solutions to these problems.
V. METHODS
APRIL
556
MAXIMUM
TABLE I1
ONE-DIMENSIONAL
CYCLICCONVOLUTIONLENGTHSUSING
TWO-DIMENSIONAL
FNT OR RT
Word Length b
2048
32168
16
32
64
N for Q = 2
N for Q = fi
IEEE,PROCEEDINGS OF THE
1975
512
k =O
8192
< 2k
x(n) = xz(n)+x1(n)2k,
Ix,(n)l
h(n)=hz(n)+h,(n)2k,
Ihz(n)l < 2 k
* h = (x1 * h1)22k
+(x1 * h2 +x2 * h , ) 2 k
(30)
y =x
+x2
* hz.
(3 1)
NM; < M ~ .
(32)
BURRUS:
AGARWAL AND
557
?(n) = x ( n ) 2bl
(33)
C(n) = h ( n ) 2b1
(34)
(35)
y(n). These
Now wegive some upper bounds on the output
are due to Jackson [ 2 1 ] . The L , norm of a signal is defined by
Ijqn)l <Nllx"llplliiIlq,
-+-=
1, p , q 2 1.
(37)
In particular
(38)
(39)
lY(n)l ~Nllx"ll=mllh711~
(40)
All these are valid upper bounds, but, theydiffer in the amount
of computation required to use them. The computation of L z
norm requires N multiplications, the computation of L norm
requiresNadditions, and the computationof L , norm requires
N comparisons because l l x \ l =~ ~ x ( n ) ~ , . ,Depending
,~.
on the
particular situation any of these bounds can be used. To avoid
aliasing error ly(n)lmm should be less thanM/2. If the bound
thus computed exceedsmaximum allowable value, i.e., M/2,
either or both of the signals are scaled down by truncating or
rounding the low-order bits. We choose new integers gl and
6-2 which are less than or equal to b l and b 2 , respectively, and
obtain integer sequences ?(n) and y"(n) as follows:
?(n) = [ x ( n(41)
)2b' ]
K(n) = [ h ( n )222 ]
where [ - ] representsrounding
tothe nearestinteger.
introduces roundoff noise sources e x ( n ) and E h ( n ) .
Z ( n ) = x ( n ) 2b'
+ Ex(n)
(42)
This
(43 1
(44)
The output
- -
Ir"(n)l
(46)
VII. ARITHMETICCONSIDERATIONS
IIx"II2 = Ilh712 .
(45)
558
APRIL
TABLE 111
CYCLIC CONVOLUTION TIMINGSFOR LENGTH N
32
64
128
256
256
512
1024
204
Wing a = ,IT.
FFT
(ms)
16
31
245
530
REAL
SEQUENCES
FNT or RT
(ms)
3.3
1.4
16.6a
8O.Oc
166.OC
34O.Oc
72O.Oc
IEEE,PROCEEDINGS OF THE
1975
implementations.To convolve longsequences using the twodimensional RT the computational effort and required storage
increases by, at the most, a factor of 2. Still, the FNT implementation of convolution is much faster as compared to the
FFT implementation.
These transforms were implemented in assembler language on
an IBM 370/155 which has a 32-bit word length [9].The results were compared with an efficient FFT program for computing convolution which makes use of the symmetry of the
DFT for real data (see Table 111) [ 201.
BURRUS:
AGARWAL AND
559
TABLE IV
FACTORIZATION
OF M = 2 b t 1 AS MI M, AND THE h h X l M U M
TRANSFORMLENGTHCORRESPoNDING TO M2
~~~
In
Machine Word
Length
2111,
Effective Word
Length
MZ
12
20
24
28
36
40
48
.56
60
72
80
16
16
32
16
16
256
64
32
16
17
17
257
17
17 X 241
257
65537
257
17 X 241 X 61681
97 X 257 X 673
65537
24 1
61681
97 X 673
15790321
433 X 38737
4278255361
193 X 22253377
5153 X 54410972897
4562284561
577 X 487824887233
X
44479210368001
15360
414721
1024
N for cz = fi
N for a = 2
log2 M z
MI
OW)
approx.
8
16
1696
24
24 144
32
32
48
32
48
64 320
N,,,
= O(Mz)
4b
2b
240
61680
96
15790320
144
4278255360
192
2242
4562284560
576
24
40
48
56
72
80
96
112
120
144
160
48
80
112
160
192
24
240
288
TABLE V
%ME PARAMETERS FOR NUMBERTHEORETIC
TRANSFORMS
IN
DECIMAL ARITHMETIC
~~~~~
Machine
Digits
b
100
8
4
6
8
10
12
16
O(M)
MZ
MI
1
12 101
17
101
73 X 137
1
16
20
32
Effective Digits
1%10 Mz
approx.
87 3 X 137
9901
5882353
60 3541 X 27961
99990001
99990000
353 X 449
32X 641 X 1409 X
69857
9900
+ 1 = 0.
(49)
This means (- 1) does not have a square root in Z, or equivalently a root of order 4 does not exist inZM. This implies
4 1 O ( M ) = M - 1.
(50)
4
6
7
8
8
16
N,,,
= O(Mz)
N for cz = 10
5882352
16
20
24
32
(53)
then by (5 2)
NI(M
+ 1).
(54)
560
+ bZ.
(55)
+ bZ) = a j f - 1 .
(56)
-1
given by (57) is of
aMa-1 = (1 + j b ) aJ?yl)z)k
(57)
(58)
Let
N1
=gcd ( M -1 , N )
N=NI X N Z
&
(59)
where pis are distinct primes. We have not investigated the case
when M contains prime powers. ZM can be extended to Z& as
before if
4 Y ( p i - 11,1 , 2i;=* . , 1 .
(60)
1 , ~ ;l -, * . * , p ? - 1 ) .
(61)
1975
C.M.
Rader, Digital Processing of Signals. New
York: McGraw-Hill, 1969.
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Audio Electroacoust.,vol. AU-20, pp. 230-235, Oct. 1972.
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Proc.
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t o digitalfiltering, ZEEE
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et
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[ZO] R.C. Singleton, An algorithm for computing the mixed radix
fast Fourier transform, IEEE Trans. Audio Electroacoust., vol.
AU-17, pp. 93-103, June 1969 (also in [ZS]).
I.2 1 1. L. B. Jackson. On the interaction of round-off noise and dvnamic
range in digital fiiters, Bell Sysr. Tech. J . , vol. 49, pp. 159-1 84,
Feb. 1970 (also in [ZS]).
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filters, Ph.D. dissertation, Dep. Elec. Eng., Rice Univ., Houston, Tex., Dec. 1973.
[ 2 3 ] R.C.
Agarwal and C. S. Burrus, Fastone-dimensionaldigital
IEEE
convolution
by
multi-dimensional
techniques,
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