Interpolation in Digital Modems—Part I: Fundamentals Floyd M. Gardner, Abstract— Timing adjustment in a digital modem mast be performed by interpolation if sampling te not syachroneed to the data symbols. Tis paper describes the fundamental equation {or interpolation, proposes a method for control, and outlines the signal processing characteristics appropriate to an lnterpolater ‘The material combines a review of previously known topics presentation of new results, and a tutorial exposition of the subject. ‘eat performance and implementa: 1 Inrropucrion HIMING in a data receiver must be synchronized to the symbols of the incoming data signal, In analog- Implemented modems, synchronization typically is performed by a feedback loop that adjusts the phase of a local clock, or by a feedforward arrangement that regenerates a timing wave from the incoming signal. The loca clock or the timing wave is used to sample (or strobe) the filtered output of the modem, ‘once per symbol interval, Message data are recovered from the strobes. Timing of the strobes is adjusted for optimum ‘detection of the symbols Implementation of the modem by digital techniques (atopic of intense present activity) introduces sampling ofthe signal In some citcumstances, the sampling can be synchronized to the symbol rate of the incoming signal; sce Fig. 1(a) and (b), Timing in a synchronously sampled modem can be ‘recovered in much the same ways that are familiar from analog practice In other circumstances, the sampling cannot be synchronized ‘o the incoming signal. Examples include 1 digital processing of unsynchronized frequency-multiplexed signals, or 2) noa- synchronized digital capture and subsequent postprocessing of «signal, For one reason or another, the simpling clock must ‘emain independent ofthe symbol timing, See Fig. (c) for a rnonsynchronized-sampling configuration. How is receiver timing to be adjusted, by digital methods, hen iis not possible to alter the sampling lock? One answer is t interpolate among the nonsyachronized samples in such ‘manner as to produce the correct strobe values at the modem Paget approved by the Ete for Syactisizton an Optical Detection ofthe TERE Communication Socty Manes reed ese Toon, eevses May" 2, 191. This work mas. uppre. ener Contac SUBAEINIIDG by he Eatopean Space Agsny, Nob, The Nhe ‘This pper was presented othe Second rational Wokshp 9 Dig Slee Pocaning Techiges Applied to Space Comnetion (DSP), Polcrico a Trin, Tur ay Sep 2235 1090 “he ahr i wih Onder Resch Company, Fla Allo CA 9804 TEE Log Nomber 208082 ae =a i =} wee FE ee ss } aE outpot—the Same strobe values that would occur if the original sampling had been synchronized tothe symbols. Interpolation isa timing-adjustment operation on the signal, not on a local clock of timing wave. In this respect, it is radically different from timing adjustment in the better- known analog modems, Of al the operations in a digitally implemented modem, interpolation is perhaps the one with the least resemblance to established analog methods, Several issues arise as follows. —What mathematical model of intepolation can be de- visee? —How is interpolation to be contrlled? —What characterises are desirable in an interpolator for modems? —Hoow is the interpolator to be implemented? —What performance can be obtained? How large is the ‘computing burden? —What conceptual model is appropriate for interpolation? “These are the matters treated inthis paper and its companion [1]. The first three issues are addressed here in Part I, and the last three in Part Il [1]. Attention is concentrated on high speed methous, defined by a hardware-imposed constraint that ‘no clock frequency can greatly exceed the signal sample rate. 27-on629380500 © 1959 EEE1, Backorounn Interpolation as a Digital Signal Processing (DSP) opera- tion has been covered extensively in the literature; excellent ‘examples and further references may be found in [2] ad [3]. By contrast, the role of interpolation in timing adjustment has nad comparatively meager attention [2, eh 6}, [4 [8]. Infact, these later references do not speak of “interpolation”, but of “digital phase shifting” [2 eh 6} and [4], or of “sampling-rate conversion” [2, ch. 2] and [5]. 11 willbe Seen presently thatthe process of timing adjust- ‘meat includes substantially more than interpolation alone and that “rate conversion” is a more accurate label. Nonetheless, ‘we will apply the term “interpolation” to denote all of the processes that are involved in adjustment of timing. ‘The term “interpolation” 10 describe the entire timing- adjustment process appears to have been published frst by 4 group at the Technical University of Aachen (6), [J]. The term is also used by Bingham [8, p. 167] In light of the extensive DSP literature on interpolation, and of the large number of digitally implemented modems ‘that have been bul for voice-fequency telephone how isi that the literature on digital sparse? ‘Authors inthe established DSP literature almost invariably restrict themselves 10 sampling-rate conversion by a rational factor, which can be modeled a8 a cascade of interpolation and decimation, each by integer ratios. Thus, the output is ‘synchronized to the inp. ‘But the inherent problem of fully digital timing adjustment is that the signal sampling isnot synchronized to the symbol timing; the two rates are incommensurate and the sample times never coincide exactly with desired strobe times, Recognition of incommensurability is vital to understanding the timing- adjustment problem, Limitations of the DSP literature aside, why didn’t the timing. adjustment problem arise more clearly in the design ‘of digitally implemented telephone-line modems? The answer is that it indeed did arise, and was solved by the adaptive equalizers that play so large a role in those modems. Besides correcting for transmission dispersion, an equalizer almost incidentally also corrects the timing, For that reason, timing adjustment itself does not appear as a widely recognized, distinc problem in the context of telephone-ine modems. Digital implementation is now coming to higher speed com- ‘munications links which do not requite adaptive equalization The need for digital timing adjustment must be faced by itself, without embedding it inside an equalizer. timing adjustment is $0 ML, Moose. A. Timing Loop Consider the feedback timing recovery of Fig. 2. (Feedfor ‘ward interpolation is aso feasible, but not considered here.) A ‘ime-continuous, PAM signal x(¢) is received. Symbol pulses in (2) are uniformly spaced at intervals. For simplicity, 2() is assumed to be a real, bascband signal, but those restrictions can be removed without difficulty Assume r(2) to be bandlimited so that it can be sampled at a rate 1/T, without aliasing. If x(t) is not adequately bandlimited, aliasing will insoduee distorion that causes ® performance penalty. Interpolation is not an appropriate technique to be applied to wide-band signals Samples z(mT,) = 2(m) are taken at uniform intervals 1,. The ratio T/T, is assumed to be irrational, as indeed will bee true in all practical situations where the symbol timing i derived ftom 8 source that is independent of the sampling clock. These signal samples are applied to the interpolator, Which computes interpolants, designated y(KT;) = y(k) at intervals T,. We assume that T; = T/K where Kis a small, integer. The data filter employs the interpolants to compute the strobes that are used for data and timing recovery Inthe sequel, the interval T; between interpola is treated 1s constant, for simplicity of explanation. A practical modem ‘must be able 1 adjust the interval so that the strobes can be brought into synchronism withthe data symbols ofthe signal; thus, the interpolation interval cannot be constant Al elements within the feedback loop contribute 10 the synchronization process. Timing error is measured by the tm ing ertor detector and filtered in the loop filter, whose output Grives the controller. The interpolator obtains instructions for its computations ftom the controller ‘This paper concentrates on the interpolator and controller Alone, with litle oF no consideration of the data filter, the timing ertor detector, or the loop filter. One example of digital timing-ertor detectors may be found in [9], which also has references to other examples. An illustrative loop design and simulation may be found in Part It [1 ‘The datafile is shown within the feedback loop, after the integpolator. That placement is not essential the data Mter could be outside ofthe loop, prior to the interpolate. A data filter inside the feedback loop introduces delay, with adverse influence on loop stability Past placement may be advantageous when the data filter is more complicated than the interpolator—a likely situs tion—and when a relatively high sampling rate is employed for imterpolation. With postplacement, the data fiter can decimate its output to the required strobe rate Gust ane or two samples per symbol) and thereby save on computing burden, If the data filter is placed before the interpolator, then the sample rate ‘out ofthe dita filter must be maintained high enough to avoid aliasing. On the other hand, simulation result [1] indicate that ‘quite modest sampling rates provide excellent results, even Fig. 2. lene of gia timing sveie = Ee are ee ort, with very simple interpolator. Thus, post placement may not ‘often be necessary. 2B. Interpolator Equations ‘To derive a model forthe interpolator, we recapitulate the fundamental development of Crochiere and Rabine (2, ch. 2]. ‘The same basis underlies the adaptive rate convertor in [5]. Refer to Fig. 3, which shows tious, hybrid ana: loghtigial method ‘of rte conversion. Conve the samples tora sequence of weighted analog impulses, which are applied to time-contnuous, analog, iterpolaig fier with impulse ‘response h(t). The time-continuous output of the is wt) = So a(mjhy(t m4). O) ‘Observe that y(t)¥(t). There i no attempt, and no need to recover the original waveform, contrary to mest conventional interpolation. Since a modem is required to perform filtering of signals there is no reason why some ofthe fitering cannot be included in the interpolator. "Now resample y(t) at time instants t = AT; where 7; is synchronized with the signal symbols. In general, T/T, is itrtional; the sampling snd symbol rates are incommensurate ‘The new samples—the interpolants—are represented by WKD) =D x(n P,)hi(kT — mT). @ Although the model includes a fictitious DAC and a fictitious analog filter, the interpolants in (2) can be computed entirely digitally from knowledge of: 1) the input sequence {(m)}. 2) the impulse response y(t) ofthe interpolating filter, and 3) the time instants m7, and KT, ofthe input and output samples. These digitally computed interpolants have identically the same valves as ifthe analog operation had been performed ‘A more useful format is obtained by rearranging the index> ing in (2). Recognizing that m isa signal index, define filer index i im(e./7,) ~ m ° ‘where int[z] means largest integer not exceeding 2. Also, define a basepoint index mq = iA, o and a fractional interval ae = KT [Ts — me o Fig. § Sale time relies where 0-< jog < 1. Timing relations are ilutated in Fig. 4 Punction arguments in (2) become m = me ~ i and (AT, ~ mT.) = (0+ sa), and the interpolant is computed at time £7; = (me + se). Equation (2) can be rewritten as uk) ul(oma + 4) Yall pT + 47} © Equation (6) is the foundation of digital interpolation in modems. If the interpolating filter has finite impulse response (FIR), then Jy and Zz are fixed, finite numbers and the digital filter actually used for computing the interpolants has J = 2—f,+1 most DSP accounts of interpolation assume ,/T, is rational. No such assumption will bbe made here; real-world symbol rates are almost never synchronous with independent, fixed-rate sampling, clocks. ‘Assuming a commensurate ratio tends to obscure broader issues of control and implementation, ‘When Tis incommensurate with T,, the fractional inter sx will be ieational and will change for each interpolant. If ‘determined to infinite precision, x takes on an infinite number ‘of values, which never repeat exactly. This behavior is contrary to that observed if T, is assumed very nearly equal to T;—it sampling is nearly synchronized. Then ix changes only very slowly; if x i quantized, it might remain constant over many inerpolations f 7, were commensurate with T, but not equal, then ju would cyclicly repeat a finite set of values, when the timing Toop is in equilibrium. IV. Controt. Fig. 5 presents the timing loop of Fig. 2 with expanded detail forthe controller. The interpolator performs the computations ‘of (6). The controller provides the interpolator with infor- mation needed to perform the computations. Other essential elements in the loop will not be treated here. ‘An interpolant is computed from (6) using J adjacent samples z(rm) of the signal and J samples of the impulse response /r(0) of the interpolating filter The correct set of signal samples is identified by the basepoint index my and the correct set of filter samples is identified by the fractional interval jx. Thus, the contoller of Fig. $ is responsible for ‘determining my and je, and making that information available to the interpolator. ‘Once me and jg have been identified by the controler, then ‘other elements load the selected signal and impulse-responsesamples into the interpolation filter structure for computations. ‘These loading operations are regarded as part of the filler implementation; Some options are examined in Part IL [1] ‘The necessary contol can be provided by a number: Controlled oscillator (NCO). Assume thatthe signal samples are uniformly clocked through a shift register at rate L/T, and that the NCO is clocked ata rate synchronized to 1/7. Provided that the interpolator is never called upon to per= form upsampling, then the NCO clock period can be Ty. If upsampling is ever required, then a higher NCO clack rate is needed. Further discussion will concentrate on NCO clocking. at rate 1/T, (dowssampling only); modifications needed t0 accommodate upsampling are readily devised once the basic principles are established ‘The NCO is operated so that its average petiod is 7 Recycling of the NCO register indicates that a new interpolant is to be computed, using the signal samples currently residing in the interpolatoe's shift register. Thus, basepoint index is identified by flagging the correct set of signal samples, rather than explicitly computing 1s, A. Euraction of i Fractional interval jx canbe calelated from the contents of, the NCO's register upon recycling, as will now be explained. Designate the NCO register contents computed at the mth clock ick a8 1(m), and the NCO contol word as Won). Then the NCO difference equation is om) = fon = 1) — Won ylmod-t. (A decrementing NCO is employed because it affords & ‘minor simplification in computation of jy as compared to an incrementing, NCO.) Control word W(on) [a positive fraction} is adjusted by the timing-tecovery loop so that output of the data filter i strobed st near-optimal timing. Under loop equilibrium conditions, Wm) will be nearly constant. Contents of the NCO register (also a positive fraction) will be decremented by an amount W(m) each T. seconds and the register will undertow each L/W) clock ticks, on average. Thus, the NCO period is T; = T,/W(mn) and so wim) = 2 ) Fig. NCO relations ‘That is to say, Wm) is the synchronizer’s estimate of the average frequency of interpolation 1/T;, expressed relative ‘o the sampling frequency 1/T,. The control word is an estimate because itis produced from filtering of multiple, noisy measurements of timing error. To see how jx cam be extracted from the NCO, refer to Fig. 6, which is a plot of (Rettious) time-continuous (2) versus continuous time. Inthe figure, m4 T, isthe time ofthe samp clock pulse immediately preceding the kth interpolation time ET, = (14 + 1u)Ts- NCO register contents decrease through zet0 at ¢ = KT, and the 2er0 crossing (underlow) becomes Known at the next clock tick at time (my + 1)T.. Register contents (7g) and (ay +1) are available tthe clock ticks, From similar triangles in Fig. 6, ican be seen that mE, mT ifm) ~ T= ame +) Which can be solved for sas rms) nine) "= Tim-+DFam) ~ Womy ‘An estimate for jx can be obtained hy performing the ind cated division ofthe two numbers (mx) and WY (ong) that are both available from the NCO. [Equation (9) isan estimate of the exact yx because its constituents TV (m4) and n(mme) are both estimates of the true frequency and phase.) To avoid division, recognize that 1/W(m) ~ T,/T,; nom- inal value of this ratio is designated G. Although the exact ‘T/T, is unknown and irrational, the nominal value &o, ex- pressed to finite precision, can often be an excellent approxi ‘mation to the tue value. Therefore, the fractional interval can be approximated by 4 = fantom) a0) Represent the deviation in y from the true ratio of periods as DE. This deviation causes a uniformly distributed error with standard deviation A€/(E>VT2) in the ealeuated value ofIf the deviation off i too large, then a first order correction be = Gonna) [2 — GoW (me ~ 1) ay reduces the standard deviation in yy to A€?/(EGV72), again without requiring a division. ‘Timing errors arising from multiplying by the nominal & using (10) instead of dividing by the exact W'(m) using (@) ‘cannot accumulate; the feedback loop removes any constant error or trend. 2. Inerpolaion Jver Although the kth interpolation is computed fra time kT; (+ un) Te the interpotant is actually delivered coincident with a clock ick no earirthan (mg + 1)T,. Therefor, the ‘output exhibits «timing jiter with peak-to-peak fluctuations of T,, even ifthe sampling clock and receved symbol rate ame etirelyjiter fre. “Timing iter may be inconsequential i the received ane consumed atthe receiver location. timing clock is provided by underfows ofthe NCO. Underlow maths give an indication of comet data clocking o any downstream devices because they have the same jiter asthe dat ‘Bur often the data must be retransmitted over a synchronous link to a remote consumer. The undefiow marks usally cannot be revansmited along. with the dala Unless jiter is removed before retransmission, the jiter wil be transmitted om the data stream, ‘Aver [10] has pointed out that a nea terse clock can be retrieved from the NCO and used to reclck the data before retransmission. His scheme employs the contents 7(m) of the NCO register in a direct digital frequency synthesizer. [AL each NCO lock tick, the register conten afe used 10 aurea able of snes to produce a sample sin 2r7(m). ‘These sine samples ate applied to D/A convertor and then filtered to yield an analog, low ite sinewave with frequency 1/T, = K/T, trom which a symbol-ate clock ean be derived. Alternative Control Methods ‘An NCO is not the only possible control structure. An alternative, suggested by M. Moeneclaey, is described in “Appendix A. \V. FILTER PROPERTIES ‘What properties are desirable in the interpolating filter's impulse response h(t) or equivalently, via Fourier transfor ration, in its transfer function Hy()? Take heed that the properties sought are those ofthe fictitious analog fle, despite the fact that all physical operations are performed digitally A. Duration of Impulse Response In general, new filter coefficients [samples of h(t)] must be reloaded or recomputed for each interpolation. The fiac- tional interval py—which specifies the fltercoefficient sample values—never repeats if, and 7, are incommensurate If the filter has finite impulse response (FIR), then I filter coefficients and J signal samples must be delivered tothe filter structure for each interpolation, If an infinite impulse response (IIR) filter were employed, a recursive structure would be required so thatthe computing effort could be finite, Let the filler have p poles and = zeros ‘Then for each interpolation it would be necessaty to load the following information to be able 10 compute the interpolant: p+ 2+ 1 filer coetficients, as specified by sx. 241 signal samples.

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