IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO.

8, AUGUST 1982

Narrow-Band Switched-Capacitor Bandpass

F ilters
M IR BAHRAM GHADERI, MEMBER, IEEE, JOSEF A. NOSSEK, SENIOR MEMBER, IEEE,
AND GABOR C. TEMES, FELLOW, IEEE

A/rsstracr-Novel circuits, based on the N-path (or pseudo-N-path)

configuration, are described for the design of narrow-band switched-capa-
citor (SC) bandpass filters. For noncritical applications very simple and
economical circuits, based on the simulation of passive or active RC
circuits, can be used; for high-accuracy filtering tasks, more elaborate’
circuits (obtained from doubly terminated reactance ladders) are proposed.
The resulting filters provide stable passband responses and low sensitivities
to element-value variations even for extremely narrow relative bandwidths,
where other design approaches fail. Fig. I. N-path filter: the path filters are low-pass filters. N = 3 is shown.

I. INTRODUCTION
W ITCHED-capacitor filters (SCF’s) provide a practi-
S cal method for the fully integrated realization of high-
quality filters. Recently, exact methods have been devel-
oped [6]-[8] for m o d e ling the response of an SCF on that
of a time-continuous prototype filter via the bilinear s-to-z
transformation. This technique greatly reduces the sensitiv-
ity of the response to element-value variations. Typical
sensitivities are lower than 0.1 dB/ 1-percent element-value
change. The circuits described in [7] and [8] are also
reasonably immune to the effects of finite operational
a m p lifier (opamp) gain. Specifically, the effect of a finite
dc gain A is similar to that of a finite-valued reactance
quality factor (Q = A) in the time-continuous ‘prototype
filter [9]. Since opamp gains of order A 2 lo3 are readily
achievable, for most SCF’s the resulting loss distortion is
negligible.
The situation is quite different, however, for narrow-band
bandpass filters. For such circuits, the separation of the
natural modes is much smaller than their distances from
the z = 1 point. The basic building blocks of the SCF, the
SC integrators, introduce natural modes at z = 1 only;
these are then shifted to their final locations by the added
coupling elements. Thus for given relative element-value
tolerances, the uncertainty in the pole location zi is propor-
Manuscript received December 7, 1981; revised March 30, 1982. This
material was based upon work supported in part by the National Science
Foundation under Grant ECS-8105166. Some results contained in this
work were presented at the International Symposium on Circuits and
Systems, Chicago! IL, April 27-29, 1981.
M. B. Ghaden was with the Department of Electrical Engineering,
University of California, Los Angeles, CA. He is now with American
Microsystems, Inc., Santa Clara, CA 95051.
J. A. Nossek is with the Transmission Systems Department, Siemens
AG, Munich, Germany.
G. C. Temes is with the Department of Electrical Engineering, School
of Engineering and Applied Science, University of California, Los Angeles,
CA 90024.
tional to 1zi - I]. For a narrow-band filter, on the other
hand, even a small shift of the natural modes affects the
bandedge loss significantly. These two effects combine to
make the loss sensitivities of narrow-band SCF’s high: 10
dB/l-percent or higher sensitivity values are not unusual.
It follows from the above that the sensitivity of narrow-
band SCF’s can be lowered by using resonators with
natural modes at the center .frequency of the filter, instead
of the usual switched-capacitor (SC) integrators, as basic
building blocks. One possible technique for achieving this
is by using the N-path filter concept.
N-path filters [l] were introduced originally for time-
continuous bandpass filter realization. The basic block
diagram for a three-path filter (N = 3) is shown in F ig. 1. It
can be shown that in this system a number of unwanted
“m irror frequencies” are generated along with the desired
signal. If a perfect match exists between the N paths, then
the phasors of the unwanted m irror frequencies form a
polygon with zero resultant. O therwise they appear at the
output, including a component at the center of the pass-
band.
To overcome this sensitivity to path m ismatch, Fettweis
and Wupper [2] suggested the concept of pseudo-N-path
filters. In these filters only one physical path exists; how-
ever, each memory-possessingelement in the. path is con-
nected to a circulating delay line, which discharges and
rechargesthese elements such that the overall circuit repre-
sents various paths in different clock phases. This ap-
proach thus eliminates the passband distortion due to
m ismatch of signal paths; however, the circuit becomes
more complicated and the imperfections of the delay de-
vices affect the performance. Fettweis and Wupper also
described some SC circuits, using unit-gain buffers or
voltage-inverting switches, which realize pseudo-N-path
systems [ 131.

0098-4094/82/0800-0557$00.75 01982 IEEE

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 558 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

Recently, an attempt was made to extend the N-path

principle to SC filters [3]. N = 4 was used and a clock
frequency of NW, was applied to the SC filter. The circuit
was obtained by the LDI s-to-b transformation of a time-
continuous prototype; thus some loss distortion was intro-
duced due to the approximation used for the terminations
(although this is not very significant for narrow-band
bandpass filters). Also, all memory-possessing capacitors
were replaced by N identical capacitors which were
commutated to provide the N signal paths. Obviously, any
mismatch between these capacitors results in path mis-
match, and introduces unwanted frequencies in the pass- i ts P vs
band. I 2 I 2 I 2
It was subsequently found [4] that by using the frequency
transformation z + z N (see also [5, p. 981) and the bilinear k-T-d
s-to-z transformation [6], an exact low-pass to N-path I
I I
mapping can be obtained. The resulting circuit is thus free (cl
from some approximation errors inherent in the earlier Fig. 2, A simple SC path filter. (a) Time-continuous prototype. (b) SC
work [3]. It can in fact readily be shown (Appendix I) that circuit. (c) Timing diagram. rs: sampling time, T: clock period.
the z-+ z N transformation corresponds to an Nth-order
reactance transformation of the time-continuous prototype low frequencies) simulates H,(s) is shown in Fig. 2(b); its
filter. A straightforward application of this procedure, clocking scheme in Fig. 2(c). It has a transfer function
however, results in a circuit which needs more memory-
possessing capacitors than that of [3], and since each of H(z) = GJTW = z’/*
these capacitors should be replaced by N identical capaci- 1+@+1)(z-1)’ (1)
v,,(z)
tors, the circuit became more complicated and thus more
For ]sT] <l
vulnerable to mismatch of paths.
The design approach presented in this paper appears to z-l=exp(sT)-1-U
possess the combined advantages of these earlier tech- and hence
niques. It is based, as was [4], on the z + zN transformation
of a bilinear low-pass filter [6]. It is thus free from loss H(s)s l+s(a+l)T’
l
distortion resulting from ‘the imperfect approximation of
terminations. However, it does not require the multiplexing Hence, if‘s= RC/T-1, then N(s)=HJs). For a higher
of all memory-possessing capacitors as the approach of [4], order transfer function, an SC realization can be obtained
and hence it results in a significantly simpler circuit. Even simply and without active buffers by using a multiphase
more importantly, this circuit is immune to mismatches clock signal. The SC low-pass filter can then be used in
among the multiplexed capacitors (as long as the dc gain of each path of an SC N-path filter. The clocking scheme is
the opamps is sufficiently high); hence, spurious signals at particularly simple if the path filter contains N - 1 stages.
nw, can only be caused by unsymmetries in the clock feed- As an illustration, Fig. 3 shows a four-path filter’ in which
throughs of the switches connected to the multiplexed each path has a transfer function which is [N(z)]~, where
capacitors. A technique for eliminating this effect is also H(z) is given by (1). To verify this, we note that in the top
described. path the capacitor C/CX is charged to Vi, during clock
In the first part of the paper, simple SC N-path filters phase 1; it shares charges with the first of the equal
simulating passive or active RC filters are discussed. These capacitors of value C during phase 2. Hence, its voltage
circuits are much more economical than those mentioned becomes H( z)V,,( z), with H(z) given by (1). Next, during
earlier, and (in spite of their higher sensitivities) are practi- phase 3, the charge-sharing process is repeated with the
cal in less demanding applications. second C; thus the voltage across C/(Y becomes (apart
from a constant-delay. factor) [ H( z)]*V,,( z). Finally,
during phase 4, the voltage across C/CYand the last capaci-
II. SC N-PATH FILTERS BASED ON RC FILTER tor C will be [ H( z)]~V&Z), as stated. The voltages of
SIMULATION these last (output) capacitors are sampled sequentially to
In some applications, narrow-band SC bandpass filters obtain V&,(z). Th e overall transfer function is, therefore
are needed with precisely controlled band center frequency,
but without exacting requirements on the shape of the (3)
passband. Then, SC N-path filters based on passive or H(z)= ,l+(a+f;(z4-l,,3-
active RC filters may be used [lo], [ll], [18]. Consider the
circuit of Fig. 2(a). Its transfer function is H,(s) = ‘A similar filter was described earlier in an unpublished report by R
Voo,(s)/V&~) = l/(1 + sCR). An SC section which (for Schreiber and H. Betzl of Siemens AG.

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 GHADERI et al. : NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS

(4 (4
r” r’s r’” (6 (n (6 )‘” r’ r”p#s#qu#qqs

12341234 12341234
I,, * I w
0 I I I
bT4 I-T-!
I I
@I @I

Fig. 3. Passive 4-path filter. (a) Circuit. (b) Timing diagram. Fig. 4. Active 4-path filter. (a) Circuit. (b) Timing diagram.

A’comparison with (1) verifies that the circuit is a four-path
SC filter, with each path containing the SC equivalent of
three cascadedand buffered RC sections (Fig. 2(a)).
W ith m inor m o d ifications, the path filters can simulate
active-RC filters (with unrestricted natural modes) as well.
F ig. 4 illustrates an example. The transfer function of each
path filter is
tinuous-line curve). In an integrated realization, the equal-
valued capacitors C can be fabricated with negligible
matching error; however, the capacitor C/a, being much
smaller, is likely to be inaccurate. To illustrate the antic-
ipated effect, F ig. 5 shows also the loss responsesfor 5 10
percent errors in C/a (broken-line curves). F ig. 6 il-

-z-3/*/[(Y*(cy+1)]
H(z) = (4
z-3-z --&)+qj3+$)-(1+~)*

which (for (Y= RC/T - 1, and assuming T < RC and IsT ] K 1) approximates the time-continuous Butterworth transfer
function* H,(s) = ~/[(sCR)~ + 2(sCR)* + 2(sCR) + 11. The overall transfer function is then

- z-6/[a*(a4- l)]
H(z) = (5)
z-12-z- -&)tz-4(3+$)-(l+g’

As an illustration, a bandpass SC filter of less than 0.2-
percent relative bandwidth was designed. The center
frequency was fcenter= 65.925 kHz; the 3-dB bandwidth
Ah dE= 120 Hz. Since T = 1/(4f,,,,,,) and RC = 1/(4?rf,
dB), we get (Y= RC/T- l= f,,,,,,/(7rAf3 dS)- l-174. F ig.
5 illustrates the resulting overall loss characteristics (con-
‘Other polynomial transfer functions (Chebyshev, Bessel, etc.) are also
obtainable.
lustrates the details of the passband, for n o m inal values as
well as for * lo-percent errors in C/a. F inally, F ig. 7
shows the effects of *lo-percent changes in the buffer
gain. All responsesare computed.
As these figures demonstrate, the circuit functions as a
highly selectivebandpass filter with stable center frequency,
even with large tolerances and relatively low opamp gain.
The shape of the passband, on the other hand, is not
precisely controlled. Hence, the filter is best suited for

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 560 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

,*----\ \
,,,.---.\‘
‘j/j
I ‘\,\\
A

Fig. 5.
0I 11 20 I.1 i40

l/2 tnw
I 60:
III

hlh
00I I ICI0
.I I 120

3ncmtw
I
I
IIi 140
I

2fcmtu
Computed loss response of the circuit of Fig. 4 forfcenter = 65.925
kHzanda=174.
I I *

kliz

-I

-3.

“m*r, II&
Fig. 6. Passband response and effect of a-variations on the loss re-
sponse. Fig. 7. The effect of buffer gain variations on the loss response.

applications such as single-frequency tone selection, etc.
Also, unlike the pseudo-iv-path circuits to be discussed in
Section III, these filters are subject to the effects of asym-
metries in the element values and clock signals, as well as
clock feedthrough noises, of the different channels. These
effects can be greatly reduced by using a fully differential
mode of operation [ 111.They are not fully immune to stray
capacitance effects; however, these effects were found to be
minor for practical conditions.
III. PSEUDO-N-PATH LADDER FILTERS
The circuits described in Section II are not suitable for
critical applications where the clock-subharmonic noise
introduced into the passband by element and clock signal
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mismatch, the poorly controlled passband edges and the
relatively high element-value sensitivities are no longer
tolerable. In such situations, SC circuits based on reactance
ladder simulation and the pseudo-iv-path principle [2], [ 131
can be used.
The basic building block needed in the simulated ladder
circuit is the SC integrator (Fig. 8). The circuit inverts the
input signal if the clock phases shown without parentheses
are used at the input; it is noninverting if the parenthesized
phasing is utilized. In this circuit, CO is periodically dis-
charged and is hence memoryless. The feedback capacitor
C, however, serves as a memoried element and, according
to the pseudo-N-path principle, must be supplemented by a
circulating delay line in order to transform the low-pass
 GHADERI et al.: NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS 561

Fig. 10. Fifth-degree time-continuous Chebyshev filter, used as a proto-

type for the path filter of an SC N-path circuit.

form a full cycle of operation. Hence, the first passband

121212 )t not at dc is located around f0 = l/ T = 1/(NT’), where the
path period T contains 12 clock signals (Fig. 9(b)). This
passband will thus be free of clock feedthrough noise,
I T t
along with all other possible passbands not centered at
t t t, m u ltiples of l/ T'.
(b) From the above description, it is evident that the circuit
Fig. 8. SC integrator stage. (a) Circuit. (b) Timing diagram.
of F ig. 9 functions similarly to that of F ig. 8, except that
each stored charge packet is in the memory for a 3T’,
rather than T', period. Hence, the transfer function

of the circuit of F ig. 8 will be replaced by

Y

where z = esT is associated with the sample period T ’.

,tS Its
-i f t
1 2 3 4 1 2341
L---T’-:
-T
@I
Fig. 9. Circulating-delay type pseudo-N-path SC filter stage. (a) Circuit.
(b) Timing diagram. T’ is the clock period for the N-path filter, T is th e
interval for a full cycle in each path.
path filter into a bandpass one.
An SC realization, in which the opamp is used as the
active element of both the integrator and the delay line, is
shown in F ig. 9 for an inverting stage. The operation is as
follows. During clock phase 1, the feedback capacitor C
receivesa signal charge from the storage capacitor C,. This
charge is updated (augmented) by an incremental input
charge entering from the coupling capacitor C,,. During
phase 2, the charge from C, is transferred to C,; during
phase 3, the charge from C, is shifted to C,; and dur-
ing phase 4, the updated charge in C is deposited in C,,
while C, is discharged. The above cycle is then repeated.
Thus C,, C,, and C, form the storage elements of the delay
line which circulates charges in and out of the feedback
capacitor C. Their values do not affect the transfer func-
tion of the stage, which is determined solely by C, and C.
Since all charge packets follow exactly the same path
through the circuit, the lowest clock feedthrough frequency
is l/T’, which is far removed from the passband.
Clearly, it requires N(N + 1) = 12 clock phases to per-
Thus the desired z + z3 transformation [4] is indeed real-
ized.
Noninverting operation can also easily be obtained, e.g.,
by interchanging the clock phases at the right-hand side
terminal of C,. The transfer function then becomes
ts
2341
I t*
I H(z) is now related to the transfer function of the circuit
H of F ig. 8 (parenthesizedclock phases) by the z --f z3 trans-
formation.
To illustrate the use of the pseudo-N-path stages, the
conceptual design of an all-pole (Chebyshev) filter will be
described next. The time-continuous low-pass prototype
filter is shown in F ig. 10. To obtain the corresponding SC
low-pass filter, a m o d ified LDI design with reduced pass-
band distortion [14] can be used. The technique of [14]
simulates the circuit of F ig. 10 with real but frequency-
dependent terminations R/cos( oT/2) and a m o d ified
source signal of V, = V,,/cos(wT/2). The resulting SC
filter is illustrated in F ig. 11. In the figure, for the low-pass
path filter each feedback branch marked A, B, C, D, or E
contains one single capacitor; their values are
cpc’)(y-f)
L2
CB=cO~
c,=c C,R
'T
c,=c,g
cE=co(y-;).

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 562 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

6
Vin
Fig. 11. SC pseudo-N-path filter; the feedback branches and clock
phases are as in Fig. 9.

(4

Fig. 12. More economical circuit diagrams for the filter of Fig. Il.

To transform this low-pass filter into a three-path one,
the feedback branches should be replaced by the feedback
branch shown in Fig. 9(a). The value of C in each branch is
still given by (9). The values of C,, C,, and C, are not
important; however, if they are smaller than C, then the
voltage swing of the opamp becomes unnecessarily large,
while if they are larger, the total capacitance is increased.
Thus C, = C, = C, = C is usually a reasonable compromise.
Some capacitors and switches may be saved in the circuit
by combining any two interstage coupling capacitors

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 GHADERI et a[: NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS 563

(4

Fig. 13. Circuit equivalence used td replace an unswitched coupling

capacitor by a switched one. (a) Circuits. (b) Timing diagram.

switched to the same opamp input into a single capacitor.

The resulting circuit is shown in F ig. 12(a). The switching
phases must be somewhat m o d ified; the coupling capaci-
tors are now switched during phases 1 and 2, rather than 1
and 4. The transformation eliminates the need for match-
ing the combined capacitors; however, now the voltage
across one of the storage capacitors (C, in F ig. 9(a)) is used
as output voltage during phase 2, and hence its value enters
the transfer function. Since the sensitivities of these capaci-
tors are the same, the more economical circuit of F ig. 12(a)
is preferable to that of F ig. 11. It is also possible to
combine capacitors connected to the same opamp output
(Fig. 12(b)). Then the storage capacitor value need not be
matched to Co.
The circuits of F igs: 11 and 12 are fully insensitive to
parasitic-capacitance effects. They are (as discussed) also
fully insensitive to clock feedthrough noise, as well as to
any variations in the values of the storage capacitors (as
long as the opamp gain is sufficiently high to provide the
virtual ground). The shape of the passband will be slightly
distorted due to the m o d ified LDI design used; however,
for narrow-band filters this effect should be small. Natu-
rally, the circuit of F ig. 9 is also applicable to circuits Fig. 14. RAM-type pseudo-N-path SC filter stage. (a) Circuit. (b) Tim-
designed by the exact bilinear transformation [6]-[8]. ing diagram. T’ is the clock period for the iv-path filter, T the period
If the time-continuous prototype filter has finite trans- for each path.
m ission zeros, fixed (unswitched) capacitors are normally
used in some of the coupling branches of the resulting SC overall SCF responseis concerned; however, the circuit on
circuit [7]-[9]. Since these capacitors are memoried ele- the left uses C, as a memoried element, while the circuit on
ments, each would normally have to be supplemented with the right uses it as a switched (and thus memoryless) one.
a circulating delay line in the pseudo-N-path filter (or The equivalence of F ig. 13 ‘can thus be e m p loyed to avoid
replicated N times in an N-path filter [4]). To avoid this, replicating coupling elements.
the equivalence illustrated in F ig. 13 may be used. In the The circuit of F ig. 9 has two disadvantages. F irst, it
circuits shown, it is assumed that the input voltage v, needs 12 clock-phase intervals to complete one period T
changes at the beginning of phase 1, and that the output (Fig. 9(b)). Thus the opamps must operate fast, even for a
voltage v. is sampled at instances t, occuring during phase relatively low center frequency l/T. Secondly, since each
1. It can then readily be shown [ 171that the input-output charge packet must complete four transfers in each period
relation is T, incomplete charge transfer effects due to imperfect
C,(l-z-‘)V,(z)+AQ(z) virtual ground will appear even for fairly high opamp
V,(z) = - (10) gains. (This subject is discussed in detail in Appendix II.)
c, + c,, - c,z-’
Both of these shortcomings are partially corrected (but
for both circuits. They are thus equivalent as far as the some others introduced) by the integrator stage shown in

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 564 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

f3QFiR

= =

Fig. 15. Third-order time-continuous elliptic filter, used as a prototype

for the path filter of au SC N-path circuit.

Fig. 16. Bilitiex low-pass ladder filter.

Fig. 17. RAM-type elliptic pseudo-N-path filter. Branches marked A, B,

and C have the structure of the feedback branch in Fig. 14.

Fig. 14. This circuit operates on the principle of supple- augmented by the input charge entered from C,,. In phase 4
menting the feedback capacitor C by a random access (and phase 2), the updated charge is transferred back into
memory (RAM), rather than by a circulating delay line as C,, where it is stored for a period T, until phase 3 occurs
in the circuit of Fig. 9. The operation is the following. again. During phase 5, the charge of C, is updated in C;
During the time when phase 3 (and hence also phase 1) is during phase 6, it is transferred back to C,. The same
on, the charge from C, is transferred into C, where it is operational cycle is performed on the charge of C, during

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 GHADERI et al.: NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS 565

phases 7 and 8. Thus each charge packet is stored for an

interval 3T', rather than T'. Hence, for the inverting stage
shown in F ig. 14, the transfer function is again given by
(7). A noninverting integrator can be obtained by inter-
changing the clock phases at the right-side terminal of C,.
The transfer function then becomes that given in (8). Since
both the inverting and noninverting integrators sample the
input only during phase 1, the input voltage does not have
to be held constant during phases 1 and 2.
To illustrate the use of the RAM-type filter section, an
SC pseudo-N-path filter will be obtained from a third-order
elliptic low-pass prototype circuit (Fig. 15). Using the
design techniques described in [7] and [8], the bilinear (4
low-pass filter shown in F ig. 16 results. Next, applying the
equivalence of F ig. 13 to replace all fixed coupling capaci- 3 4 5 3
tors, and then supplementing all fixed feedback capacitors
)t
(G $27 and C,) by RAM’s, the circuit of F ig. 17 is
obtained. The switches in the coupling branches are closed (b)
during phases 1 or 2; the figure shows the conditions Fig. 18. Alternative realization for a RAM type pseudo-N-path filter
stage. (a) Circuit. (b) Timing diagram.
during phase 1. In branches marked A, B, and C contain
the feedback branch (C,, C,, C,, C) shown in F ig. 14. The
output voltage is sampled during phase 1; however, the
charge packets belonging to different paths are stored in
parasitic-insensitive input termination circuit (CR, CRR) re-
different Ci. Thus asymmetries in the clock signals, switch
quires that the input voltage V, be a sampled-and-held
dimensions, etc. are not automatically balanced out, as is
signal which changesat the start of phase 2 [7], [ 171.
the case for the circulating-delay circuit.
It follows from the operation of the RAM shown in F ig.
It should be noted that the various options (LDI or
14 that the transfer function is independent of the values of
bilinear ladder circuit, all-pole or elliptic response, etc.)
the storage capacitors (C,, C,, C,), as long as the opamp
used in the design of the low-pass SC prototype filter
gain is sufficiently high. Furthermore, since each charge
remain available in the synthesis of both circulating-delay
packet is transfered only twice during a period T the
and RAM type N-path filters. Thus e.g., the circuit of F ig.
operation is much less affected by opamp gain than that of
17 can equally well be regarded as a circulating-delay type
the circuit of F ig. 9; a detailed analysis of the effects of
N-path circuit. Then all switches in the coupling branches
finite opamp gain on the operation of both circuits is given
are operating in phases 1 and 4 (with clock phase 1 shown
in Appendix II. Most importantly, both periods T’ and T
in the figure) and the feedback branches A, B, and C
contain half as many clock phases for this circuit (2 and 6,
contain the branch shown in F ig. 9 between nodes X and
respectively) than for the circulating-delay type stage.
Y, rather than those in F ig. 14.
Hence, for given loss specifications the opamps of a
pseudo-N-path filter containing the stagesshown in F ig. 14 IV. EXPERIMENTALVERIFICATION
have to be only half as fast as those used in the circuit of
To test the performance of the RAM type N-path filter,
F ig. 9; also, the opamp voltage gain can be lower by a
a discrete prototype was built using commercially available
factor of 4 (i.e., by 12 dB) than for the circulating-delay
integrated circuits: for the opamps, the JFET input quad
type circuit.
a m p lifier LF 347 N was used, while for the switches the
The circuit of F ig. 14 is not the only possible realization
CMOS transmission gate CD 4016 BE. The elliptic filter C
of the RAM type filter stage. F ig. 18 illustrates an alterna-
03 20 25” was chosen as the time-continuous m o d e l (Fig.
tive circuit, due to M tiller [ 151. This circuit uses only 6
15). This filter has a passband ripple of 0.178 dB and a
clock phases.The switch marked “1,2” (closed during both
m inimum stopband attenuation of 31.47 dB. For the
clock phases 1 and 2) is optional; it can reduce clock
pseudo-N-path filter, the center frequency was 2 kHz, and
feedthrough effects. O ther switching arrangementscan also
the passbandwas in the range 2000k 100 Hz. This required
be used.
a 6-kHz clock frequency for a 3-path filter. The capacitor
As against all these advantages, the RAM-type pseudo-
N-path filter suffers from two m a in shortcomings. It needs values of the SC circuit shown in F ig. 17 were then found
to be C, = C, = 0.5023 and C,, = C,, = C,, = C,, = C,, =
8 clock signals,3twice as many as the circulating-delay type
circuit. More importantly, it is not fully immune to clock C, = CR, = 2C, = 1. In branches A and B, all capacitors
were 3.454; in branch C, all capacitors were 3.220. Next,
feedthrough noise in the center of its passband, since
using scaling techniques [7], the capacitors of branch C
were m a d e equal to those of branches A and B, and the
standard values 2.22 nF was chosen for all capacitors in
‘6 for the circuit of Fig. 18. the feedback branches.

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 566 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

dBV
-10

-1
0 l’0 KHz

Fig. 19. Measured gain versus frequency response of a RAM type

pseudo-N-path filter. Horizontal scale: 1 kHz/div. Vertical scale: 10
dB/div.
2000
H,?
Fig. 23. Mirror frequency generation. Single frequency outputs at 1.9
kHz and 1.95 kHz, clock feedthrough at 2 kHz, mirror signal at 2.1
kHz. Vertical scale: 10 dB/div.

represents a voltage of 1 VRMS. Fig. 20 shows the clock

feedthrough noise, on the same scale. The clock feedthrough
is caused mostly by the mismatch of the clock signals and
switches marked as 4, 6, and 8 in Fig. 14. As a result of the
mismatch, 2- and 4-kHz components of the feedthrough
5 IO KHz
noise did not cancel exactly; the observed value was about
Fig. 20. Clock feedthrough noise.. Horizontal scale: 1 kHz/div. Vertical 60 dB below the maximum allowable signal level (a lower
scale: 10 dB/div.
level was used to obtain Figs. 19-22): It depended mostly
on the matching of the clock signals and switches. Hence,
dBv in a monolithic realization, with better matching of switches,
this noise should be reduced.4 Fig. 21 shows the response
on an expanded frequency scale (200 Hz/div.) between 1
and 3 kHz, together with the clock feedthrough voltage.
Fig. 22 shows the details of the passband (50 Hz/div.
versus 2 dB/div.). The slope of the response in the pass-
band is due to the sample-and-hold effect. Since the output
voltage is held constant during periods of length T' = l/6
-90,
1 i KHz ms, the loss difference between the passband edges due to
the sample-and-hold distortion is about 0.34 dB. If the
Fig. 21. Passband response and clock feedthrough noise. Horizontal
scale: 200 Hz/div. Vertical scale: 10 dB/div. output voltage is taken from the right-hand side terminal
of Co, (Fig. 17), which is grounded during one-half of the
dBV
period T', then the distortion is reduced to 0.08 dB. This
was also verified by experiment.
To verify the theoretical insensitivity to the values of the
multiplexed capacitors, each value was increased by 50
percent, one at a time. No effect was observable on the
measured loss response. No scaling was used to increase
the linear range of operation; however, both experiments
and computer simulation indicated that the linear range
could be increased by about 4.5 dB by appropriate scaling.
--I;50 zobo 22% HZ Due to higher harmonics present in the clock and the
Fig. 22. Expanded view of the passband response. Horizontal scale: 50 input, or generated in the filter, and also due to clock
Hz/div. Vertical scale: 2 dB/div.
feedthrough, for a sinusoid input signal of frequency f the
mirror frequency 2f,,,,,, - f is also present in the output of

Fig. 19 shows the experimentally observed output volt-

age versus frequency response. The horizontal scale is 1 4The experimental results regarding clock feedthrough are not truly
representative of the behavior of the integrated realization, since the
kHz/div., the vertical 10 dB/div. Zero frequency is at the structure is completely different. An integrated-circuit version is being
extreme left. The top line is at - 10 dBV, where 0 dBV tested, and the results will be reported shortly.

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 GHADERI et al.: NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS 567

pared. For both circuits, the highest sensitivities occurred

R,=R$=l cl C, a 0.4991761
c, - 1.3016435 F L,’ 0.30156766
L, 10.06415622 H c,= I.3015436
C,= 0.21091023 F L, - 0.064156216
L,= 0.19423532 H c, - I/L.=0
Fig. 24. Time-continuous bandpass filter used as a prototype
ladder filter design.
Fig. 25. SC ladder bandpass filter synthesized from the analog model
shown in Fig. 24. (a) Circuit. (b) Timing diagram.
all N path filters. This effect was also experimentally
observed for the RAM type filter. It was found to be most
serious when f was near a passband edge. The m u ltiple
exposure photograph shown in F ig. 23 illustrates the effect
for two input signals, with frequencies f, = 1900 Hz and
fz = 1950 Hz. O n ly the former has generatedan appreciable
m irror signal, about 53 dB below the signal output. The
clock feedthrough (also shown) was only 40 dB below the
signal level. The signal, however, was 20 dB below its
maximum allowable level ( = 0 dBV, top line in F ig. 23).
To compare the performance to that of an SC bandpass
filter realized using existing design techniques, a direct
ladder realization was also obtained. The time-continuous
prototype is shown in F ig. 24; the resulting bilinear ladder
SCF [7] in F ig. 25. The sensitivities of the two circuits to
element-value variations were then computed and. com-
at the upper passband edge (2.1 kHz). For the direct
realization of F ig. 25, the most critical elements were C,,
and C,: their sensitivity was * 1.2 dB/l-percent element-
value change. This makes the direct realization impractical.
F
By contrast, for the pseudo-3-path circuit of F ig. 17, the
largest frequency-varying sensitivity was 0.065 dB/ per-
H
cent, due to C,,, and C,,. (The sensitivity to CR, is 0.087
F
dB/percent; however, it is frequency-independent and
H hence only affects the signal level, not the selectivity.) It is
worth noting that the ratio of maximum sensitivities is
for SC close to L,,,,,,/( BW/2), which is also the ratio of the
d o m inant pole Q ’s for the two circuits. This improvement
is due to the inherent stability of the band-center frequency
for the N-path filter.
Next, the sensitivities to the finite opamp gains were
compared. The results are summarized in Table I. As the
results illustrate, the direct realization is extremely sensitive
to this effect as well. The sensitivities of the pseudo-3-path
are again much lower, and within practical lim its.
The element values of the two filters, scaled for maxi-
m u m signal swing and m inimum capacitance ratio [8], are
compared in Table II. As the table illustrates, the capaci-
tance spread C,,/C,, is 21.2 for the direct realization,
while only 9.98 for the pseudo-3-path circuit. The total
capacitance is nearly the same: 104 C,, for the direct
realization, while 102 C,, for all paths of the 3-path filter.
The circuit of F ig. 25 needs 6 opamps, while the pseudo-3-
path only 3.
The 3-path filter does have some comparative disad-
vantages.
1) Both the anti-aliasing and smoothing filters can be
low-pass circuits for a direct-realization SC bandpass filter.
For the N-path realization, the smoothing (post-) filter
must have a bandpass response, and hence may be more
difficult to realize.
2) Pseudo-N-path filters with circulating delay (Fig. 9)
require a 4-phase clock, rather than a 2-phase one as the
direct realization does. The RAM-type pseudo-N-path
needs a 6-phase clock, with 8 different clock signals.
3) The opamps in the circulating-delay type circuit need
to be twice as .fast as those in the direct realization (or in
the RAM-type pseudo-N-path filter), and must have higher
gain as compared to RAM-type circuits (but lower than in
the direct realization).
4) The RAM-type pseudo-N-path filter has m idband
noise due to imperfectly balanced clock feedthrough.
5) All N-path filters generate m irror frequency noise.
6) Preliminary calculations indicate that the response of
pseudo-N-path filters is very sensitive to the noise gener-
ated in the switches and opamps of the circuit. This
property appears to be common for all resonator-type
bandpass filters, analog, SC, or CCD.
The problems listed above under 4), 5), and 6) may make
N-path filters unsuitable for applications requiring very
high dynamic range as well as very narrow bandwidth.

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 568 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

TABLE I
-r 4
Nominal Opamp Gain = 140 dB Opamp Gain = 60 dE
(Speci- _
fied) Direct Pseudo Direct Circulating RAM Type
Value Bandpass 3-Path Eandpass Delay Type Pseudo
Realization Filters Realization Pseudo N-Path N-Path

Upper Passband Edge

0.178 0.178 0.178 5.060 0.78 0.37
Loss [dE]

Lower Passband Edge

0.178 0.178 0.178 1.713 0.69 0.38
Loss [dE]

Min. Passband Loss

[dEI] ’ d0 &O 1.257 0.3 0.11

TABLE II

3.98211

9.98667

C 1.47431 4.73481
Sl
‘b 5.61970 5.60319

Cc 6.02646 2.89162

1.37096

Ef 3.50770 1.45231

‘h 1.56059 3.46500

2 -38585

‘k 3.50090

Co2 2.24840

Co3 21.21840

Go5 2.15047

‘06 14.21008

CO8 2.28907

Co9 6.74138

All circuits discussed are equally insensitive to stray polation, quadrature 2-path filters) also exist, and are being
capacitances and to common-mode effects. explored.
In spite of the disadvantages listed above, pseudo-N-path An interesting possibility for improving the clock
filters offer a viable realization for narrow-band SC band- feedthrough performance of the N-path and RAM type
pass filters, while direct realization (as the above example pseudp-N-path filter is offered by the use of the transfor-
illustrated) does not. Other alternatives (decimation/inter- mation z -+ - z N in deriving the bandpass SC filter from a

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 GHADERI et al. : NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS 569

low-pass SC prototype. The clock feedthrough noise fre- reactance function in sBp, as stated.
quencies then fall between passbands and are thus harm- For example, if N = 3, we get
less. Some preliminary results can be found in [16] and
[ 171; more will be reported later. 2 sBp( sip + 108/T*)
644)
sLp = T (18/T)&, +216/T3.
V. CONCLUSIONS
The SC circuits described in this paper are uniquely Thus the transfer function of the time-continuous “band-
suited for the realization of narrow-band filter characteris- pass” (in reality, m u ltiband) filter will have passbands
tics. They can provide very sharp passband responses, centered at wBp= 0 and at oBp = +6fi/T. These will be
comparable to those achieved using crystal or mechanical transferred by the bilinear transformation (Al) to zBp = 1
filters, or charge-recirculating CCD filters. An analysis of andtoz BP= exp ( -Cj2?~/3). This is the same result as what
the advantagesand lim itations of these circuits is given; it is obtained from the zLp + zip transformation.
indicates that they may be useful in a number of important II
APPENDIX
applications. Their m a in disadvantage at this tim e appears
to be a lim itation in the dynamic range. Further researchis The performance of pseudo-3-path filters with finite dc
needed to remove this lim itation. opamp gain can be analyzed with reference to the circuit of
F ig. 26, which illustrates the conditions during a single
APPENDIX I clock phase i. Assume that the capacitors are charged to
It will be shown that the z + zN transformation corre- the initial voltages U, = u; and ub = u; before the switches
sponds to an Nth-order reactance transformation of the close. Then, writing the charge conservation law for node X
time-continuous prototype filter. Let sLp be the frequency gives
variable of the time-continuous low-pass filter, while zLp
that of the SC low-pass filter; let the corresponding varia- co(&+*)+cb( -i); + +T)
bles of the bandpass filters be sap and zap. Since the
bilinear s-to-z transform is used to derive the SCF’s from
-C&; -u&( l+b)l =O. (A5)
their time-continuous prototype, the relations
--2 ZLp - 1 SLP +-2/T Here, t&, u&r denote sequenceswhich are different from
sLp= T zLp+ 1 zLP= _
SLP +2/T zero only during clock phase i.
2~7 ZBP -1 ‘BP +2N/T cAl)
From (A5), for C, = C, = C, we obtain
SBp=TLgp+l zBp= -sBp+2N/T
Ui OUT =
u, -u~&Y+u;
hold. Furthermore, since the bandpass transfer function is B
derived from the low-pass one using the zLp + zip transfor- for the output voltage at the end of clock phase i, where
mation (Yk C/C, and B k 1+(2+ l/cw)/A. The capacitors C, and
C, are charged to new voltages given by
-2z[p-1
--
sLp- Tz;~++

+ _-- UbUT
l)b
A'
=- 2
T Consider now the operation of the circulating-delay type
stage shown in F ig. 9 during clock phase 1. Now C, = C
and C, = C,; also from (A7) and the tim ing diagram of
F ig. 9(b), clearly u;(nT') = u&,,(nT'-T'/4)/ A and u;
=2. (‘BP +2N/'T)N-(-sBp+2N/T)N
642) (nT') = (1+ l/A)u&,,( nT'- 3T'/4). Hence, from (A6)
T b BP+2N,'T)N+(-sBP+2N/T)N'
Bu&,,(nT')=u&,(nT'-T'/4)/A-~&&#')/a
Hence
+tl + l/Ah&JT (n~'-3~'/4). (~8)
2 Od[(s,p +2N,‘T)N]
(‘43) Defining z as in (7) u&,,( n T ’- T'/4) transforms into
SLP=T Ev[(s,, +2N/T)N] Z -“4k$uT( z), etc., and hence (A8) becomes in the z-
where Od[P(s)] (Ev[P(s)]) denotes the odd (even) part of d o m a in
P(s). Since here the polynomial (sBp +2N/T)N is strictly
Hurwitz, by a well-known theorem (see, e.g., [ 121on p. 96)’
the expression on the right side of (A3) is an Nth-order

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 570 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982

The same analysis can be performed along similar lines

for the inverting RAM-type circuit (Fig. 14). Now, how-
ever, an input charge is entered during phases 3, 5, and 7,
and hence the equations are

“AU, BV&( Z) = (l,/A)t-“*V&,( Z)

Y Y +(~+~/A)z-~~*V&~(Z)-(~/(Y)V~(Z)
Fig. 26. Switching operation in a pseudo-N-path filter.
VJjUT( z) = z-“*v&T( z)

Repeating the process for clock phases 2, 3, and 4 (when BV&,(z) = (l/A)z-“*V&,(z)
. C, is not switched and hence B + 1+2/A must be used),
the relations +(1+1/A)z-5’2V&,T(z)-(l/~)V~(z)

(1+2/A)V&,,(z) = (~/A)z-“~V;,,(Z) bgUT(Z) = z-‘m&,(z)

+(l+ ~/A)z-~/~V&,(Z) BP’&,(z) = (~/A)z-‘/*V&,~(Z)

(1+2/A)V&,T(~) = (~/A)z-‘/~V&,,(Z) +(1+1/A)z-5’2V&,T(z)-(l/+‘~(~)

+(l+ 1/A)z-3~4V&T(z) guT(Z) =z-‘/*v&T(z). (‘415)

(1+2/A)V&,T(~)=(1/A)~-1~4V&,T(~) can be eliminated using the
v&Ty @UT, and %T
+(l+ 1/A)z-3’4V~uT(z) second, fourth, and sixth equations. Adding the remaining
3 equations, and recognizing from Fig. 14 that now
(A 10)
result. Since the desired transfer function is H(z) v,UT(‘) = &JT tz>+ v&JT(z)+ VC?“T(z)

’ v;“,<z)/v:N(z)~ (A9) and (AlO) must be solved for and

V&,T. After some calculation, this gives
-(A/~+[(A+2)~-2z-~(A+l)(A+2)]
H(z)= . (All)
(A+2+l/(~)(A+2)~-z-‘[4(A+1)(A+2)(A+2+1/2a)+l]+z-~2(A+1)~-z-~(A+1)~

It is reassuring to note that, for A + co, (Al 1) + (7)!

Consider now-the behavior of the denoknator of. H(z)
near the passband center at z0 = exp(j2?r/3). Assuming
A > 1, (Y>>1 and z = z,exp( 6) where S can be complex but H(z) = %JT + ‘dUT + ‘&JT

161K 1, the denominator becomes (to a first-order ap- v&+v;~+v&

proximation)
(‘w
D(S)s3S+(l/A)(6+j2fi). 6412) = (A+2+l,.)~~/P-rl(A+l)

By comparison, for an ideal opamp, the denominator is Di results.

(6) z 36. This shows that the effect of the finite opamp gain ForA+co,(A16)-+(7).UsingA,a~1andz=z0exp(6),
is to a first-order approximation equivalent to the transfor- 161K 1 as before, the transformation
mation z’= zew4)(~+H5~
t fw
z’= Ze(*/4(1+j/6). 6413) results. Clearly, the changes in both I z I and arg( z) are only
It is important to remember that (A13) holds only for the one-fourth of the values obtained for the circulating-delay
denominator (i.e., natural modes), and only for z values type stages.
near zO. To attach some physical meaning to (A13) and (A17), let
A similar calculation can be performed for the nonin- 6 be pure imaginary. Then the denominators of all transfer
verting circulating-delay stage. The end result is functions are, for A + co, D(S) = j3 16 I. For finite A, the
denominator becomes
H(z)= (A/a)z-1[(A+2)2-z-‘(A+1)+z-2(A+1)3]
D(S)-6/A+ j(SlSl+2fi/A) 6418)
D(z)
for the circulating-delay type circuit. This corresponds to
(A14)
an integrator quality factor
Here, the denominator D(z) is the same as in (Al 1). For
A+ cc, (A14) + (8). Equation (A13) remains valid for the 3161 +&$‘A 16lA
Q= -- (Al91
first-order effect. 6/A =2

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 GHADERI et (11. : NARROW-BAND SWITCHED-CAPACITOR BANDPASS FILTERS
where ISI > l/A is assumed. By contrast, for the RAM
type memory Q = 2 1S 1A results, a value four times higher
than that for the circulating-delay type circuit.
For completeness,the transfer function of the noninvert-
ing RAM type stage is also given
A/a z-’ + z-‘( A + 1)
H(z)=A+2 (A+2+1/a)-Z-‘-z-~(A+~).
(Am
For A + co, (A20) + (8). The denominator of H(z) is the
same as that in (A16), and hence, all conclusions drawn
using first-order approximations remain valid.
Physically, the results expressedby (A13) and (A17) can
be explained the following way. For the circulating-delay
type circuit of F ig. 9, each charge packet processedin the
feedback branch must undergo 4 transfers from capacitor
to capacitor in a full period T. For a finite opamp gain,
these transfers are all incomplete, and some signal charge is
lost in all 4 operations. For the RAM-type circuit (Fig. 14),
each charge is transferred twice in an interval T; however,
one of these transfers (from Ci to C) is effectively lossless,
since the charge is later returned from C to the same Ci,
and hence, is reunited with the charge which remained in
Ci due to the first incomplete transfer. Thus, only 1 lossy
transfer occurs in each full period T, versus 4 transfers for
the circulating-delay circuit. Hence, the relative factor 4
occurring in formulas comparing the finite-gain effects for
the two circuits is supported by physical insight.
The above conclusions are confirmed by the results
shown in Table I, which indicate a much larger effect for
the circulating-delay circuit than for the RAM. The ratio,
however, is 3 rather than 4; this discrepancy is not too
surprising in view of the numerous approximations m a d e
in deriving (Al 3) and (A17). In addition, the derivation of
the factor 4 has only taken into account the lossesoccuring
in a filter during the storage operation but has neglected
the losses due to the coupling of the individual resonators
to perform the proper filter function. These additional
losses occur in both pseudo-N-path filters and their values
depend on the specific filter realization.
ACKNOWLEDGMENT
The authors are grateful to Dr. E. G leissner, Dr. K.
Haug, and Dr. G . M i.iller of AEG-Telefunken, Dr. R.
Schreiber, Dr. H. Klar, and Dr. H. Betzl of Siemens AC,
and Dr. M . Zomorrodi of the University of California, Los
Angeles, for useful discussions. They are also indebted to
Prof. H. W e inrichter of the Technical University of Vienna,
Austria, as well as the (unknown) reviewers for their
suggestions.
REFERENCES
[I] L. E. Franks and I. W . Sandberg, “An alternative approach to the
realization of network functions: The N-path filter,” Bell Syst. Tech.
J., pp. 1321-1350, Sept. 1960.
[2] A. Fettweis and H. Wupper, “A solution to the balancing problem
in N-path filters,” IEEE Trans. Circuit TheoT, vol. CT-18, pp.
403-405, May 1971.
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[31 D. J. Allstot and K. S. Tan, “A switched-capacitor N-path filter,” in
Proc. Int. Symp. Circuits and Systems, pp. 313-316, Apr. 1980.
[41 M. S. Lee and Ch. Chang, “Exact synthesis of N-path switched-
capacitor filters,” in Conf. Rec., IEEE Int. Symp. Circuits and
Systems, Chicago, IL, pp. 166- 169, Apr. 198 I.
151 H. W . Schiissler, Digitale Systeme zur Signal- Verarheitung. Berlin,
Germany: Springer, 1973.
t61 M. S. Lee, “Parasitics-insensitive switched-capacitor ladder filters,”
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[71 M. B. Ghaderi, G. C. Temes, M. S. Lee, and Ch. Chang, “Bilinear
switched-capacitor ladder filters-new results,” in Conf. Rec., IEEE
Int. Symp. Circuits and Systems, Chicago, IL, pp. 170-174, Apr.
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PI M. S. Lee, G. C. Temes, Ch. Chang, and M. B. Ghaderi, “Bilinear
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28, pp. 811-822, Aug. 1981.
(91 K. Martin, “Switched-capacitor networks,” Ph.D. dissertation, Univ.
of Toronto, Canada, Mar. 1980.
[lOI D. L. Fried, “Analog sampled-data filters,” IEEE J. Solid-State
Circuits. vol. SC-7, pp. 302-304, Aug. 1972.
[Ill E. Hebenstreit and R. Schreiber, “Push-pull accumulator using
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[I21 G. C. Temes and J. LaPatra, Introduction to Circuit Synthesis and
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[I31 A. Fettweis and ,, H. Wupper, “Zeitvariantes Filter mit
frequenzabhtigigen Ubertragungselgenschaften,” German Patent 20
50 708, Sept. 25, 1975.
[I41 K. Haug, “Design, analysis and optimization of switched-capacitor
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;I; J. A. Nossek, G. J. Smolka, U. Loibl, and H. Weinrichter,
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iI71 M. B. Ghaderi “New design techniques for switched-capacitor
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+
Mir Bahram Ghaderi (S’80-M’82) was born in
Tehran, Iran, in November, 195 1. He received
the B.Sc. and M.Sc degrees from the University
of Tehran, Iran, in 1975, and the M.Sc and Ph.D.
degrees from the University of California, Los
Angeles, in 1978 and 1981, all in electrical en-
gineering.
In September 198 1, he joined American Micro-
systems, Inc., in Santa Clara, CA, as a member
of the Technical Staff in Communications En-
gineering. His work involves the design of analog
M O S switched-capacitor filters.
Dr. Ghaderi was co-winner of the 1981 Darlington Award of the IEEE
Circuits and Systems Society.
+
Josef A. Nossek (S’72-h4’74-SM’81) was born in
Vienna, Austria, in 1947. He received the Dipl.
Ing. and Dr. degrees (both in electrical engineer-
,& ing) from the Technical University of Vienna,
Austria, in 1974 and 1980, respectively.
In 1974, he joined Zentrallaboratorium fiir
Nachrichtentechnik, Siemens AG, Munich,
Germany, where he was engaged in the design of
passive and active filters for communication sys-
tems. In 1978 he became a Supervisor in the
Long-Distance Communications System Depart-
ment. Since 1980 he is Head of a group of laboratories concerned with the
design of monolithic filters (analog and digital), electromechanical and
microwave filters. He holds a number of patents in this field.
Mr. Nossek is a member of the Nachrichtentechnische Gesellschaft im
Verein Deutscher Elektrotechniker (German Society of Communications).
 IEEE TRANSACTIONS
Gabor C. Temes (SM’66-F’73) received the Dipl.
Ing. from the Technical University of Budapest
in 1952, the Dipl. Phys. degree from Eotvos
University, Budapest, Hungary, in 1954, and the
Ph.D. degree in electrical engineering from the
University of Ottawa, Canada, in 196 1.
He was a member of the faculty of the Techni-
cal University of Budapest from 1952 to 1956.
He was employed by Measurement Engineering
Ltd., Amprior, Ontario, Canada, from 1957 to
1959. From 1959 to 1964 he was with Northern
Electric R and D Laboratories, Ottawa, Ontario, Canada. From 1964 to
1966 he was a research group leader at Stanford University, Stanford,
California; from 1966 to 1969, a Corporate Consultant at Ampex Corpo-
Letters to the Editor
On the Number of Essential Complementary
Partitions
YOJI KAJITANI, S. UENO, AND WAI-KAI CHEN
Absrroct -The essential complementary partition of a finite set V was
defined by Chen [l] for the purpose of listing all trees of a graph. For V of
cardinality k, Chen and Goyal [2] conjectured that the number of distinct
essential complementary partitions is 2( k + l)‘-‘. This correspondence
proves that this conjecture is true.
Let V={1,2;.. ,k}. Consider two partitions PL and PR of V
as
PL: v= zJ,uu*u . . . uu,, cr,nq=0, i#j
P,:V=W,UW,U ... UW,, wprq=0, i#j.
For brevity, these PL and PR are used to denote the sets of their
classes as PL=(U,,U2;-., U,} and PR = (w,, w,; . ., W ,}. This
pair of partitions of V is represented by P = ( PL, PR).
P is called CompIementary if there exists a subset I of V and an
element p E I such that I and (V - 1) U {p} are sets of distinct
representatives of PL and PR, respectively. Here, a subset D of V
is called a set of distinct representatives of the partition V = V,UV,
U . . . UVq if for any i (1 d i d q), the cardinality of Vif7LI is 1.
Furthermore, P is called essential if there is no proper non-
empty subset V, of V such that there exist PL = {U,, . . . , I!.$,} c PL
Manuscript received November 16, 1981; revised February 11, 1982.
Y. Kajitani and S. Ueno are with the Department of Electrical and Elec-
tronic Engineering, Tokyo Institute of Technology, Ookayama, Tokyo 152,
Japan.
W . -K. Chen is with the Department of Information Engineering, College of
F.ingineering, University of Illinois at Chicago, Chicago IL 60680.
0098-4094/82/0800-0572$00.75
Authorized licensed use limited to: UNIVERSIDADE FEDERAL DO RIO GRANDE DO NORTE. Downloaded on September 13,2022 at 14:29:53 UTC from IEEE Xplore. Restrictions apply.
ON CIRCUITS AND SYSTEMS, VOL. CAS-29, NO. 8, AUGUST 1982
ration, Redwood City, CA. He is now on the faculty of the University of
California, Los Angeles, as a Professor in the Department of Electrical
Engineering. Between 1975 and 1979, he was also Chairman of the
department.
Dr. Temes is an Associate Editor of the Journal of The Franklin
Institute, a former Editor of the IEEE TRANSACTIONS ON CIRCUIT THE-
ORY, a former Vice President of the IEEE Circuits and Systems Society,
and a former Chairman of its Best Paper Awards and Nominations
Committees. In 1968 and 1981, he was a co-winner of the 1968 Darling-
ton Award of the IEEE Circuits and Systems Society. He is co-editor and
co-author of Modern Filter Theory and Design Wiley, 1973; co-author of
Introduction to Circuit Synthesis and Design, McGraw-Hill, New York,
1977; and a contributor to other edited volumes.
and Pi={W,;-., W ,} C PR satisfying
v,=u,u ... uup=w,u ... uw,
and P’= (Pt, Pi) is again complementary.
Consider a tree t which consists of edge set E, = {e, , e2,. . . , ek}
and vertex set V, for which a partition 4 = V,,UV,,( QnK, =0)
is specified such that every edge connects a vertex of FL and one
of <a. Each vertex is labeled with the set of labels of all edges
incident to it. This tree is represented as t = ( vL, vR). Note that
one tree may correspond to two symmetric representations
( yL, yR) and (V,:, y:;7) where y:r. = V;R and V,, = v:L. It is easy
to see .that these two are distinct if and only if k > 2.
For a tree t = ( yL, ya), a mapping MAP (t - P) to a pair of
partitions P = ( PL, PR) is introduced.
MAP (t - P): Let yr = {u,, u,;..,u,} and V,, =
{ W I,W2,” . , We}. Then, set PL = {U,, U,, . . . , U,) and PR
={W,,W,;~~,W,},andleteachclassUi(i=l;~~,I)of
PL consist of {i,, i,; . f , i4} if the set of edges incident at
ui (i.e., the label of vertex ui) is {e,,, er2; . .,erq} in t.
Each class Wi of PR is similarly defined.
END
An illustrative example of MAP( t - P) is shown in Fig. 1.
Theorem 1: For any t = ( KL, vR), the partition pair P =
( PL, PR) given by MAP( t - P) is a unique essential complemen-
tary partition of V.
Proof The algorithm in the following gives I and p with
respect to P stated in the complementarity condition. Since k > 0,
tree t has at least one vertex of degree 1, and therefore at least
one class exists in PLU PR whose cardinality is 1. Take any of such
classes, say (I, = { cx}. Then, let OLbe the representative of Ui. Then
delete e, from t leading to a tree which is considered to corre-
01982 IEEE