## About The Applicability of Over-Sampling Theory

One fact which I have described in my blog, is that when Audio Engineers set the sampling rate at 44.1kHz, they were taking into account a maximum perceptible frequency of 20kHz, but that if the signal was converted from analog to digital format, or the other way around, directly at that sampling rate, they would obtain strong aliasing as their main feature. And so a concept which once existed was called ‘over-sampling’, in which then, the sample-rate was quadrupled, and by now, could simply be doubled, so that all the analog filters still have to be able to do, is suppress a frequency which is twice as high, as the frequencies which they need to pass.

The interpolation of the added samples, exists digitally as a low-pass filter, the highest-quality variety of which would be a sinc-filter.

All of this fun and wonderful technology has a main weakness. It actually needs to be incorporated into the devices, in order to have any bearing on them. That MP3-player, which you just bought at the dollar-store? It has no sinc-filter. And therefore, whatever a sinc-filter would have done, gets lost on the consumer.

## libsamplerate

In This Posting, I gave much thought, to how the ‘Digital Audio Workstation’ named QTractor might hypothetically do a sample-rate conversion.

I thought of several combinations, of “Half-Band Filters” that are based on the Sinc Function, and ‘Polynomial Smoothing’. The latter possibility would have often caused a computational penalty. But there was one, simpler combination of methods, which I did not think of.

QTractor uses a GPL Linux library named ‘libsamplerate‘. Its premise starts out with the idea, that a number of Half-Band Filters can be applied in correct sequences with 2x oversampling or 2x down-sampling, to achieve a variety of effects.

But then, ‘libsamplerate‘ does something ingenious in its simplicity: A Linear Interpolation! Linear interpolation will not offer as clean a spectrum as polynomial smoothing will in one step. But then, this library makes up for that, by just offering a finer resolution of oversampling, if the client application chooses it.

This library offers three quality levels:

1. SRC_SINC_FASTEST
2. SRC_SINC_MEDIUM_QUALITY
3. SRC_SINC_BEST_QUALITY

Now, in This Posting, I identified an additional issue which arises, when we are doing an “Arbitrary Re-Sampling” and down-sampling. This issue was, that the source stream contains frequency components that are higher than the output stream Nyquist Frequency, and which need to be eliminated, even though the output stream is not in sync with the source stream.

To the best of my understanding, this problem can be solved, by making a temporary output stream 2x as fast as the final output stream, and then down-sampling by a factor of 2 again…

Sincerely,

Dirk

(Edit 07/21/2016 : ) The ‘GPL’ requires that this library be kept as free software, because it is in the nature of the GPL license, that any work derived from the code must also stay GPL, which stands of the “General Public License”.

But, because the possibility exists of some commercial exploitation being sought after, the Open-Source Software movement allows for a type of license, which is called the ‘LGPL’, which stands for the “Lesser General Public License”. The LGPL will allow for some software to be derived from the original code, which can be migrated into the private domain, so that the author of the derived code may close their source-code and sell their product for profit.

There exists a library similar to this one, that is named ‘libresample‘, with the express purpose that that one be LGPL code.

Yet, the authors of ‘libsamplerate‘ believe that this GPL version of the library is the superior one, which they would therefore have kept in the public domain.

## A Note on Sample-Rate Conversion Filters

One type of (low-pass) filter which I had learned about some time ago, is a Sinc Filter. And by now, I have forgiven the audio industry, for placing the cutoff frequencies of various sinc filters, directly equal to a relevant Nyquist Frequency. Apparently, it does not bother them that a sinc filter will pass the cutoff frequency itself, at an amplitude of 1/2, and that therefore a sampled audio stream can result, with signal energy directly at its Nyquist Frequency.

There are more details about sinc filters to know, that are relevant to the Digital Audio Workstation named ‘QTractor‘, as well as to other DAWs. Apparently, if we want to resample an audio stream from 44.1 kHz to 48 kHz, in theory this corresponds to a “Rational” filter of 147:160, which means that if our Low-Pass Filter is supposed to be a sinc filter, it would need to have 160 * (n) coefficients in order to work ideally.

But, since no audio experts are usually serious about devising such a filter, what they will try next in such a case, is just to oversample the original stream by some reasonable factor, such as by a factor of 4 or 8, then to apply the sinc filter to this sample-rate, and after that to achieve a down-sampling, by just picking samples out, the sample-numbers of which have been rounded down. This is also referred to as an “Arbitrary Sample-Rate Conversion”.

Because 1 oversampled interval then corresponds to only 1/4 or 1/8 the real sampling interval of the source, the artifacts can be reduced in this way. Yet, this use of a sinc filter is known to produce some loss of accuracy, due to the oversampling, which sets a limit in quality.

Now, I have read that a type of filter also exists, which is called a “Farrow Filter”. But personally, I know nothing about Farrow Filters.

As an alternative to cherry-picking samples in rounded-down positions, it is possible to perform a polynomial smoothing of the oversampled stream (after applying a sinc filter if set to the highest quality), and then to ‘pick’ points along the (now continuous) polynomial that correspond to the output sampling rate. This can be simplified into a system of linear equations, where the exponents of the input-stream positions conversely become the constants, multipliers of which reflect the input stream. At some computational penalty, it should be possible to reduce output artifacts greatly.