# Sampling and Interpolation. Yao Wang Polytechnic University, Brooklyn, NY11201

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1 Sampling and Interpolation Yao Wang Polytechnic University, Brooklyn, NY1121

2 Outline Basics of sampling and quantization A/D and D/A converters Sampling Nyquist sampling theorem Aliasing due to undersampling: temporal and frequency domain interpretation Sampling sinusoid signals Reconstruction from samples Reconstruction using sample-and-hold and linear interpolation Frequency domain interpretation (sinc pulse as interpolation kernel) Sampling rate conversion Down sampling Up sampling Demonstration Yao Wang, 26 EE3414: Sampling 2

3 Analog to Digital Conversion 1 T=.1 Q= A2D_plot.m Yao Wang, 26 EE3414: Sampling 3

4 Two Processes in A/D Conversion Sampling Quantization x c (t) x[n] = x c (nt) xn [ ] Sampling Period T Sampling: take samples at time nt T: sampling period; f s = 1/T: sampling frequency Quantization Interval Q x [ n] = x( nt ), < n < Quantization: map amplitude values into a set of discrete values Q: quantization interval or stepsize x ˆ[ n] = Q[ x( nt )] ± pq Yao Wang, 26 EE3414: Sampling 4

5 How to determine T and Q? T (or f s ) depends on the signal frequency range A fast varying signal should be sampled more frequently! Theoretically governed by the Nyquist sampling theorem f s > 2 f m (f m is the maximum signal frequency) For speech: f s >= 8 KHz; For music: f s >= 44 KHz; Q depends on the dynamic range of the signal amplitude and perceptual sensitivity Q and the signal range D determine bits/sample R 2 R =D/Q For speech: R = 8 bits; For music: R =16 bits; One can trade off T (or f s ) and Q (or R) lower R -> higher f s ; higher R -> lower f s We consider sampling in this lecture, quantization in the next lecture Yao Wang, 26 EE3414: Sampling 5

6 Nyquist Sampling Theorem Theorem: If x c (t) is bandlimited, with maximum frequency f m (or ω m =2π f m ) and if f s =1/T > 2 f m or ω s =2π /T >2 ω m Then x c (t) can be reconstructed perfectly from x[n]= x c (nt) by using an ideal low-pass filter, with cut-off frequency at f s /2 f s = 2 f m is called the Nyquist Sampling Rate Physical interpretation: Must have at least two samples within each cycle! Yao Wang, 26 EE3414: Sampling 6

7 Temporal Domain Interpretation: Sampling of Sinusoid Signals Sampling above Nyquist rate ω s =3ω m >ω s Reconstructed =original Sampling under Nyquist rate ω s =1.5ω m <ω s Reconstructed \= original Aliasing: The reconstructed sinusoid has a lower frequency than the original! Yao Wang, 26 EE3414: Sampling 7

8 Frequency Domain Interpretation of Sampling Original signal Sampling impulse train Sampled signal ω s >2 ω m Sampled signal ω s <2 ω m (Aliasing effect) The spectrum of the sampled signal includes the original spectrum and its aliases (copies) shifted to k f s, k=+/- 1,2,3, The reconstructed signal from samples has the frequency components upto f s /2. When f s < 2f m, aliasing occur. Yao Wang, 26 EE3414: Sampling 8

9 Sampling of Sinusoid in Frequency Domain Spectrum of cos(2πf t) -f f No aliasing f s >2f f s -f >f Reconstructed signal: f -f s -f f s -f f s f s +f -f s -f -f s +f f -f s /2 f s /2 With aliasing f <f s <2f (folding) f s -f <f Reconstructed signal: f s -f -f s -f -f s -f -f s +f f s -f f f s f s +f With aliasing f s <f (aliasing) f -f s <f Reconstructed signal: f s -f -f s -f -f s -f -f +f s f -f s f s f f s +f Yao Wang, 26 EE3414: Sampling 9

10 More examples with Sinusoids Demo from DSP First, Chapter 4, aliasing and folding demo Aliasing: f s < f m (perceived frequency: f m -f s ) Folding: f m < f s < 2f m (perceived frequency: f s -f m ) No need to distinguish these two phenomena. Both lead to a false frequency lower than the original frequency Yao Wang, 26 EE3414: Sampling 1

11 Strobe Movie From DSP First, Chapter 4, Demo on Strobe Movie Yao Wang, 26 EE3414: Sampling 11

12 How to determine the necessary sampling frequency from a signal waveform? Given the waveform, find the shortest ripple, there should be at least two samples in the shortest ripple The inverse of its length is approximately the highest frequency of the signal F max =1/T min T min Need at least two samples in this interval, in order not to miss the rise and fall pattern. Yao Wang, 26 EE3414: Sampling 12

13 Sampling with Pre-Filtering Pre-Filter Periodic H (f) Sampling x(t) x (t) x d (n) Sampling period T If f s < 2f m, aliasing will occur in sampled signal To prevent aliasing, pre-filter the continuous signal so that f m <f s /2 Ideal filter is a low-pass filter with cutoff frequency at f s /2 (corresponding to sync functions in time) Common practical pre-filter: averaging within one sampling interval Yao Wang, 26 EE3414: Sampling 13

14 How to Recover Continuous Signals from Samples? Connecting samples using interpolation kernels Sampling and hold (rectangular kernels) Linear interpolation (triangular kernels) High order kernels Ideal kernel: sinc function Yao Wang, 26 EE3414: Sampling 14

15 Sample-and-Hold vs. Linear Interpolation Reconstructed signal by sample and hold Reconstructed signal by linear interpolation Yao Wang, 26 EE3414: Sampling 15

16 Reconstruction Using Different Kernels Demo from DSP First, Chapter 4, demo on reconstruction Yao Wang, 26 EE3414: Sampling 16

17 Frequency domain interpretation Original signal Sampled signal ω s >2 ω m Ideal reconstruction filter (low-pass) Reconstructed signal (=Original signal) Yao Wang, 26 EE3414: Sampling 17

18 Ideal Interpolation Filter T H r (f) - f s /2 f s /2 f H r T f < fs / 2 sin π t / T ( f ) = hr () t = otherwise π t/ T t nt T xr() t xs() t hr () t x[ n] hr ( t nt) x[ n] sin[ π ( = = = ) / ] π ( t nt)/ T n= n= Yao Wang, 26 EE3414: Sampling 18

19 Sampling Rate Conversion Given a digital signal, we may want to change its sampling rate Necessary for image display when original image size differs from the display size Necessary for converting speech/audio/image/video from one format to another Sometimes we reduce sample rate to reduce the data rate Down-sampling: reduce the sampling rate Up-Sampling: increase the sampling rate Yao Wang, 26 EE3414: Sampling 19

20 Down-Sampling Illustration Down-sampling by a factor of 2 = take every other sample To avoid aliasing of any high frequency content in the original signal, should smooth the original signal before down-sampling -- Prefiltering Yao Wang, 26 EE3414: Sampling 2

21 Down Sampling by a Factor of M Take every M-th sample from existing samples T =MT, fs =fs/m Should apply a prefilter to limit the bandwidth of the original signal to 1/M-th of the original Without prefiltering, aliasing occur in the down-sampled signal. Ideal prefilter: low pass filter with cut-off frequency at 1/M (maximum digital frequency=1, corresponding to fs/2) Practical filter: averaging or weighted average over a neighborhood Low-pass filter Gain: M Cut-off: 1/M M x [n] x [n] x d [n] = x [nm] Yao Wang, 26 EE3414: Sampling 21

22 Down-Sampling Example Given a sequence of numbers, down-sample by a factor of 2, Original sequence: 1,3,4,7,8,9,13,15 Without prefiltering, take every other sample: 1,4,8,13, With 2-sample averaging filter Filtered value=.5*self+. 5*right, filter h[n]=[.5,.5] Resulting sequence: 2, 5.5,8.5,14, With 3-sample weighted averaging filter Filtered value=.5*self+.25*left+.25*right, filter h[n]=[.25,.5,.25] Resulting sequence (assuming zeros for samples left of first): 1.25, 4.5,8,12.5, Yao Wang, 26 EE3414: Sampling 22

23 Upsampling by linear interpolation Missing samples need to be filled from neighboring available samples using interpolation filter Yao Wang, 26 EE3414: Sampling 23

24 Up Sampling by a Factor of L Insert L-1 samples between every two existing samples T =T/L, fs =fs*l The estimation of the missing samples from original samples is known as interpolation Interpolation can be decomposed into two steps Zero-padding: insert L-1 zeros in between every two samples Low-pass filtering: to estimate missing samples from neighbors Simplest interpolation filter: linear interpolation Lowpass Filter L Gain = L Cutoff = 1 / L x[n] x e [n] x i [n] Sampling zero- Sampling Sampling period T padding period T = T/L period T = T/L Yao Wang, 26 EE3414: Sampling 24

25 Up-Sample Example Given a sequence of numbers, up-sample by a factor of 2 Original sequence: 1,3,4,7,8,9,13,15 Zero-padding: 1,,3,,4,,7,, Sample and hold Repeat the left neighbor, filter h[n]=[1,1] 1,1,3,3,4,4,7,7, With linear interpolation New sample=.5*left+. 5*right, filter h[n]=[.5,1,.5] Resulting sequence: 1,2,3,3.5,4,5.5,7,8,, Yao Wang, 26 EE3414: Sampling 25

26 Demonstration Demonstrate the effect of down-sampling with different pre-filters, and up-sampling with different interpolation filters Compare both sound quality and frequency spectrum Matlab code (sampling_demo.m) Yao Wang, 26 EE3414: Sampling 26

27 Down-2 followed by up-2, both using good filters.4 y psd-y x21 psd-x21 h21 freq-h z psd-z Yao Wang, 26 EE3414: Sampling b21-5 freq-b

28 Down-2 followed by up-2, both using bad filters.4 y psd-y x22 psd-x22 h22 freq-h z psd-z Yao Wang, 26 EE3414: Sampling b freq-b

29 Down-4 followed by up-4, both using good filters.4 y psd-y x41 psd-x41 h41 freq-h z psd-z Yao Wang, 26 EE3414: Sampling b freq-b

30 Down-4 followed by up-4, both using bad filters.4 y psd-y x42 psd-x41 h42 freq-h z psd-z Yao Wang, 26 EE3414: Sampling b freq-b

31 MATLAB Code Go through the code Yao Wang, 26 EE3414: Sampling 31

32 What Should You Know (I) Sampling: Know the minimally required sampling rate: f s > 2 f max, T s < T,min /2 Can estimate T,min from signal waveform Can illustrate samples on a waveform and observe whether the signal is under-sampled. Can plot the spectrum of a sampled signal The sampled signal spectrum contains the original spectrum and its replicas (aliases) at kf s, k=+/- 1,2,. Can determine whether the sampled signal suffers from aliasing Understand why do we need a prefilter when sampling a signal To avoid alising Ideally, the filter should be a lowpass filter with cutoff frequency at f s /2. Can show the aliasing phenomenon when sampling a sinusoid signal using both temporal and frequency domain interpretation Yao Wang, 26 EE3414: Sampling 32

33 What Should You Know (II) Interpolation: Can illustrate sample-and-hold and linear interpolation from samples. Understand why the ideal interpolation filter is a lowpass filter with cutoff frequency at f s /2. Know the ideal interpolation kernel is the sinc function. Interpolation using the sinc kernel is NOT required Sampling Rate Conversion: Know the meaning of down-sampling and upsampling Understand the need for prefiltering before down-sampling To avoid aliasing Know how to apply simple averaging filter for downsampling Can illustrate up-sampling by sample-and-hold and linear interpolation Yao Wang, 26 EE3414: Sampling 33

34 References McClellan, Schafer and Yoder, DSP First, Chap. 4 Has good conceptual / graphical interpretation (copies provided, Sec. 4.3,4.5 not required) Y. Wang, EL514 Lab Manual, Exp2: Voice and audio digitization and sampling rate conversion. Sec. 1,2. (copy provided) Oppenheim and Willsky, Signals and Systems, Chap. 7. Optional reading (More depth in frequency domain interpretation) Yao Wang, 26 EE3414: Sampling 34

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