EEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 43, NO.

9, SEPTEMBER 1995 2103

Digital Filter Bank Design

Quadratic-Constrained Formulation
Truong Q. Nguyen, Member, IEEE

Abstract-In this paper, we formulate the filter bank design

problem as an quadratic-constrainedleast-squares " i z a t i o n
problem. The solution of the minimization problem converges
very quickly since the cost function as well as the constraints
are quadratic functions with respect to the unknown parameters. .. .. .. ..
. .
The formulationsof the perfect-reconstructioncosine-modulated
filter bank, of the near-perfect-reconstructionpseudo-QMF bank,
and of the two-channel biorthogonal linear-phase filter bank
-mXq&.
are derived using the proposed approach. Compared with other Fig. 1 . M-channel maximally decimated filter bank.
design methods, the proposed technique yields PR filter banks
with much higher stopband attenuation. The proposed technique
can also be extended to design multidimensional filter banks.
The lossless transfer matrices are cascades of several lossless
lattice building blocks 131. The design algorithm consists of
I. INTRODUCTION optimizing the lattice coefficients to minimize

F IG. 1 shows a typical M-channel maximally decimated

parallel filter bank where H k ( z ) and F k ( z ) , 0 5 k I:
M - 1 are analysis and synthesis filters, respectively (only =
M-1
Pk4Hk
finite impulse response (FIR) filters are considered in this k=O

paper). The analysis filters H ~ ( zchannelize

) the input signal
) M subband signals, which are in turn decimated
~ ( ninto
by M. In compression and transmission applications, these M
subband signals are encoded and transmitted. At the receiving
end, the M subband signals are decoded, interpolated, and
recombined using a set of synthesis filters F k ( z ) . The the-
ory for perfect reconstruction filter banks has recently been
established [ 11-11 11.
In all applications where perfect reconstruction is the crucial
requirement for the filter bank, the filters must satisfy
where the 4~~ are the frequency errors (of both passband and
stopband) of I H k ( e j " ) I. Once the HI,(2) are found, F k ( 2 ) can
be obtained from Fk(z)= H k ( z - ' ) .
The drawback of the lattice approach is that the cost function
CP in (2) is a highly nonlinear function with respect to the
lattice coefficients 131. Consequently, PR filter banks, where
the analysis filters have high stopband attenuation, are difficult
to obtain. Instead of optimizing in the lattice coefficient space,
we propose a design formulation that uses the filter coefficients
directly. In other words, the cost function CP in (2) and the PR

I
H'(2) ... HM-l(z) conditions in (1) can be expressed as quadratic functions of
Hl(zW) .. . HM-l(ZW) the filter coefficients. Consequently, as demonstrated in later
sections, PR filter banks with high stopband attenuation can
be easily obtained.
H ~ ( z W ( ~ - ' )H) ~ ( Z W ( ~ - '. ). .) H M - I ( . Z W ( ~ - ' ) )
Section I1 describes the overall formulation for the lossless
filter banks. Sections 111-V apply the new formulation for the
design of the following:
PR cosine-modulated filter bank-Section I11
near-perfect-reconstruction (NPR) pseudo-QMF bank-
Section IV
P I , [4l, where W = e J z r r / MStarting
. from the above equation, two-channel PR linear-phase filter ba&-section v.
one can derive many procedures to find HI,(z) and F k (2). One
In each section, examples are designed to demonstate the
such design procedure involves the lossless polyphase transfer
theory. The proposed formulation is quite robust and can be
matrices E(z) and R(z) of H k ( z ) and Fk(z),respectively 131.
used with the spectral factorization method 1201 and in the
Manuscript received July 28, 1993; revised March 1, 1995. This work was design of two-channel variable-delay NPR filter banks 1231
supported by the Department of Defense and the Department of the Air Force
under contract number F19628-90-C-0002. The associate editor coordinating and the M-channel orthonormal linear-phase bank [251'
the review of this paper and approving it for publication was Prof. ~oberto
~~ ~~
Notations: Bold-faced letters indicate vectors and matrices.
H. Bamberger. SuDerscriDt t denotes tranmosition, and the tilde accent on
The author is with the Electrical and Computer Engineering Department,
the University of Wisconsin, Madison, WI 53706 USA. a functioi F ( z ) is defineisuch that F ( z ) = Fi(z-'),vz,
IEEE Log Number 9413309. where the asterisk (*) subscript denotes the conjugation of
1053-587W95$04.00 0 1995 IEEE
2104 IEEE TRANSACTIONS ON SIGNAL PROCESSING,VOL. 43, NO. 9, SEF'TEhBER 1995

coefficients. Moreover, IM stands for the M x M identity solve (6) by linearizing the quadratic constraints [Zl]. Using
matrix, and these procedures will yield an approximate solution (i.e.. the

JM= (: '1; ..
i) MxM
.
constraints are not satisfied exactly). However, the errors are
very small and can be ignored in most practical cases, as we
will demonstrate in the examples below.
Using the QCLS approach, the PR conditions are formulated
U is a diagonal matrix that has alternatives f1 on the diagonal, in the quadratic form as in (5). Other desirable properties on
starting with + I . W M = e-j2*IM. the filters' responses such as vanishing moments (to obtain
smooth wavelets) can also be formulated as quadratic con-
11. QUADRATIC-CONSTRAINED straints. Interested readers can find such formulation in [14].
LEAST-SQUARES FORMULATION Although the above QCLS formulation is derived for a
lossless filter bank, similar derivation can be formulated for
For a PR lossless filter bank, (1) simplifies to any biorthogonal filter bank. The PR conditions on H k ( z ) and
Hl(z) ... HM-1 ( z ) FI,(z)for a biorthogonal filter bank are shown in (1). We now
Hl(zW) ... HIM-1 ( z W ) have the equation at the bottom of the page. Then, one can also
formulate the PR conditions in (1) as quadratic forms similar to
(5). As an example, Section V discusses the QCLS formulation
. . . HM-l(zW(M-l)) for the two-channel biothogonal linear-phase filter bank.
General Design Procedure:
Given M , the filter length N , and the band edges of
(3)
Hk (z) and PI,( z ) , compute P using the eigenfilter tech-
HM- I(. - ) nique in [13].
Compute the corresponding matrices QI,and SI,.
where the parameters to be found are the coefficients of HI,(z). Design the filters with the same specifications as in HI,(z)
Let h be a vector consisting of all the filter coefficients h ~( n, ) , and F k ( z ) , and use their coefficients as an initialized
0 5 k 5 M - 1, and 0 5 n 5 N - 1, i.e. value for h in the quadratic-constrained minimization
h = (ho(0) . . * h o ( N - 1 ) ... h ~ - l ( O ) h ~ - l ( N - l ) ) ~ . problem (6). Use a constrained optimization method (such
(4) as [21]) to solve the above minimization problem.
Then, (3) can be written in the following form:
111. PR COSINE-MODULATED FILTER BANK
ht QI,h = 0,
ht S I , h = 1 Recently, the PR cosine-modulated filter bank has emerged
as an optimal filter bank with respect to implementation cost
where QI, and SI, depend on the filter bank parameters. and design ease [7]-[lo]. The impulse responses hk(n) and
Furthermore, it is possible to express iP in (2) as a quadratic f ~( n, ) are cosine-modulated versions of the prototype filters
form in h [13], i.e, iP = htPh, where P is a real, symmetric, h ( n ) , i.e.
and positive-definite matrix. The optimized filter H I , ( z ) is
precisely hoptsuch that
Min
hopt = h htPh subject to (6) fI,(n)= h ( N - 1 - n ) (7)
ht SI, h = 1.
In summary, we would like to formulate the design prob- where n and k are in the range of 0 5 n 5 N - 1 and
lem into a least-squares optimization problem with quadratic 0 5 k 5 M - 1, respectively. Here, the lengths of HI,(z)and
constraints as in (6). Since QI, is normally not positive F I , ( z )are assumed to be multiples of 2 M , i.e., N = 2mM.
definite, it is difficult to solve the above minimization problem. As shown in [7], the PR condition in (3) reduces to (8), which
However, there are optimization procedures that approximately appears at the bottom of the page, for the case where H ( z )
NGUYEN: DIGITAL FILTER BANK DESIGN-QUADRATIC-CONSTRAINED FORMULATION 2105

Example: Let M = 16 and m = 8; thus, the filter length is

N = 256. The magnitude responses of the optimized analysis
filters H I , ( z )are shown in Fig. 2. The stopband attenuation of
the optimized analysis filters is about -82 dB, which is much
higher than those designed using conventional approaches [7],
[9], [lo]. Keep in mind that the above filter bank is only
an approximate PR filter bank since the involved quadratic
constraints are approximately satisfied (the error is about
1 x lo-'). This error is very small and can be considered
to be negligible for all practical purposes.

I"

0 0.05 0.10 0.15 0.20 0.25 0.30 0.3.5 0.40 0.45 0.50
Normalized Frequency IV. NPR PSEUDO-QMFBANK
Fig. 2. Example 1: PR cosine-modulated filter bank. Magnitude response The analysis and synthesis filters of a pseudo-QMF bank
plots for the optimized analysis filters Hk (2). are cosine-modulated versions of a prototype filter (as in (7)).
Since the desired analysis and synthesis filters have narrow
is linear phase. Here, GI, z are the polyphase components of transition bands and high stopband attenuation, the overlap
H ( z ) , i.e., H ( z ) = 2 J I z - e G I , ( ~ It~ is~our
) . objective between nonadjacent filters is negligible. Moreover, it is shown
to rewrite the PR conditions in (8) as a quadratic form, as in in [15] and [16] that the significant aliasing terms from the
(5). Here, we only consider the even M case since the odd overlap of the adjacent filters are cancelled by the filter
M case is very similar. In terms of the variables h(n),the designs. The prototype filter H ( z ) is found by minimizing an
polyphase filter G I , ( ~is
) objective function consisting of the stopband attenuation and
the overall distortion. As shown in [15]-[17], although it is
GI,(z) = htVke and Gk(2-l) = zm-lhtVkJe (9) possible to obtain a pseudo-QMF bank with high attenuation,
the overall distortion level might be high (on the order of
where -40 dB). In summary, the overall distortion of the pseudo-
QMF bank is not sufficiently small for applications where a
-100-dB error level is required.
The modulation schemes in the cosine-modulated filter
banks [7], the modulated lapped transform [8], the Prin-
c e a r a d l e y filter bank [201, the pseudo-QMF bank [ 151-[17],
and the proposed NPR pseudo-QMF bank use cosine modu-
lation with different phase factors. The first three filter banks
are PR filter banks, whereas the last two are NPR filter banks.
The NPR filter bank proposed here has no restriction on the
Note that the dimensions of h, e, and VI, are ( m M x l ) , filter's length, and it sacrifices some aliasing at the output for
( m x l ) , and ( m M x m), respectively. Equation (8) is better stopband attenuation.
simplified to The new NPR pseudo-QMF design [18] is a hybrid of the
pseudo-QMF designs in [ 151 and [191. First, the prototype filter
ht[VI,JeetVk+ v ~ + ~ , J e e ~ Vhh=+~~1z] - ( ~ - ' ) . H ( z ) is chosen to be a linear-phase filter. Moreover, H ( z ) is
designed such that it is a spectral factor of a 2Mth-band filter.
(11) The analysis and synthesis filters h ~ , ( nand ) f ~ , ( nare
) cosine-
Substituting
modulated versions of the prototype filter h ( n ) as in (7).
2m-2 This choice of modulation yields an efficient implementation
eet = 1 Y n D n where [Dn]i,j=
1; i + j = n
0; otherwise (12) for the whole analysis/synthesis system. Together with the
above 2Mth-band constraint, it can be shown that there are no
n=O
amplitude and phase distortions at the output [18]. The only
into (1 1) and simplifying, one obtains the following conditions reconstruction error is the aliasing error, which is comparable
on h: to the stopband attenuation [15], [18]. Even though H ( z ) is a
spectral factor of a 2Mth-band filter, no spectral factorization
is needed in the new approach. In other words, the 2Mth-
band constraints are imposed approximately. This approach
yields NPR solutions where there is some aliasing at the
reconstructed output (the level is comparable with the stopband
for IC in the range 0 5 IC 5 $ - 1. Note that the index n only attenuation).
goes to m - 1 since (8) is symmetric. In summary, the $ PR We will briefly describe the QCLS formulation for the NPR
conditions in (8) are rewritten as quadratic constraints in pseudo-QMF bank below. Detailed derivations can be found
h as in (13). in [18]. Let H ( z ) = N-1 h(n)zPn be the real-coefficient,
2106 IEEE TRANSACTIONS ON SIGNAL PROCESSING,VOL. 43, NO. 9, SEPTEMBER 1995

linear-phase, even-length prototype filter of length N, where 10 , , , , , I I , I

+
N = 2(mM m l ) and 0 5 m l 5 M - 1. Assume that
0
-10
H ( z ) is a linear-phase spectral factor of a 2Mth-band filter g -20
~ ( z )i.e.,
, ~ ( z =) z - ( N - l ) ~ ( z ) f i ( z )= ~ 2 ( z )in, lieu of .E -30

the linear-phase property of H ( z ) . Defining h and e as -40

-50
a
E -60
a
3 -10
=6 -80

4 -90

then the prototype filter H ( z ) can be represented as -100

-HO
-,,"
0 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.4'5 0.50
Normalized Frequency

Fig. 3. Example 2 NPR Pseudo-QMF bank. Magnitude response plots for

where the dimensions of both I and J are ( m M m l ) x + the optimized analysis filters H~(z).
+
( m M ml). Using the above notation, the 2Mth-band filter V. Two-CHANNEL BIORTHWNAL
G ( z ) is LINEAR-PHASE
FILTER BANK

4mM+4ml-2 4mM+4ml-2 We will used the above formulation in the design of a two-
G ( z )= g(n)z-, = h t ( z-"Sn)h channel biorthogonal linear-phase filter bank. As described in
n=O \ n=O [111, there are two cases where PR exists, namely
114)
Both filters have even length and different symmetries.
where S , depends on D, and J (see [18]). The objective here
is to find h such that G ( z )is a 2Mth-band filter, i.e., see (15) { Both filters have odd length and are symmetric.
(18)
at the bottom of the page. Equating the terms with the same
Here, we only consider the first case since the other one
power of 2-l in (14) and using (15), the m constraints on
is similar. Let Ho(z) = C ~ ~ ~ ' h o ( n ) z and
- " Hl(z) =
h, which are shown in (16) at the bottom of the page, are 2m-1 h1(n)zpnbe the symmetric and antisymmetric linear-
+
obtained, for n = 2M(m - C) 2ml- 1. In summary, as long
phase filters, respectively. Because of the linearity of both
as h satisfies the m conditions in (16), then the prototype
filter H ( z ) is a linear-phase spectral factor of a 2Mth-band Ho(z) and Hl(z), the only parameters in this filter bank
filter. Consequently, the resulting pseudo-QMF bank has no
are ho(n) and hl(n) for 0 <
n 5 (m - 1). In order to
cancel aliasing at the output, the synthesis filters must be [l 11
amplitude or phase distortions. The only reconstruction error
is aliasing, which can be minimized by finding solutions with Fo(z)= -H1(-z), Fl(z) = H o ( - z ) . Using the above
choices for Fe(z), the overall distortion function T ( z ) for a
high stopband attenuation. The optimized filter H ( z ) of the
PR system (which should be a delay) is
NPR pseudo-QMF bank is the solution of
4m-2
Min T(z)& t(n)z-,
hopt= htPh subject to n=O
h
= -Ho(z)Hi(-z) + H o ( - z ) H ~ ( z )= z - ~(19)
~
Example2: In this example, a 32-channel pseudo-QMF
where n o is a positive integer. One can verify that T ( z ) is a
bank is designed using the above method. Let m = 8 , m l =
symmetric transfer function, and consequently, no = 2m - 1.
0 , M = 32 (N = 512). The magnitude responses of the
Thus, t ( n ) must satisfy the following conditions for a PR
optimized analysis filters H k ( z ) are plotted in Fig. 3. The
system [12]:
stopband attenuation and the aliasing level are about 96 and
-96 dB,respectively. The amplitude distortion in this example
is about 1 x 1 0 - l ~ .
t(2k + 1) = 0, O < k < m - 2
1, k = m - l .
(20)

1LClm-1, m1=0
g(n) =
0; n = 2(mM + m1) - 1 - 2CM, 15C5m, m1fO
2a; +
n = 2 ( m ~ ml) - 1.
NGUYEN: DIGITAL FILTER BANK DESIGN-QUADRATIC-CONSTRAINED FORMULATION 2107

Let
h = (ho(0) . . . ho(m- 1) hl(0) ... hl(m- l ) ) t ..........................

{ e = (1 2-1 . . . z-(m-1) l t , ,--.

m
-20
where it is our objective to express the above m conditions a,
E -30
in (20) in terms of the unknown variable h. The polynomials L
O
-40
H o ( z ) , Hl(z), Ho(-z), and HI(+) can be written in the Lu
-50
following forms: 73
.-
2 -60
C
-70
r
-80

-90

- 100
0 01 0.2 0.3 0.4 0.5
Normalized Frequency

Fig. 4. Example 3: Two-channel PR linear-phase filter bank. Magnitude

response plots for the optimized analysis filters HI,( 2 ) .

Substituting the above relations into (19), T ( z )is simplified to 10

i
I

+ eetUJ) - + JeetU LT -50 -

[(-l)"(JUee'

+ z-'"(-l)"[JeetUJ
( UeetJ

- JUeetJ].
)] -60
-70
~

I f,
-80 .I 1 '
The only matrix in r ( z ) that is a function of z is eet. If one
whctitiitec the ennreccinn fnr @etfrnm (171 intn F17) then
100 I .
0 01 02 03 04 05
Normalized Frequency
4m-2
z-'ht(: 2 ) h Fig. 5. Example 3: Two-channel PR linear-phase filter bank. Magnitude
response plots for the optimized analysis filters H I , ( z ) (approximate PR
k=O solution) and H I , , P K (2 ) (PR solution).
where rk are constant matrices depending on Dk, J, and U.
Comparing term by term in (21), the QCLS conditions become The magnitude responses of H k ( z ) are plotted in Fig. 4. The
htQ2k+lh = 0; 0 5 IC 5 m - 2 stopband attenuations for H o ( z ) and Hl(z) are -57.4 and
htQzm-ih = 1; -57.9 dB, respectively, which are about 14.9 and 15.4 dE3
better than those designed using the lattice approach [ll].
where
The above filter bank is only an approximate PR filter bank
since the quadratic constraints are approximately satisfied (the
error is about 1 x To obtain a PR filter bank, we
and rn is equal to (22), which appears at the bottom of the synthesize the lattice coefficients using the procedure in 1111.
page. With these lattice coefficients, we compute the corresponding
In summary, the PR condition in (19) is rewritten as m PR analysis filters H O , P R ( Z and ) H ~ , P R ( zand
) plot their
quadratic constraints on h as above. The design procedure magnitude responses together with those of H k ( z ) in Fig. 5.
can be found in [12]. We observe practically no difference between the PR analysis
Example: Let m = 31 and the passband and stopband filters H ~ , P R ( Zand ) the analysis filters H k ( z ) designed using
edges of H O ( z )and Hl(z) be 0 . 4 1 4 ~and 0 . 5 8 6 ~respectively.
, the proposed method.

UD, - D,U; O<n<m-l

+ (-l)"(JUD,-, + D,-,UJ) + JD,-,U
UD, - D,U - UD,-,J
)m <
;
n 5 2m - 2
/ \
n = 2m - 1.

~~~
2108 JEEE TRANSACTIONS ON SIGNAL PROCESSING,VOL. 43, NO. 9, SEPTEMBER 1995
VI. CONCLUSION
A method that formalizes the PR filter bank design problem
as a quadratic-constrained least-squares optimization problem
is proposed. ne formulation is quite robust and can be
used to design both PR and NPR filter banks. Moreover,
it can be extended to multidimensional filter bank designs.
Since it is difficult to solve for the exact solution of this
optimization problem, an approximate solution is obtained
using the constrained optimization methods [213. ’Qpically,
the approximation error is in the order of 1x and can be
ignored in most practical purposes. As shown in examples, the
PR cosine-modulated filter bank, the NPR pseudo-QMF bank,
and the two-channel PR linear-phase filter bank designed using
the new quadratic-constrained formulation have high stopband
attenuations.
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Truong Q. Nguyen (M’90) received the B.S., M.S.,
and Ph.D. degrees in electrical engineering from
the California Institute of Technology, Pasadena, in
1985, 1986, and 1989, respectively.
He was with the Lincoln Laboratory of the Massa-
chusetts Institute of Technology (MlT), Cambridge,
from June 1989 to July 1994 as a member of tech-
nical staff. During the academic year 1993-1994,
he was a visiting lecturer at ha and an adjunct
professor at Northeastern University, Boston, MA.
-
Since August 1994, he has been at the University
of Wisconsin, Madison, where he is currently an assitant professor of
electrical and computer engineering. His research interests are in digital
signal processing, multirate systems and applications, filter design, ultrasonics
nondestructive evaluation, and adaptive array processing.
Prof. Nguyen was a recipient of a fellowship from Aerojet Dynamics for
advanced studies. He received the IEEE TRANSACTIONS ON SIGNAL PROCESSING
Paper Award in the Image and Multidimensional Processing area. He is cur-
rently an associate editor for the IEEE TRANSACTIONS ON SIGNAL PROCESING
and has also served on the DSP Technical Committee for the Circuits and
Systems Society of the IEEE. He is a member of Tau Beta Pi, Eta Kappa
Nu, and Sigma Xi.