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ABSTRACT:
We describe and illustrate receivers employing modified r ( n ) = [ d ( n) e − jθ c n ] ∗ h( n ) (1)
N-path polyphase filters that allow resampling by arbi-
N −1
r (n) = ∑ d (n − k ) e jθ c ( n − k ) h(k )
trary ratios while simultaneously baseband aliasing from
(2)
center frequencies at Nyquist zones that are not multiples
k =0
of the output sample rate. The technique described here
uses a circular input buffer to couple between the input
We can factor part of the complex heterodyne out of
data array and the polyphase filter weight sets and a circu-
the convolution summation and couple the complex het-
lar output buffer to couple between the polyphase filter
erodyne remaining in the summation to the filter coeffi-
outputs and the phase rotators of the FFT. The buffers
cients. This factoring is shown in equation 3. In this form
enable arbitrary ratios between symbol rate and output
of the process, the filtering occurs at carrier and the down
sample rate and of center frequency spacing and output
conversion is applied after, as opposed to prior to, the
sample rates. The structure is applicable to single channel
filtering task. The modification just described, known as
demodulators as well as to multi-channel systems. A
the equivalency theorem, is shown in figure 2.
number of applications of multi-channel filter banks are N −1
presented that illustrate use of the polyphase filter bank
r (n) = e − jθ c n ∑ d (n − k ) h(k ) e − jθ c k (3)
and FFT to obtain rational ratio resampling between input
k =0
and output sample rates along with translations to and
from arbitrary center frequencies unrelated to output sam-
Digital -j θ n
ple rates. e c
Band-Pass
M-to-1
1. POLYPHASE FILTER BANK j θC n 2
h(n)e
A multirate polyphase filter can perform the tasks of a d(n) r(n) r(nM)
multi-channel receiver. These tasks are equivalent to the
down conversion, filtering, and resampling of multiple Figure 2. Reordered Single Channel Down Converter:
narrowband signals. The standard single channel demodu- Filter, Heterodyne, and Down Sample
lation process is shown in figure 1 and the equation de-
scribing the process is shown in equations 1 and 2. This Examining figure 2 we see that the output of the
process translates the carrier-centered spectrum to base- filter is down converted and then down-sampled. To
band where a filter reduces the bandwidth and a re- avoid the foolishness of down converting samples and
sampler reduces the sample rate in proportion to the then discard them in the re-sampling operation, we re-
bandwidth reduction. order the heterodyne and the down sampler, and only
down convert the retained samples. The frequency of the
-j θ n Digital
e c heterodyne at the reduced sample rate is now MθC
Low-Pass M-to-1 rad/sample rather than original frequency of θC. If the cen-
2 2 ter frequency θC is a multiple of the output sample rate
h(n) 2π/M, that is k 2π/M, the center frequency is aliased to
d(n) r(n) r(nM) zero by the M-to-1 resampling operation. Under this con-
dition, the down sampled heterodyne defaults to unity and
Figure 1. Standard Single Channel Down Converter: can be discarded. This is shown in figure 3.
Heterodyne, Filter, and Down Sample Here too we realize it would be foolish to compute
an output for each input and then have M-1 of the output
samples be discarded by the down sampler. We thus mod-
ify the process and compute one output for every M-
inputs. The process that accommodates this modification is The final step in forming the polyphase filter bank is
the partition of the original up-converted filter into a sum recognizing the sum formed by the phase rotators is in fact
of sub-filters that operate at the reduced output rate rather one output port of a DFT, and that the DFT can be imple-
than the original input rate. This partition is most easily mented as an FFT to extract time samples of each narrow-
seen as a mapping of the filter’s Z-transform at the input band process located at multiples of the output sample rate
rate to a sum of Z-transforms at the output rate. This parti- that has been aliased to baseband by the re-sampler. A
tion is shown in equations 4 through 6 where we see that representation of this perspective is seen in equation 7 and
the phase rotators in each sub-filter is constant for that sub in figure 5.
filter and is factored from the coefficient list. Figure 4 M −1 2π
∑ y r (nM ) e
j kr
shows the block diagram representing equation 6 where y (nM , k ) = M
(7)
the input commutator has replaced the delays Z-r and the r =0
M-units of input delay have been replaced with 1-unit of
output delay.
H 0 (Z )
N −1 2π
+j
G ( Z ) = ∑ h ( n )e
kn
M
Z −n (4)
n =0 H 1 (Z )
N
−1 2π
M −1 M +j k ( r + nM )
= ∑
r =0
∑ h(r + nM ) e
n=0
M
Z −( r + nM ) (5)
H 2 (Z )
N
−1
.
2π
......
M −1
..
+j kr M
= ∑ Z −r e ∑ h(r + nM ) Z − nM
...
M
(6)
r =0 n =0 H M-1 (Z )
Digital -j 2π knM
Band-Pass e M
M-to-1 (Removed) Figure 7. Polyphase Filter Bank: M-Path Polyphase Filter
j 2π kn 2 and M-Point FFT
h(n)e M
d(n) r(nM) As a specific example, suppose we have a composite
signal with the spectrum shown in figure 8. The signal
Figure 3. Down Converter with Center Frequency at a contains 7 band-pass signals on 100 kHz centers and has
Multiple of Output Sample Rate: Aliased to Baseband by been sampled at 800 kHz. The input spectrum is shown on
M-to1 Down-Sampling circle to emphasize the periodicity of the sampled data
spectrum while the down converted and down sampled
j 0k 2π spectrum of one channel is shown on a line. An 8-stage
e M polyphase filter and an 8-point FFT down convert all seven
H 0 (Z ) channels plus the unused 8-th channel of this spectrum.
The output sample rate of each channel is a 100 kHz, the
2π
j 1k sample rate matched to the spacing of the channels. When
e M
the sample rate matches the spectral spacing we say the
H 1 (Z ) filter bank is maximally decimated.
2π
j 2k
M
200
e 300 100
H 2 (Z )
0
j (M-1)k 2π
..
400
.
e M
...
-50 0 50
H M-1 (Z ) -300 -100
. -200
Figure 4. Re-Sampling Performed by Polyphase Filter Figure 8. Input Spectrum and Output Spectrum for Single
Partition: Coefficient Heterodyne Becomes Fixed Phase Down-Converted and Down-Sampled Channel
Rotators per Path
To satisfy Nyquist at the output sample rate, the spectral interaction between the polyphase outputs and the FFT
width of the filter must be less than the 100 kHz sample input. This option has no computational cost, requiring
rate with the actual width otherwise arbitrary and deter- only a state machine to schedule the interactions we are
mined by the coefficients of the polyphase filter. about to examine. We accomplish resampling in the poly-
phase engine by moving data through the two dimensional
2 NON-MAXIMALLY DECIMATED FILTER BANK memory in stride of length 5 modulo-8. The least common
multiple (LCM) of 5 and 8 is 40, from which we learn that
In the example we just examined, if the symbol rate of the the state engine cycles in 40 inputs, and since we deliver
separate channels were precisely 50 k-symbols per second, data 5-points at a time, there are 8-distinct states in the
the 100 kHz output sample rate would represent 2 samples state machine.
per symbol, a very desirable relationship for subsequent We recall that the polyphase filter partition was ap-
processing such as timing recovery and equalization. The plied to a prototype filter structure. In this structure we can
8-to-1 down sample of the maximally decimated filter resample by any integer, 5 in our example, by simply mov-
bank is perfect for the channel width and the channel spac- ing all data in the tapped delay line 5 addresses to the right
ing. The question arises, “what are our options when the and loading 5-new inputs before computing the next out-
desired output sample rate does not coincide with the put. If we fold the one-dimensional tapped delay line into
maximally decimated sample rate”? Suppose for instance, the two-dimensional memory of the polyphase filter we
a system with channel symbol rate of 80 k-symbols per sec can visualize the data shift as a serpentine shift between
for which the desired sample rate of 2-samples per symbol columns, and the data load as the commutator delivering
is 160 kHz. Or consider a second system with channel data to the first 5-registers of left most column. This shift-
symbol rate of 40 k-symbols per sec, a rate for which the ing and loading sequence is shown in figure 10. We see
desired sample rate is 80 kHz. In the first example, the that data moves down the first column in stride of 5
desired output rate is higher than the 100 kHz output rate modulo-8 and when the modulo is invoked, the address
while in the second example the desired output rate is wraps and shifts to the next column. This is standard resi-
lower than the 100 kHz output rate, which was determined due mapping from a 1-D array to a 2-D array.
by the channel spacing.
As a point of reference, we note that while the chan-
n n-8 n-16 n-24 n+5 n-3 n-11 n-19 n +2 n-6 n-14
nel spacing and selected sample rate collude to determine n+4 n-4 n-12 n-20
n-1 n-9 n-17 n-25 n+9 n+1 n-7 n-15
the FFT size there we are not obliged to down sample the n+3 n-5 n-13 n-21 n +8 n n-8 n-16
n-2 n-10 n-18 n-26
process in the polyphase filter and FFT by 8-to-1 just be- n-3 n-11 n-19 n-26 n+ 2n-6 n-14 n-22 n+7 n-1 n-9 n-17
cause the transform is of length 8. In the two examples n-4 n-12 n-20 n-28 n+ 1 n-7 n-15 n-23 n+6 n-2 n-10 n-18
cited we would like down sample the polyphase filter and n-5 n-13 n-21 n-29 n n-8 n-16 n-24 n+5 n-3 n-11 n-19
n-6 n-14 n-22 n-30 n-1 n-9 n-17 n-25 n+4 n-4 n-12 n-20
FFT by 5-to-1 and by 10-to-1 respectively. The alternate
n-7 n-15 n-23 n-31 n-2 n-10 n-18 n-26 n+3 n-5 n-13 n-21
solution is to use the system to down samples 8-to-1 and
then interpolate each channel to the desired sample rate as
a post-processing task. This option is shown in figure 9. Figure 10. Successive Serpentine Data Shifts in Polyphase
Memory and Data Load of 5-New Inputs for an 8-Stage
100 kHz 100 kHz Polyphase Filter
P-to-Q
8 P-to-Q Data does not actually move by the serpentine shift but
Stage P-to-Q rather by circular wrapping of block memory, an address
800 kHz 8
P-to-Q control task illustrated in figure 11. The block memory
Poly- Point P-to-Q
Phase FFT P 100 kHz
P-to-Q Q
Filter n n-8 n-16 n-24 n+5 n-3 n-11 n-19
P-to-Q
n-1 n-9 n-17 n-25 n+4 n-4 n-12 n-20
Interpolators n-2 n-10 n-18 n-26 n+3 n-5 n-13 n-21
P/Q=8/5: fs = 160 kHz n-3 n-11 n-19 n-26 n+ 2 n-6 n-14 n-22
P/Q=4/5: fs = 80 kHz n-4 n-12 n-20 n-28 n+ 1 n-7 n-15 n-23
n-5 n-13 n-21 n-29 n n-8 n-16 n-24
Figure 9 Resampling 100 kHz Polyphase Output Sample n-6 n-14 n-22 n-30 n-1 n-9 n-17 n-25
Rate From 100 kHz to 160 kHz or to 80 kHz n-7 n-15 n-23 n-31 n-2 n-10 n-18 n-26
ters operating at 800 kHz sample rate. In the first mode 6 -40
of the 7 available channels are occupied by 50 kHz band-
-60
width signals. The channel at –100 kHz is empty. The in-
put data is channelized and down sampled 8-to-1 for an -80
-400 -300 -200 -100 0 100 200 300 400
output rate of 100 kHz by the system operating in the stan-
dard maximally decimated mode. The 8-polyphase filter 10 10 10 10 10 10 10
stages are each 8-taps that are anchored to the 8-input reg- 0 0 0 0 0 0 0
isters being fed by the periodic input commutator. Figure -10 -10 -10 -10 -10 -10 -10
15 presents the spectrum of the input signal and the spectra -20 -20 -20 -20 -20 -20 -20
of the 7 output channels at 100 kHz output rate. -30 -30 -30 -30 -30 -30 -30
-40
-60
Figure 16. Spectra of Composite Input Signal at 800 kHz
Sample rate and of Channelized Output Signals at 120 kHz
-80
-400 -300 -200 -100 0 100 200 300 400 Sample Rate
10 10 10 10 10 10 10 4-CONCULSIONS
0 0 0 0 0 0 0