Applied and Numerical Harmonic Analysis

Stephen D. Casey
Kasso A. Okoudjou
Michael Robinson
Brian M. Sadler
Editors

Sampling:
Theory and
Applications
A Centennial Celebration of Claude
Shannon
Applied and Numerical Harmonic Analysis

Series Editor
John J. Benedetto
University of Maryland
College Park, MD, USA

Advisory Editors

Akram Aldroubi Gitta Kutyniok

Vanderbilt University Technical University of Berlin
Nashville, TN, USA Berlin, Germany

Douglas Cochran Mauro Maggioni

Arizona State University Johns Hopkins University
Phoenix, AZ, USA Baltimore, MD, USA

Hans G. Feichtinger Zuowei Shen

University of Vienna National University of Singapore
Vienna, Austria Singapore, Singapore

Christopher Heil Thomas Strohmer

Georgia Institute of Technology University of California
Atlanta, GA, USA Davis, CA, USA

Stéphane Jaffard Yang Wang

University of Paris XII Hong Kong University of
Paris, France Science & Technology
Kowloon, Hong Kong
Jelena Kovačević
Carnegie Mellon University
Pittsburgh, PA, USA

More information about this series at http://www.springer.com/series/4968

Stephen D. Casey • Kasso A. Okoudjou
Michael Robinson • Brian M. Sadler
Editors

Sampling: Theory
and Applications
A Centennial Celebration of Claude Shannon
Editors
Stephen D. Casey Kasso A. Okoudjou
Department of Mathematics and Statistics Norbert Wiener Center
American University University of Maryland
Washington, DC, USA College Park, MD, USA

Michael Robinson Brian M. Sadler

Department of Mathematics and Statistics Army Research Laboratory
American University Adelphi, MD, USA
Washington, DC, USA

ISSN 2296-5009 ISSN 2296-5017 (electronic)

Applied and Numerical Harmonic Analysis
ISBN 978-3-030-36290-4 ISBN 978-3-030-36291-1 (eBook)
https://doi.org/10.1007/978-3-030-36291-1

Mathematics Subject Classification: 42-XX, 42-06, 43-XX, 43-06, 65-XX, 65-06

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ANHA Series Preface

The Applied and Numerical Harmonic Analysis (ANHA) book series aims to
provide the engineering, mathematical, and scientific communities with significant
developments in harmonic analysis, ranging from abstract harmonic analysis to
basic applications. The title of the series reflects the importance of applications
and numerical implementation, but richness and relevance of applications and
implementation depend fundamentally on the structure and depth of theoretical
underpinnings. Thus, from our point of view, the interleaving of theory and
applications and their creative symbiotic evolution is axiomatic.
Harmonic analysis is a wellspring of ideas and applicability that has flourished,
developed, and deepened over time within many disciplines and by means of
creative cross-fertilization with diverse areas. The intricate and fundamental rela-
tionship between harmonic analysis and fields such as signal processing, partial
differential equations (PDEs), and image processing is reflected in our state-of-the-
art ANHA series.
Our vision of modern harmonic analysis includes mathematical areas such as
wavelet theory, Banach algebras, classical Fourier analysis, time-frequency analysis,
and fractal geometry, as well as the diverse topics that impinge on them.
For example, wavelet theory can be considered an appropriate tool to deal with
some basic problems in digital signal processing, speech and image processing,
geophysics, pattern recognition, biomedical engineering, and turbulence. These
areas implement the latest technology from sampling methods on surfaces to fast
algorithms and computer vision methods. The underlying mathematics of wavelet
theory depends not only on classical Fourier analysis, but also on ideas from abstract
harmonic analysis, including von Neumann algebras and the affine group. This leads
to a study of the Heisenberg group and its relationship to Gabor systems, and of the
metaplectic group for a meaningful interaction of signal decomposition methods.
The unifying influence of wavelet theory in the aforementioned topics illustrates the
justification for providing a means for centralizing and disseminating information
from the broader, but still focused, area of harmonic analysis. This will be a key role
of ANHA. We intend to publish with the scope and interaction that such a host of
issues demands.

v
vi ANHA Series Preface

Along with our commitment to publish mathematically significant works at the

frontiers of harmonic analysis, we have a comparably strong commitment to publish
major advances in the following applicable topics in which harmonic analysis plays
a substantial role:

Antenna theory Prediction theory

Biomedical signal processing Radar applications
Digital signal processing Sampling theory
Fast algorithms Spectral estimation
Gabor theory and applications Speech processing
Image processing Time-frequency and
Numerical partial differential equations time-scale analysis
Wavelet theory

The above point of view for the ANHA book series is inspired by the history of
Fourier analysis itself, whose tentacles reach into so many fields.
In the last two centuries Fourier analysis has had a major impact on the
development of mathematics, on the understanding of many engineering and
scientific phenomena, and on the solution of some of the most important problems
in mathematics and the sciences. Historically, Fourier series were developed in
the analysis of some of the classical PDEs of mathematical physics; these series
were used to solve such equations. In order to understand Fourier series and the
kinds of solutions they could represent, some of the most basic notions of analysis
were defined, e.g., the concept of “function.” Since the coefficients of Fourier
series are integrals, it is no surprise that Riemann integrals were conceived to deal
with uniqueness properties of trigonometric series. Cantor’s set theory was also
developed because of such uniqueness questions.
A basic problem in Fourier analysis is to show how complicated phenomena,
such as sound waves, can be described in terms of elementary harmonics. There are
two aspects of this problem: first, to find, or even define properly, the harmonics or
spectrum of a given phenomenon, e.g., the spectroscopy problem in optics; second,
to determine which phenomena can be constructed from given classes of harmonics,
as done, for example, by the mechanical synthesizers in tidal analysis.
Fourier analysis is also the natural setting for many other problems in engineer-
ing, mathematics, and the sciences. For example, Wiener’s Tauberian theorem in
Fourier analysis not only characterizes the behavior of the prime numbers, but also
provides the proper notion of spectrum for phenomena such as white light; this
latter process leads to the Fourier analysis associated with correlation functions in
filtering and prediction problems, and these problems, in turn, deal naturally with
Hardy spaces in the theory of complex variables.
Nowadays, some of the theory of PDEs has given way to the study of Fourier
integral operators. Problems in antenna theory are studied in terms of unimodular
trigonometric polynomials. Applications of Fourier analysis abound in signal
processing, whether with the fast Fourier transform (FFT), or filter design, or the
ANHA Series Preface vii

adaptive modeling inherent in time-frequency-scale methods such as wavelet theory.

The coherent states of mathematical physics are translated and modulated Fourier
transforms, and these are used, in conjunction with the uncertainty principle, for
dealing with signal reconstruction in communications theory. We are back to the
raison d’être of the ANHA series!

University of Maryland John J. Benedetto

College Park Series Editor
 The figure is designed to reflect the rich harmonic analysis/signal processing
community in the greater DC metropolitan region. Like DC itself, it radiates
outward symmetrically from the Capitol. First, the function

sin(π |z|)
π |z|

was plotted in MATLAB in the region C \ D, where C represents the complex

plane and D represents the unit disk in the plane. Then, the U.S. Capitol Dome
was “lathed” onto the image, joining the radial sinc function at the unit circle ∂D.
The design was created by Stephen Casey and Randy Mays, with Mays providing
the Capitol Dome framework, filling it in with MATLAB coloring.
Preface

Seminal ideas are triggered by amazing insights, often derived from straightforward
ideas. Many lead to important developments far beyond what was envisioned. The
ideas of Claude E. Shannon on sampling and signal processing, entropy, information
theory, and cryptography are examples of such seminal ideas. He placed what
we commonly refer to as the Classical (a.k.a., Whittaker–Kotel’nikov–Shannon
(WKS)) Sampling Theorem as a cornerstone of information theory in his paper
Communications in the Presence of Noise.1 The harmonic analysis and signal
processing communities have adopted Shannon’s point of view, as is evidenced
in the papers in this monograph. Our “Age of Information” presents us with new
challenges, and, in particular, with respect to sampling. We are in the time of
miniature and handheld devices for communications, robotics, and micro aerial
vehicles, cognitive radio, radar, etc. We are also presented with the challenge of
powering these and other systems.
We marvel at the rich extent of mathematical research and significant applications
that Shannon’s ideas have inspired, from the mathematics hiding in compact discs
and videos to modern advances in signal and image processing, compressed sensing,
deep learning, real and complex analysis, applied and computational harmonic
analysis, geosciences, inverse problems, optics, computational neuroscience, etc.
We have witnessed many breakthroughs in some of these areas in the past two
decades, and more is yet to come. The Applied and Numerical Harmonic Analysis
(ANHA) series publishes works in harmonic analysis and its myriad of incredible
applications. It has and will continue to report on the rich tapestry of these
disciplines as they continue to grow.
The papers in this volume are outgrowths of the SAMPTA conferences. The 13th
SAMPTA occurred in July 2019 at Université de Bordeaux.

1 Shannon himself was careful to note that the Sampling Theorem did not originate with him. The
history of the theorem is rich and includes the names Cauchy, Raabe, and Ogura, among others.

ix
x Preface

Overview of SAMPTA

SAMPTA (Sampling Theory and Applications) is a biennial interdisciplinary inter-

national conference for mathematicians, engineers, and applied scientists. The main
purpose of SAMPTA is to exchange recent advances in sampling theory and to
explore new trends and directions in the related areas of application.
SAMPTA has traditionally focused on such fields as signal processing and image
processing, coding theory, control theory, real and complex analysis, harmonic
analysis, and the theory of differential equations. The conference has always
featured plenary talks by prominent speakers, special sessions on selected topics
reflecting the current trends in sampling theory and its applications to the engineer-
ing sciences, as well as regular sessions about traditional topics in sampling theory,
and poster sessions. The conferences are a bridge between the mathematical and
engineering signal processing communities. The mix between mathematicians and
engineers is unique and leads to extremely useful and constructive dialogs. SAMPTA
has had sessions on theory—compressed sensing, frames, geometry, wavelets,
nonuniform and weighted sampling, finite rate of innovation, universal sampling,
time-frequency analysis, deep learning, operator theory, and applications—A-to-D
conversion, computational neuroscience, mobile sampling issues, and biomedical
imaging.

SAMPTA Meetings
• SAMPTA 2019: Université de Bordeaux, Bordeaux, France, July 8–12, 2019
• SAMPTA 2017: Tallinn University, Tallinn, Estonia, July 3–7, 2017
• SAMPTA 2015: American University, Washington DC, USA, May 25–29, 2015
• SAMPTA 2013: Jacobs University, Bremen, Germany, July 1–5, 2013
• SAMPTA 2011: Nanyang Technical University, Singapore, May 2–6, 2011
• SAMPTA 2009: CIRM, Marseilles, France, May 18–22, 2009
• SAMPTA 2007: Aristotle University, Thessaloniki, Greece, June 1–5, 2007
• SAMPTA 2005: Samsun, Turkey, July 10–15, 2005
• SAMPTA 2003: Strobl, Austria, May 26–30, 2003
• SAMPTA 2001: UCF, Orlando, Florida, USA, May 13–17, 2001
• SAMPTA 1999: Loen, Norway, August 11–14, 1999
• SAMPTA 1997: University of Aveiro, Aveiro, Portugal, July 16–19, 1997
• SAMPTA 1995: Riga, Latvia, September 20–22, 1995

The SAMPTA 2015 conference had 203 attendees and achieved some rather
notable milestones. The meeting was endorsed by the Institute of Electrical and
Electronics Engineers (IEEE) and the Society for Industrial and Applied Mathe-
matics (SIAM). The conference papers were published in IEEE Xplore. SAMPTA
2015 also received grant support from the Air Force Office of Scientific Research
(AFOSR) (BAA-AFOSR-2014-0001) and the Army Research Office (ARO) (BAA
W911NF-12-R-0012-02). The conference was also supported by the efforts of the
Preface xi

College of Arts and Sciences and the Department of Mathematics and Statistics at
American University and the Norbert Wiener Center at the University of Maryland.
The interaction at SAMPTA has pushed the envelopes forward in both the
mathematics and engineering communities. The SAMPTA conferences have and
will continue to serve as a meeting ground for harmonic analysts and electrical
engineers and give graduate students and junior investigators a chance to learn
about the developments of the subjects. The conference provides the community
an opportunity to interact with some of the leaders in the field in a relaxed and yet
very constructive environment.
We thank all the authors, editors, and referees for their contributions to this vol-
ume and their ongoing efforts to support the Sampling/ANHA/SAMPTA community.

Book Chapters

The volume opens with the delightful essay Claude Shannon: American Genius
by Professor John Rowland Higgins (Anglia Polytech), our historian on sampling
theory and expositor par excellence. The essay is a salute to Shannon’s genius and
tells us the tales of not only his seminal mathematics but also of several of his
extremely clever inventions. The subsequent chapters report on major advances
in their areas; collectively, they explore impressive frontiers of modern sampling
theory.
The first book chapter—Reconstruction of Signals: Uniqueness and Stable Sam-
pling—is by Alexander Olevskii (Tel Aviv) and Alexander Ulanovskii (Stavanger).
It addresses sets of uniqueness and sampling, discussing uniform densities, universal
sampling, and universal completeness. Recall that the classical sampling problem is
to reconstruct, in a unique and stable way, a continuous signal with a given spectrum
S from its samples on a discrete set Λ. Through the Fourier transform, the problems
ask for which sets of frequencies Λ are the exponential system {eiλt , λ ∈ Λ}
complete or constitute a frame or a Riesz sequence in the space L2 on a given set S of
finite measure? When S is a single interval, these problems were essentially solved
in deep papers by A. Beurling and P. Malliavin in terms of appropriate densities of
the discrete set Λ. The main tool in these papers was the theory of entire functions.
However, this tool becomes considerably less effective in the case of disconnected
spectra S. H. Landau extended the necessity of the density conditions in these results
to the general bounded spectra. However, when S is a disconnected set, no sharp
sufficient condition for sampling and completeness can be expressed in terms of
the density of the set Λ. Both the size and arithmetic structure of Λ come into the
play. This chapter gives a short introduction into the subject of sampling and related
problems. It presents both classical and recent results on universal sampling.
The chapter by M. Maurice Dodson (York) and J. Rowland Higgins (Anglia
Polytech)—Sampling Theory in a Fourier Algebra Setting—gives a way of devel-
oping sampling in terms of the Approximate Sampling Theorem. This structure,
a Fourier algebra setting, is not as well-known as it might be, possibly because
xii Preface

the Approximate Sampling Theorem, central to their discussion, had what could be
called a mysterious birth and a confused adolescence. They also discuss functions
of the familiar bandlimited and bandpass types, showing that these too have a place
in this viewpoint. The chapter combines an expository and historical treatment of
the origins of exact and approximate sampling, including bandpass sampling, all
from the Fourier algebra viewpoint. It has two objectives. The first is to provide
an accessible and rigorous account of this sampling theory. The various cases
mentioned above are each discussed in order to show that the Fourier algebra, a
Banach space, is a broad and natural setting for the theory. The second objective is
to clarify the early development of approximate sampling in the Fourier algebra and
to unravel its origins.
This is followed by Sampling Series, Refinable Sampling Kernels, and Frequency
Band Limited Functions by Wolodymyr R. Madych (Connecticut). It studies
sampling series and their relationship to frequency bandlimited functions. Motivated
by the theories of multiresolution analysis and subdivision, particular attention is
paid to sampling series whose kernels are refinable. After developing the basic
properties of the sampling kernels understudy, the chapter focuses on three families
of such kernels:
1. damped cardinal sines,
2. the fundamental functions for cardinal spline interpolation, and
3. a family of compactly supported kernels defined in terms of their masks.
The limiting kernel of each family is the cardinal sine. In the cases (i) and (ii),
it presents results concerning the limiting behavior of the corresponding sampling
series when the data samples {cn } have polynomial growth as n −→ ±∞.
The chapter Prolate Shift Frames and Sampling of Bandlimited Functions by
Jeffrey Hogan (Newcastle) and Joseph Lakey (New Mexico State) reviews recent
developments involving frames of time- and bandlimited functions for Paley–
Wiener spaces. The classic Shannon sampling theorem can be viewed as a special
case of (generalized) sampling reconstructions for bandlimited signals in which
the signal is expressed as a superposition of shifts of finitely many bandlimited
generators. The coefficients of these expansions can be regarded as generalized
samples taken at a Nyquist rate determined by the number of generators and basic
shift rate parameters. When the shifts of the generators form a frame for the
Paley–Wiener space, the coefficients are inner products with dual frame elements.
There is a trade-off between time localization of the generators and localization
of dual generators. The Shannon sampling theorem is an extreme manifestation in
which the coefficients are point values but the generating sinc function is poorly
localized in time. This work reviews and extends some recent related work of
the authors regarding frames for the Paley–Wiener space generated by shifts of
prolate spheroidal wave functions and considers the question of trade-off between
localization of the generators and of the dual frames.
The volume finishes with A Survey on the Unconditional Convergence and the
Invertibility of Frame Multipliers with Implementation by Peter Balazs and Diana
Stoeva (Acoustics Research Institute, Austrian Academy of Sciences). Multipliers
Preface xiii

are operators which consist of an analysis stage, a multiplication, and then a

synthesis stage. This is a very natural concept, and it occurs in a lot of scientific
questions in mathematics, physics, and engineering. In physics, multipliers are the
link between classical and quantum mechanics, the so-called quantization operators.
Multipliers link sequences (or functions) mk corresponding to the measurable
variables in classical physics to operators Mm,Φ,Ψ , which are the measurables
in quantum mechanics. In signal processing, multipliers are a particular way to
implement time-variant filters. One of the goals in signal processing is to find a
transform which allows certain properties of the signal to be easily discovered.
Via such a transform, one can focus on those properties of the signal one is
interested in or would like to change. The coefficients can be manipulated directly
in the transform domain, thus allowing certain signal features to be amplified or
attenuated. This is, for example, the case of what a sound engineer operating an
equalizer does during a concert, i.e., changing the amplification of certain frequency
bands in real time. Convolution operators correspond to a multiplication in the
Fourier domain, and therefore to a time-invariant change of frequency content.
The chapter presents a survey of frame multipliers and related concepts. In
particular, it includes a short motivation of why multipliers are of interest and
a review and extensions of recent results. These include the unconditional con-
vergence of multipliers, sufficient and/or necessary conditions for the invertibility
of multipliers, and representation of the inverse via Neumann-like series and via
multipliers with particular parameters. Multipliers for frames with specific structure,
namely Gabor multipliers, are also considered. Results for the representation of
the inverse multiplier are implemented in MATLAB code, and the algorithms are
described.

Crossroads

Our wonderful discipline sits at a crossroad. Just as mathematics and engineering

used to be driven by mathematical physics, our mathematics and engineering
will be motivated by the science of information. The Sampling/ANHA/SAMPTA
community is in a unique position to contribute to these efforts. Our work provides
the tools for advances in a very wide spectrum of areas, from communications, data,
and information, to advances in signal and imaging processing, to breakthroughs
in the physical, medical, social, and political sciences. These efforts are ongoing, as
witnessed by the SAMPTA conferences and the growing body of literature generated
by the Sampling/ANHA/SAMPTA community.

Washington, DC, USA Stephen D. Casey

College Park, MD, USA Kasso A. Okoudjou
Washington, DC, USA Michael Robinson
Adelphi, MD, USA Brian M. Sadler
 Claude E. Shannon

The Classical (WKS) Sampling Theorem

sin( Tπ t)
Let f ∈ PW , sinc(t) = , and δnT (t) = δ(t − nT ).
T πt
1. If T ≤ 1/2, then for all t ∈ R,
  
 sin( Tπ (t − nT )) 
f (t) = T f (nT ) =T δnT f ∗ sinc(t) .
π(t − nT ) T
n∈Z n∈Z

2. If T ≤ 1/2 and f (nT ) = 0 for all n ∈ Z, then f ≡ 0.

Dedication—John Rowland Higgins
(17 August 1935–24 February 2020)

The Sampling/ANHA/SAMPTA community is shocked and saddened by Rowland

Higgins’ unexpected death during the final stages of publication of this volume.
Just a few weeks earlier, Rowland and his wife Nan had returned from the south
of France, where they had lived since retirement, to Cambridge, where they used
to live, to be with their children and grandchildren. Despite health problems over
recent years, Rowland had continued to think about sampling and having completed
his joint chapter in this volume, was planning to write more papers. Alas, it was not
to be.
Rowland was a mainstay of our Sampling/ANHA/SAMPTA community from the
start. His papers, books, and lectures were key elements in the growing body of
knowledge of the community. He served on the original Steering Committee of the
SAMPTA meetings and then went on to fulfill his duties as a Founding Member.
Rowland was a gift to our community. Through his deep interest in the rich
mathematics of sampling theory and his wide knowledge of its fascinating history,
he provided for all of us an informed perspective and a sense of the history of the
subject. We were able to see the deep roots and interconnections of sampling and
appreciate the tremendous potential of this theory, as it branched out to exciting new
areas, even beyond the genius of Shannon.
However, even more brilliant than the excellence of Rowland as a mathematician
and lecturer was his role to our community as a friend and mentor. With an
encyclopediac knowledge of sampling which he wore lightly, he was in a real sense
a scholar and a gentleman. His kindness, generosity, and courtesy brought out, in
many ways, our best. And for that gift, we will always be grateful. He will be deeply
missed by all of us and by his family.
In honor of his enormous contribution to the Sampling/ANHA/SAMPTA com-
munity, the editors are dedicating this book to Rowland Higgins.

Washington, DC, USA Stephen D. Casey

York, UK M. Maurice Dodson

xv
Contents

Claude Shannon: American Genius. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

J. Rowland Higgins
Reconstruction of Signals: Uniqueness and Stable Sampling . . . . . . . . . . . . . . . 9
Alexander Olevskii and Alexander Ulanovskii
Sampling Theory in a Fourier Algebra Setting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
M. Maurice Dodson and J. Rowland Higgins
Sampling Series, Refinable Sampling Kernels, and Frequency
Band Limited Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Wolodymyr R. Madych
Prolate Shift Frames and Sampling of Bandlimited Functions . . . . . . . . . . . . . 141
Jeffrey A. Hogan and Joseph D. Lakey
A Survey on the Unconditional Convergence and the Invertibility
of Frame Multipliers with Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Diana T. Stoeva and Peter Balazs

xvii
Claude Shannon: American Genius

J. Rowland Higgins

Abstract Claude Shannon was born one hundred years ago. This essay is a salute
to his genius.

Claude Shannon was born one hundred years ago. This essay is a salute to his genius.
What is genius? Opinions will differ of course, but in general terms we would
not be far wrong in allowing that genius goes beyond mere talent. The philosopher
Schopenhauer said1 “Talent is like the marksman who hits a target which others
cannot reach; genius is like the marksman who hits a target, as far as which others
cannot even see.”
Some of the more explicit qualities often associated with genius are: an ability
to initiate major advances in a subject, sometimes even to create a new subject, a
prodigious memory, and an unflagging curiosity. Astounding examples are not hard
to come by, and Claude Shannon sits well in their company.
As for major advances, Shannon’s three most important advances in the sciences
of his time were, undoubtedly, his creation of information theory, his contributions
to switching theory and his contributions to cryptography.
Next, memory. One thinks of Euler’s extraordinary memory, for example; he
knew Homer’s Iliad by heart, and given any page number in his copy he could
remember the first and last lines on that page. Shannon’s memory is evident in,
for example, his practice of dictating his articles for publication entirely from
memory and without the need for correction. Incidentally, his collected works list
127 publications.

1 In
his book: Die Welt als Wille und Vorstellung. (The World as Will and Representation, Tr. R.B.
Haldane).

J. R. Higgins (deceased)
Cambridge, UK

© Springer Nature Switzerland AG 2020 1

S. D. Casey et al. (eds.), Sampling: Theory and Applications, Applied and
Numerical Harmonic Analysis, https://doi.org/10.1007/978-3-030-36291-1_1
2 J. R. Higgins

Now to curiosity. The art historian Kenneth Clark recognizes2 Leonardo da Vinci
as one of the greatest geniuses, and writes that “all his gifts were dominated by
one ruling passion—curiosity. He was the most relentlessly curious man in history.
Everything he saw made him ask why and how.”
It is clear that Shannon too was strongly motivated by curiosity. In his own
words3
I don’t think I was ever motivated by the notion of wining prizes, . . . I was more motivated
by curiosity. Never by the desire for financial gain. . . . There are many things I have done
and never written up at all.

Much scholarly attention has been given to Claude Shannon and his work in
mathematics and the theory of communications; throughout all of this attention his
genius is in full view. But, strange as it may seem, among the several excellent
commentaries on Shannon to be found in the literature, there are some that make
little or no acknowledgment of his usage of sampling theory. This may be due
to the fact that by his time basic sampling theorems were already considered
part of the general background4 ; however, it was Shannon who recognized the
theorem as having a central place in information theory. We shall return to these
points later, with particular emphasis on sampling methods and some of their many
generalizations and extensions; meanwhile, let us expand a little on Shannon and
the three major advances mentioned above, and on Shannon the inventor of strange
devices.
First, in the following excerpt from the paper by Gallager5 we begin to get an
idea of Shannon’s creation. Much more is to be found in this source.
By 1948, all the pieces of “A mathematical theory of communication”6 had come together
in Shannon’s head. He had been working on this project, on and off, for eight years. There
were no drafts or partial manuscripts|remarkably, he was able to keep the entire creation in
his head . . . . His theory was about the entire process of telecommunications, from source
to data compression to channel coding to modulation to channel noise to detection to error
correction. . . . . Shannon employed the provocative term “information” for what was being
communicated . . . . This new notion of information reopened many age-old debates about
the difference between knowledge, information, data, and so forth . . . the paper (that of
footnote 6) totally changed both the understanding and the design of telecommunication
systems . . . .

2 Civilization,a personal view, Penguin Books, 1969, p. 105.

3 The quotation is from an interview: Anthony Liversidge, “Profile of Claude Shannon,” Claude
Elwood Shannon Collected Papers, edited by N. J. A. Sloan, Aaron D. Wyner (IEEE, 1993).
4 His source is found in the work of J. M. Whittaker from the middle 1930s.
5 “Claude E. Shannon: A retrospective on his life, work and impact.” IEEE Trans. Info. Th., 47,

2001.
6 Bell System Tech J., 27, pp. 379–423, 623–656, 1948.
Claude Shannon: American Genius 3

It is important to realize how surprising the paper “A mathematical theory of

communication” really was, even to Shannon’s close colleagues. The following
quotation7 underlines this.
“We had an internal distribution system” recalls a Bell Labs mathematician, Brock
McMillan, who worked in the office next to Shannon’s at Murray Hill at the time, “so people
in the math department could read things before publication. Shannon was not particularly
talkative. He talked to us about his theories maybe a little bit. But the 1948 paper caught
me almost stone cold.” Most of the Bell researchers, with the exception of Shannon’s friend
Barney Oliver, experienced a similar sense of shock. John Pierce likened the surprise he felt
upon encountering his friend’s ideas to the dropping of a powerful explosive.

Second, in 1937 Shannon wrote a master’s thesis at MIT entitled “A symbolic

analysis of relay and switching circuits.” Shannon’s insight was decisive; the
symbolic logic of Boole’s Laws of thought (1854) provided a mathematical model
for switching theory. Achieved at the age of 21, this thesis is one of his main claims
to fame and was received with abundant and universal praise. A detailed study can
be found in the book by Nahin.8
Third, Shannon became interested in cryptography during WWII. In his only
published paper in this area,9 he established a mathematical theory for secrecy
systems and showed that the encryption system known as the “one-time pad”
achieves perfect secrecy. This paper was enormously influential. Kotel’nikov also
proved this in a report of 194110 which is apparently still classified!
Shannon’s childhood and undergraduate days were spent in Michigan. It was here
that he started inventing gadgets and strange devices, including model airplanes and
a telegraph device to a neighbor’s house using a wire fence. As time went by we find
him inventing a calculator that worked in Roman numerals, a motorized pogo stick
and a juggling machine that could actually juggle three balls and was decorated to
look like the entertainer W.C. Fields. These were just a few of Shannon’s devices.
During his time at Bell Telephone Laboratories he could be seen in the corridors
riding a unicycle and juggling four balls at the same time. Later, Shannon gave the
unicycle’s wheel an eccentric mounting whereupon he was seen to bob up and down
“like a duck.”
We may ask why Shannon gave time and effort to what may appear at first to
be mere frivolity. Well, surely it was not a waste of time. I think he did it, at first
anyway, out of pure joi-de-vivre; he could do these unusual things and doing them
must have given him enormous pleasure. But a more important consideration is the
attunement of the eager mind, the habituation to a way of thought as the purposes
inevitably became more sophisticated and more serious.

7 Found in a footnote to “The idea factory: the Bell Labs and the great age of American innovation,”

The Penguin Press, 2012, by Jon Gertner.

8 The Logician and the Engineer How George Boole and Claude Shannon created the information
age. Princeton University Press, 2013.
9 “Communication theory of secrecy systems,” BSTJ, 1949.
10 See Sergei N. Molotkov, “Quantum cryptography” and V.A.’s one-time key and sampling

theorems.
4 J. R. Higgins

One example of this emerging maturity was a mechanical mouse; another, the
programming of computers for playing chess.
As for the mouse, in about 1950 Shannon introduced a mechanical mouse that
could negotiate a maze successfully.11 It should be borne in mind that this mouse
belonged to the pre-electronic era; in fact, he was controlled using relay circuits and
a magnet underneath the maze, and proceeded via an exhaustive search algorithm.
Although it is an interesting and early example of such an algorithm, current opinion
does not allow Shannon’s mouse the status of an artificial learning device, or indeed
to have any intelligence at all. Although striking at the time the algorithm is now
considered elementary.
Shannon began the formalization of chess via computer programs in a paper
published in The Philosophical Magazine12 of 1950: “Programming a computer for
playing chess.”13
Let Shannon himself be our guide as we contemplate, briefly, the theme of his
paper. Following on directly from the title Shannon tells us:
Although perhaps of no practical importance, the question is of theoretical interest, and it
is hoped that a satisfactory solution of this problem will act as a wedge in attacking other
problems of a similar nature and greater significance.

Shannon goes on to list several possibilities. Among these are: machines for
performing symbolic mathematical operations, for translation of one language into
another, for making strategic decisions and for orchestrating a melody.
Shannon goes on:
It is believed that all of these and many other devices of a similar nature are possible
developments in the immediate future.

He describes how his chess-playing programs were designed, and emphasizes that
the computers of his time were general enough and flexible enough to work symbol-
ically with elements representing words, propositions, or other conceptual entities
and speculates on whether computers can be said to “think.” Thus, Shannon’s
interest was not so much in the game of chess itself as in the evolution of software
for more important purposes. Before that could happen chess would provide a move
in the right direction.
Shannon had the insight to realize14 (from now on let us call the paper in footnote
14 just (1949)) that sampling theory is an essential part of information theory
since it shows, in particular, that band limited analog signals, that is, continuous

11 The mouse was called Theseus, a name borrowed appropriately from Greek mythology.
12 One of the earliest scientific journals, founded by Alexander Tulloch in 1797.
13 In 1965 Shannon met the then world chess champion M.M. Botvinnik at a conference in Moscow.

Botvinnik had been three times world-champion and was a pioneer of computerized chess-playing
programs. Information about this meeting seems hard to come by, but it is known that they
discussed chess and its computerization. More can be found it Botvinnik’s book: Computers, chess
and long-range planning, Heidelberg Science Library, 1970, Springer, Translator’s preface.
14 “Communication in the presence of noise,” Proc. IRE, 37, 1949, pp. 10–21.
Claude Shannon: American Genius 5

functions that are square integrable over R and have Fourier transform supported on
the interval [−π , π ω] (call this interval the “set of spectral support”), carry the
same information as the discrete signal composed only of their samples. This is the
essence of analog-to-digital and digital-to-analog conversion.
Shannon’s development of sampling theory is mostly found in (1949); by
bringing parts of this paper together we can say that Shannon had, in fact, identified
a classical sampling principle. It consists of four parts: sets of uniqueness, sampling
series, sampling rate, and stability. Actually, the principle may be allowed a fifth part
because one could add the necessity of adopting quantized values of the samples,
whose instantaneous values are of course unavailable. Shannon and his colleagues
recognized the need for quantization15 in the context of pulse code modulation and
its early development.
We will now make a brief review of Shannon’s treatment. In the paper (1949)
Shannon tacitly assumes that signals are of finite energy, that is, they belong to
L2 (R). First, let f belong to the class B of band limited analog signals. Then the
set { 
n
}, n ∈ Z, is a set of uniqueness for B; that is, if f ∈ B vanishes at every
n
point  , then it vanishes identically. Shannon remarked that this was “common
knowledge in the communications art” and gave an intuitive proof, followed by a
more mathematical proof.
Second, for a representation of f in terms of its samples Shannon chose the
sampling series
 n sin(π(t − n))
f (t) = f( ) .
 π(t − n)
n∈Z

He found that this sampling series is an orthonormal expansion in B and fits well
into the surrounding Fourier analysis. He gave an intuitive proof here as well, then
appealed to the classical literature of the mid 1930s for a rigorous proof.
Third, we saw above that the spacing between sample points was 1 seconds.
Shannon called this the Nyquist interval; the rate of taking samples is therefore 
samples per second and this is now known as the Nyquist sampling rate.
Shannon’s treatment of sampling and the Nyquist rate is found in (1949)
(&II) and constitutes what soon became known as “Shannon’s sampling theorem.”
Although other sources are now known, this name persists in the literature. It is
often called just the classical sampling theorem. Fourth, we are not quite finished;
there is still stability to consider. Research at the (then) Bell Telephone Laboratories
dating from the middle 1960s made it clear that a sampling theorem was incomplete
without an associated condition of stability. Intuitively, this means that in digital-
to- analog conversion, a small error in reading a sample must produce only a
correspondingly small error in the recovered analog signal. Shannon had anticipated
this in (1949), page 15.

15 B.M.
Oliver, J.R. Pierce and C.E. Shannon, “The Philosophy of PCM,” Proc. IRE, 36, 1948, pp.
1324–1331.
6 J. R. Higgins

Shannon made explicit suggestions for the extension of sampling methods.

He mentions the band pass case (where the spectral support has more than one
component); derivative sampling (which led eventually to ideas of multi-channel
sampling); and cases where the sample points are irregularly spaced. Some of these
ideas have a long history, going back to seminal work of Cauchy in the 1840s.
There are settings for the extension and generalization of sampling theorems
that were not directly observed by Shannon in the paper (1949), but which, with
hindsight of course, may be seen there nevertheless and indicate directions in which
the subject was to develop. All the following settings for sampling theory are
suggested by the classical sampling series (above) and all have been studied in
the literature. A good example is the setting of locally compact abelian groups.
It is a natural step to pass from classical Fourier analysis to abstract harmonic
analysis, since R is a locally compact abelian group under addition with discrete
subgroup { n
}, n ∈ Z. Here an abstract treatment starts to appear. Abstract versions
of sampling in this setting has been known for many years; it is so general as to
include the settings of multi-dimensional Euclidean space, the circle, the torus, the
integers, and the dyadic group, to mention just a few.
Another good example is the setting of reproducing kernel Hilbert space; and
recently of reproducing kernel Banach space. This setting is suggested by the
sampling series above, which can be viewed as a discrete reproducing formula, f
being “reproduced” from a discrete set of samples.
The setting of time–frequency analysis is suggested by observing the wavelet-
like appearance of the expansion functions in the sampling series above. Here the
phrase “Shannon wavelet” gained currency.
More settings are suggested by the observation that, on formally replacing t with
a complex variable z, the sampling series takes the form of an expansion in integer
translates of a basic function, sin(z)
z , which is entire and of exponential type. So
here is another potentially favorable setting. Further fruitful settings in this general
area are: the class of polynomially ally bounded entire functions, and the classes of
harmonic functions and of polyharmonic functions.
Again, the translation structure of the sampling series suggests that shift invariant
spaces will provide another fruitful setting.
Several settings for a sampling theory arise from suggestions that are rather more
tenuous than those mentioned above.
For example, it is known that aspects of sampling theory in the Fourier algebra,
which comprises inverse Fourier transforms of elements of L1 (R), are direct
extensions of the classical case.
Further examples are found in the theory of distributions and in stochastic
analysis. A slightly different usage of the sampling series is found in certain
expansions for special functions.
Other areas of development include sampling and integral transforms, sampling,
and uncertainty principles, the problem of missing samples and many more.
Perhaps there are still areas that remain to be discovered.
Shannon did not claim to be the originator of the sampling theorem, but he did
realize its significance for information theory. The very existence of the journal
Claude Shannon: American Genius 7

(Sampling Theory in Signal and Image Processing) and the biennial SAMPTA
conferences testify to Shannon’s long lasting influence.

Acknowledgements The present essay has been helpfully informed in several places by articles
in Wikipedia. The author takes pleasure in thanking Maurice Dodson, Paulo Ferreira, David A.
Gustafson, and Gerhard Schmeisser for their help, and my wife Nancy for her constant support.
Reconstruction of Signals: Uniqueness
and Stable Sampling

Alexander Olevskii and Alexander Ulanovskii

Abstract The classical sampling problem is to reconstruct a continuous signal with

a given spectrum S from its samples on a discrete set Λ. Through the Fourier
transform, the problems ask for which sets of frequencies Λ is the exponential
system

{eiλt , λ ∈ Λ}

complete, or constitutes a frame in the space L2 on a given set S of finite measure?

When S is a single interval, these problems were essentially solved by A. Beurling,
A. Beurling and P. Malliavin in terms of appropriate densities of the discrete set Λ.
H. Landau extended the necessity of the density conditions in these results to the
general bounded spectra. However, when S is a disconnected set, no sharp sufficient
condition for sampling and completeness can be expressed in terms of the density
of the set Λ. Not only the size, but also the arithmetic structure of Λ comes into the
play. This paper gives a short introduction into the subject of sampling and related
problems. We present both classical and recent result.

1 Orthogonal Bases, Riesz Bases, and Complete Systems

Let H be a separable infinite-dimensional complex Hilbert

√ space equipped with
an inner product ·, · H and the norm · H = ·, · H . We are interested
in systems of vectors in H which have good approximation or representation

A. Olevskii ()
Tel Aviv University, Tel Aviv, Israel
e-mail: [email protected]
A. Ulanovskii
Stavanger University, Stavanger, Norway
e-mail: [email protected]

© Springer Nature Switzerland AG 2020 9

S. D. Casey et al. (eds.), Sampling: Theory and Applications, Applied and
Numerical Harmonic Analysis, https://doi.org/10.1007/978-3-030-36291-1_2
10 A. Olevskii and A. Ulanovskii

properties. The orthonormal bases (ONBs) enjoy the “best” representation property.
It is well-known that given an ONB {un }, every vector x ∈ H can be represented as
a series

x= cn un , (1)
n

which converges to x in the norm of H . The coefficients are defined by the Fourier
formula

cn = x, un ,

and the Parseval equality holds


x 2
H = |cn |2 .
n

We will be mostly interested in the case H = L2 (S), where S is a measurable

set in one dimension. However, most of the results below hold also in several
dimensions. Here and below L2 (S) denotes the subspace of L2 -functions which
vanish a.e. outside S.
There are a number of important ONBs in the L2 -spaces on an interval, on the
whole line or in Rn . In particular, the classical Haar system was historically the first
example of the so-called wavelets. It is an ONB generated from a single function by
translations and dilations (compressions). Such systems have been studied actively
within the last decades and turned out to be useful in applications.
In this paper we will focus on the representation/approximation properties of the
exponential systems.
Let us say that a set Λ ⊂ R is uniformly discrete (u.d.), if

δ(Λ) := inf |λ − λ | > 0. (2)

λ,λ ∈Λ,λ=λ

The constant δ(Λ) is called the separation constant of Λ. Denote by

E(Λ) := {eiλt , λ ∈ Λ}, t ∈ R,

the corresponding system of exponentials.

It is commonly known that the system
 
1
√ eint , n ∈ Z
2π

is an ONB in the space L2 (−π, π ). By re-scaling and normalization, one can

construct an exponential ONB in L2 (I ) for any given interval I.
Reconstruction of Signals: Uniqueness and Stable Sampling 11

However, if S ⊂ R is not a single interval, the space L2 (S) does not always admit
an exponential ONB. For example, it is easy to check that for the simple set

S = [0, 2] ∪ [3, 5]

there is no set Λ such that E(Λ) forms an orthogonal basis in L2 (S) (for a more
general result, see [27]).
One may ask for which sets S ⊂ Rn of positive measure does the space L2 (S)
admit an exponential ONB? Fuglede’s conjecture [15] says that L2 (S) admits an
exponential ONB if and only if it is possible to tile Rn by a family of translates of S.
The first counterexample was constructed by Tao [53] who showed that Fuglede’s
conjecture is false in Rn for n ≥ 5. Later, Tao’s counterexample was improved to
disprove both directions in Fuglede’s conjecture for dimensions 3 or higher. In the
cases of dimensions 1 and 2, both directions in the conjecture are still open. On the
other hand, it was shown in [20] that the conjecture holds for convex compact sets
in the plane. A similar result for convex polytopes in R3 is proved in [17]. Finally,
recently it has been proved in [29] that Fuglede’s conjecture for convex domains is
true in all dimensions.
Fortunately, there are more flexible bases which preserve the main advantages of
ONBs.
Definition 1 A collection of vectors {un } in H is called a Riesz basis for H if it is
the image of an orthonormal basis for H under an invertible linear transformation.
In other words, if there is an orthonormal basis {en } for H and an invertible linear
transformation T such that T en = un for all n.
If {un } is a Riesz basis for H , then every x ∈ H admits a unique representation
(1), and there is a constant C which does not depend on x such that the coefficients
cn in (1) satisfy

|cn |2 ≤ C x 2
H.
n

A recent result [25] shows that L2 (S) admits an exponential Riesz basis
whenever S is a finite union of disjoint intervals. The same is true for a finite
union of rectangles in Rn with edges parallel to the axes, see [26]. However, there
are not many other examples of sets S in one or several dimensions, such that the
space L2 (S) admits an exponential Riesz basis. For example, it is not known if an
exponential Riesz basis exists for L2 (S), where S is the unite disk in R2 .
On the other hand, it is not difficult to find an exponential system E(Λ) which is
complete in L2 (S).
Definition 2 A collection of vectors {un } in a Hilbert space H is called complete,
if for every vector x ∈ H and every > 0, x admits approximation with error ,

x−p H < ,
12 A. Olevskii and A. Ulanovskii

by a finite linear combination of the form


p := cn un .
n

A collection {un } is complete in a Hilbert space H if and only if there is no vector

in H orthogonal to all un .
Observe that the completeness property does not guarantee the possibility of
decomposition of a vector into a series. Take, for instance, the system of powers
{t j , j = 0, 1, 2, . . . }. By the Weierstrass approximation theorem, it is complete in
L2 on any interval, but only analytic functions can be decomposed in a power series.
Therefore, it is desirable to have a concept of a “good” system of vectors in a
Hilbert space, which, on the one hand, inherits nice properties of ONBs and, on the
other hand, extends their constructive abilities.
Such an important concept, the concept of frame, was introduced by Duffin and
Schaeffer in [12].

2 Frames

Definition 3 A collection of vectors {un } in a Hilbert space H is called a frame if

there exist numbers 0 < A ≤ B such that

A x 2H ≤ |x, un |2 ≤ B x 2H , for every x ∈ H. (3)
n

The optimal constants (maximal for A and minimal for B) are called the frame
bounds.
The right inequality in (3) is called the Bessel inequality. In most situations, it is
not difficult to check whether it holds or not. Determining whether the left inequality
holds is usually more problematic.
Consider the operator T acting from H to l 2 as

T x = {x, un H }n .

T is called the analysis operator.

√ Due to the Bessel inequality, T is a bounded linear
operator satisfying T ≤ B. The adjoint operator acts from l 2 to H , and one may
show that

T ∗ {cn } = cn un .
n

T ∗ is called ∗
√ the synthesis operator. Since T has the same norm as T , we have
∗
T ≤ B. Hence, the Bessel inequality is equivalent to the inequality
 
cn un 2
H ≤B |cn |2 , for every sequence {cn } ∈ l 2 .
n n
Reconstruction of Signals: Uniqueness and Stable Sampling 13

2.1 Examples

Example 1 Assume we have an ONB in L2 (I ). Then it is a frame in L2 (S) for any

subset S ⊂ I , with the frame constants A = B = 1 (such frames are called Parseval
frames).
Example 2 Let S be a bounded set and Λ a u.d. set. Then the Bessel inequality
holds:

|F, eiλt |2 ≤ B F 2L2 (S) , for every F ∈ L2 (S), (4)
λ∈Λ

where B is a constant.
Here and below we set
1/2
F, G := F (t)G(t) dt, F L2 (S) := |F (t)|2 dt .
R S

Proof As explained above, it suffices to prove the inequality

 
c(λ)eiλt 2
L2 (S)
≤B |c(λ)|2 , for every {c(λ)} ∈ l 2 . (5)
λ∈Λ λ∈Λ

Assume that c(λ) = 0 for all but a finite number of λ ∈ Λ.

Choose σ > 0 such that S ⊂ [−π/4σ, π/4σ ] and δ(Λ) ≥ 2σ , where δ(Λ) is the
separation constant defined in (2).
Set
2
sin(σ t)
h(t) := .
σt

Put a := mint∈S h(t), and denote by H the Fourier transform of h (see (8)
below). One may check that a > 0, H (0) > 0, and H (x) = 0, |x| ≥ 2σ . Since
δ(Λ) ≥ 2σ , we have H (λ − λ ) = 0 whenever λ, λ ∈ Λ, λ = λ . Therefore,

2 2
 1 ∞ 
c(λ)eiλt dt < c(λ)eiλt h(t) dt
S λ∈Λ a −∞ λ∈Λ

1  H (0) 
= c(λ)c(λ )H (λ − λ ) = |c(λ)|2 .
a a
λ,λ ∈Λ λ∈Λ

Hence, (5) holds for finite sequences c(λ).

14 A. Olevskii and A. Ulanovskii

Given an arbitrary sequence {c(λ)} ∈ l 2 , the argument above readily shows that
the sums

c(λ)eiλt , n ∈ N,
λ∈Λ,|λ|<n

form a Cauchy sequence in L2 (S), and therefore convergent. This proves (5).
For a somewhat similar direct proof of (4), see [43], Lecture 2.
Example 3 The exponential system

E(Z+ ) := {eint , n = 1, 2, 3, . . .}

is complete in L2 (−σ, σ ) for every 0 < σ < π . However, E(Z+ ) is not a frame in
L2 (−σ, σ ), even for a small σ .
Proof
(i) Suppose a function F ∈ L2 (−σ, σ ) is orthogonal to the elements of E(Z+ ).
Then we have to check that F = 0 a.e. on (−σ, σ ). Extend it by zero on
(−π, π ) \ (−σ, σ ) and expand in the Fourier series:

F (t) = cn eint .
n≥0

Consider the function


g(z) := cn zn , z ∈ C.
n≥0

Since g(eit ) = F (t), we see that g(eit ) ∈ L2 (−π, π ). It is also clear that
g admits analytic continuation into the unite disk D := {z ∈ C : |z| < 1}.
These properties mean that g belongs to the so-called Hardy space H 2 (D).
Such functions enjoy the following boundary uniqueness theorem (see [13],
Chapter 2): If g(eit ) vanishes on a set of positive measure on (−π, π ), then it
vanishes a.e. It follows that F = 0 a.e.
(ii) Consider the functions

Fk (t) := 1σ (t)e−ikt , k ∈ N,

where 1σ (t) is the characteristic function of the set (−σ, σ ). Then

sin σ (k + n)
Fk , eint = 2 .
k+n
Reconstruction of Signals: Uniqueness and Stable Sampling 15

It is now easy to check that


|Fk , eint |2 → 0, k → +∞.
n≥0

This means that the left inequality in (3) does not hold, i.e., E(Z+ ) is not a
frame in L2 (−σ, σ ), 0 < σ < π .

2.2 Frame Decomposition

Assume {un } is a frame H , i.e., the inequalities (3) hold true.

By composing the operators T and T ∗ , we obtain the frame operator U := T ∗ T ,

U : H → H, Ux = x, un H un .
n

Clearly, U is bounded and self-adjoint.

It is well-known that U is bijective and satisfies (see details in [11] or [43],
Lecture 1)

1  1
x 2
H ≤ |U −1 x, un H|
2
≤ x 2
H, x ∈ H. (6)
B n
A

In particular, every x ∈ H admits the representation

 
x = Uy = y, un H un = U −1 x, un H un , y = U −1 x ∈ H.
n n

Hence, the following result is true:

Theorem 1 Let {un } be a frame in H with the frame constants 0 < A ≤ B. Then
every vector x ∈ H admits a representation
 
x= U −1 x, un H un = x, U −1 un H un . (7)
n n

The series converges in norm and the coefficients satisfy (6).

Denote vn := U −1 un . Since U −1 x, un H = x, vn H , from (6) we see that {vn } is
again a frame (with the constants A and B in (3) replaced by B −1 and A−1 ). This
frame is called the dual frame to {un }.
16 A. Olevskii and A. Ulanovskii

The decomposition of x in the series


x= cn un
n

is in general not unique, see Example 1. But when cn = x, vn H , it is optimal in

the sense that it minimizes the l 2 -norm of the coefficients cn (see [43], Lecture 1).

3 Uniqueness and Stable Sampling

3.1 Fourier Transform on the Line

The basic facts about the Fourier transform can be found in [18, 49] and [24].
If F is a square-integrable function on R, the direct Fourier transform f of F is
given by

1
f (x) = F̂ (x) := √ e−itx F (t) dt. (8)
2π R

Then f ∈ L2 (R), and the inverse Fourier transform

1
F (t) = √ eitx f (x) dx (9)
2π R

reconstructs the function from its Fourier transform. The Fourier transform defines
a linear transformation from L2 (R)-functions of t to L2 (R)-functions of x. The
mapping f → F is a unitary operator on L2 (R), i.e., the Plancherel identity holds
f 2 = F 2 , where · 2 denotes the L2 (R)-norm.
The support of F , i.e., the set {t : F (t) = 0}, is called the spectrum of f . The
spectrum is defined up to a set of measure zero.
The function f is called band-limited, if there exists σ > 0 such that F (t) = 0
for a.e. |t| > σ. In this case the Fourier integral (8) admits analytic continuation
to the complex plane C, and using the Cauchy–Schwarz inequality one gets the
estimate

|f (x + iy)| ≤ Ceσ |y| , x, y ∈ R, (10)

where

σ
C= F 2.
π
Reconstruction of Signals: Uniqueness and Stable Sampling 17

3.2 Paley–Wiener Spaces

Let S be a measurable subset of R and L2 (S) denote the subspace of L2 (R) of

functions supported by S.
Definition 4 The space P WS of all L2 -functions f = F̂ such that F ∈ L2 (S) is
called the Paley–Wiener space with spectrum S.
Hence, P WS consists of all functions f ∈ L2 (R) whose spectrum lies in S.
Equipped with the L2 -norm · 2 , P WS is a Hilbert space.
When S is bounded, the elements of P WS are entire functions of exponential
type. When S is an unbounded set of finite measure, from the Cauchy–Schwartz
inequality we get L2 (S) ⊂ L1 (S), and so the elements of the Paley–Wiener space
P WS are continuous. However, in general they are not analytic anymore.
In what follows, we denote by |S| the measure of S.
The classical case is when S = [−σ, σ ], σ > 0, an interval in R. For simplicity,
we will write P Wσ := P W[−σ,σ ] .
The space P Wσ is completely determined by a growth condition in the complex
plane:
Theorem 2 (Paley–Wiener) A function f belongs to P Wσ if and only if f ∈
L2 (R) and it can be extended to the complex plane as an entire function satisfying
(10) with some constant C = C(f ) depending on f .
The necessity is explained at the end of Section 3.1. For the proof of sufficiency,
see [49], or [56, p. 86], or [31, p. 69].
One can easily see that when S is a disconnected set, already when S is a union of
two intervals, the space P WS cannot be characterized in terms of a growth condition
in the complex plane.

3.3 Sampling Problem

Let Λ ⊂ R be a u.d. set.

In signal processing, sampling is the restriction of a continuous signal f to a
set Λ:

f → f |Λ := {f (λ), λ ∈ Λ},

where Λ ⊂ R is a given (usually, u. d.) set. Given a set Λ ⊂ R, it is a classical

problem to determine whether it is possible to reconstruct the original signal f from
the samples f |Λ . There are two aspects of this problem:
1. Uniqueness. When can the signal f be uniquely defined by the samples?
2. Stable sampling. When can the samples provide a “stable reconstruction” of the
signal?
18 A. Olevskii and A. Ulanovskii

3.3.1 Uniqueness

Definition 5 A set Λ is called a uniqueness set (US) for the space P WS , if

f ∈ P WS , f |Λ = 0 ⇒ f = 0.

Claim Assume |S| < ∞. Then Λ is a US for P WS if and only if the exponential
system E(Λ) is complete in L2 (S).
Proof Indeed, assume Λ is not a US for P WS , that is, there is a non-trivial function
f ∈ P WS which vanishes on Λ. Denote by F the inverse Fourier transform of
f . Then F, eiλt = 0 for λ ∈ Λ. This means that F is orthogonal to E(Λ), and
so E(Λ) is not complete in L2 (S). On the other hand, if E(Λ) is not complete
in L2 (S), then there is a non-trivial function F ∈ L2 (S) orthogonal to E(Λ). Its
Fourier transform f ∈ P WS vanishes on Λ, which means that Λ is not a US for
P WS .
Example 4 Λ = Z+ is a US for P Wσ , 0 < σ < π .
This follows from Example 3 above.

3.3.2 Stable Sampling

Definition 6 Λ is called a stable sampling set (SS) for P WS if there exists C such
that

f 22 ≤ C |f (λ)|2 , for every f ∈ P WS . (11)
λ∈Λ

Claim Let S be a bounded set and Λ a u.d. set. Then Λ is an SS for P WS if and
only if E(Λ) is a frame in L2 (S).
Proof Indeed, recall that E(Λ) is a frame in L2 (S) if there exist 0 < A ≤ B such
that

A F 22 ≤ |F, eiλt |2 ≤ B F 22 , F ∈ L2 (S).
λ∈Λ

The right inequality follows from (4). Using the Fourier transform and the
Plancherel identity, we see that the left inequality is equivalent to (11).

3.3.3 Whittaker–Kotelnikov–Shannon Sampling Theorem

Given a set S, the sampling problem is to determine which sets Λ form SSs for
P WS .
Reconstruction of Signals: Uniqueness and Stable Sampling 19

Classical sampling results deal with equidistant sampling, i.e., the case where Λ
is an arithmetic progression.
Example 5 The set of integers Z is an SS for P Wπ . Every signal f ∈ P Wπ can be
written as
 sin π(x − n)
f (x) = f (n) , (12)
π(x − n)
n∈Z

convergence being absolute and uniform on compact subsets of C, and with respect
to the L2 -norm. Moreover

f 22 = |f (n)|2 , for every f ∈ P Wπ . (13)
n∈Z

Both the representation formula (12) and (13) follow easily from the fact that the
exponential system E(Z) is an orthogonal basis in L2 (−π, π ) (see details in [56],
Chapter 2).
Equality (12) is called a sampling theorem since it allows to reconstruct a
continuous function f ∈ P Wπ from its sample values f (n). It is often called the
Whittaker–Kotelnikov–Shannon sampling theorem.
Observe that the sampling sets for P WS are always uniqueness sets for P WS ,
but the converse is not true. For example, the set Λ = Z+ is a US but not an SS for
P Wσ , 0 < σ < π , see Examples 3 and 4.

4 Beurling’s Sampling Theorem

4.1 Uniform Densities

The lower uniform density of a u.d. set Λ is defined as

#(Λ ∩ (a, a + l))
D − (Λ) := lim inf ,
l→∞ a∈R l
and its upper uniform density is
#(Λ ∩ (a, a + l))
D + (Λ) := lim sup .
l→∞ a∈R l

Roughly speaking, one may say that if D − (Λ) ≥ d then Λ is everywhere at least
as dense as the lattice (1/d)Z, while the condition D + (Λ) ≤ d means that Λ
is everywhere at least as sparse as the lattice (1/d)Z. When these two densities
coincide, we say that Λ is regularly distributed and possesses the uniform density

D(Λ) := D − (Λ) = D + (Λ).

20 A. Olevskii and A. Ulanovskii

Theorem 3 Let Λ be a u.d. set. If D − (Λ) > σ/π then Λ is an SS for P Wσ . If

D − (Λ) < σ/π then it is not.
This result follows from Beurling’s characterization of the sampling sets for the
Bernstein space Bσ presented below.
Observe that a complete description of the SSs for P Wσ is obtained in [48, 52].
It is not given in terms of some density of Λ.

4.2 Bernstein Space Bσ

Definition 7 In the classical case S = [−σ, σ ], the Bernstein space Bσ was

introduced by S.N. Bernstein in [3]. It consists of all entire functions f satisfying
(10).
Observe that in (10) one can take (see [43], Lecture 2)

C = sup |f (x)|.
x∈R

This definition and the Paley–Wiener theorem show that

P Wσ = Bσ ∩ L2 (R).

Definition 8 A set Λ is called a set of stable sampling (SS) for Bσ if for every
f ∈ Bσ there exists C = C(σ ) such that

f ∞ ≤ C f |Λ ∞, for every f ∈ Bσ . (14)

Here

f ∞ := sup |f (x)|, f |Λ ∞ := sup |f (λ)|.

x∈R λ∈Λ

Theorem 4 (Beurling [5]) A u.d. set Λ is an SS for Bσ if and only if D − (Λ) >
σ/π.
We sketch some main ideas of the proof (for details see [5] or [43], Lecture 3).
The following compactness property of the space Bσ will be used: Given any
bounded sequence

fn ∈ Bσ , sup fn ∞ < ∞,
n

there is a subsequence fnj converging uniformly on compacts of the complex plane

C to a function f ∈ Bσ .
Reconstruction of Signals: Uniqueness and Stable Sampling 21

In the proof of Theorem 4 we may assume that σ = π .

1. Let D − (Λ) > 1. We have to show that Λ is an SS for P Wπ .
Assume Λ is not an SS for Bσ . This means that there are functions fn ∈ P Wπ
satisfying

1
fn ∞ = 1, fn |Λ ∞ < , n ∈ N. (15)
n

Fix xn such that |fn (xn )| > 1/2.

(a) Assume that all xn = 0. By the compactness property, there is a subsequence
fnj which converges to some function f ∈ Bπ . We see that |f (0)| ≥ 1/2
and f |Λ = 0.
The following principle is well-known: An entire function of a given
growth in C cannot have too many zeros. In particular, a non-trivial function
f from the space Bπ (which means that f satisfies (10) with σ = π ) cannot
vanish on a set Λ of the lower density satisfying D − (Λ) > 1. This is an easy
consequence of Jensen’s formula (see [31], Lecture 2).
(b) Assume xn = 0. How does one adjust the proof above? We translate: Set
gn (t) := fn (t + xn ). Then

1
|gn (0)| > 1/2, gn ∞ = 1, g|Λ−xn ∞ ≤ .
n
We may assume that gn → g ∈ Bπ , n → ∞.
Assume satisfies 0 < < δ(Λ)/2, where δ(Λ) is the separation constant
defined in (2). Then any interval I = (a − , a + ) contains at most one point
of Λ. It is easy to check that there is a subsequence nj and a u.d. set Γ such that
the translates Λ − xnj converge to Γ in the sense that the number of elements of
Γ and Λ − xnj on every interval I whose endpoints are not elements of Γ , is the
same for all but a finite number of j . The set Γ is called the weak limit of the
translates Λ − xnj .
Clearly, we have |g(0)| ≥ 1/2 and g|Γ = 0.
Claim D − (Γ ) ≥ D − (Λ).
This claim follows from the definition of density D − . Using the claim,
similarly to part (i), we come to contradiction.
2. To complete the proof of Theorem 4, it suffices to prove that no u.d. set Λ with the
“critical density” D − (Λ) = 1 is an SS for P Wπ . This is the most delicate point
in Beurling’s proof. It involves the connection between sampling and balayage
discovered by Beurling, and some other ideas (see [5] or [43], Lecture 3). We
present another proof, which follows from Theorem 19 below.
22 A. Olevskii and A. Ulanovskii

Theorem 3 can be easily deduced from Theorem 4 by using the following.

Proposition 1 ([43]) Assume Λ is a u.d. set, and 0 < τ < σ .
(i) If Λ is not an SS for Bσ −τ , then it is not an SS for P Wσ .
(ii) If Λ is an SS for Bσ +τ , then it is an SS for P Wσ .
Proof The proof of part (i) is easy: Take functions fn ∈ Bσ −τ satisfying (15) and
find points xn such that |fn (xn )| > 1/2. Then set

sin τ (x − xn )
gn (x) := fn (x) .
τ (x − xn )

Then one may check that gn ∈ P Wσ , infn gn 2 > 0 while gn |Λ 2 → 0 as

n → ∞. This means that Λ is not an SS for P Wσ .
Beurling [5] proved part (ii) using the so-called linear balayage operators. We
suggest a simpler proof.
We may assume that σ + τ ≤ π . Fix a function h ∈ P Wτ with h(0) = 1 and
satisfying

C1 := sup |h(k − x)|2 < ∞.
x∈[0,1] k∈Z

Then for every f ∈ P Wσ we have f (·)h(k − ·) ∈ Bσ +τ and

|f (k)| ≤ max |f (x)h(k − x)|.

x∈R

Hence, by (13),
 
f 2
2 = |f (k)|2 ≤ max |f (x)h(k − x)|2
x∈R
k∈Z k∈Z

 
≤C max |f (λ)h(k − λ)|2 ≤ C |f (λ)h(k − λ)|2
λ∈Λ
k∈Z k∈Z λ∈Λ


≤ CC1 |f (λ)|2 ,
λ∈Λ

which shows that Λ is an SS for P Wσ .

5 Riesz Sequences and Interpolation

We will now recall one more geometric concept which has an important interpreta-
tion in terms of the signal processing.
Reconstruction of Signals: Uniqueness and Stable Sampling 23

Definition 9 A system of vectors {uk } in a Hilbert space H is called a Riesz

sequence (RS) if there is a constant γ > 0 such that
 
ck uk 2
H ≥γ |ck |2 , for every finite sequence of scalars ck . (16)
k k

Example 6 Let Λ = {2n , n ∈ N}. Then the system of exponentials E(Λ) is an RS

in the space L2 (S), for every set S ⊂ (−π, π ) of positive measure, see [57].
Example 7 On the other hand, E(N) = {eint , n ∈ N} is not an RS for L2 (−σ, σ ),
for every 0 < σ < π .
Indeed, it is easy to check that there exist trigonometric polynomials pn
satisfying

pn L2 (−π,π ) = 1, pn L2 (−σ,σ ) → 0, n → ∞.

A similar argument shows that if a set Λ ⊂ Z contains arbitrary long arithmetic

progressions then there is a set S ⊂ (−π, π ) of positive measure such that E(Λ) is
not an RS in L2 (S). In particular, this is true for the set of primes, due to the famous
Green–Tao theorem [16].
The concept of RS is in a way dual to the concept of frame. The following lemma
illustrates this.
Lemma 1 (Duality Lemma) Let W = {wn } be an ONB in L2 on an interval I .
Suppose that I = A ∪ B is a decomposition of I into two disjoint measurable sets.
Let W = U ∪ V be a decomposition of W into two disjoint sub-systems. Then U is
a frame in L2 (A) if and only if V is a RS in L2 (B).
Proof We will prove “a half” of this lemma. The prove for the other half is similar.
Assume V is not an RS on B. Then for any > 0 there is a “polynomial” p
satisfying

p := c(v)v, p 2
L2 (I )
= 1, p 2
L2 (B)
< .
v∈V

Hence,

p 2
L2 (A)
>1− .

Since p is orthogonal to U in L2 (I ), we have

p, u L2 (A) = −p, u L2 (B) , u ∈ U.

It follows that
24 A. Olevskii and A. Ulanovskii

 
|p, u L2 (A) |
2
= |p, u L2 (B) |
2
≤ p 2
L2 (B)
< .
u∈U u∈U

This means that U is not a frame in L2 (A).

One can reformulate this lemma for any Hilbert space H , see [43], Lecture 1.

5.1 Interpolation

Let S ⊂ R be a bounded set of positive measure, and Λ a u.d. set.

Definition 10 A u.d. set Λ ⊂ R is called an interpolation set (IS) for the space
P WS , if for every l 2 -sequence {c(λ), λ ∈ Λ}, there is a function f ∈ P WS such
that

f (λ) = c(λ), λ ∈ Λ.

In other words, this means that the restriction operator

Rf = {f (λ), λ ∈ Λ} (17)

acting from P WS into l 2 (Λ) (R is bounded due to the Bessel inequality) is a

surjection. Let F be the inverse Fourier transform of f . Then
√
f (λ) = F (t), eiλt / 2π ,

and so the restriction operator√can be identified with the operator from L2 (S) to
l 2 (Λ) given by F → F, eiλt / 2π . Hence, the conjugate operator R ∗ : l 2 (Λ) →
L2 (S) can be identified with the operator (see Sect. 2.2)

1 
R ∗ {c(λ)} = √ c(λ)eiλt .
2π λ∈Λ

Due to a fundamental Banach theorem (see Theorem E9, [19]), the surjectivity
of R is equivalent to the following estimate for the conjugate operator R ∗ :
 
c(λ)eiλt 2
L2 (S)
≥γ |c(λ)|2 , for every finite sequence c(λ)
λ λ

(with a positive γ , not depending on c(λ)).

This proves the following
Claim Λ is an IS for P WS if and only if E(Λ) is an RS for L2 (S).
Reconstruction of Signals: Uniqueness and Stable Sampling 25

5.2 Kahane’s and Beurling’s Interpolation Theorems

The following theorem provides an essential characterization of interpolation sets

for P Wσ in terms of the upper uniform density D + .
Theorem 5 (Kahane, [21]) Let S = [−σ, σ ], σ > 0, and let Λ be a u.d. set.
(i) If D + (Λ) < σ/π then Λ is an IS for P Wσ .
(ii) If D + (Λ) > σ/π then it is not.
When Λ is a subset of an infinite arithmetic progression, this result can be
deduced directly from Theorem 3 by the Duality Lemma 1.
A complete characterization of the interpolation sets for P Wσ is given in [52].
As in the case of sampling, it cannot be expressed in terms of a density of Λ.
Recall that the elements of the Bernstein space Bσ are bounded on R. Therefore,
the restriction operator R defined in (17) also acts from Bσ to l ∞ (Λ). Similarly to
Sect. 5.1, one can define the concept of interpolation set for the Bernstein space Bσ .
Definition 11 A u.d. set Λ is called an IS for Bσ if the restriction operator R :
Bσ → l ∞ (Λ) is a surjection.
Theorem 6 (Beurling, [6]) A u.d. set Λ is an IS for Bσ if and only if D + (Λ) <
σ/π.
For the proof see [6] or [43], Lecture 4.
Observe that there is an analogue of Proposition 1 for the property of interpola-
tion. Using this result, one may deduce Theorem 5 from Theorem 6, see details in
[43], Lecture 4.

6 Disconnected Spectra: Landau’s Theorems

When S = [−σ, σ ] is a single interval, Theorems 3 and 5 show that the sampling
and interpolation properties of Λ in P WS can be essentially described in terms
of appropriate densities of Λ. This is no longer so when S is a disconnected set,
already when it is a union of two disjoint intervals: No density condition is sufficient
for a u.d. set Λ to be a sampling or interpolation set. For example, the uniform
density D(Λ) can be large (small) with respect to |S|, but Λ fails to be a sampling
(interpolation) set for P WS .
Example 8 The set of integers Z is not a sampling set (not even a uniqueness set)
for the space P WS , where S := (−π − , −π + ) ∪ (π − , π + ).
Indeed, the function
sin( x)
f (x) = sin π x
x
vanishes on Z and belongs to the space P WS .
26 A. Olevskii and A. Ulanovskii

The next example illustrates the situation with interpolation.

Example 9 Let N be a large number. Set


N
SN = [2π k, 2π k + π ].
k=0

One can easily check that Z is not an IS for P WSN .

6.1 Landau’s Necessary Density Conditions

On the other hand, H. Landau discovered that the necessity of the density conditions
in Theorems 3 and 5 remains to be true for disconnected spectra, and also in several
dimensions.
For simplicity we present the results below in 1-D setting.
Theorem 7 (Landau, [28]) Let S ⊂ R be a bounded measurable set and Λ ⊂ R a
u.d. set.
(i) If Λ is an SS for P WS then D − (Λ) ≥ |S|/2π ;
(ii) If Λ is an IS for P WS then D + (Λ) ≤ |S|/2π .
The proof below follows [35], see also [43], Lecture 4. It essentially differs from the
original one in [28], and is much simpler.

6.2 Uniformly Minimal Sets

First, we recall the concept of uniformly minimal set in Hilbert space.

We denote by C different positive constants.
Definition 12 A system of vectors {uk }, uk H > C, is called uniformly minimal
(UM) if there is a constant γ > 0 such that for every k,

uk − c(n)un H > γ ,
n=k

for any finite family of coefficients c(n).

Another form of this definition is as follows: A system above is a UM if there is
a system {vk }, vk H < C, which is biorthogonal to uk , which means that

1 k=j
uk , vj = .
0 k = j
One can see easily that these two definitions are equivalent.
Reconstruction of Signals: Uniqueness and Stable Sampling 27

The UM-property is weaker than the RS-property. Indeed, it is straightforward to

check that if {uk } is a Riesz sequence then it is uniformly minimal.
The inverse implication is not true, even for the exponential systems.
Claim ([51]) Let Λ = {λj , j ∈ Z}, where
⎧
⎨ j + 4 , j = 1, 2, . . . ,
1

λj := 0, j = 0, .
⎩
j − 14 , j = −1, −2, . . .

The exponential system E(Λ) is complete and uniformly minimal in L2 (−π, π ),

but it is not an RS.

6.3 Uniformly Minimal Sets of Exponentials

Theorem 8 ([35]) Let S ⊂ R be set of finite measure (not necessarily bounded),

and Λ be a u.d. set. If E(Λ) is a UM system in L2 (S) then

|S|
D + (Λ) ≤ .
2π
The proof is based on the following simple geometric lemma.
Lemma 2 Let {fj , gj , 1 ≤ j ≤ n} be a biorthogonal system in an n-dimensional
subspace V of P WS . Then


n
|S|
0≤ fj (x)gj (x) ≤ , x ∈ R.
2π
j =1

Proof Set

1
ex := √ eitx 1S (t).
2π

Denoting by Fj and Gj the inverse Fourier transform of fj and gj , respectively,

we get


n 
n 
n
fj (x)gj (x) = Fj , ex ex , Gj =  ex , Gj Fj , ex .
j =1 j =1 j =1
28 A. Olevskii and A. Ulanovskii

The last sum is the orthogonal projection of the vector ex to the space V̌ , obtained
from V by the inverse Fourier transform. So the scalar product above does not
exceed ex 2L2 (S) , which proves the lemma.

6.3.1 Proof of Theorem 8

Denote by h the Fourier transform of the indicator function 1S . Fix > 0 and
choose b = b( ) such that

|h(x)|2 dx < 2
. (18)
|x|>b

Since E(Λ) is uniformly minimal in L2 (S), the system {h(x − λ), λ ∈ Λ}

obtained from E(Λ) by a unitary operator (the Fourier transform) has the same
property in P WS .
So, there is a bounded system {gλ ∈ P WS , λ ∈ Λ} such that {h(x − λ), gλ } is a
biorthogonal system.
Fix a long interval I and set

V := span{h(x − λ), λ ∈ Λ ∩ I }, J := I + (−b, b).

Let PV be the orthogonal projector onto V . We see that

{h(x − λ), PV gλ , λ ∈ Λ ∩ I } is a biorthogonal system in V , (19)

and

PV gλ < C. (20)

Then Lemma 2 gives

 |S|
0< h(x − λ)PV gλ (x) ≤ . (21)
2π
λ∈Λ∩I

For every λ ∈ Λ ∩ I we have from (19) that

h(x − λ)PV gλ (x) dx = 1.

R

On the other hand, by the Cauchy–Schwartz inequality, we get from (18) and
(20)

|h(x − λ)PV gλ (x)| dx < C .

R\J
Reconstruction of Signals: Uniqueness and Stable Sampling 29

Hence, by (21),
 |S|
#(Λ ∩ I )(1 − C ) ≤ h(x − λ)P gλ (x) dx ≤ |J |.
J λ∈I 2π

It follows that
#(Λ ∩ I ) |S| J
≤ .
|I | 2π(1 − C ) |I |

From the definition of the density D + (Λ), we conclude that

|S|
D + (Λ) ≤ ,
2π(1 − C )

which proves the result.

6.4 Proof of Theorem 7

Since the UM-property is weaker than the RS-property, part (ii) of Theorem 7
follows from Theorem 8.
Now, following [43], Lecture 5, we deduce part (i) of Theorem 7 from part (ii).
We need
Lemma 3 (Stability Lemma) Assume S is a bounded set and Λ is a u.d. set such
that E(Λ) is an SS for P WS . Then there is a small number > 0 such that every
set

Λ := {λ + (λ), λ ∈ Λ}, | (λ)| < , λ ∈ Λ,

is also an SS for P WS .
It is natural to call the set Λ in Lemma 3 an -perturbation of Λ.
Fix a bounded set S and chose from the lemma above so small that S lies in
[−π/ , π/ ]. Then find an -perturbation Λ of Λ such that Λ lies on the lattice
Z, and E(Λ ) is an SS for P WS .
The Duality Lemma 1 implies that E( Z \ Λ ) is an IS for L2 ((−π/ , π/ ) \ S).
Now, applying part (ii) of Theorem 7 and keeping in mind that

D − (Λ ) + D + ( Z \ Λ ) = 1/ ,

we finish the proof.

30 A. Olevskii and A. Ulanovskii

7 Universal Sampling

7.1 Universality Problem

Let S be a disconnected bounded set on R, say a finite union of intervals. How can
one find a sampling set Λ, which allows one to recover signals f ∈ P WS ?
A possible way is to cover S by an interval I and take Λ to be an SS for P WI .
However, if the measure of S is small with respect to the length of I , this requires a
large volume of measurements (compared to the measure of S), see Example 8. On
the other hand, it is desirable to avoid a special construction of Λ, depending on the
structure of S.
Hence, the following problem appears: Is it possible to find a u.d. set Λ, which
serves as an SS for each spectrum S of fixed measure, independently of its structure
and localization?
This problem was put forward in [40]. We proved that for the compact spectra
such a “universal” sampling does exist. Moreover, it can be found with a “minimal
possible” density.
Theorem 9 ([40]) There exist a “universal” u.d. set Λ, D(Λ) = 1, which is an SS
for P WS , whenever S is a compact set, |S| < 2π .
By re-scaling, one can get a universal sampling set Λ, D(Λ) = d, which
provides stable sampling for any compact S, |S| < 2π d.
The exponential system E(Λ) from Theorem 9 is a frame in L2 (S) for an
arbitrary compact S of measure < 2π .
In fact, we proved a stronger property: E(Λ) is a Riesz basis in the space L2 (S),
whenever S is any finite union of intervals of total measure 2π , with rational
endpoints (multiplied by π ).
The construction is based on a special perturbation of the lattice 2π Z.

7.2 Meyer’s Model Sets

Later, an alternative example of a universal sampling set was suggested by B. Matey

and Y. Meyer. The construction is based on Meyer’s “cut and project” sets.
Take a lattice Γ in R2 in general position. Cut it by a horizontal strip a < y < b
and project the lattice points in the strip onto the x-axis. The set M obtained is called
a simple Meyer’s model.
Theorem 10 ([33]) The set M is an SS for P WS , for every compact S, |S| <
2π D(M).
Reconstruction of Signals: Uniqueness and Stable Sampling 31

7.3 No Universal Sampling for Non-compact Sets

Assume a u.d. set Λ is an SS for P WS , i.e., the inequality (11) holds. Denote by
K(Λ, P WS ) the smallest constant C in (11), i.e.,

f 2
K(Λ, P WS ) := sup .
f ∈P WS f |Λ 2

It is natural to call this constant the sampling bound. It describes the “quality” of
sampling provided by the set Λ.
In order to obtain a stronger form of universality, one may wish to construct a
u.d. set Λ such that the sampling bound K(Λ, P WS ) admits an estimate depending
only on the measure of S. However, this is not possible, even for simple spectra S
lying on a fixed interval. More precisely, we have
Theorem 11 ([40]) Let Λ be a u.d. set, D − (Λ) = 1, and let > 0. Then

sup K(Λ, P WS ) = ∞,
S

the supremum is taken over all finite union of intervals S, S ⊂ [0, 2π(1 + )],
|S| < .
The proof is based on interaction of analytic and combinatorial arguments. The
latter is based on Szemeredi’s theorem on arithmetic progressions.
One can deduce easily from Theorem 11 that the non-compact bounded spectra
do not admit in general a universal sampling.
For a detailed exposition of the above results, see [40] and [43], Lecture 6.

7.4 Universal Completeness

The following theorem shows that a weaker “universality” property, completeness

on all sets of fixed measure, can be achieved with no topological restriction.
Theorem 12 ([41]) Let Λ = {n + 2−|n| , n ∈ Z}. The exponential system E(Λ) is
complete in L2 (S), for every bounded set S, |S| < 2π .
In fact, one can take any Λ, obtained from the lattice Z by an exponentially small
perturbation.
Observe, in a contrast, that the perturbations needed for the proof of Theorem 9
have a special arithmetic structure, and cannot decrease too fast.
By re-scaling, one can get a universal u.d. set Λ of the critical density for any
given value of measure.
32 A. Olevskii and A. Ulanovskii

7.5 Universal Completeness on the Circle

The universality phenomenon can be also observed on the circle T := (−π, π ).

In this case it is natural to require that Λ ⊂ Z. Due to this additional arithmetic
structure, our results are not as complete as in the non-periodic case.
Proposition 2 ([41]) There is a set Λ ⊂ Z, D(Λ) = 1/2, such that the system
E(Λ) is complete in L2 (S), for every set S ⊂ T, |S| = π .
In fact, one can take Λ = 2Z+ ∪ (2Z− − 1).
Similar results are true for some sets Λ of density greater than 1/2. However, we
do not know if there exist sets Λ ⊂ Z of density less than 1/2 such that E(Λ) is
complete in L2 (S) for every S ⊂ T of small measure.

8 Unbounded Spectra

Above we have always assumed that S is a bounded set. Now we are going to discuss
the case when S is an unbounded set of finite measure. The essential difference
is that the elements f of the Paley–Wiener space P WS are no longer analytic
functions. Even smoothness is lost, in general. However, the condition |S| < ∞
implies the continuity of the elements of P WS . So, the problem of reconstruction
of signals from their discrete sampling still makes sense, but presumably becomes
harder.

8.1 Uniqueness Sets

We start with the uniqueness problem. We will show that for every (bounded or
unbounded) set S of finite measure there is a u.d. set Λ of the critical density
D(Λ) = |S|/2π , which is a US for P WS .
An equivalent form is as follows: For every set S of measure 2π there is a u.d.
set Λ, D(Λ) = 1, such that the system of exponentials E(Λ) is complete in L2 (S).
In fact, we will prove a stronger version of this result.
Define the “projection” of the set S on the interval [0, 2π ) as

A := Proj S := (S + 2π Z) ∩ [0, 2π ).

Define also the “multiplicity function”:

w(t) := #{n ∈ Z : t + 2π n ∈ S}, t ∈ [0, 2π ).

Clearly, A = {t ∈ [0, 2π ) : w(t) ≥ 1}.

Reconstruction of Signals: Uniqueness and Stable Sampling 33

It is easy to check that if |S| = |A| = 2π then w(t) ≡ 1 and Λ = Z is a US for

P WS .
Theorem 13 ([42]) Assume that |S| < ∞ and |A| < 2π . There is a u.d set Λ of
density 1 which is a US for P WS .
Below we sketch the proof of this result. It is based on two ingredients.

8.1.1 Completeness of Exponentials on Subsets of (0, 2π )

Let us introduce the weighted space

X := L2 (A, w) = {F : |F (t)|2 w(t) dt < ∞}.

A

One can check that the dual space is

X∗ = L2 (A, 1/w),

with respect to the duality

G, F A := F (t)G(t) dt.

A

It is also not difficult to see that

X∗ ⊂ L1 (A).

Using this, one can easily obtain the following

Claim The system of exponentials {eint , |n| > N } is complete in X, for every N ∈
N.
In turn, this allows one to prove
Lemma 4 There is a partition

Z = ∪∞
j =1 Zj

on pairwise disjoint sets Zj , such that for every j the exponential system E(Zj ) is
complete in X.
Proof Using the claim above, the proof follows from the induction: Fix a dense
countable set of elements {Fk , k ∈ N} in X. On the first step, we set

B1 := {0, ±1, . . . , ±(n1 − 1)},

34 A. Olevskii and A. Ulanovskii

where we choose n1 ∈ N so large that the function F1 can be approximated

in X by a trigonometric polynomial with frequencies from B1 with an error
less than 1. On the j -th step of induction, by the claim above, one may choose
nj ∈ N so large so that every function Fk , k = 1, . . . , j, can be approximated
by a a trigonometric polynomial pk,j with the frequencies from the block Bj =
{±nj −1 , ±nj + 1, . . . , ±(nj − 1)} with the error less than 1/j .
Take any partition

N = ∪∞
j =1 Δj ,

where Δj are infinite and disjoint, and set

Zj := ∪l∈Δj Bl .

It is easy to see that for every k, j ∈ N, the function Fk can be approximated with
an arbitrarily small error by a trigonometric polynomial with frequencies from Bj .
This proves the lemma.

8.1.2 Periodization

Given a function F ∈ L1 (R) set


P F (t) := F (t + 2π k).
k∈Z

This is 2π -periodic function belonging to L1 on the circle T := (−π, π ).

One can easily establish the following connection between the Fourier coeffi-
cients of this function and the Fourier transform of F :
2π √
P F (t)e−int dt = 2π F̂ (n), n ∈ Z.
0

This implies

2π √
P (F (·)e−ix· )(t)eint dt = 2π F̂ (n + x). (22)
0

The condition F ∈ L2 (R) does not imply that Pf ∈ L2 (T). However, using the
definition of the weight w and the Cauchy–Schwartz inequality for sums, one can
check that F ∈ L2 (S) implies P F ∈ X∗ . Indeed, applying the inequality

(a1 + . . . + an )2
≤ a12 + . . . + an2 ,
n
Reconstruction of Signals: Uniqueness and Stable Sampling 35

we get

1  1
|P F (t)|2 dt = ( |F (t + 2π k)|)2 dt ≤
A w(t) A k∈Z w(t)


|F (t + 2π k)|2 dt = |F (t)|2 dt < ∞.
A k∈Z S

8.1.3 Proof of Theorem 13

Choose any sequence {xj } dense in [0, 1) and set

Λ := ∪∞
j =1 (Zj + xj ), (23)

where Zj satisfy Lemma 4. Let us show that Λ is a US for P WS .

Assume f ∈ P WS , f = F̂ , and f |Λ = 0. We have to show that f = 0.
The assumption f |Λ = 0 is equivalent to the equalities f (n + xj ) = 0, n ∈
Zj , j ∈ N. From (22), we see that the Fourier coefficients of the function
P (F (·)eixj · ) vanish on Zj . This function is supported by the set A. So, by Lemma 4,
it is zero a.e. Therefore, using again (22), we get f (n + xj ) = 0, n ∈ Z. Since this
is true for all j and {xj } is dense in [0, 1), we conclude that f vanishes on a dense
set in R. But f is continuous, so that it is identically zero. Theorem 13 is proved.

8.2 Uniqueness Sets for Sobolev Spaces

So far we have considered spaces with unbounded spectra of finite measure. Now
we are going to discuss the uniqueness problem for function spaces with spectrum
of infinite measure.
Since the functions f ∈ P WS , |S| = ∞, are not necessarily continuous, we need
to change slightly the spaces we are working with.

8.2.1 Sobolev Spaces

Definition 13 For every number α > 1/2, we denote by W (α) the Sobolev space of
functions f such that the inverse Fourier transform F, f = F̂ , satisfies

F 2
α := (1 + |t|2α )|F (t)|2 dt < ∞.
R
(α)
We denote by WS the subspace of W (α) of functions f with spectrum in S, i.e.,
F = 0 a.e. outside S.
36 A. Olevskii and A. Ulanovskii

Observe that if F 2
α < ∞ then F ∈ L1 (R). Hence, W (α) consists of continuous
functions.

8.2.2 Periodic Gaps

Clearly, for every u.d. set Λ there exists a non-trivial smooth function which
vanishes on Λ. So, if one wishes to have a u.d. uniqueness set for a space of smooth
functions with spectrum in S, one should assume that S has gaps. Moreover, one
may check that the spectral gaps must be dense in the sense that S cannot contain
arbitrarily long intervals. However, this condition is not sufficient for existence of
u.d. uniqueness set. The arithmetic structure of the spectral gaps plays a crucial role.
Definition 14 We say that S has periodic gaps if there is a bounded set Q of positive
measure (the gap) and a number T (the period) such that the set Q + T Z is disjoint
from S.
(α)
Theorem 14 ([44]) The Sobolev space WS with periodic spectral gaps admits a
u.d. uniqueness set.
The proof is based on the ideas described in Sec. 8.1.1 and 8.1.2.

8.2.3 Random Gaps

The following result shows the importance of the periodicity condition:

Theorem 15 ([44]) The Sobolev space WS(α) with random spectral gaps does not
admit a u.d. uniqueness set.
More precisely: Let wn be an independent sequence of random variables, say
uniformly distributed over the interval [3, 4]. Let Jn , n = 1, 2, . . . , be the sequence
of intervals defined by

J0 = [0, 1], Jn = Jn−1 + wn , S := ∪n Jn .

Then with probability 1, for any u.d. set Λ there is a Sobolev function with spectrum
in S, which vanishes on Λ.
In fact, a stronger form of non-uniqueness is true: Every discrete function c(λ) ∈
l 2 (Λ) can be interpolated by an analytic L2 -function with spectrum in S.
Some arithmetic properties of random sets are crucial in the proof, see [44].
Reconstruction of Signals: Uniqueness and Stable Sampling 37

9 Back to Exponential Frames

9.1 Frames on Unbounded Sets

It was an open problem if for every unbounded set S, |S| < ∞, the space L2 (S)
admits exponential frames. A positive solution was obtained recently:
Theorem 16 ([37]) For every set S of finite measure, the space L2 (S) admits an
exponential frame. Moreover, there is a discrete set Λ such that E(Λ) is a frame
in L2 (S) with frame bounds A ≥ c|S| and B ≤ C|S|, where c and C are absolute
positive constants.
In contrast to Theorem 13, the proof is not purely constructive. It is based on a
recent outstanding result [34], whose proof involves some stochastic elements.
We will discuss the subject below.

9.2 What Is a Good Exponential Frame?

We will describe briefly the approach to the proof of Theorem 16.

Firstly, observe that the method used in Theorem 13 does not work in this
case. The uniqueness is a much more “liberal” property than the sampling. For
example, consider the decomposition of Z in Lemma 4. Clearly, some of Zj must
have infinitely many arbitrarily long gaps, and this does not contradict to the
completeness of E(Zj ) in the L2 -space on a subset of (−π, π ). However, such a
system cannot be a frame, due to Landau’s theorem above.
Basically, the main problem one faces when trying to prove Theorem 14 is as
follows: What is a “good” frame in L2 (S) for a subset S ⊂ (−π, π )?
Let us illustrate the problem by a simple example. Assume S = [0, 2π/m], where
m is a large integer. Then E(Z) is a frame in L2 (S) (see Example 1). But it is too
overcomplete. In particular, the frame constants A = B = 1 are much larger than
the measure of S. On the other hand, E(mZ) is an orthogonal basis in L2 (S) whose
frame constants A = B = 1/m are proportional to the measure of S.
One may ask if such a good exponential frame exists for every set S ⊂ (−π, π )
of small measure?
This question was considered in [36], where the approach was based on a result
from [2]. The proof of Theorem 16 is based on the result in [34], see below.

9.2.1 Discrete Situation

Let A be an orthogonal matrix of order m. Choose any n columns of A, where we

assume that m is much larger than n. An important problem is as follows: Can one
find say, 2n rows, so that the corresponding 2n × n submatrix J is “well-invertible”,
in the sense that the inequality holds
38 A. Olevskii and A. Ulanovskii

n n
c x 2
≤ Jx 2
≤C x 2, x ∈ Rn , (24)
m m
where C, c are absolute positive constants?
Such a problem was considered by B. Kashin [23] in connection with theory of
orthogonal series and by J. Bourgain and L. Tzafriry [9], inspired by the so-called
Kadison–Singer problem.
A paper by Lunin [32] should also be mentioned in the context. He proved (in
the previous notations) that for any A and any family of n columns there are n rows
such that the right inequality in (24) holds.
Later, using a different approach, the authors of [2] proved proved a similar result
for the left inequality.
Using [2], the following was proved
Proposition 3 ([36]) For every measurable set S ⊂ (−π, π ) there is a set Λ ⊂
Z, D(Λ) < 2|S|, such that

|S| f 2
2 ≤C |f (λ)|2 , f ∈ P WS ,
λ∈Λ

with an absolute constant C.

However, one would wish to obtain a two-sided estimate.
Such an improvement became available after the outstanding result of Markus–
Spielman–Srivastava:
Theorem 17 ([34]) Given an n × m matrix of orthogonal columns such that the
length of every row uj , 1 ≤ j ≤ m, is less than , there is a partition

{1, 2, . . . , m} = S1 ∪ S2

such that for every x ∈ Rn and k = 1, 2,

5  5
(1 − ) x 2
≤ |x, u |2 < (1 + ) x 2.
2 2
u∈Sk

This proved a Weaver’s conjecture, which has been known to be equivalent to the
Kadison–Singer problem, see [54].

9.3 Construction of Good Frames

Based on Theorem 17, good exponential frames on the circle were constructed:
Reconstruction of Signals: Uniqueness and Stable Sampling 39

Theorem 18 ([37]) For every set S ⊂ (−π, π ) of positive measure there exists
Λ ⊂ Z such that E(Λ) is a frame for L2 (S) with frame bounds A ≥ c|S| and
B ≤ C|S|, where c and C are absolute positive constants.
Finally, the construction of good frames was extended in this paper to the
unbounded sets of finite measure, which in particular delivers the proof of Theo-
rem 16.

9.4 Extraction of Frames from Continuous Frames

The concept of frame can be generalized to a family indexed by some measure

space:
Definition 15 Let (X, Σ, μ) be a positive, σ -finite measure space and let H be a
separable Hilbert space. A measurable function Ψ : X → H is a continuous frame
for H if there exists constants A, B > 0 such that

A x 2
H ≤ |x, Ψ (t) |2 dμ(t) ≤ B x 2
H, for every x ∈ H.
X

The frame Ψ is called bounded if Ψ (t) H < C for all t ∈ X. It is called Parseval
if A = B = 1.
If X is a countable set with counting measure, then Ψ : X → H is a continuous
frame iff {Ψ (t), t ∈ X} is a frame for H . Thus, frames are a special case of
continuous frames.
Example 10 Let H = L2 (S), where S is any set of finite measure and let X =
R, dμ = dt. Then

1
Ψ : R → L2 (S), Ψ (t) = √ eit· 1S (·)
2π

is a bounded continuous Parseval frame for L2 (S).

Indeed, by the Plancherel identity, for every F ∈ L2 (S) we get

1
|F, √ eit· L2 (S) |
2
dt = F̂ 2
2 = F 2
2.
R 2π

The idea from [36] and [37] to use discrete estimates of Spielman et al type for
constructing frames was recently applied in [14]. It is proved in [14] that from every
continuous bounded frame Ψ (t) one may extract a frame {Ψ (tj )}. Moreover, if Ψ (t)
is Parseval and Ψ (t) ≤ 1, t ∈ X, then there is a frame {Ψ (tj )} with frame bounds
A ≥ c and B ≤ C, where 0 < c ≤ C are absolute constants. Theorem 16 follows
from the latter result and Example 10.
40 A. Olevskii and A. Ulanovskii

10 Sampling Bound for Bernstein Spaces

10.1 Sampling Bound

Recall that a set Λ is called a stable sampling set (SS) for the Bernstein space Bσ ,
if there exists C such that

f ∞ ≤ C f |Λ ∞, for every f ∈ Bσ .

We will call the minimal constant C for which this holds the sampling bound
K(Λ, Bσ ). In other words,

f ∞
K(Λ, Bσ ) = sup .
f ∈Bσ ,f =0 f |Λ ∞

We set K(Λ, Bσ ) = ∞ when Λ is not an SS for Bσ . Therefore, Λ is an SS for Bσ

if and only if K(Λ, Bσ ) < ∞.
Assume Λ is a u.d. set satisfying D − (Λ) = 1. By Beurling’s Theorem 3, Λ is an
SS for every space Bσ , σ < π, and is not an SS for Bσ whenever σ ≥ π. Using this
and the compactness property for Bσ formulated in Sect. 4.2, one can show that the
constants K(Λ, Bσ ) must grow to infinity when σ approaches π from below.
When Λ = Z, S.N. Bernstein [4] proved that the growth is precisely logarithmi-
cal:
2 π
K(Z, Bσ ) = log (1 + o(1)), σ ↑ π. (25)
π π −σ

We prove that K(Λ, Bσ ) has at least logarithmic growth as σ ↑ π, for every Λ

satisfying D − (Λ) = 1.
In the rest of this section we denote by C different positive constants.
Theorem 19 ([47]) Let Λ be a u.d. set with D − (Λ) = 1. Then
π
K(Λ, Bσ ) ≥ C log , π/2 < σ < π.
π −σ

Let σ > σ . Then Bσ ⊂ Bσ and clearly, K(Λ, Bσ ) ≥ K(Λ, Bσ ). Hence,

Theorem 19 implies K(Λ, Bπ ) = ∞. This provides a new proof for the critical
case in Beurling’s Theorem 4 above.
The proof of Theorem 19 is based on a reduction of the sampling problem for the
Bernstein space Bσ to a similar one for the algebraic polynomials.
Reconstruction of Signals: Uniqueness and Stable Sampling 41

10.2 Sampling of Polynomials

Denote by Pn the space of all algebraic polynomials of degree ≤ n on the unit circle
in the complex plane ∂D := {z ∈ C : |z| = 1}.
Given a finite set Λ ⊂ ∂D, #Λ > n, one may introduce the corresponding
sampling constant

maxz∈∂D |P (z)|
K(Λ, Pn ) := sup .
P ∈Pn ,P =0 maxλ∈Λ |P (λ)|

Theorem 20 ([47]) For every Λ ⊂ ∂D, #Λ > n, the estimate holds

n
K(Λ, Pn ) ≥ C log .
#Λ − n

The following result essentially goes back to Faber: Let U be a projector from
the space C(T) onto the subspace Pn . Then U > C log n, see [22], Chapter 7.
Faber’s approach is based on averaging over translations. Different versions of
the result have been obtained by this approach. To prove Theorem 20 in [47], we
use the following one due to Al. A. Privalov [50]: For every projector U above and
every family of linear functionals ψj (1 ≤ j ≤ m) in C(T), there is a unit vector f
in C(∂D) such that Uf > C log(n/m), and the functionals vanish on f .

10.3 Proof of Theorem 19

Theorem 19 can be easily deduced from Proposition 4 below.

Let N ∈ N and Λ be a finite set on [−N, N ]. Set

ΛN := Λ ∪ (−∞, −N ] ∪ [N, ∞).

By Theorem 3, ΛN is a sampling set for Bπ .

Proposition 4 ([47]) For every Λ ⊂ [−N, N ], #Λ > 2N, we have

2N
K(ΛN , Bπ ) ≥ C log . (26)
#Λ − 2N

Assume N is a large number. Then estimate (26) shows that the sampling
constant K(ΛN , Bπ ) must be large unless the number of points of Λ in (−N, N ) is
“much larger than” 2N .
42 A. Olevskii and A. Ulanovskii

10.4 Interpolation Bound for Bernstein Spaces

If Λ is an IS for Bσ , Banach theory implies that there is a constant K such that

for every datum {c(λ), λ ∈ Λ} ∈ l ∞ , a function f ∈ Bσ exists such that f (λ) =
c(λ), λ ∈ Λ and

f ∞ ≤ K sup |c(λ)|.
λ∈Λ

The minimal constant K for which this estimate holds is called the interpolation
bound Ki (Λ, Bσ ).
Assume Λ satisfies D + (Λ) = 1. By Theorem 6, Λ is an IS for Bσ , σ > π, and
is not an IS for Bσ , σ ≤ π . One may check that Ki (Λ, Bσ ) → ∞ as σ approaches
π from above.
Bernstein [4] proved that a similar to (25) asymptotic estimate holds the problem
of interpolation on Z:

2 π
Ki (Z, Bσ ) = log (1 + o(1)), σ ↓ π.
π σ −π

We prove that for every Λ satisfying D + (Λ) = 1, the growth of Ki (Λ, Bσ ) is at

least logarithmic:
Theorem 21 ([47]) Let Λ be a u.d. set with D + (Λ) = 1. Then
π
Ki (Λ, Bσ ) ≥ C log , π < σ < 3π/2.
σ −π

The main step of the proof is to get sharp estimates on the interpolation bound
for complex polynomials. The proof is considerably more technical than the one for
the sampling bound in Theorem 20.

11 Completeness of Translates

Classical Wiener’s [55] theorems provide necessary and sufficient condition on a

function g = Ĝ whose translates {g(t−s), s ∈ R} span the space L1 (R) or L2 (R):
1. The translates of g ∈ L1 (R) span L1 (R) if and only if G does not vanish;
2. The translates of g ∈ L2 (R) span L2 (R) if and only if G is non-zero almost
everywhere on R.
There is no similar result for 1 < p < 2, since the spanning property of the
translates of g ∈ Lp (R) cannot be expressed in terms of the zero set of G, see [30].
It is well-known that sometimes even a discrete set of translates may span Lp (R).
Reconstruction of Signals: Uniqueness and Stable Sampling 43

Definition 16 We call a discrete set Λ ⊂ R p-generating, if there is a function

g ∈ Lp (R) such that the family of translates

{g(t − λ), λ ∈ Λ}

spans Lp (R). Such a function g is called a Λ-generator.

The property of being a p-generating set is intimately connected with the
completeness property of exponential systems. In particular, when p = 2, using
the definition above and the Fourier transform, one can prove the following
Claim A set Λ is 2-generating if and only if there exists G ∈ L2 (R) such that the
system

{G(t)eiλt , λ ∈ Λ} (27)

spans the whole space L2 (R).

Let p ≥ 1. We ask which discrete sets Λ are p-generating? Observe, that if Λ
is p-generating, then it is also p -generating, for every p > p (see [8]). So, it is
“more difficult” to be a p-generating set for small values of p.
Below we present a brief account of the results, see [43], Lectures 11 and 12 for
details. In Sect. 11.5 we present some recent results.

11.1 Examples

We start with some examples.

Example 11 The set of integers Z is not 2-generating.
This follows easily from the claim above: Indeed, in this case the system (27)
becomes {G(t)eint , n ∈ Z}. Due to 2π -periodicity of the functions eint , one may
find a (non-periodic) bounded function F , such that the function F G cannot be
approximated by finite linear combinations of the elements of the system.
On the other hand, the following is true:
√
Example 12 ([43], Lecture 11) The set Λ = { n, n ∈ N} is p-generating for every
p ≥ 1.
The set Λ in this example is not uniformly discrete. So, one may wonder if it is
possible for a u.d. set Λ to be p-generating? We will see that the answer is negative
for p = 1, and it is positive for p > 1 (See Sect. 11.6 for an extension of this
dichotomy to general function spaces). Moreover, when p > 1, the p-generating
property of a u.d set Λ depends on its arithmetic structure.
44 A. Olevskii and A. Ulanovskii

11.2 The Case p = 1

The case p = 1 is the only case where a complete description of generating sets is
known:
Theorem 22 ([10]) The following are equivalent:
(i) Λ is 1-generating;
(ii) The exponential system E(Λ) is complete in L2 (−σ, σ ), for every σ > 0.
Given a discrete set Λ, the completeness radius of Λ is defined to be the number

R(Λ) := sup{σ ≥ 0 : E(Λ) is complete in L2 (−σ, σ )}.

The classical Beurling–Malliavin theorem [7] states that the completeness radius
can be expressed in terms of a certain density, R(Λ) = π DBM (Λ). The density
DBM (Λ) is usually called the upper (or exterior) Beurling–Malliavin density of Λ.
Hence, by Theorem 22, Λ is 1-generating if and only if DBM (Λ) = ∞.
Assume Λ is a u.d. set. From the definition of DBM (Λ) (see [7]) it follows that
DBM (Λ) < ∞. Therefore, no u.d. set Λ is 1-generating.

11.3 The Case p = 2

Definition 17 Let us call a Λ an almost integer set if

Λ = {λn := n + an , n ∈ Z}, an = 0, n ∈ Z, an → 0, |n| → ∞. (28)

We have seen that the set of integers Z is not 2-generating. On the other hand,
the following is true:
Theorem 23 ([38]) Every almost integer set Λ is 2-generating.
This means that for every set Λ satisfying (28) there is a Λ-generator, i.e., a
function g ∈ L2 (R) whose Λ-translates form a complete set in L2 (R). One may
ask for which sets Λ a Λ-generator g can be chosen with a good “time-frequency”
localization, that is, g ∈ S(R)? Here S(R) denotes the space of Schwartz functions.
It turns out that this is the case when the perturbations an are exponentially small:
Theorem 24 ([39]) Assume the “perturbations” an in (28) are exponentially small:

|an | < Cr |n| , n ∈ Z; for some C > 0, 0 < r < 1. (29)

Then Λ admits an L2 -generator g ∈ S(R).

This result may seem surprising, since when (28) and (29) hold, the set Λ is “very
close” to the “limiting case” Λ = Z when no generator exists.
Reconstruction of Signals: Uniqueness and Stable Sampling 45

Examples in [39] show that there exist almost integer sets which do not admit
Schwartz generators.

11.4 The Case p > 2

Recall (see Example 11) that due to the periodicity of the functions eint , the set of
integers Z is not 2-generating. However, rather surprisingly, it is p-generating, for
every p > 2. The proof in [1] is based on an effective construction, which allows
one to get the result in a stronger form:
Theorem 25 ([1]) For every p > 2 there is a smooth function (Z-generator) g ∈
Lp (R) ∩ L2 (R) such that the family {g(t − n), n ∈ Z} is complete and minimal in
Lp (R).
The contrast between the cases p > 2 and p = 2 is due to the fact that the
Fourier transforms of functions from Lp (R), p > 2, are no longer functions, but
distributions.

11.5 The Case 1 < p < 2

Recently, Theorem 24 was extended to the case p ∈ (1, 2):

Theorem 26 ([45]) Every set Λ satisfying (28) and (29) is p-generating, for every
p > 1.
The proof sketched below is based on a uniqueness theorem for a certain class of
tempered distributions.

11.5.1 Distributions with Deep Zeros

Definition 18 Denote by K0 the class of continuous functions Φ satisfying the

condition
1
|Φ(t)| ≤ C1 e−C2 (|t|+ d(t,Z) ) , t ∈ R, (30)

where d(t, Z) = minn∈Z |t − n|, and C1 = C1 (Φ), C2 = C2 (Φ) are positive

constants depending on Φ.
Condition (30) means that Φ has “deep” zeros on the set of integers and at
infinity.
Let S (R) denote the space of tempered distributions on R. Denote by F, Φ the
action of the distribution F ∈ S (R) on the test function Φ ∈ S(R).
46 A. Olevskii and A. Ulanovskii

We would like to extend condition (30) to tempered distributions.

Definition 19 Denote by K the class of all tempered distributions F ∈ S (R) which
admit a representation

(k1 ) (kl )
F = Φ1 + · · · + Φl , (31)

where l ∈ N, k1 , . . . , kl ∈ N ∪ {0} and Φ1 , . . . , Φl are continuous functions

satisfying (30).

11.5.2 Uniqueness Theorem for a Class of Distributions

Let K̂ denote the class the distributional Fourier transforms of the distributions from
K. Using (30) and (31), one may check that every element f ∈ K̂ is a function
analytic in some horizontal strip x + iy, |y| < C.
Theorem 26 is a fairly easy consequence of the following
Theorem 27 ([45]) Assume Λ satisfies (28) and (29) and f ∈ K̂. If f |Λ = 0 then
f = 0.
This result shows that the sets Λ satisfying (28) and (29) are uniqueness sets for
the class K̂.

11.6 Discrete Translates in Function Spaces

Theorem 26 can be extended to more general function spaces.

Consider Banach function spaces X satisfying two conditions:
(a) The Schwartz space S(R) is continuously embedded and dense in X;
(b) No non-trivial element h ∈ X∗ has spectrum on Z.
Theorem 28 ([46]) There is a function ϕ ∈ S(R) such that the family of Λ-
translates {ϕ(· − λ), λ ∈ Λ} spans every Banach function space X satisfying (a)
and (b), where Λ is any u.d. set satisfying (28) and (29).
The proof in [46] is based on Theorem 27.
One may check that every space X = Lp (R), p > 1, satisfies conditions (a) and
(b), and so Theorem 26 follows from Theorem 28.
Example 13 Let w > 0 be a weight vanishing at infinity. Then Theorem 28 holds
for the space

X = L1 (w, R) := {f : f w = |f (x)|w(x) dx < ∞}.

R
Reconstruction of Signals: Uniqueness and Stable Sampling 47

Clearly, the elements of the dual space X∗ = L∞ (1/w, R) are functions

vanishing at infinity. One may prove that conditions (a) and (b) are satisfied.
However, by Theorem 22, Theorem 28 ceases to be true for w = 1, that is for the
space L1 (R).
Theorem 28 is also applicable to the symmetric and Sobolev spaces, see [46].

12 Some Open Problems

1. Is it true that for every compact set S there exists an exponential frame E(Λ) in
L2 (S) with the critical density D(Λ) = |S|/(2π )?
2. Is it true that for every compact set S there exists an exponential system E(Λ)
which is complete and minimal in L2 (S)?
3. Does there exist a set Λ ⊂ Z of density D(Λ) = 1/3, such that the system
E(Λ) is complete in L2 (S) for every set S ⊂ T of small measure? Compare with
Proposition 2.
4. Does a set Λ of finite density exist which is a uniqueness set for P WS , for every
set S of sufficiently small measure? Compare with Theorem 12.
5. Let S be an unbounded set of finite measure. Does there exist a u.d. set Λ such
that F ∈ L1 (S), F̂ |Λ = 0 implies F = 0 a.e.? Compare with Theorem 13.
6. Does there exist a system of exponentials which is a Riesz basis in the space L2
over a disk or a triangle in the plane?
Notice that so far no example is known of a set S such that L2 (S) does not
admit an exponential Riesz basis.

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xii; Vol. I, II.
Sampling Theory in a Fourier Algebra
Setting

M. Maurice Dodson and J. Rowland Higgins

Abstract Sampling theory has been studied in a variety of function spaces and
our purpose here is to develop the theory in a Fourier algebra setting. This aspect
is not as well-known as it might be, possibly because the approximate sampling
theorem, central to our discussion, had what could be called a mysterious birth
and a confused adolescence. We also discuss functions of the familiar bandlimited
and bandpass types, showing that they too have a place in this Fourier algebra
setting. This paper combines an expository and historical treatment of the origins
of exact and approximate sampling, including bandpass sampling, all in the Fourier
algebra setting. It has two objectives. The first is to provide an accessible and
rigorous account of this sampling theory. The various cases mentioned above are
each discussed in order to show that the Fourier algebra, a Banach space, is a
broad and natural setting for the theory. The second objective is to clarify the
early development of approximate sampling in the Fourier algebra and to unravel
its origins.

1 Introduction

It is sometimes possible to represent a function f by a formula involving the

restriction of f to a subset of its domain. A familiar example is Cauchy’s integral
formula for functions analytic on the unit disc, where the restriction is to the
unit circle. The restriction can also be to a countable set, such as the rationals

M. M. Dodson ()
Department of Mathematics, University of York, York, UK
e-mail: [email protected]
J. R. Higgins (deceased)
Cambridge, UK

© Springer Nature Switzerland AG 2020 51

S. D. Casey et al. (eds.), Sampling: Theory and Applications, Applied and
Numerical Harmonic Analysis, https://doi.org/10.1007/978-3-030-36291-1_3
52 M. M. Dodson and J. R. Higgins

Q for continuous functions, or the discrete set (π/w) Z for analytic functions
of exponential type w (see Sect. 3.3), where w > 0 and throughout will be an
independent parameter.
This last type of representation in terms of partial information is proved in
the classical sampling theorem1 (Theorem 2 in Sect. 4.1) for continuous complex
square-integrable functions f on the real line R. If the maximal frequency of
f : R → C is πw radians per second (or w/2 hertz), then f is given by the formula
  n  sin π(wt − n)
f (t) = f , (1)
w π(wt − n)
n∈Z

where the samples n/w are taken every 1/w seconds, the Nyquist rate of twice the
maximal frequency (see Sect. 4.1 for more details). In engineering, the functions
f are usually referred to as bandlimited signals (see Sect. 2.2). This result, which
in principle is exact, is associated with C. E. Shannon [51] and many others [12,
15, 29, 32]. It is widely applied in science and engineering (e. g., [7, 19, 37, 49])
and underpins communication theory, particularly ‘digital-to-analogue’ conversion
(e. g., [2, 5, 36]). It is a fundamental result in the mathematical theory, where the
setting is often taken to be L2 , corresponding to finite energy signals (see Sect. 2.1).
The mathematical theory has been extended in many directions and studied in a
variety of function spaces (see, for example, [5, 17, 62]).
Our purpose in this chapter is to develop a sampling theory in a Fourier algebra
setting parallel to that in the classical theory. The classical theory begins in a
subspace of L2 (R) (defined in Sect. 2.1) in which the above sampling result is
presented as Theorem 2 and called an Exact Sampling Theorem2 (see Sect. 4.1).
However, the Fourier algebra aspect of sampling theory is not as well-known as it
might be, partly because it involves L1 (R) which has less structure than L2 (R) and
possibly also because the approximate sampling theorem (Theorem 6), central to our
discussion, had what could be called a mysterious birth and a confused adolescence.
In order to clarify this, an expository and historical treatment is given of the origins
of exact and approximate sampling; it is not intended to be a survey but a fresh look
at early work, with some attention being paid to the finer points of the analysis.
Bandlimited and bandpass functions (see Sect. 6) will be shown to have a place in
the Fourier algebra setting as well as in the L2 one. Although L2 -norm information
does not appear, it emerges that the Fourier algebra, which will be denoted by A
(see Sect. 3.1) and is a Banach space, is a broad and natural domain for sampling.

1 Thename classical sampling theorem already occurs in [8, p. 75].

2 The adjective ‘exact’ is in contrast with ‘approximate’ sampling; the two forms are defined
in Sect. 2.4.
Sampling Theory in a Fourier Algebra Setting 53

1.1 Some Background

Classical sampling involves square-integrable, continuous functions with frequen-

cies limited to the interval [−π w, π w]. These functions constitute the richly
endowed Paley–Wiener space, denoted by P Ww (see Sect. 3.3). The classical exact
sampling theorem establishes that members of P Ww have a representation as the
sampling series (1) that is both mathematically exact and widely applicable. The
Paley–Wiener space is a standard mathematical model of the engineers’ class of
bandlimited signals but a reduction in a priori information, such as inaccurate
bounds for the frequencies, can cause errors which compromise its effectiveness.
A different and more realistic model would result by dropping the bandlimited
requirement at the expense of losing the exactness of the P Ww model.
This was the approach of P. Weiss [56], who announced in a brief note in 1963,
without proof or references, an approximate or generalized sampling theorem ([16,
p. 251, Theorem B]). Weiss’s generalization was two-fold: the bandlimitation of
the frequencies and the square-integrability were dropped and replaced simply by
the integrability of the spectral or frequency function (see Sect. 2.2) over R. Thus
instead of functions in an L2 setting, as in the classical exact sampling theorem,
he considered the inverse Fourier transforms of functions in L1 (R), i.e., functions
in the Fourier algebra3 A. Weiss also required that the functions should satisfy a
number of other technical conditions, though these turned out to be unnecessary. He
concluded with the assertion that the constant in the approximate sampling theorem
was best possible but did not provide an extremal.
Weiss’s note was followed within a few years by a flurry of papers which supplied
proofs, simplifications and generalizations of his theorem: J. L. Brown [8, 9],
C. J. Standish [52], D. C. Stickler [54] and R. P. Boas [6]. All the proofs, with
the partial exception of Brown’s, are in the Fourier algebra. The details are not
straightforward and are clarified in Sect. 7. The upshot was that Brown proved the
approximate sampling theorem (Sect. 5.2) for the class F 2 of square-integrable
functions with integrable spectral functions (see (16) in Sect. 3.4), while Boas
established it for functions in the larger Fourier algebra A (see Sect. 5.3). There
are other fruitful generalizations of the exact sampling theorem, see, for example,
Chaps. 8, 9, 16 in [33] and the contributions in [36], but these topics lie outside the
present study.
Although functions in the Fourier algebra A are not necessarily integrable, the
spaces F 2 and A can be seen as counterparts in roughly parallel theories. The subset
Aw of functions in A with frequencies limited to the interval [−π w, π w] is the
counterpart of P Ww but has significantly less structure. In particular, the duality
enjoyed by functions and spectral functions in the classical case is no longer valid.
Not surprisingly, the exact sampling theorem for bandlimited functions in A, i.e.,
for Aw (Theorem 3), is much weaker than for bandlimited functions in L2 (R), i.e.,
for P Ww (Theorem 2), and only establishes pointwise convergence for the sampling

3 This terminology was not used by these authors but at the time it was relatively recent [27].
54 M. M. Dodson and J. R. Higgins

series. On the other hand, A has a simpler definition and has a broader setting than
F 2 which it strictly contains (Theorem 1). Moreover, the sampling series is the same
for both spaces (see Theorems 5 and 6 for functions in F 2 and A, respectively), so
that functions f ∈ / L2 (R) (i.e., signals not admitting a finite energy condition) can
still be reconstructed approximately using the same sampling formula as in the exact
case (19). Finally, instead of the time domain and signal being in the foreground as
in the classical case, the primary focus of interest in the Fourier algebra setting is
the frequency domain and spectral functions. This has some advantages.
The terminology and definitions needed to discuss sampling are set out in Sect. 2
and some relationships between the Fourier algebra and other function spaces are
studied in Sect. 3. The classical exact sampling theorem for functions in P Ww is
stated and its Fourier algebra analogue, the exact sampling theorem for functions
in Aw , is proved in Sect. 4. The development of the more difficult approximate
sampling in the Fourier algebra A is discussed fully in Sect. 5, where two proofs
of the approximate sampling theorem are given. Exact and approximate bandpass
sampling theorems, which rest on these bandlimited results, thus increasing the
complexity of the arguments, are proved in Sect. 6, while Sect. 7 ends our study
with some historical notes.

2 Notation, Definitions and Terminology

A knowledge of basic measure theory and the Lebesgue integral is assumed,

together with some familiarity with Fourier analysis, including of course both the
Fourier transform and series, as covered in the books [4, 24, 38, 48, 53, 55]. Some
basic definitions and terminology are introduced to fix notation.

2.1 Measure and Integral

Given an exponent p ∈ [1, ∞), the set of complex Lebesgue measurable functions
f : R → C on R for which |f |p is integrable and satisfies

|f (t)|p dt = |f |p < ∞,
R R

is denoted by Lp (R). The p-norm f p of f ∈ Lp (R) is defined by

1/p
f p := |f |p < ∞.
R

The sets of Lebesgue integrable and square-integrable functions on R will be

denoted by L1 (R) and L2 (R), respectively. They are both Banach spaces, i.e.,
complete normed linear spaces. An inner product R f g is defined for each
Sampling Theory in a Fourier Algebra Setting 55

f, g ∈ L2 (R), which makes it a Hilbert space as well. The Lebesgue measure of a
measurable set X ⊂ R is given by the integral R χ X (x)dx, where the characteristic
function χ X of the set X is given by χ X (x) = 1 when x ∈ X and 0 otherwise.
The integral of a function f : X → R can be defined by X f = R f χ X , with

norm over X given by ( X |f |p )1/p . Such functions comprise Lp (X) and when the
meaning is clear, will be simply referred to as integrable. We use Lp to describe a
theory involving the Lebesgue integral for exponents p and spaces X.
A useful property of the Lebesgue integral concerns sets E ⊂ R which are null
or of Lebesgue measure zero. Sets of discrete points, such as the integers Z, or
countable sets, such as the rationals Q, are examples  of null sets. A null set E is
‘negligible’ in the sense that for any integrable ψ, E ψ = 0 [48, Chap. 1], [55,
Chap. X]. As a consequence, the values of an integrable function and the range
of integration can be changed on a null subset without altering the value of the
integral. If two functions f and g differ only on a null subset of R, i.e., if f and
 agree almost
g  everywhere (a. e.) or almost always (a. a.) on R, then the integral
R f = R g and we write f ∼ g. The relation ∼ is an equivalence relation on
L1 (X) and on L2 (X). The resulting space of equivalence classes is usually identified
with the original space of functions [48, Sect. 3.10].

2.2 Signals and Frequencies

We will model signals and their frequencies in the Fourier algebra and related spaces
(see Sect. 3) by complex-valued functions defined on the real line. There are two
types of function. First, analogue signals, which will be taken to be continuous,
complex-valued functions and denoted by f : R → C. In engineering, signals are
often taken to be real but in this chapter they are not necessarily real unless stated
otherwise. They are also not necessarily integrable nor square-integrable over R or
subsets of R such as intervals, unless otherwise stated. Signals can be thought of
as depending on time and their domain R is called the time domain by engineers.
These analogue signals or functions will usually be denoted by Roman letters, such
as f , g or h, and the real or ‘time’ variables by t or x. The term ‘analogue’ will
usually be omitted and the terms function and signal will be used interchangeably
when the meaning is clear.
Secondly, a spectral function ϕ : R → C of a signal f is a complex valued
function of the frequencies, assumed to be real and, to use engineering terminology,
in the frequency domain. The extension to complex frequencies and entire functions
will not be considered here (more details are in [33, Sect. 6.3]). Spectral functions
will usually be Lebesgue integrable or square-integrable (e.g., in L1 (R) or L2 (R),
respectively) but are not assumed to be continuous. They will be denoted by Greek
letters, e.g., ϕ, ψ, η, ρ, with frequencies usually denoted by τ or ω. The frequencies
can be measured in cycles per second (hertz) or radians per second, depending on
the choice of kernel for the Fourier transform (see Sect. 2.3.1). From a mathematical
56 M. M. Dodson and J. R. Higgins

point of view, the Fourier transform and its inverse (see Sect. 2.3.1) relate a signal
and its frequencies.4
Our main concern is with integrable spectral functions and their inverse Fourier
transforms (see (3)) which are signals or continuous functions of time. Square-
integrable spectral functions (or finite energy signals), where the frequencies
and signal are related by the Fourier–Plancherel transform and its inverse
(see Sect. 2.3.1), are also considered.
The support (also known as the essential support) of a spectral function ϕ is
defined to be the smallest closed set in R outside which ϕ vanishes a. e. and is
denoted by supp ϕ [33, Defn. 7.1], [48, Defn. 2.9]. The support of spectral functions
is basic to the theory of sampling considered here. A function or signal f with
a spectral function ϕ is called bandlimited if its frequencies are bounded, i.e., if its
support supp ϕ lies in a bounded interval, such as [−π w, π w]. The term bandwidth
is used for the measure of the support of a spectral function ϕ. Thus when the
supp ϕ ⊆ [−π w, π w], the bandwidth is at most 2π w.

2.3 Fourier Analysis

Fourier analysis lies at the heart of sampling theory and Fourier series, as well as
the Fourier transform, will play an important rôle in the paper. Fuller accounts of
this theory, including basic material and further references on Lebesgue measure and
integral, are in the books cited at the beginning of the section, together with [33, 41].

2.3.1 The Fourier Transform

Given an integrable (spectral) function ϕ : R → C, i.e., ϕ ∈ L1 (R), the Fourier

transform ϕ ∧ of ϕ, will be defined by

1
ϕ ∧ (t) := √ ϕ(τ)e−i τ t dτ. (2)
2π R
√
The kernel has modulus 1/ 2π, so that its product with an integrable function ϕ is
also integrable. Indeed the transform ϕ ∧ is a uniformly continuous function and by
the Riemann–Lebesgue Lemma, ϕ ∧ (t) → 0 as |t| → ∞, whence ϕ ∧ is in C0 , the
Banach algebra of continuous functions vanishing at infinity [48, Sect. 3.16], [53,
Theorem 1.2]. √
The kernel e−i tτ / 2π chosen for the Fourier transform corresponds to the
frequency τ being in radians per second. The kernel e−2π i tτ , corresponding to
τ being measured in hertz, has a number of technical advantages and has been

4 The time and frequency domains are both represented by the real line because it is self-dual [47].
Sampling Theory in a Fourier Algebra Setting 57

widely adopted across mathematics. Our choice of the kernel in (2) was dictated
by the historical component that is an essential part of this chapter in order to make
comparisons with the original papers on approximate sampling simpler.
The inverse Fourier transform ϕ ∨ of ϕ ∈ L1 (R) is defined by
1
ϕ ∨ (t) := √ ϕ(τ)ei τ t dτ (3)
2π R

and is also in C0 . The functions f = ϕ ∨ in (3) constitute the Fourier algebra

A = {ϕ ∨ : ϕ ∈ L1 (R)} = (L1 (R))∨ ⊂ C0

(see Sect. 3.1). If the spectral function ϕ ∼ ψ on R, then the inverse Fourier
transforms of ϕ and ψ agree everywhere on R, i.e., ϕ ∨ = ψ ∨ .
For convenience the characteristic function of the open interval (−πw, πw) will
be written
χ w := χ (−πw, πw) . (4)

It will also be used for closed interval [−πw, πw] as well as the half open ones,
since the endpoints {−πw, πw} are a null set. The inverse Fourier transform (χ w )∨
of χ w is given by
1 1 πw √
(χ w )∨ (t) = √ χ w (τ)ei τ t dτ = √ ei τ t dτ = 2π w sinc w t,
2π R 2π −π w
(5)
where
 sin π t
πt : t = 0
sinc t := (6)
1 : t = 0.
The sinc function and its parameterization given by t → sinc(wt) occur throughout
the following analysis, e. g., (9).
If f ∈ L1 (R) and ϕ = f ∧ ∈ L1 (R), then f ∧∨ = ϕ ∨ is in C0 and the L1 Fourier
inversion theorem

(f ∧ )∨ ∼ f

holds, i.e., f ∧∨ (t) = f (t) for a. a. t ∈ R. If f is also continuous, then equality

holds for all t ∈ R.
Usually, we consider Lebesgue integrable functions f but square-integrable
functions f will also be encountered and their Fourier–Plancherel transforms Ff
needed. A brief account of their properties follows (for more details see [48, 53]).
When f is in L1 ∩L2 (R), the Fourier–Plancherel transform is given by the L1 (R)
transform, i.e.,

1
(Ff )(τ) = f ∧ (τ) = √ f (t)e−i t τ dt.
2π R
58 M. M. Dodson and J. R. Higgins

The definition of this transform is extended to functions in the complete Hilbert

space L2 (R) using the right-hand side of (2) but with the integral to be understood
in the sense of L2 (R) [48, Chap. 9]. The different notations used here for the L1 (R)
and the L2 (R) Fourier transforms are for clarity and to make the difference between
Theorems 5 and 6 explicit.
The Fourier–Plancherel transform F is an isometry of L2 (R) onto L2 (R), with
inverse denoted by F−1 . For each f in L2 (R),

F −1 F f ∼ f,

so that F−1 Ff (t) = f (t) for a. a. t ∈ R. When f is continuous, F −1 Ff (t) =

f (t) for all t ∈ R. Analogous relations hold for inverse transforms; and also when
the support of f ∧ is restricted to the interval [−π w, π w].

2.3.2 Fourier Series

A function ψ : R → C is 2π w-periodic if ψ(ω + 2πwk) = ψ(ω) for each ω ∈ R

and k ∈ Z and is associated with a Fourier series denoted by Tψ. We will use the
complex form of the Fourier series T ψ for the 2π w-periodic function ψ, defined
formally as the 2πw-periodic, doubly infinite symmetric sum given by

T ψ(ω) := lim T (N ) ψ(ω) = ck ei k ω/w , (7)
N →∞
k∈Z

where

N
T (N ) ψ(ω) := ck ei k ω/w
k=−N

and where
1 πw
(k) =
ck := ψ ψ(ω)e−i k ω/w dω = c−k (8)
2πw −πw

is the k-th Fourier coefficient of ψ.

The k-th Fourier coefficient ψ (k) ∈ C of a periodic function ψ should not
be confused with ψ ∧ (k), the value at k of the Fourier transform of an integrable
function ψ. However, there is an interplay between them: the Fourier series for a
2πw-periodic function ψ associated with a spectral function vanishing outside the
interval [−π w, π w] plays an important part in sampling theory (see Sect. 2.5).
Indeed Shannon [51] observed that the coefficient f (n/w) in the sampling for-
mula (19) is essentially the n-th coefficient in a Fourier series expansion of the
spectral function made periodic.
Sampling Theory in a Fourier Algebra Setting 59

The convergence of the Fourier series representation Tψ of the 2πw-periodic

function ψ given by (7) is more delicate than in the L2 (R) case. For example, the
Fourier series Tψ of a function ψ integrable over the interval [−π w, π w] might
not converge anywhere ([40], [41, Theorem 19.2]). However, if ψ is continuous as
well, its Fourier series Tψ converges to ψ a. e. [41, Theorem 19.4], [48, Sect. 5.11],
i.e.,

Tψ ∼ ψ

(the symbol ∼ can also be used to indicate that T ψ is the formal Fourier series of
ψ but in this chapter it means equality a. e.). A useful fact is that if the function ψ
is of bounded variation5 in a finite interval [48, Sect. 8.12], [55, Sect. 11.4], then the
sequence of partial sums T (N ) ψ of the Fourier series converges boundedly [55,
Sect. 13.232]. At a discontinuity at ω say of such a function, the Fourier series
converges to the mean of the values ψ(ω − 0) and ψ(ω + 0) [55, Sect. 13.232].
Together, bounded variation and continuity imply uniform convergence to ψ [55,
Sect. 13.25].
Integrating Fourier series is less problematic. Any Fourier series, whether
convergent or not, can be integrated termwise over any finite limits [55, Sect. 13.5].
Again, the product of a Fourier series of any integrable periodic function with a
function of bounded variation can be integrated termwise over any finite limits [55,
Sect. 13.53] (see Sects. 4.2, 5.3 below).

2.4 The Sampling Series Sw f

The bandlimited sampling series or cardinal series [33] for a function f : R → C is

displayed in (1). For a function f in a class of functions (or signals), this series will
be denoted by Sw f and defined formally by the limit of the finite symmetric sum


N
k k
w f )(t) :=
(S(N sinc w t −
)
f ,
w w
k=−N

i. e.,
 k k
(Sw f )(t) := lim (S(N
w f )(t) :=
)
f sinc w t − , (9)
N →∞ w w
k∈Z

an infinite symmetric sum. When Sw f converges to f and f = Sw f , the sampling

is said to be exact. For f in the Paley–Wiener space P Ww (see Sect. 3.3), the series

5 In the interval ψ has only finitely many discontinuities and its real and imaginary parts have only
finitely many maxima and minima [55, p. 407].
60 M. M. Dodson and J. R. Higgins

converges by the classical exact sampling theorem (Theorem 2) and in the Fourier
algebra analogue Aw by the exact sampling theorem for f ∈ Aw (Theorem 3).
When the limit Sw f exists but f = Sw f , the aliasing error for f is

Ew f := f − Sw f (10)

and the sampling is called approximate. The sampling series Sw f converges in

F 2 (Theorem 5) and in A (Theorem 6) and is a natural approximation to a non-
bandlimited function f (see Sect. 5). The sinc kernel (6) in Sw f arises from its
spectral function of being supported in the interval [−π w, π w]. When the limit
does not exist, the sampling series is used in a formal sense, as with the closely
related Fourier series discussed in Sect. 2.3.2.
The term ‘foldover error’ is also used [54] but covers other distortions such
as the related ‘sideband foldover’ [50, p. 76]. For equivalent forms and some
history see [33, Chap. 1]. There are other types of sampling series that depend on
the nature of the signal and the sampling, such as bandpass, interlaced or multi-
channel sampling, which can have quite different sampling series (see [33] for
more details). Bandpass sampling is associated with functions which have spectral
functions supported in a pair of frequency bands symmetrically placed about the
origin and is discussed in Sect. 6. Although derived from the bandlimited sampling
series, bandpass sampling series are much more complicated (see Theorem 8). For
brevity, sampling series will be taken to be ‘bandlimited’ unless described otherwise
(mainly in Sect. 6).

2.5 Periodization

Let ρ : R → C be a spectral function. The form of periodization of ρ used here is

the function ρ + : R → C ∪ {∞} defined formally by an infinite symmetric sum


N 
ρ + (τ) := lim ρ(2kπw + τ) := ρ(2kπw + τ). (11)
N →∞
k=−N k∈Z

The function ρ + is evidently 2π w-periodic and is called the 2πw-periodization of

ρ. It is related to the Poisson summation formula [6], [53, Chap. 7, Sect. 2].
Various cases can occur. For example, in the case of a spectral function ρ
vanishing outside the fundamental period [−πw, πw), the construction (11) is
equivalent to repeatedly translating the restriction of ρ to the period [−π w, π w)
by 2πw along the frequency axis6 R. Thus ρ + is a well-defined periodic function
on R and similarly for the interval (−π w, π w]. Apart from overlapping endpoints,

6 The translates of the period are essentially cosets of the quotient group R/S1 ∼
= Z.
Sampling Theory in a Fourier Algebra Setting 61

the same holds for the periodization of a spectral function with frequency band
[−π w, π w]. Typically, the periodization ρ + will be discontinuous at the end points
of the translated interval, where the set of endpoints {(2k + 1)π w : k ∈ Z} is
null. In any case, these bandlimited spectral functions ρ + reduce to ρ on the
open interval (−π w, π w). Brown [8], Standish [52] and Stickler [54] used the
above constructions, as did Shannon [51] before them. More recent examples are in
[11, 16] and below in Lemma 1 and in Sect. 5.2.
Periodization can also be applied to integrable functions on R, producing a 2πw-
periodic function whose Fourier series representation converges pointwise a. e. on
R and is integrable over [−π w, π w] (Lemma 4); this is used in the second proof of
Theorem 6 in Sect. 5.3. Generally the periodization will have discontinuities at the
endpoints of the translates, even if the original function is continuous. Periodization
also arises naturally with lattices in the abstract group setting [3, 22, 28].

3 The Fourier Algebra and Related Spaces

The Fourier algebra A and its subspace Aw are presented as settings for approximate
and exact sampling, respectively. They will be compared with the more familiar
space F 2 and its subspace the Paley–Wiener space P Ww .

3.1 The Fourier Algebra A

The Fourier algebra A = A(R) for the reals R consists of all those functions that
are inverse Fourier transforms of members of L1 (R), i.e.,

A := {f : R → C : f = ϕ ∨ for some ϕ ∈ L1 (R)} = (L1 (R))∨ . (12)

Thus for each f ∈ A, there exists a spectral function ϕ ∈ L1 (R) such that

1
f (t) = ϕ ∨ (t) = √ ϕ(τ)ei tτ dτ. (13)
2π R

It is readily verified that A = (L1 (R))∧ , the usual definition of A [38, p. 123], [46,
p. 6], [47, Chap. 5], but (12) is more appropriate for sampling theory, as f
corresponds to a signal and ϕ to frequencies. Each f is continuous and A is a proper
subset of C0 (more details are in [38, Chap. 6, Sect. 1.8], [48, Theorem 9.6], [53,
Chap. 1, Theorem 1.2]). By (5), the sinc function 2
 is in A and in L (R) but not in
L (R), although the improper Lebesgue integral R sinc = 1.
1

Any function ψ ∼ ϕ would also serve as a spectral function for f = ϕ ∨ . The

characteristic function χ w , defined in (4), is integrable and, by (5), is a spectral
62 M. M. Dodson and J. R. Higgins

function of a parameterization by w of the sinc function (6). Thus sinc ∈ A and

functions or signals in A do not need to be integrable, nor even square-integrable,
as is required in F 2 (see Sect. 3.4 and Theorem 1 below), the counterpart of A.
Addition and scalar multiplication in L1 (R) are preserved under the Fourier
transform, while convolution in L1 (R) is replaced by pointwise multiplication in
A [48, Theorem 9.2]. Thus A is algebraically isomorphic to L1 (R) and, with
norm transferred from L1 (R), becomes a Banach algebra of functions [46, p. 6].
As a subset of C0 , A inherits the sup norm, corresponding to pointwise uniform
convergence, and is dense in and a proper subset of C0 . Having natural extensions
to Rn and to locally compact abelian groups [46], A and its generalizations are
of interest in functional analysis [47, Chap. 5]. For example, an approximate
sampling theorem in the Fourier algebra has been proved for locally compact abelian
groups [22]. Fourier algebras for non-abelian locally compact groups have also been
studied [27] but as far as we know sampling theory has not been developed in this
more general setting. In passing, it is of interest that from (12), A is a shift invariant
space.

3.2 The Subspace Aw

The space Aw ⊂ A consists of the inverse Fourier transforms of spectral functions

ϕ ∈ L1 (R) with support in the interval [−π w, π w], i.e.,

Aw = {f ∈ A : f = ϕ ∨ for some ϕ ∈ L1 (R), supp ϕ ⊆ [−π w, π w]},

so that each f ∈ Aw has the representation

1 1 πw
f (t) = ϕ ∨ (t) = √ ϕ(τ)ei t τ dτ = √ ϕ(τ)ei t τ dτ, (14)
2π R 2π −πw

for some ϕ ∈ L1 (R) with supp ϕ ⊆ [−π w, π w]. The definition above for Aw
is similar to that of the Paley–Wiener space P Ww , defined in Sect. 3.3 below. The
subspace Aw can be identified with (L1 ([−π w, π w]))∨ since ϕ ∼ ϕ χ [−π w, π w]
can be identified with the restriction ϕ|[−π w, π w] ∈ L1 ([−π w, π w]). While Aw
is a normed linear space (with the supremum or sup norm) and a subset of A, it
is not a sub-algebra of A. This is because, unlike L1 (R), L1 ([−π w, π w]) is not
(algebraically) closed under convolution of its elements; hence by the usual Fourier
transform calculus, Aw is not closed under multiplication.
Sampling Theory in a Fourier Algebra Setting 63

3.3 The Paley–Wiener Space P Ww

We take the Paley–Wiener space P Ww 7 to be the set of continuous square-integrable

functions f : R → C,8 so that f = F −1 ϕ, with the support supp ϕ of their
spectral functions ϕ = F f ∈ L2 (R) contained in the interval [−π w, π w]. More
concisely,

P Ww := {f ∈ L2 ∩ C(R) : supp F f ⊆ [−πw, πw]},

where C(R) is the set of continuous functions on R, and for each t ∈ R,

1 πw
f (t) = √ (Ff )(τ)ei t τ dτ.
2π −π w

Thus the functions f ∈ P Ww are bandlimited signals and the content of the classical
sampling theorem is that the sampling formula (1) holds for functions in P Ww
(see Sect. 4). More details of this interesting space are in [33, Chaps. 6,7].

3.4 The Space F 2

Although approximate sampling began with the Fourier algebra A, classical sam-
pling (exact and approximate) has usually been considered for continuous functions
in L2 (R). Other integrability conditions have been studied in the sets F p in
Lp (R) ∩ C(R), 1  p < ∞ (see [16]). The space

F 1 := {f ∈ L1 (R) ∩ C(R) : f ∧ ∈ L1 (R)} ⊂ L1 (R) (15)

has quite restrictive conditions and, for example, does not include the sinc func-
tion (6) but see [10]; an abstract analogue is in [22]. Classical approximate sampling
(see Sect. 5, Theorem 5) is studied in a generalization of P Ww given by

F 2 := {f ∈ L2 (R) ∩ C(R) : Ff ∈ L1 (R)} (16)

(see [11, 16]). As f ∈ L2 (R), the associated spectral function ϕ is given by the
inverse Fourier transform, i.e., ϕ = F f , and f = F −1 ϕ. This nice duality is
absent in A. Since it is continuous, f ∈ F 2 is determined uniquely by any function
ψ ∼ ϕ. By contrast with the Fourier algebra A, the functions in F 2 are in L2 (R)
and required to be continuous (see Sect. 3.4).

7 See [33, Sect. 6.3], [48, Chap. 19] for the complex analysis theory.
8 The extensions to C are entire [33, Theorem 7.2].
64 M. M. Dodson and J. R. Higgins

3.5 Comparing the Function Spaces

It is readily seen that the class F 2 , which is a subset of L2 (R), is also contained in
A but it is not so simple to prove that the inclusion is strict (see [22, Prop. 1] for the
analogue in the Fourier algebra A(G), where G is a locally compact abelian group).
Theorem 1 F 2 ⊂ A.
Proof Let f ∈ F 2 , and let ϕ := F f , so that ϕ ∈ L2 ∩ L1 (R). But ϕ ∨ is continuous
and ϕ ∨ and F −1 ϕ agree a. e., i.e.,

ϕ ∨ ∼ F −1 ϕ = F −1 F f ∼ f.

Moreover, f is continuous by hypothesis, whence ϕ ∨ (t) = f (t) for every t ∈ R

and so f ∈ A and F 2 ⊆ A.
To show that the inclusion is strict, we construct a g ∈ A \ F 2 . The function ψ
defined by

|τ|−1/2 : 0 < |τ|  1
ψ(τ) = (17)
0 : otherwise

is a standard example of an even (real) L1 (R) function not in L2 (R). Hence the
inverse Fourier transform g := ψ ∨ of ψ is even and belongs to A. The function g is
now calculated directly and shown not to be in L2 and a fortiori not in F 2 .
Suppose first that t  0. Then since ψ is even, its inverse Fourier transform
g = ψ ∨ = ψ ∧ reduces (modulo constants) to a cosine Fourier transform and

1 2 1
g(t) = ψ ∨ (t) = √ |τ|−1/2 χ [−1,1] (τ)ei tτ dτ = τ−1/2 cos(t τ) dτ.
2π R π 0

By straightforward changes of variable, it follows that

√  
2 t 2 t 2 2t
−1/2
g(t) = τ cos τ dτ = 2 cos(ω )dω = √ C
2
,
πt 0 πt 0 t π
(18)
where C is the Fresnel integral [1, p. 300, Sect. 7.3.1],9 given by
t π 
C(t) := cos ω2 dω.
0 2

The Fresnel integral C is analytic with power series obtained by integrating the
expansion for the integrand term by term [1, p. 301, Sect. 7.3.11]. For large t, C(t)

9 The Fresnel integral is defined differently in [25, Vol. 1, p. 267, Sect. 6.9.2,(29)], [42, p. 353].
Sampling Theory in a Fourier Algebra Setting 65

is bounded away from 0 and indeed C(∞) = 1/2 [1, Sect. 7.3.20]. More precisely,
using contour integration, it can be shown that for large t that

1 1
C(t) = +O
2 t

and an asymptotic formula can be obtained using integration by parts.10 Hence, for
all t  K, where K is a sufficiently large constant, the Fresnel integral C(t) > 1/3
and so by (18),

1
g(t) > √
3 t

for all t  π K 2 /2. It follows that

∞ 1 ∞ 1
|g|2  d t = ∞.
0 9 π K 2 /2 t

The proof of the theorem is now completed by recalling that g is even, whence g is
not in L2 (R) and so not in F 2 .
The subspace Aw ⊂ A was defined with P Ww ⊂ F 2 in mind, by analogy
with exact sampling for functions in P Ww . The following shows that the analogy
bears up.
Corollary 1 P Ww ⊂ Aw .
Proof Let f ∈ P Ww and let ϕ = Ff . Then ϕ ∈ L2 ([−πw, πw]), f = F −1 ϕ and
ϕ vanishes a. e. outside [−πw, πw]. Hence ϕ ∈ L1 ∩L2 ([−πw, πw]). This means
that ϕ ∨ = F −1 ϕ = f a. e. But f and ϕ ∨ are both continuous, whence for every
t ∈ R, f (t) = ϕ ∨ (t) so that f ∈ Aw . This inclusion is strict, since a simple change
of variable in the definition (17) of ψ yields a function, η say, which is supported
in [−πw, πw]. In the same way as with the functions ψ and g in the approximate
sampling case, η is an integrable spectral function for h = η∨ which is also not
square-integrable, whence there is strict inclusion here too.
A spectral function with a ‘moderate spike’ of the type exhibited by ψ (see (17)
above) would be integrable but gives rise to a signal with infinite energy.

10 The formula is
1 1 π 1
C(t) = + sin t 2 + O ;
2 πt 2 t2

this also follows from [42, p. 356].

66 M. M. Dodson and J. R. Higgins

4 Exact Sampling Theory

In exact sampling the signal is reconstructed exactly (in principle) from samples
taken at equally spaced points in R. Mathematical treatments of exact sampling go
back a long time and can be traced to works of Cauchy, dating from the 1820s [34].
Most modern treatments adopt the L2 (R) framework (see the survey article [32] and
the books [5, 33]).

4.1 Exact Sampling for P Ww

The classical exact sampling theorem for functions in P Ww ⊂ L2 (R) is now stated
for comparison with Theorem 3, the Fourier algebra analogue.
Theorem 2 Let f ∈ P Ww . Then for each t ∈ R,

f (t) = (Sw f )(t) := f (k/w)sinc (wt − k), (19)
k∈Z

where the sampling series Sw f converges both uniformly to f and absolutely.

Moreover, by Parseval’s theorem,

1 
f 2
2 = Sw f 2
2 = |f (k/w)|2 , (20)
w
k∈Z

so that the series Sw f converges to f in the L2 (R) norm.

The Hilbert space structure enjoyed by the Paley–Wiener space P Ww as a subset
of L2 (R) gives the sampling series (19) good convergence properties. The functions
f are analytic and by the above can (theoretically) be reconstructed exactly from
samples taken at the Nyquist rate of w samples per second.
The theorem is related to a surprising number of results in mathematical analysis
(see [11, 13, 14, 35] and references therein) and has been proved in many different
ways (see, for example, [6, 23, 32]). While periodization of the spectral function is
a natural approach and used by Shannon [51], the theorem can also be deduced
from the reproducing kernel property [33, Lemma 6.9], using contour integral
methods [33, Chap. 9] or from F (P Ww ) being a Hilbert space, so that the analogues
of the inversion and Plancherel’s theorems hold [21], [48, Sect. 4.26]). It can also be
seen as an interpolation result and indeed was proved as such by E. T. Whittaker in
1915 [57]. Some further sources for the above remarks are the books [5, 33, 61] and
the survey [10]. We now turn to exact sampling in Aw .
Sampling Theory in a Fourier Algebra Setting 67

4.2 The Exact Sampling Theorem for Aw

Although the functions in the space Aw do not enjoy the same nice convergence
properties as those in P Ww , it can be shown that the sampling series for each
function in Aw converges pointwise everywhere.
Theorem 3 Let f ∈ Aw . Then for each t ∈ R,

f (t) = f (k/w)sinc(wt − k) = (Sw f )(t).
k∈Z

Note that there cannot be any L2 norm results for Theorem 3 on the lines of (20)
in Theorem 2. In 1972 R. P. Boas [6]11 and H. Pollard and O. Shisha [45]12 proved
Theorem 3 directly and independently. The proof is neat and a useful prelude to
Theorem 5. As f ∈ Aw , there exists a ϕ ∈ L1 (R) supported in [−πw, πw] and
such that f = ϕ ∨ . The 2π w-periodization ϕ + , given by (11), of ϕ consists of
translates of [−πw, πw] by 2π w along R and is well-defined everywhere. It is
2πw-periodic and is integrable over [−πw, πw]. First the Fourier series T ϕ + for
ϕ + is calculated.
Lemma 1 The formal Fourier series T ϕ + for ϕ + is given by
 1 
T ϕ + (τ) = ϕ
+ (k)eikτ/w = √ f (k/w)e−ikτ/w . (21)
k∈Z
w 2π k∈Z

Proof From the definitions, f (t) = ϕ ∨ (t), t ∈ R and ϕ + (τ) = ϕ(τ) for |τ| < π w,
whence by (8), the Fourier coefficient

1 πw 1 πw
ϕ
+ (k) = ϕ + (τ)e−ikτ/w dτ = ϕ(τ)e−ikτ/w dτ
2πw −πw 2πw −πw
1 1
= √ ϕ ∨ (−k/w) = √ f (−k/w).
w 2π w 2π

11 Most of this note concerns summation formulae and establishes Theorem 6 (the approximate
sampling theorem for A). Brown [8] and Weiss [56] are cited but not Standish [52] or Stickler [54].
In a short concluding section, Theorem 3 (the exact sampling theorem for Aw ) is proved under
rather general hypotheses, namely that the signal f is in Aw .
12 Their paper discusses continuous analogues of the binomial series and does not mention

sampling.
68 M. M. Dodson and J. R. Higgins

The ratio −k/w differs in sign from that in [6] where f = ϕ ∧ , while here we take
f = ϕ ∨ . By (7), the Fourier series Tϕ + for ϕ + is given by

1 
T ϕ + (τ) = √ f (−k/w)eikτ/w
2πw k∈Z

and (21) follows on changing −k to k.

Proof of Theorem 3. On the interval (−π w, π w), ϕ = ϕ + . The inverse Fourier
transform ϕ ∨ of ϕ is the integral
√ over the interval (−π w, π w) of ϕ = ϕ +
itτ
multiplied by the kernel e / 2π. Hence

1 πw 1 πw
f (t) = ϕ ∨ (t) = √ ϕ(τ)eitτ dτ = √ ϕ + (τ)eitτ dτ
2π −πw 2π −πw

and since eitτ is a continuous function of bounded variation on (−π w , π w), it

follows from (21) that
 
1 πw 1 πw  k
+ −ikτ/w
f (t) = √ Tϕ (τ)e dτ = itτ
f e eitτ dτ
2π −πw 2πw −πw w
k∈Z

and by [55, Sect. 13.53] that the Fourier series Tϕ + can be integrated term by term,
to give

1  k πw
f (t) = f eiτ(t−k/w) dτ
2πw w −πw
k∈Z

1  k 2 sin πw(t − k/w)

= f ,
2πw w (t − k/w)
k∈Z

which simplifies to (Sw f )(t) and establishes the result.

This argument can be readily adapted to give another proof of the sampling
theorem for the Paley–Wiener space above (Theorem 2). A more general form of
the above argument is used in approximate sampling (see Sect. 5).

4.3 A New Proof of Theorem 3

In 1929 J. M. Whittaker [59] proved two sampling results for the Fourier–Stieltjes
transforms
πw  
f (t) = cos ω t dΨ 1 (ω) + sin ω t dΨ 2 (ω) ,
−πw
Sampling Theory in a Fourier Algebra Setting 69

where Ψ 1 and Ψ 2 are continuous [59, p. 171, Theorem 2]. The second result, which
we formulate for continuous complex functions ϑ : [−π w, π w] → C, considers
convergence of the sampling series to f in terms of (C, 1) summability. It is now
stated as Theorem 4.
Theorem 4 (J. M. Whittaker [59]) Let ϑ : [−π w, π w] → C be continuous and
let f : R → C be given by
πw
f (t) := ei t τ dϑ(τ). (22)
−π w

Then the sampling series


(Sw f )(t) := f (n/w)sinc(wt − n) (23)
n∈Z

is summable (C,1) to f (t).

Note that the function f is in the Fourier–Stieltjes algebra analogue of Aw .
The proof relies on the Fourier kernel being of bounded variation and has some
similarities with [52].
We turn to the new proof of Theorem 3. Since f ∈ Aw , the integral representa-
tion (14) holds for some ϕ ∈ L1 (R) supported in [−π w, π w]. Define the function
ϑ on [−π w, π w] by
ω
ϑ(ω) := ϕ(τ) dτ.
−π w

Then by [48, Th 8.17], ϑ is an absolutely continuous function (and measure), of

normalized bounded variation and ϑ (ω) = ϕ(ω) for a. a. ω ∈ [−π w, π w]. Hence
dϑ(ω) = ϕ(ω) dω for a. a. ω ∈ [−π w, π w] and (22) holds with this choice of ϑ.
Thus Theorem 4 applies to f and the sampling series (23) is summable (C, 1) to
f (t).
Now from (14), f (t)  → 0 as |t| → ∞ by the Riemann–Lebesgue lemma, and
since f is continuous, f (n/w) n∈Z is a bounded sequence. It follows that the n-th
term of the series in (23) is O(1/n) for each fixed t. But if the n-th term of a
(C, 1) summable series is O(1/n), the series is pointwise convergent by Hardy’s
convergence theorem (see [58, p. 156] for details and references) and Theorem 3
follows.
It will be noticed that the sampling rate is w samples per second in both the
classical and the Aw exact sampling theorems. This is compatible with the Nyquist–
Landau minimal sampling rate. We will not discuss minimal rates here but the
interested reader can find more information in [33, p. 103].
70 M. M. Dodson and J. R. Higgins

5 Approximate Sampling Theory

Approximate sampling results were first obtained by Brown [8] and Standish [52],
both stemming from Weiss’s announcement [56], and independently by Stick-
ler [54]. In [9], Brown established the following approximate sampling theorem
for F 2 . We recall that the aliasing error is defined in (10) by Ew f := f − Sw f .
Theorem 5 Let f ∈ F 2 . Then for each t ∈ R,

f (t) = (Sw f )(t) + (Ew f )(t),

where the aliasing error Ew f satisfies

2
|(Ew f )(t)|  |Ff (τ)|dτ. (24)
π |τ|>π w

Furthermore,

f (t) = lim (Sw f )(t) (25)

w→∞

uniformly in t.
A self-contained account of this result is included in a comprehensive study of
convergence by Butzer et al. [16, Theorem B]. A direct proof without frequency
splitting is given in [11, Sect. 5, Theorem 1], where Theorem 5 is chosen to close
an equivalence ring of seven theorems. The proof of Boas [6] for functions in A is
different but both proofs require some intricate arguments which will be discussed
in Sects. 5.2 and 5.3.

5.1 The Approximate Sampling Theorem for A

We now return to the Fourier algebra setting, where the approximation result below
differs slightly from the F 2 case. Two proofs will be given. The representations of
the sampling series are the basis of the approximation (Lemmas 3 and 6). Both
proofs, which involve dominated convergence arguments, use periodization and
bounded variation but in different ways.
Theorem 6 Let f ∈ A be given by
1
f (t) = √ ϕ(τ)eitτ dτ = ϕ ∨ (t),
2π R

where ϕ ∈ L1 (R). Then for each t ∈ R,

f (t) = (Sw f )(t) + (Ew f )(t),

Sampling Theory in a Fourier Algebra Setting 71

where the aliasing error Ew f satisfies

2
|(Ew f )(t)|  |ϕ(τ)| dτ. (26)
π |τ|>π w

√
Moreover, the constant 2/π cannot be reduced and

f (t) = lim (Sw f )(t) (27)

w→∞

uniformly in t.
The integrand in the error estimate (26) above for f ∈ A differs from that in (24)
of Theorem 5, where f ∈ F 2 . However, the asymptotic formula (27) has the same
√ F ⊂ A, the result for A implies Theorem 5 and so the best
form as (25). Since 2

possible constant 2/π is also the same.

5.2 Periodization and the Fourier Kernel

The proof given here has similarities with Brown’s pioneering paper [8] and
with [52, 54] and indeed is close to [11, Sect. 5, Theorem 1], where Theorem 5 above
is proved for functions in F 2 . In these papers, the restriction ξ√
t to a fundamental
interval of the exponential factor in the Fourier kernel ei t τ / 2π is periodized
(see Sect. 2.5 and Lemma 2).
Let t ∈ R be fixed. The function ξ t : R → C is defined by

ei t τ : −π w  τ < π w,
ξ t (τ) = (28)
0 : otherwise.

The function ξ t is in L1 (R), is of modulus 1 on [−π w, π w) and vanishes

otherwise. It is of bounded variation and continuous on (−π w, π w).
The translates of the interval [−π w, π w) by integer multiples of 2π w form
a disjoint cover for R. Thus for each τ ∈ R, there exists a unique integer kτ such
that τ lies in the translate [−π w, π w) + 2π w kτ . Let τ = ω + 2π w kτ , where
ω is in [−π w, π w), so that kτ vanishes when −π w  τ < π w. By (11), the
periodization ξ +t
of ξ t at τ is given by

 
+ ei t (τ−2π w kτ ) : τ ∈
/ (2Z + 1)π w
ξ t (τ) := ξ t (τ + 2πwk) = −iπ (29)
e w t : τ ∈ (2Z + 1)π w.
k∈Z
72 M. M. Dodson and J. R. Higgins

Hence ξ +t
is a well behaved 2πw-periodic function with modulus 1, of bounded
variation13 on [−π w, π w], satisfies ξ +t
= ξ t on (−π w, π w) where it is continu-
ous. Thus, by periodicity, ξ t is continuous a. e. in R and ξ +
+
t
(τ) = ei t (τ−2π w kτ ) a. e.
in R.
Lemma 2 For each t ∈ R, the Fourier series T ξ +
t
for ξ +
t
is given by

T ξ+
t
(τ) = sinc(wt − k)eiτ k/w
k∈Z

and T ξ +
t
∼ ξ+
t
in R.

Proof By definition (8), the k-th Fourier coefficient ck = ξ

+ (k) of the Fourier series
t
+
for ξ t is given by

1 πw sin π(wt − k)
ξ
+ (k) = eitτ e−ikτ/w dτ = := sinc(wt − k).
t
2π w −π w π(wt − k)

The Fourier series follows from substitution in (7). Since ξ + t

is continuous and of
bounded variation in the interval (−π w, π w), by Sect. 2.3.2 when |τ| < π w, the
partial sums T (N ) ξ +
t
(τ) of the Fourier series T ξ +
t
(τ) converge uniformly to ξ +
t
(τ).
+ +
Thus by periodicity T ξ t = ξ t a. e. on R.
The Fourier series for ξ +
t
was established by L. Euler [26] (see [35] for comments
and references). The Fourier coefficient indicates the link with the sampling
series (19). The representation of Sw f when f ∈ A is now obtained. If the support
of ϕ is contained in [−π w, π w], the integral reduces to f , giving Theorem 3.
Lemma 3 Let f ∈ A have a spectral function ϕ ∈ L1 (R), where f = ϕ ∨ . Then
for each t ∈ R, the sampling series Sw f for f is given by

1
(Sw f ) (t) = √ ϕ(τ)ξ +
t
(τ) dτ.
2π R

Proof From thedefinition (28), |ξ +

t
(τ)| = 1 for all τ ∈ R, whence ϕξ +
t
∈ L1 (R)
+
and the integral R |ϕ ξ t | < ∞. By Lemma 2,

ϕξ + = ϕ T ξ+ = ϕ lim T (N ) ξ + . (30)
R
t
R
t
R N →∞ t

is one simple discontinuity at each of the end points ±π w of the interval and the number
13 There

of maxima and minima of cos tτ and sin tτ is O(tw).

Sampling Theory in a Fourier Algebra Setting 73

Again, since ξ +
t
is of bounded variation, the partial sums T (N ) ξ +
t
are uniformly
bounded convergent sequences and it follows for each τ ∈ R and k ∈ N,


N
|T (N ) ξ +
t
(τ)| = | sinc(wt − k)eiτk/w |  K,
k=−N

for some K ∈ R+ . Hence |ϕ(τ)T (N ) ξ + t

(τ)|  K|ϕ(τ)| for N ∈ N and τ ∈ R and
so by Lebesgue’s dominated convergence theorem [48, Theorem 1.34], the limit in
the integrand on the right-hand side of (30) can be taken outside the infinite integral.
Thus,


N
ϕ(τ)ξ + (τ)dτ = lim ϕ(τ) sinc(wt − k)ei k τ/w dτ
R
t
N →∞ R
k=−N


N
= lim ϕ(τ)ei k τ/w dτ sinc(wt − k)
N →∞ R
k=−N
√ k √
= 2πf sinc(wt − k) = 2π(Sw f )(t)
w
k∈Z

and the lemma follows.

The First Proof of Theorem 6 By definition and the representation in Lemma 3,

1 1
Ew f (t) = f (t) − (Sw f )(t) = √ ϕ(τ)ei t τ dτ − √ ϕ(τ)ξ +
t
(τ) dτ
2π R 2π R
1   1  
=√ ϕ(τ) eitτ − ξ +
t
(τ) dτ = √ ϕ(τ)ei t τ 1 − e−i t2π w kτ dτ
2π R 2π R

by (29). But kτ = 0 when |τ| < π w and hence the integrand vanishes over
this range, while the modulus of the integrand is at most |ϕ(τ)| otherwise. The
estimate (26) and, since ϕ ∈ L1 (R), the asymptotic formula (27) follows. However,
we will go a little further in order to compare this approach with that of Boas (36)
in the next section. The error can be rewritten as
2i
Ew f (t) = √ ϕ(τ)eit (τ−π w kτ ) sin(π w kτ t)dτ
2π R

2 (2k+1)π w
=i ϕ(τ)ei t (τ−π w k) sin (πkwt)dτ,
π
k=0 (2k−1)π w

since kτ = k on the interval [(2k − 1)π w, (2k + 1)π w) and vanishes on

[−π w, π w) (this equation is the same as (36) below).
74 M. M. Dodson and J. R. Higgins

Brown’s extremal function is now constructed. In [8], Brown showed that the
function f  , given by

f  (t) = 2w sinc(2wt − 1) (31)

satisfies f  (1/(2w)) = 2w and vanishes at t = k/w, k ∈ Z (f  is undersampled).

Thus by (9), the sampling series Sw f  (t) vanishes for all t, so that by (10), f  =
Ew f  . It is readily verified that ϕ  is a spectral function of f  := (ϕ  )∨ , where

e−iτ/(2w)
ϕ  (τ) := √ χ 2w (τ), (32)
2π

and χ 2w is the characteristic function of the interval (−2πw, 2πw) (4). Thus f  is
in A2w ⊂ A and

1 √
|ϕ  (τ)|dτ = √ χ 2w (τ)dτ = 2π w. (33)
|τ|>πw πw<|τ|<2πw 2π

But f  = Ew f  and f  (1/(2w)) = 2w, so that

1 1 2
2w = f  = Ew f   |ϕ  (τ)|dτ = 2w
2w 2w π |τ|πw

√
by (26) and (33). Thus the constant 2/π cannot be reduced, i.e. the inequality (26)
is sharp for f  [8, p. 81]. This completes the first of the two proofs of Theorem 6.

5.3 Periodizing the Spectral Function

This is an expanded version of Boas’s perceptive paper [6] and considers the
periodization ϕ + of the spectral function ϕ ∈ L1 (R) in some detail. Boas used
the Poisson summation formula, which relates a function to its Fourier transform,
to compare the function f and the spectral function ϕ. Here the periodization ϕ + is
constructed directly. Choosing to periodize the spectral function is not so obvious,
since the support of ϕ could extend beyond [−π w, π w], making the definition
of ϕ + problematic. However, Boas [6, Sect. 3] observed that the periodization
process translates the support of ϕ into [−π w, π w] (see Lemma 4 below). This
insight allows the natural line of the argument in the proof of the exact sampling
theorem for functions in Aw (see Sect. 4.2) to be followed for the proof of the
approximate sampling theorem for functions in A, although the analysis is inevitably
more complicated. In [10], Butzer obtained a uniform limit version for approximate
Sampling Theory in a Fourier Algebra Setting 75

sampling in the space F 1 (see (15)) and noted in [10, Theorem 2*, p. 189] that the
same result holds under weaker hypotheses which today we recognize as defining
the Fourier Algebra.
We start with Boas’s observation [6, Sect. 3] that if ϕ ∈ L1 (R), then the
periodization ϕ + is absolutely integrable over the interval [−πw, πw].
Lemma 4 Let ϕ ∈ L1 (R). Then the 2πw-periodic function ϕ + , given by the sum

ϕ + (τ) := ϕ(2πwn + τ) (34)
n∈Z

converges absolutely both in the L1 ([−πw, πw]) norm and pointwise a. e. in R.

Proof Let M, N ∈ N with 0 < M < N. The difference ε between the M-th and
N -th partial sums of ϕ + (34) in the L1 ([−πw, πw]) norm is
πw πw 
ε := |(ϕ + )(N ) − (ϕ + )(M) | = ϕ(2πwn + τ) dτ
−π w −πw M<|n|N

 πw(2n+1)  −πw(2M+1) πw(2N +1) 

 |ϕ(τ)| dτ = + |ϕ(τ)| dτ.
M<|n|N πw(2n−1) −πw(2N +1) πw(2M+1)

Since ϕ ∈ L1 (R) by hypothesis, ε can be made arbitrarily small for M sufficiently

large. But L1 ([−πw, πw]) is a Banach space, which is complete. Hence the
sequence
 πw (ϕ + )(N ) converges to a unique limit ϕ + ∈ L1 ([−πw, πw]). Thus
+ +
−πw |ϕ | < ∞ and ϕ ∈ L ([−πw, πw]) is defined for a. a. τ ∈ [−πw, πw]
1

and by periodicity for a. a. in R.

Alternatively, by [48, Theorem 1.38], the bounded chain of equalities [6, first
part of Sect. 3, p. 123]

 π(2k+1)w  πw
∞> |ϕ| = |ϕ| = |ϕ(2πkw + τ)|dτ
R k∈Z π(2k−1)w k∈Z −πw
πw  πw πw
= |ϕ(2πkw + τ)|dτ = |ϕ|+  |ϕ + |
−πw k∈Z −πw −πw

 πw
holds. Hence −π w |ϕ + | < ∞ and ϕ + converges a. e. to a 2πw-periodic integrable
function.
The next result, which determines the Fourier coefficients and series for ϕ + when
ϕ ∈ L1 (R) and f = ϕ ∨ ∈ A, is not as straightforward as in Lemma 1 of Sect. 4.2,
where supp ϕ ⊆ [−π w, π w] and f ∈ Aw . Nevertheless, the coefficients and
Fourier series have the same form.
76 M. M. Dodson and J. R. Higgins

Lemma 5 The formal Fourier series T ϕ + for ϕ + is given by

1 
T ϕ + (τ) = √ f (k/w)e−ikτ/w .
w 2π k∈Z

Proof By definition,

1 πw
ϕ
+ (k) = ϕ + (τ)e−ikτ/w dτ
2πw −πw
1 πw 
= ϕ(2πwn + τ)e−ikτ/w dτ
2πw −πw n∈Z

1  πw
= ϕ(2πwn + τ)e−ikτ/w dτ,
2πw
n∈Z −πw

where
N the interchange −ikτ/w
of integral and summationis justified by the partial sum
k=−N ϕ(2πwk + τ)e being dominated by k∈Z |ϕ(2πwk + τ)| (< ∞ for
a. a. τ by Lemma 4). Thus

1  (2n+1)πw 1
ϕ
+ (k) = ϕ(τ)e−ikτ/w dτ = ϕ(τ)e−ikτ/w dτ
2πw 2πw R
n∈Z (2n−1)πw
1
= √ f (−k/w),
w 2π

since f = ϕ ∨ by (13). The term −k/w differs in sign from that in [6] where f = ϕ ∧
because here we take f = ϕ ∨ . The Fourier series is given by

1 
Tϕ + (τ) = √ f (−k/w)eikτ/w
w 2π k∈Z

and the lemma follows on changing k to −k in the sum.

A different representation of Sw from that in Lemma 3 is now established. Again,
if supp ϕ ⊆ [−πw, πw], then the representation here reduces to Theorem 3.
Lemma 6 Let f = ϕ ∨ ∈ A. The sampling formula Sw f has an integral
representation for each t ∈ R given by

1 πw
Sw f (t) = √ ϕ + (τ)ei tτ dτ = (ϕ + χ w )∨ (t). (35)
2π −π w

Proof The integral in (35) is convergent by Lemma 4. By [55, Sect. 13.53], the
formal Fourier series T ϕ + (τ)√for ϕ + , given in Lemma 5, can be multiplied by the
Fourier kernel function eitτ / 2π of bounded variation, and integrated termwise
Sampling Theory in a Fourier Algebra Setting 77

over the interval (−π w, πw), to yield the function (ϕ + χ w )∨ in Aw , where we

recall from (4) that χ w = χ (−πw, πw) . Thus by Lemma 5,

1 πw 1 πw
(ϕ + χ w )∨ (t) = √ ϕ + (τ)eitτ dτ = √ (T ϕ + )(τ)eitτ dτ
2π−π w 2π −π w
 
1 πw 1 
= √ √ f (−k/w)eikτ/w
eitτ dτ
2π −π w w 2π k∈Z
1  πw
= f (k/w) ei(t−k/w)τ dτ
2πw −π w
k∈Z

= Sw f (t),

by changing k to −k in the sum.

The Second Proof of Theorem 6 Let f ∈ A. The representation (35), the
definition of ϕ + (34) and dominated convergence give

√ πw πw 
2π(Sw f )(t) = ϕ + (τ)ei t τ dτ = ϕ(2kπw + τ)ei t τ dτ
−πw −πw k∈Z

 πw  (2k+1)π w
= ϕ(2kπw + τ)ei t τ dτ = ϕ(τ)ei t (τ−2π k w) dτ.
k∈Z −πw k∈Z (2k−1)πw

But by (13) and decomposing R into intervals,

1 1  (2k+1)πw
f (t) = √ ϕ(τ)ei τ t dτ = √ ϕ(τ)ei τ t dτ,
2π R 2π k∈Z (2k−1)πw

whence

1  (2k+1)πw
Ew f (t) = f (t) − (Sw f )(t) = √ (1 − e−2πikwt ) ϕ(τ)ei τ t dτ.
2π k∈Z (2k−1)πw

Clearly, |1−e−2πikwt | = 0 when k = 0 and is at most 2 otherwise, so that Theorem 6

follows on taking moduli.
The error Ew f above can also be expressed as

2 (2k+1)π w
Ew f (t) = i sin (π k w t) e−i π k w t ϕ(τ)ei τ t dτ. (36)
π (2k−1)π w
k=0

This formula is due to Boas [6, (10)] and is the starting point for Lemma 7 and
Theorem 9.
78 M. M. Dodson and J. R. Higgins

5.4 A Simple Approximation for Functions in A

A simpler approximation to the signal f = ϕ ∨ ∈ A is to neglect frequencies outside

(−πw, πw) and to consider the truncated spectral function ϕ χ w , where χ w is
defined by (4), and its inverse Fourier transform (ϕ χ w )∨ = fw say, is given by

1 πw
fw (t) := (ϕ χ w )∨ (t) = √ ϕ(τ)eitτ dτ. (37)
2π −πw

By construction fw ∈ Aw and so is continuous and bandlimited, with sample values

fw (k/w) at k/w and sampling series

Sw fw (t) = fw (k/w)sinc(wt − k) = fw (t).
k∈Z

∗ f , i. e.,
Let the error in approximating f by fw be Ew
∗
Ew f := f − fw . (38)

Theorem 7 Let f = ϕ ∨ ∈ A and fw = (ϕ χ w )∨ . Then


∗
f (t) = fw (k/w)sinc(wt − k) + Ew f (t),
k∈Z

where
∗ 1
|Ew f (t)|  √ |ϕ(τ)|dτ (39)
2π |τ|>πw

and the convergence is uniform in t.

Proof By (38) and (37),

∗ 1
|Ew f (t)| = |f (t) − fw (t)| = √ ϕ(τ)eitτ (1 − χ w (τ)) dτ
2π R
1
= √ ϕ(τ)eitτ dτ
2π |τ|>πw
1
 √ |ϕ(τ)|dτ,
2π |τ|>πw

which is (39).
The upper bound in Theorem 7 is one half that of Theorem 6. The approximate
reconstruction involves samples of fw and periodization is not used. The question
of finding an extremal function f ∈ A for which the estimate (39) is an equality is
open.
Sampling Theory in a Fourier Algebra Setting 79

6 Bandpass Sampling in A

In exact bandlimited sampling, we considered bandlimited signals f which have

no high frequencies. However, there could be no low frequencies either, so that its
positive and negative frequency ranges would be confined to two separate bands. In
this case, f is said to be a bandpass signal. To make this more precise we consider
functions f = g + ih ∈ A, where g, given by g(t) = Re(f (t)) ∈ R, and h, given
by h(t) = Im(f (t)) ∈ R, are, respectively, the real and imaginary parts of f . The
spectral function of f = ϕ ∨ is

ϕ = ψ + iη ∈ L1 (R),

where ψ, η ∈ L1 (R) are spectral functions for g, h, respectively.

Suppose the spectral function ϕ = ψ + iη is supported in the bands
[−πw, πw] + γ and [−πw, πw] − γ .14 If γ = πw, the intervals reduce to
a single interval [−2πw, 2πw] and f is a bandlimited function with bandwidth
4π w, already covered. So we now assume that γ > π w, so that the bands are
disjoint and f is a bandpass signal, with bandwidth 4πw (Sect. 2.2). To simplify
notation, we let

B(γ ) := [−π w, π w] + γ , B(−γ ) := [−π w, π w] − γ

and
   
B(±γ ) := [−π w, π w] − γ ∪ [−π w, π w] + γ .

The class of bandpass functions in L2 with frequencies confined to B(±γ ) will

be denoted by P WB(±γ ) , an analogue of P Ww (see [33, Sect. 6.6] for more details).
The class of bandpass functions in A with frequencies confined to B(±γ ) will be
±γ
denoted by Aw , a bandpass analogue of Aw . By adapting the argument in Cor. 1,
±γ
it can be shown that P WB(±γ ) ⊂ Aw .
±γ
From (13), each f ∈ Aw ⊂ A can be expressed as

1
f (t) = √ ψ(ω)ei ω t dω = ψ ∨ (t),
2π B(±γ )

where the spectral function ϕ ∈ L1 (R) for f is supported on B(±γ ). Simply using
the bandlimited exact sampling theorem (Theorem 3) with the maximum frequency
πw + γ to obtain a sampling theorem is evidently very inefficient.

14 The
symmetry of the intervals is consistent with the signals being real but this restriction is not
imposed on f .
80 M. M. Dodson and J. R. Higgins

In 1954, A. Kohlenberg [39] extended the classical exact sampling theorem to the
bandpass case by introducing ‘interlaced’ sampling for real signals. The interlaced
samples allow an exact but very complicated sampling series with combined
sampling rates equal to the Nyquist rate. A sampling rate close to the Nyquist rate for
bandpass functions in L2 (R) was constructed in [23, p. 101] to provide an exact and
less complicated representation. An exact sampling theorem for L2 (R) bandpass
functions with frequencies supported in B(±γ ) has been established using a 2-
channel approach (related to that of [39]) in [33, Sect. 13.6]. However, these results
have not been extended to the approximate theory and will not be pursued here.
In [8, Sect. 3], Brown also applied his bandlimited approximation result to the
more complicated question of bandpass approximation. He relied on earlier work
on exact bandpass sampling where essentially the real bandpass function was
transformed to a bandlimited one represented by its sampling series and the pair
transformed back (see, for example, ([30, Sect. 2.3], [43, Sect. 4.2–4], [60, pp. 34–
41]). Brown used this idea to obtain a bandpass approximate sampling formula for
functions in A, under a weaker condition than the function being real. He again
produced an extremal that established that the bound was sharp.
We give a self-contained proof of the bandpass exact sampling theorem for
±γ
bandpass functions f ∈ Aw (Sect. 6.1, Theorem 8). Then we prove a bandpass
approximate sampling theorem for all functions f in A (Sect. 6.2, Theorem 9). The
arguments depend on a detailed understanding of transformations of bandpass for-
mulae to and from bandlimited ones. We start with some elementary considerations
of the inverse Fourier transform which lead to the Hilbert transform.15
From now on, g : R → C will always be a real-valued function in A. By the
representation (13) for g = ψ ∨ ,

1 ∞
g(t) = ψ ∨ (t) = √ ψ(ω)ei ω t dω = JR+ (t) + JR− (t), (40)
2π −∞

where

1 ∞ 1 0
JR+ (t) := √ ψ(ω)ei ω t dω and JR− (t) := √ ψ(ω)ei ω t dω.
2π 0 2π −∞

Since g is real, ψ(ω) = ψ(−ω) and it is readily verified that JR− = JR+ , so that
by (40), g(t) = 2Re(JR+ )(t).
The difference

JR+ − JR− = JR+ − JR+ = i2Im(JR+ ) = (sgn.ψ)∨ := i 

g,

15 Known as the ‘quadrature’ function of g in signal processing [7, p. 269]. We are grateful to
Professor Alister Burr of the Dept. of Electronics, University of York for explaining its significance
in signal processing.
Sampling Theory in a Fourier Algebra Setting 81

where sgn(ω) = ω/|ω| for ω = 0 and ω(0) = 0, so that

g (t) = −i(sgn.ψ)∨ = i(JR− (t) − JR+ (t)) = 2Im(JR+ (t)).

 (41)

The function  g ∈ A is the ‘multiplier’ form of the Hilbert transform of g [33,

Appendix B], [31] and is real. Note that the spectral functions ψ and i(sgn.ψ) of g
g , respectively, agree on R+ but have the opposite sign on R− . The sum
and i

a := g + i 
g∈A (42)

is called the analytic or complex signal in signal processing [7, p. 269] (to avoid
confusion, the term ‘analytic’ will not be used). By (40) and (41),

2 ∞
a(t) = 2JR+ (t) = ψ(ω)ei ω t dω = 2(ψ χ [0,∞ )∨ (t), (43)
π 0

whence the spectral function of a is 2ψ χ [0,∞) . Thus the spectral function of a is

supported in [0, ∞), i.e. the complex function a has no negative frequencies. The
same holds for any complex signal b := h + i h when h is a real-valued function
in A.
This definition of the Hilbert transform can be extended to complex-valued
functions in A by considering real and imaginary parts. For f = g + ih ∈ A, where
g and h are real, the Hilbert transform f of f can be defined for each t ∈ R as

f(t) := 
g (t) + i
h(t).

Translating the frequency variable ω by −γ to ω = ω − γ shifts 0 to −γ and the

interval B(γ ) ⊂ [0, ∞) to [−π w, π w] ⊂ [−γ , ∞) since γ > π w, so that the
spectral function ψ(ω) becomes

ψ(ω) = ψ(ω + γ ) := ψγ (ω ). (44)

Multiplying a(t) by e−iγ t changes it to aγ (t), where aγ is defined below in (45),

and moves the frequencies of a to [−γ , ∞), as follows:

2 ∞ 2 ∞
a(t)e−iγ t = ψ(ω)ei t (ω−γ ) dω = ψ(ω + γ )ei t ω dω
π 0 π −γ

2 ∞
= ψγ (ω)ei tω dω = 2(ψγ χ [−γ ,∞) )∨ (t)
π −γ

:= aγ (t). (45)

(this is the ‘shift’ theorem of Fourier analysis [48, Theorem 9.2 (b)]). Note that the
spectral function of the shifted signal aγ ∈ A is 2ψγ χ [−γ ,∞) and so is supported in
[−γ , ∞) which contains the interval [−π w, π w].
82 M. M. Dodson and J. R. Higgins

±γ
6.1 Exact Bandpass Sampling in Aw

±γ
Suppose that the function f = g + i h ∈ Aw , where g and h are real, so that
by definition, the spectral functions ϕ, ψ and η of f, g and h, respectively, are
supported in B(±γ ). The spectral functions of g and  g agree on B(γ ) but have
opposite sign in B(−γ ) (40), (41) and therefore cancel in the sum a := g + i g.
±γ
Hence the spectral function of the complex signal a := g + i g ∈ Aw is supported
in the single band B(γ ) and so is not a bandpass signal in the sense of two bands
used here. The same is true for the complex signal b := h + i h ∈ A for h.
By (45), the complex signals aγ , bγ , shifted from a, b, are bandlimited to the
interval [−π w, π w] (a subset of [−γ , ∞)) and so lie in Aw , with respective
spectral functions 2ψγ χ w , 2ηγ χ w . Hence the bandlimited exact sampling theorem
for Aw (Theorem 3) holds for aγ and bγ , implying

aγ = Sw aγ , bγ = Sw bγ , (46)

where Sw aγ and Sw bγ are convergent bandlimited sampling series (by Lemmas 3

or 6) which represent the bandlimited functions aγ and bγ , respectively. By (46) and
Theorem 3,
 k k
aγ (t) = (Sw aγ )(t) = aγ sinc w t − (47)
w w
k∈Z

and similarly for bγ :

 k k
bγ (t) = (Sw bγ )(t) := bγ sinc w t − .
w w
k∈Z

Shifting aγ back to a = g + i g (42) takes the bandlimited sampling series

γ
Sw aγ (47) to another convergent series ei t γ (Sw aγ )(t) := (Sw a)(t). Since aγ lies
γ
in Aw , it follows that (Sw a)(t) = e (Sw aγ )(t) = e aγ (t) = a(t) by (45),
i t γ i t γ

whence by (47) and (42),

 k k
(Sγw a)(t) = ei t γ (Sw aγ )(t) = ei t γ aγ sinc w t −
w w
k∈Z
 k iγ k k
= ei t γ a e− w sinc w t −
w w
k∈Z
 
 k k −i γ t− wk k
= g + i
g e sinc w t −
w w w
k∈Z
= a(t) (48)
Sampling Theory in a Fourier Algebra Setting 83

by (42). Symbolically, the transform aγ (t) = ei γ t a(t) (45) written as T : a → aγ

induces a ‘similarity’ a = T −1 (Ta) = T −1 aγ = T −1 Sw (Ta) := Sw a.
γ
±γ
Now by (42), g = Re(a) ∈ Aw , so that taking real parts of (48) gives
 
g(t) = Re ei t γ (Sw aγ )(t) := Sw±γ g(t),

the convergent bandpass sampling series for the bandpass function g with its
frequencies supported in B(±γ ). Similarly,
 
h(t) = Re ei t γ (Sw bγ )(t) := Sw±γ h(t).

By using either Euler’s formula for ei γ (t−k/w) in (48) or by adding the series
ei t γ (Sw aγ )(t) to its complex conjugate e−i t γ (Sw aγ )(t), it can be verified that

 k k k k

k
(S±γ
w g)(t) = g cos γ t− −
g sin γ t− sinc w t− .
w w w w w
k∈Z

±γ ±γ
Similarly, the bandpass sampling series Sw h for h = Re(b) ∈ Aw h is given by

 k k k k

k
(S±γ
w h)(t) = h cos γ t− −
h sin γ t− sinc w t− .
w w w w w
k∈Z

±γ ±γ ±γ
Combining the last four equations gives f = Sw g + iSw h = Sw f , whence
±γ
Theorem 8 The bandpass sampling series for f ∈ Aw is given by

 k k k k

k
f (t) = f cos γ t− − f sin γ t− sinc w t − .
w w w w w
k∈Z

When the different parameters, such as the bandwidth, are taken into account, this
sampling formula is identical to (13.6.11) in [33, Sect. 13.6]. However, the bandpass
functions considered there are square-integrable.

6.2 Approximate Bandpass Sampling in A

±γ
The exact bandpass sampling formula for functions in Aw can be generalized for
any function in A. By analogy with the bandlimited case, we consider the sampling
±γ ±γ ±γ
series approximation Sw f := Sw g + iSw h for f = g + ih ∈ A with a bandpass
±γ
aliasing error Ew f for f given by
±γ
Ew f (t) := f (t) − S±γ
w f (t).
84 M. M. Dodson and J. R. Higgins

±γ  
Note that since Sw g(t) := Re ei t γ (Sw aγ )(t) , where Sw aγ converges by
±γ
Lemma 6, the corresponding bandpass sampling series Sw g for g ∈ A converges;
±γ
similarly Sw h converges.
±γ
We begin by calculating the aliasing error Ew g for g, the real part of f . This
relies on Boas’s formula (36) for the bandlimited aliasing error in A, which opens
the way to a proof of the bandpass approximate sampling theorem for all functions
f in A (Theorem 9).
Lemma 7 Let g ∈ A, so that g = ψ ∨ for a spectral function ψ ∈ L1 (R), and
±γ
suppose that g is real. Then for each t ∈ R, the aliasing error Ew g satisfies

2  (2k+1)π w+γ
±γ
Ew g(t) = i sin (π k w t) e−i π k w t ψ χ R+ (ω)ei ω t dω
π (2k−1)π w+γ
k=0
−(2k−1)π w−γ 
− e+i π k w t ψ χ R− (ω)ei ω t dω .
−(2k+1)π w−γ

Proof Recall that by (42), the analytic signal of g is defined by a := g + i g ∈ A.

From (43), the spectral function of a is 2ψ χ [0,∞) , where ψ is the spectral function
for g. It can be seen from (45) that the shifted analytic signal aγ ∈ A has spectral
function 2ψγ χ [−γ ,∞) , where ψγ is given by (44). Now since γ > π w, the interval
[−π w, π w] ⊂ [−γ , ∞), so that Theorem 6 holds for aγ , which can thus be
approximated by the convergent bandlimited sampling series Sw aγ , given by the
sum in (47). The aliasing error Ew aγ = aγ − Sw aγ by (10), i.e.,

aγ − Sw aγ = Ew aγ .

Multiplying the above equation by ei t γ and using (45) yields

a(t) − ei t γ (Sw aγ )(t) = ei t γ (Ew aγ )(t) := (Ew

γ
a)(t). (49)

±γ ±γ
Hence taking real parts of (49) and noting that g − Sw g = Ew g is the definition
of the bandpass aliasing error for g, we get

g(t) − (S±γ
w g)(t) = Re(e
it γ
(Ew aγ )(t)) = Re((Ew
γ ±γ
a)(t)) = (Ew g)(t).

Substituting aγ and its spectral function 2ψγ χ [−γ ,∞) (45) into Eq. (36), we obtain
the bandlimited error Ew aγ for aγ , given by

2 (2k+1)π w
(Ew aγ )(t) = i sin (π k w t) e−i π k w t 2ψγ (ω)χ [−γ ,∞) (ω)ei ω t dω,
π (2k−1)π w
k=0
Sampling Theory in a Fourier Algebra Setting 85

since sin(π kwt) vanishes for k = 0. Hence, by (45) and (49), the bandpass error

2 (2k+1)πw
γ
Ew a(t) = 2eitγ i sin(πkwt)e−iπkwt ψ(ω+γ )χ [−γ ,∞) (ω)eiωt dω
π (2k−1)πw
k=0

2 (2k+1)πw+γ
= 2ieitγ sin(πkwt)e−iπkwt e−itγ ψ(ω)χ R+ (ω)eiωt dω
π (2k−1)πw+γ
k=0

2 (2k+1)πw+γ
= 2i sin(πkwt)e−iπkwt ψ χ R+ (ω)eiωt dω.
π (2k−1)πw+γ
k=0

γ γ γ ±γ
Next, since Ew a(t) + Ew a(t) = 2Re(Ew a(t)) = 2Ew g(t),

2  (2k+1)π w+γ
±γ
Ew g(t) = i sin (π k w t) e−i π k w t ψ χ R+ (ω)ei ω t dω
π (2k−1)π w+γ
k=0

(2k+1)π w+γ 
− e+i π k w t ψ χ R+ (ω)e−i ω t dω . (50)
(2k−1)π w+γ

But g = ψ ∨ and χ R+ are real, whence ψ χ R+ (ω) = ψ(−ω)χ R− (−ω) and

(2k+1)π w+γ (2k+1)π w+γ

ψ χ R+ (ω)e−i ω t dω = ψ χ R− (−ω)e−i ω t dω
(2k−1)π w+γ (2k−1)π w+γ
−(2k−1)π w−γ
= ψ χ R− (ω)ei ω t dω.
−(2k+1)π w−γ

The lemma follows on replacing the last integral in (50) with the last integral above.
±γ
We now consider the bandpass sampling error Ew f for f = g + ih ∈ A, where
g, h are real and in A.
Theorem 9 Let f ∈ A, so that f = ϕ ∨ for some spectral function ϕ ∈ L1 (R).
±γ
Then for each t ∈ R, the bandpass aliasing error Ew f satisfies

±γ 2
|(Ew f )(t)| = |f (t) − (S±γ
w f )(t)|  |ϕ|. (51)
π R\B(±γ )

√
The constant 2/π cannot be reduced.
86 M. M. Dodson and J. R. Higgins

Proof Consider f = g + ih ∈ A. Recall that ϕ, ψ, η ∈ L1 (R) are the respective

spectral functions of f, g, h and that ϕ = ψ + iη. By Lemma 7,

2  (2k+1)π w+γ
±γ
Ew h(t) = i sin (π k w t) e−i π k w t ηχ R+ (ω)ei ω t dω
π (2k−1)π w+γ
k=0
−(2k−1)π w−γ 
− e+i π k w t ηχ R− (ω)ei ω t dω .
−(2k+1)π w−γ

±γ
Thus the error Ew f for the sum f = g + ih is given by
±γ ±γ ±γ
Ew f (t) = Ew g(t) + iEw h(t)
2  (2k+1)π w+γ
=i sin (π k w t) e−i π k w t (ψ + iη)χ R+ (ω)ei ω t dω
π (2k−1)π w+γ
k=0
−(2k−1)π w−γ 
− ei π k w t (ψ + iη)χ R− (ω)ei ω t dω .
−(2k+1)π w−γ

and since ψ + iη = ϕ, taking moduli,

±γ
|Ew f (t)|
2 (2k+1)π w+γ −(2k−1)π w−γ 
 ϕ χ R+ (ω)ei ω t dω + ϕ χ R− (ω)ei ω t dω
π (2k−1)π w+γ −(2k+1)π w−γ
k=0

2  (2k+1)π w+γ −(2k−1)π w−γ 

 |ϕ χ R+ (ω)|dω + |ϕ χ R− (ω)|dω
π (2k−1)π w+γ −(2k+1)π w−γ
k=0

2  2
= |ϕ| + |ϕ| = |ϕ|,
π R+ \B(γ ) R− \B(−γ ) π R\B(±γ )

since the two integrals in the k = 0 term, excluded from the sum, have ranges of
itegration B(γ ) and B(−γ ).
Brown showed that the function f  given by
γ 
f  (t) := 2w cos (wt − 1) sinc(wt − 1)
w
is an extremal for the inequality (51). The cosine factor splits the nonzero-set of
the spectral function of f  for the bandlimited approximate sampling theorem
(Theorem 6) appropriately.
±γ ±γ
Note that if f ∈ Aw , then Ew f = 0 and Theorem 8 holds. Also, by
Theorem 1, F 2 ⊂ A, so that these results hold in F 2 .
Sampling Theory in a Fourier Algebra Setting 87

7 Some Historical Details

Approximate sampling or the study of aliasing goes back to C. J. de la Vallée

Poussin in 1908. However, his approach has a history of its own in the context of
approximation theory (see [20], particularly the commentaries by Butzer and Nessel,
and by Butzer and Stens pp. 421–453). de la Vallée Poussin proved the asymptotic
result (27) for functions satisfying conditions of bounded variation and continuity,
but not for the Fourier algebra setting. We now take up in more detail the tangled
origins of the approximate sampling theorem in the Fourier algebra setting, referred
to in the Introduction. On reviewing early sources, the authors were surprised to find
that the approximate sampling theorem first arose in the Fourier algebra setting with
the brief note by Weiss in 1963 [56].

7.1 Weiss’s Note

Weiss announced that an approximate sampling theorem held for functions f with
spectral functions ϕ which satisfied the following four hypotheses:

(i) f = ϕ ∧ , ϕ ∈ L1 (R);

(ii) ϕ(ω) = ϕ(−ω);

(iii) ϕ is of bounded variation over R;

(iv) ϕ(ω) = 12 [ϕ(ω + 0) + ϕ(ω − 0)].

The first of these, as we now recognize, is that f ∈ A = (L1 (R))∨ , while (ii)
implies f is real. Weiss also stated that if ϕ(ω) = 0 for |ω| > Ω, then f satisfies
the Sampling Theorem, that is, he assumed that the exact sampling theorem held
in Aw . But in the absence of any references or proofs, it is impossible to know
what source Weiss had in mind. Perhaps he was familiar with the 1957 paper [2]
of A. V. Balakrishnan, in which a direct and a converse sampling theorem is given
for continuous parameter stochastic processes (the paper claims to be the first such
stochastic formulation). The setting may be seen as a stochastic version of the
Fourier algebra. In any case, the earliest source known to us for an exact sampling
result in a Fourier algebra setting (but not with that name) is the 1929 paper of
J. M. Whittaker, discussed in Sect. 4.3, in which the Fourier–Stieltjes transform
version of the Fourier algebra is considered.
Weiss also stated that the upper bound in (26) can be attained, but gave no explicit
extremal and did not mention the asymptotic result (27). The first appearance of this
result that we know of occurs in [18, p. 15], but under hypotheses that are rather
restrictive and less general than those in Theorem 6.
88 M. M. Dodson and J. R. Higgins

7.2 After Weiss

Weiss’s announcement of 1963 was followed in 1967 by the independent papers of

Brown [8] and Stickler [54], which were discussed by Standish [52] in a further
paper in the same year.16 The hypotheses were significantly simpler but the proofs
are quite a mixture. They are mathematically unsatisfactory in one way or another
but all three papers contain at least the basis of a correct proof (see Sect. 5.2).
Brown’s paper [8] dispensed with the last three of Weiss’s conditions, assuming
just f ∈ A. However, in a frequency splitting argument in which frequencies in
[−π w, π w] and its complement in R were analysed differently, he relied on exact
sampling in Aw (Theorem 3) but gave a fallacious proof. In a correction [9] a year
later, Brown added a square-integrability condition which allowed the use of the
classical Exact Sampling Theorem (Theorem 2) and established the bandlimited
Approximate Sampling Theorem for functions in F 2 (Theorem 5). In Sect. 3 of [8],
Brown discussed bandpass sampling and applied his bandlimited approximation
result to functions in A for which the modulus of their spectral functions was even,
a weaker condition than the √ function being real. He also produced extremals which
showed that the constant 2/π in Theorems 6 and 9 could not be reduced.
Stickler’s brief note [54] had the aim of improving a result of A. Papoulis [44]
on the error involved in reconstructing undersampled real bandlimited signals as
a consequence of under-estimating the maximal frequency. Stickler’s argument
extended naturally to signals with unbounded frequencies, giving an estimate
equivalent to (26). However, no analytic properties of the signal or its associated
spectral function were specified. It was explicitly assumed that the signal was real
and tacitly that the (analogue) signal satisfied the mathematical conditions required.
Stickler appears to have been unaware of the work of Weiss and Brown as the single
reference was to Papoulis.
Standish [52] pointed out the error in [8] and addressed the questions of
convergence omitted by Stickler from [54]. He also placed the approximate sam-
pling theorem in the more general Fourier–Stieltjes algebra setting by considering
Fourier–Stieltjes transforms of functions G of normalized bounded variation, which
in addition satisfied some technical continuity conditions. However, the partial
sums of the sampling series are not taken to be symmetrical, which unnecessarily
compromises the argument. The approximate sampling theorem for A follows since
the derivative G is essentially the integrable spectral function for f . A breakdown
of the result in the L2 setting is also discussed.
Five years later, in his note [6] of 1972, Boas related sampling to Fourier analysis
and in particular to Poisson summation, thereby proving Theorem 6. He essentially
used the periodization of the spectral function, which makes his proof quite different
from those above. His novel approach is of independent interest, as it is a natural
extension of the exact sampling case and applicable in other settings. Moreover,

16 A striking case of multiple discovery occurs for exact sampling in the L2 setting [29].
Sampling Theory in a Fourier Algebra Setting 89

his analysis provides a key to proving the bandpass approximate sampling theorem
for all functions in A. In a concluding remark, Boas also sketched a very short
proof of the exact sampling theorem in Aw (Theorem 3), as did Pollard and Shisha
independently at the end of their paper [45].
As well as comparing and clarifying these papers on approximate sampling in the
Fourier algebra in Sect. 5, we show in Theorem 1 that the Fourier algebra A strictly
contains F 2 (the setting for classical approximate sampling theory); provide a new,
classically based proof of the exact sampling theorem for Aw in Sect. 4.3; establish
an elementary yet sharper type of approximation formula in Sect. 5.4; and in Sect. 6
give a self-contained treatment of exact and approximate bandpass sampling in A.

Acknowledgements We are grateful to the editors for the opportunity to contribute to this
centennial ANHA volume for Claude Shannon and particularly to Stephen Casey for his patience
and long-distance support. Our thanks for their long standing interest and helpful comments also
go to Paul Butzer, Paulo Ferreira and Simon Eveson, who also gave us invaluable assistance with
LaTeX, and to the referee for suggesting an improvement to the presentation. We are also grateful
to our families for their wonderful support which enabled us to complete this paper.

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495–499.
46. H. Reiter and J. D. Stegeman, Classical Harmonic Analysis and Locally Compact Groups,
London Mathematical Society Monographs: New Series 22, Clarendon Press, Oxford, 2000.
47. W. Rudin, Fourier analysis on groups, John Wiley, 1962.
48. W. Rudin, Real and complex analysis, McGraw Hill, New York, 1986.
49. D. Sayre, Some implications of a theorem due to Shannon, Acta Cryst., 5 (1952), 834.
50. M. Schwartz, W. R. Bennett and S. Stein, Communication Systems and Techniques, McGraw
Hill, New York, 1966.
51. C. E. Shannon, Communication in the presence of noise, Proc. IRE, 37 (1949), 10–21.
52. C. J. Standish, Two remarks on the reconstruction of sampled non-bandlimited functions, IBM
J. Res. Develop. 11 (1967), 648–649.
53. E.M. Stein and G. Weiss, Introduction to Fourier analysis on Euclidean spaces, Princeton
University Press, Princeton, 1971.
54. D. C. Stickler, An upper bound on the aliasing error, Proc. IEEE (Lett.) 55 (1967), 418–419.
55. E. C. Titchmarsh, The Theory of Functions, 2nd edn., Oxford University Press, Oxford, 1939.
56. P. Weiss, An estimate of the error arising from misapplication of the sampling theorem, Notices
Amer. Math. Soc. 10 (1963), p. 351.
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theory, Proc. Roy. Soc. Edinburgh, 35 (1915), 181–194.
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University Press, Cambridge, 1962.
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(1929), 169–176.
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Pergamon Press, Oxford, 1964.
61. A. I. Zayed, Advances in Shannon’s sampling theory, CRC Press, Boca Raton, 1993.
62. A I. Zayed and G. Schmeisser (eds.), New perspectives on approximation and sampling theory,
Appl. Numer. Harmon. Anal., Birkähuser/Springer, Cham, 2014.
Sampling Series, Refinable Sampling
Kernels, and Frequency Band Limited
Functions

Wolodymyr R. Madych

Abstract We study sampling series and their relationship to frequency band limited
functions. Motivated by the theories of multiresolution analyses and subdivision,
particular attention is paid to sampling series whose kernels are refinable.
After developing the basic properties of the sampling kernels under study, we
consider three families of such kernels: (1) damped cardinal sines, (2) the funda-
mental functions for cardinal spline interpolation, and (3) a family of compactly
supported kernels defined in terms of their masks. The limiting kernel of each
family is the cardinal sine. In the cases (1) and (2) we present results concerning
the limiting behavior of the corresponding sampling series when the data samples
{cn } have polynomial growth as n → ±∞.

1 Introduction

1.1 Description of the Subject Matter

Given a bi-infinite sequence of numerical values {cn : n = 0, ±1, ±2, . . .}, a

cardinal sampling series is the expression
∞

cn Φ(ρx − n), (1)
n=−∞

where the sampling kernel Φ(x) is a continuous function of the variable x,

−∞ < x < ∞ that satisfies

W. R. Madych ()
University of Connecticut, Storrs, CT, USA
e-mail: [email protected]

© Springer Nature Switzerland AG 2020 93

S. D. Casey et al. (eds.), Sampling: Theory and Applications, Applied and
Numerical Harmonic Analysis, https://doi.org/10.1007/978-3-030-36291-1_4
94 W. R. Madych


1 if n = 0
Φ(n) = (2)
0 if n = ±1, ±2, . . .

and the positive constant ρ is the sampling rate. If the series (1) converges locally
uniformly it defines a continuous function f (x) with the property that f (n/ρ) = cn ,
n = 0, ±1, ±2, . . . . In this case (1) extends the  data sequence {(n/ρ, cn ) :
 discrete
n = 0, ±1, ±2, . . .} to the continuous graph { x, f (x) : −∞ < x < ∞}.
In this article we will be concerned with the case of fixed sampling rate ρ. Since
a dilation argument shows that there is no loss of generality by restricting attention
to the special case ρ = 1 we do so in what follows.
The quintessential example of a sampling kernel is the familiar cardinal sine

sin π x
Φ(x) = sinc(x) := (3)
πx
that plays a critical role in Shannon’s sampling theorem and many other applica-
tions.
The main subjects of our study are sampling kernels that are refinable, in the
sense that they satisfy the two scale difference equation

Φ(x) = sn Φ(2x − n). (4)
n

The sequence of coefficients {sn } is referred to as the scaling sequence or mask.

Relations such as (4) play a significant role in the theory of multiresolution analyses
and wavelets. We will make use of some of the techniques and results of this theory
in our development.
The familiar cardinal sine is also an example of a sampling kernel that is
refinable. Namely, it follows from Shannon’s sampling theorem that
∞
 
sinc(x) = sinc(n/2) sinc 2x − n). (5)
n=−∞

One reason why property (4) may be desirable is that it can be used in evaluating
the series (1) for dyadic values of x by the method of iterative refinement or
subdivision. Namely, suppose Φ(x) satisfies (4) and f enjoys the representation
∞

f (x) = f (n)Φ(x − n),
n=−∞

with known data samples {f (n) : n = 0, ±1, ±2, . . .}. Then, when x is in the
refined lattice {n/2 : n = 0, ±1, ±2, . . .} , f (x) can be evaluated via
Refinable Sampling Kernels 95


f (n/2) if n is even
f (n/2) = 
m f (m)sn−2m if n is odd.

By iteration, for any positive integer k and any integer m, f (x) can be evaluated at
x = m/2k+1 in terms of its values on the lattice {n/2k : n = 0, ±1, ±2, . . .}. This
method is particularly effective when the subsequence of the non-zero terms in the
mask {sn } is finite or rapidly decaying.
In what follows, we develop the basic properties of sampling kernels and
refinable sampling kernels that are Fourier transforms of non-negative integrable
functions, a property enjoyed by many useful examples. Then we consider three
families of such kernels: (1) damped cardinal sine functions, (2) fundamental func-
tions of interpolation for piecewise polynomial cardinal splines, and (3) compactly
supported kernels defined in terms of their masks. In each case, the members of
the family can be parametrized in such a way that when the parameter tends to its
limiting value the corresponding kernels tend to the cardinal sine. For each value of
the parameter, which for the moment we will call α, the series
∞

fα (x) = cn Φα (x − n)
n=−∞

converges and is a well-defined continuous function whenever the data samples {cn }
do not grow too rapidly as n → ±∞. The main results presented here, which are
new, concern the behavior of fα (x) as α tends to its limiting value. Namely, when
the value of the parameter tends to its limiting value while the data samples remain
fixed, fα (x) either converges to an entire function of exponential type no greater
than π or fails to converge for essentially all non-integer values of x.
A consequence of such limiting behavior is that corresponding sampling series
can be used to approximate or extend the classical cardinal sine series.

1.2 Background, Contents, and Conventions

1.2.1 Background

The impetus for this work are the theories of multiresolution analyses [17, 44],
subdivision [12, 14], and sampling [28, 60] from the point of view of Schoenberg’s
cardinal spline summability theory [51, Definition 2, p. 106].
Readers familiar with the theory of wavelets and multiresolution analyses no
doubt recognize that if φ(x) is an orthogonal scaling function and φ̃(x) = φ(−x)
then the convolution Φ(x) = φ ∗ φ̃(x) is a refinable sampling kernel. One objective
of this work is to develop the basic properties of such kernels in a straightforward
and direct manner. In this I was most strongly influenced by xerox copies of various
handwritten notes, long since lost or mislaid, of Yves Meyer that I had access
96 W. R. Madych

to in the late 1980’s courtesy of Ronald Coifman. Other early and fundamental
contributions to the subject include [16, 35, 42, 44]. Since then, of course, many
fine works on wavelets and multiresolution analyses have appeared, including the
books [13, 17, 26, 33, 43, 57, 59] and the articles [15, 20, 39, 55, 56] to mention only
a few samples.
Subdivision theory was created almost concurrently with wavelets, or so it
appears. A few examples of the work in this area include [8, 9, 12, 14, 19–24].
On the other hand, the cardinal sine series used in classical sampling have a long
rich history that is nicely outlined in [27]; other examples of work on this subject
include [6, 7, 10, 11, 28, 30, 45, 46, 49, 58, 60].
Another objective of this article is to indicate that the use of appropriate families
of such kernels in sampling series naturally lead to regularization or summability
methods for the classical cardinal sine series that are similar to the spline sum
introduced in [51, Definition 2, p. 106]. The primary inspiration here is the work
of Schoenberg [52–54] and the extension described in [18]. Other works that deal
with this aspect of sampling series include [1, 2, 25, 34, 37, 47, 48].
The final objective is to present new results concerning the limiting behavior
of two families of sampling series, (1) damped cardinals sines and (2) piecewise
polynomial cardinal splines, as described in Sect. 1.1. These results were mainly
motivated by the developments in [47, 54].

1.2.2 Contents

The basic properties of refinable sampling kernels are developed in Sect. 2. Sec-
tions 3 and 4 deal with damped cardinal sines and piecewise polynomial splines,
respectively. They contain the precise statements of our results concerning the
limiting behavior of certain families of cardinal sampling series when the data
samples {cn } are fixed and are of no greater than polynomial growth. Such families
include piecewise polynomial cardinal splines as their degree tends to infinity.
Section 5 treats a family of compactly supported scaling functions that are defined
in terms of their masks. This section is somewhat incomplete in the sense that while
the limiting behavior of the sampling kernels is treated, the limiting behavior of the
sampling series with coefficients {cn } of appropriate generality is not treated. Each
section closes with a subsection containing miscellaneous comments.
For the most part, Sects. 2, 3, and 4 are written in a narrative style. By this I mean
that the relevant definitions are stated and the relatively evident consequences are
deduced in the text in a discursive manner. Results that require arguments that are
technically more involved are either given a formal proof that is clearly delineated in
the text or provided with an appropriate reference. Section 5 is somewhat different
in tone, specifically in the technical nature of the definitions and arguments required
to establish the properties of the family of compactly supported refinable sampling
kernels that are presented there.
Refinable Sampling Kernels 97

1.2.3 Conventions

We use standard notation and only alert the reader to the fact that Eσ , where
σ > 0, denotes the class of entire functions of exponential type no greater than
σ that have no greater than polynomial growth along the real axis. In view of the
distributional variant of the Paley–Wiener theorem, for example see [29, Theorem
1.7.7], Eσ consists of the Fourier transforms of distributions with support in the
interval [−σ, σ ]. The Fourier transform of a tempered distribution u is denoted by

u and, in the normalization used here, is defined by
∞

u(ξ ) = e−iξ x u(x)dx
−∞

when u is an integrable function. As is customary, the symbol C is used to denote

generic constants whose value depends on the context.

2 Basic Properties of Refinable Sampling Kernels

2.1 Sampling Kernels: Basic Assumptions and Their

Consequences

In what follows, we assume that the sampling kernel Φ(x) is the inverse Fourier
 ). That is,
transform of a non-negative integrable function Φ(ξ

1 ∞
Φ(x) =  )dξ,
eixξ Φ(ξ (6)
2π −∞

where

 ) ≥ 0 for all real ξ

Φ(ξ (7)

and
∞

Φ L1 (R) =  )|dξ < ∞.
|Φ(ξ (8)
−∞

This implies that

Φ(x) is continuous on the real line R (9)

and

lim Φ(x) = 0. (10)

x→±∞
98 W. R. Madych

Also, we are assuming that Φ is a sampling kernel, which means that

Φ(n) = δ0,n n = 0, ±1, ±2, . . . , (11)

where δ0,n is the Kronecker delta,


1 if n = 0
δ0,n =
0 if n = ±1, ±2, . . . .

Hence properties (7) and (8) can be re-expressed with more information as

1 ∞ 1
Φ(0) =  )dξ =
Φ(ξ 
Φ L1 (R) = 1. (12)
2π −∞ 2π

 is integrable leads to
Property (11) and the fact that Φ
∞

 − 2π m) = 1.
Φ(ξ (13)
m=−∞

This will play a significant role in what follows.

 is integrable
Proof of (13) To see (13) note that property (11) and the fact that Φ
allow us to write

1 ∞ 1 π  
∞ 
Φ(n) =  )dξ =
einξ Φ(ξ einξ  − 2π m) dξ = δ0,n .
Φ(ξ
2π −∞ 2π −π m=−∞

The last equality in the above string implies (13). 

Identity (13) together with assumption (7) imply that

 )≤1
0 ≤ Φ(ξ for all real ξ. (14)

 is square integrable. Namely,

Note that (12) and (14) imply that Φ
∞ ∞
 )|2 dξ ≤
|Φ(ξ  )dξ = 2π,
Φ(ξ (15)
−∞ −∞

which also implies that Φ is square integrable and

∞
|Φ(ξ )|2 dξ ≤ 1. (16)
−∞
Refinable Sampling Kernels 99

2.1.1 Examples

The classical cardinal sine (3) is the quintessential example of a sampling kernel of
the type described above. Modulated variants Φa (x) that are defined in terms of the
real parameter a, −∞ < a < ∞, by

Φa (x) = e iax
sinc(x)  ) = 1 when |ξ − a| ≤ π,
with Φ(ξ (17)
0 otherwise,

also provide accessible examples. Note that, in addition to being a sampling kernel,
the system of functions and Φa (x − n : n = 0, ±1, ±2, . . .} is orthogonal, that is
∞
Φa (x − m)Φa (x − n)dx = δm,n .
−∞

Kernels Φ(x) that possess such properties and also enjoy more rapid decay as
x → ±∞ are studied in [31].
A class of examples Φ(x) that are defined in terms of their Fourier transform and
the homogeneous functions |ξ |−α , α > 1 are defined by

|ξ |−α
 ) = ∞
Φ(ξ . (18)
−α
n=−∞ |ξ − 2π n|

In the case α = 2 the kernel Φ(x) can be expressed as


1 − |x| when |x| ≤ 1,
Φ(x) = (1 − |x|)+ =
0 otherwise,

and it is evident that this kernel has compact support. This is not the case when
α = 2.
Many other examples can be found in what follows.

2.2 Refinable Sampling Kernels

As mentioned in the introduction, the main subjects of our study are sampling
kernels that are also refinable scaling functions that satisfy the two scale difference
equation

Φ(x) = sn Φ(2x − n). (19)
n
100 W. R. Madych

Properties of the scaling coefficients, or mask, {sn } that are evident from (11) and
(19) are the following:

s2k = δ0,k , k = 0, ±1, ±2 . . . , (20)

and

s2k−1 = Φ(k − 12 ), k = 0, ±1, ±2 . . . . (21)

To see this, evaluate (19) at x = m/2 and applying (11) we get

when m is even, m = 2k, Φ(k) = s2k Φ(0) = δ0,k

and
 
when m is odd, m = 2k − 1, Φ (2k − 1)/2 = s2k−1 Φ(0).

Since Φ(0) = 1, (20) and (21) follow.

Identities (20) and (21) allow us to deduce that the sequence of scaling
coefficients {sn } is square summable,
∞

|sn |2 < ∞. (22)
n=−∞

Proof of (22) If we let

∞

A(ξ ) =  − 4π n)
Φ(ξ
n=−∞

and note that A(ξ ) is 4π periodic then in view of (6) and (21) we may write

1 ∞
s2k−1 = Φ((2k − 1)/2) =  )dξ
ei(2k−1)ξ/2 Φ(ξ
2π −∞

1 2π
= ei(2k−1)ξ/2 A(ξ )dξ
2π −2π

1 2π  
= eikξ e−iξ/2 A(ξ ) + e−i(ξ −2π )/2 A(ξ − 2π ) dξ
2π 0
1 π   
= eikξ e−iξ/2 A(ξ ) − A(ξ − 2π ) dξ.
2π −π

The fact that

∞
 ∞

0 ≤ A(ξ ) =  − 4π m) ≤
Φ(ξ  − 2π n) = 1
Φ(ξ
m=−∞ n=−∞
Refinable Sampling Kernels 101

implies that

−1 ≤ A(ξ ) − A(ξ − 2π ) ≤ 1

and hence the subsequence of coefficients s2k−1 , k = 0, ±1, ±2m . . . , is square

summable since they are the Fourier coefficients of a bounded, 2π periodic function,
namely
∞
  
s2k−1 e−ikξ = e−iξ/2 A(ξ ) − A(ξ − 2π ) . (23)
k=−∞

This together with (20) and (21) implies (22). 

The Fourier transform of (19) is

 ) = 1
Φ(ξ  (24)
2 s(ξ/2)Φ(ξ/2),

where 
s(ξ ) is the Fourier transform of sn δ(x − n),

∞


s(ξ ) = sn e−inξ . (25)
n=−∞

Let

S(ξ ) = 12
s(ξ ). (26)

Then
 ) = S(ξ/2)Φ(ξ/2)
Φ(ξ  (27)

and it follows that

0 ≤ S(ξ ) ≤ 1 (28)

and

S(ξ ) + S(ξ − π ) = 1. (29)

Proof of (28) and (29) To see (28) re-express (27) as

 ) = S(ξ )Φ(ξ
Φ(2ξ  )

so that
∞
 ∞

 
 2(ξ − 2π n) = S(ξ )
Φ  − 2π n)
Φ(ξ
n=−∞ n=−∞
102 W. R. Madych

which, in view of (13), reduces to

∞

S(ξ ) = 
Φ(2ξ − 4π n). (30)
n=−∞

Since
∞
 ∞

0≤ 
Φ(2ξ − 4π n) ≤ 
Φ(2ξ − 2π n) = 1,
n=−∞ n=−∞

identity (30) implies (28).

Relation (29) can be seen, by applying identities (13) and (27) to write
∞
 ∞
    
1=  − 2π m) =
Φ(ξ  (ξ − 2π m)/2
S (ξ − 2π m)/2 Φ
m=−∞ m=−∞
∞
 ∞
      
= S(ξ/2)  (ξ/2) − 2π k + S (ξ/2) − π
Φ  (ξ/2) − π − 2π k
Φ
k=−∞ k=−∞
 
= S(ξ/2) + S (ξ/2) − π .


If we iterate identity (27) we get
 

N
 ) = S(ξ/2)S(ξ/4)Φ(ξ/4)
Φ(ξ  = ··· = n 
S(ξ/2 ) Φ(ξ/2N
). (31)
n=1

In view of (28), N n=1 S(ξ/2 ), N = 1, 2, . . . , is a decreasing sequence bounded

n

below by 0 and hence converges to a value v(ξ ), 0 ≤ v(ξ ) ≤ 1. If v(ξ ) > 0


we may conclude that Φ(ξ/2 N ), N = 1, 2, . . . , converges, but otherwise, without

more information concerning Φ,  the behavior of this sequence is indeterminate. To

avoid unnecessary complications that may arise subject to the behavior of Φ(ξ  ) in
neighborhoods of ξ = 0, in the remainder of this subsection we assume that Φ(ξ  )
is continuous at ξ = 0. This is not a serious restriction since essentially all practical
examples enjoy this property. (For examples of sampling kernels that do not enjoy
this property see item 2.5.2 in Sect. 2.5.)
 ) is continuous at ξ = 0 then
If Φ(ξ
 ∞


 )=
Φ(ξ 
S(ξ/2n ) Φ(0)
n=1
Refinable Sampling Kernels 103

and it follows that

 = 0
Φ(0) (32)

and
∞

S(ξ/2n ) > 0 for some ξ. (33)
n=1

 ) = 0 for all ξ , which is a contradiction.

Otherwise Φ(ξ
In view of (32), relation (27) implies that

S(0) = 1, (34)

which can be used to show that

S(π ) = 0 (35)

and


Φ(2π n) = δ0,n , n = 0, ±1, ±2, . . . . (36)

Furthermore, (32) together with (27) imply that S(ξ ) is continuous at ξ = 0 and
 ) is continuous at ξ = 2π n, n = ±1, ±2, . . . , via
(36) implies that Φ(ξ

 + 2π n) ≤
0 ≤ Φ(ξ  + 2π m) = 1 − Φ(ξ
Φ(ξ  ).
−∞<m<∞
m=0

While identity (35) follows immediately from (34) and (29) which also imply
that S(ξ ) is continuous at ξ = π , the verification of (36) is somewhat more tedious.
Proof of (36) To see (36) in the case of non-zero integer n recall (31) and write
 

N

Φ(2π n) = 
S(2π n/2k ) Φ(2π n/2N ), (37)
k=1

which is valid for any positive integer N . Now, if n is a non-zero integer there
is an integer m and a positive integer N such that n = 2N −1 (2m + 1), so that
2π n/2N = π(2m + 1) and by virtue of (35) and the 2π periodicity of S(ξ ) we have
 
S(2π n/2N ) = S π(2m + 1) = S(π ) = 0.


By choosing such an N , relation (37) shows that Φ(2π n) = 0 and completes the
proof of (36) in the case of non-zero n.
104 W. R. Madych

When n = 0, recall that

∞

S(ξ ) = 
Φ(2ξ + 4π n)
n=−∞

and when ξ = 0 identity (34) allows us to write

∞

S(0) = 1 = 
Φ(4π 
n) = Φ(0),
n=−∞


since Φ(4π n) = 0 when n = 0. This completes the proof of (36) in the case n = 0.

If the scaling  sequence {sn } is summable,then using the fact that
2S(0) =  s(0) = sn and 2S(π ) = 
s(π ) = (−1)n sn , identities (34) and
(35) can be re-expressed as
∞
 ∞

sn = 2 and (−1)n sn = 0, (38)
n=−∞ n=−∞

respectively. The relations in (38) are equivalent to

∞
 ∞

s2k = 1 and s2k−1 = 1. (39)
k=−∞ k=−∞

Identities (39) should also be evident from (20) and the fact that sn = 2.

2.3 Using the Scaling Sequence to Evaluate the Sampling

Series

Suppose
∞

f (x) = f (n)Φ(x − n). (40)
n=−∞

Then f (x) can be evaluated at any point x = k/2N , N = 1, 2, 3, . . . ,

k = 0, ±1, ± 2, . . . , in terms of the samples {f (n)} and the scaling coefficients
{sn }, namely

f (k/2) = f (n)sk−2n (41)
n
Refinable Sampling Kernels 105

and more generally

  
N
f (k/2N ) = ··· f (n0 ) snj −2nj −1 where nN = k, (42)
nN−1 n0 j =1

which can also be expressed as


f (k/2N ) = f (m/2N −1 )sk−2m . (43)
m

In particular

  
N −1
Φ(k/2N ) = ··· sn1 snj +1 −2nj where nN = k. (44)
nN−1 n1 j =1

Proof of (41), (42), and (44) To see (41), (42), and (44) use the scaling Eq. (19) in
the definition of f (x), expression (40), to write
 
f (x) = f (n0 ) sn1 Φ(2x − 2n0 − n1 )
n0 n1
 
= f (n0 ) sn1 −2n0 Φ(2x − n1 )
n0 n1 (45)
 
 
= f (n0 )sn1 −2n0 Φ(2x − n1 ).
n1 n0

If x is an integer multiple of 1/2, say x = k/2, then


f (k/2) = f (n)sk−2n .
n

This reduces to

f (k/2) = f (n)s2m−2n = f (m), when k = 2m,
n

and
  
f (k/2) = f m + 12 = f (n)s1+2m−2n , when k = 2m + 1.
n

Continuing the iteration begun in (45) leads to

 
 
f (x) = f (n0 )sn1 −2n0 sn2 −2n1 Φ(4x − n2 )
n2 n1 n0
106 W. R. Madych

and by induction
⎧ ⎫
⎨  
N ⎬
f (x) = ··· f (n0 ) snj −2nj −1 Φ(2N x − nN ).
⎩n ⎭
nN N−1 n0 j =1

Hence if x is an integer multiple of 1/2N , say x = k/2N , then

  
N
f (k/2N ) = ··· f (n0 ) snj −2nj −1 where nN = k.
nN−1 n0 j =1

Choosing f (x) = Φ(x) results in

  
N −1
Φ(k/2 ) =
N
··· sn1 snj +1 −2nj where nN = k.
nN−1 n1 j =1

This completes the proof of the desired identities. 

2.4 Sampling Kernel from a Scaling Sequence

In what follows we deduce several results that are summarized in Proposition 1 that
is recorded near the end of this subsection.
Suppose {sn } is a summable sequence that satisfies

s2m = δ0,m , m = 0, ±1, ±2, . . . , (46)

and
∞

s2m−1 = 1, (47)
m=−∞

∞

then 
s(ξ ) = sn e−inξ satisfies
n=−∞


s(ξ ) +
s(ξ + π ) = 2 (48)

but does not necessarily satisfy


s(ξ ) ≥ 0. (49)
Refinable Sampling Kernels 107

∞

Proof of the Last Two Statements Let s̃(ξ ) = s2m−1 e−i(2m−1)ξ then
m=−∞

s(ξ ) = s0 + s̃(ξ ) and 

 s(ξ + π ) = s0 − s̃(ξ ).

Hence

 s(ξ + π ) = 2s0 = 2.
s(ξ ) +

The fact that  s(ξ ) need not be real and non-negative can be seen by example.
For instance, if {sn } is defined by

1−a 1+a
s0 = 1, s1 = , s−1 = , and sn = 0 when n = ±2, ±3, . . . ,
2 2
where a is a fixed but arbitrary constant, then {sn } satisfies (46) and (47).

s(ξ ) = 1 + cos ξ + ia sin ξ = 2 cos2 (ξ/2) + ia sin ξ



so 
s(ξ ) satisfies (48) but fails to satisfy (49) for any non-zero real constant a. 
In order that 
s(ξ ) satisfy (49), a necessary and sufficient condition on {sn } is that
it be positive definite. (For a definition and an equivalent necessary and sufficient
condition see [32, p. 38]. The conditions s0 ≥ |sn | and s−n = s̄n are necessary
∞
for positive definiteness. We also mention that if sn = an+m ām for some
m=−∞
summable sequence {an }, then {sn } is positive definite by virtue of

 ∞ 

sj −k zj z̄k = aj −k+m ām zj z̄k
j,k m=−∞ j,k
∞ 
 ∞
  2
= aj − āk+ zj z̄k = aj + zj ≥ 0.
=−∞ j,k =−∞ j

We mention this because of its connection to the theory of multiresolution analyses

and orthogonal wavelets, [17].)
So, suppose the summable sequence {sn } satisfies (46) and (47) and, in addition,
assume that {sn } is positive definite. In this case, it seems natural to ask whether
there is a refinable sampling kernel Φ whose scaling sequence is {sn }.
To answer this question let S(ξ ) = 12s(ξ ). Then S(ξ ) is continuous and satisfies
both S(ξ ) + S(ξ + π ) = 1 and 0 ≤ S(ξ ) ≤ 1. Furthermore, S(0) = 1 and S(π ) = 0.
The sequence


N
FN (ξ ) = S(ξ/2n ), N = 1, 2, 3, . . .
n=1
108 W. R. Madych

is monotone decreasing and bounded below by 0. Hence it converges to

∞

F (ξ ) = S(ξ/2n ).
n=1

Since F (ξ ) = S(ξ/2)F (ξ/2), the function F (ξ ) is a good candidate for Φ(ξ  ).

However, to ensure that F (ξ ) is the Fourier transform of a sampling kernel, we need
to verify that
∞

F (ξ − 2π n) = 1.
n=−∞

To this end, let φ(x) be the sampling kernel defined by


1 − |x| if |x| ≤ 1
φ(x) = (1 − |x|)+ =
0 if |x| > 1,

and consider
 

N
(ξ/2 ) =
GN (ξ ) = FN (ξ )φ N (ξ/2N ),
S(ξ/2 ) φ n
(50)
n=1

where
 2
sin(ξ/2)
(ξ ) =
φ .
ξ/2

 is continuous and φ
First, in view of the fact that φ (0) = 1, note that

lim GN (ξ ) = F (ξ ).
N →∞

Next, note that

∞
 ∞
    
G1 (ξ − 2π n) =  (ξ − 2π n)/2
S (ξ − 2π n)/2 φ
n=−∞ n=−∞
      
= S(ξ/2)  (ξ − 2π n)/2 + S (ξ ) + π )
φ  (ξ − 2π n)/2
φ
n even n odd
 
= S(ξ/2) + S (ξ/2) + π ) = 1
Refinable Sampling Kernels 109

and, by induction
∞

GN (ξ − 2π n) = 1, N = 1, 2, 3, . . . .
n=−∞

Hence, by virtue of Fatou’s lemma,

∞
 ∞
 ∞

F (ξ − 2π n) = lim GN (ξ − 2π n) ≤ lim GN (ξ − 2π n) = 1.
N →∞ N →∞
n=−∞ n=−∞ n=−∞

To replace the inequality by an equality in the last displayed expression, an

additional condition on S(ξ ) is required. The condition

S(ξ ) > 0 when |ξ | ≤ π/2 (51)

is sufficient to do the job.

Proof that (51) does the job To see this let
∞

F∗ (ξ ) = F (ξ − 2π n).
n=−∞

Then F∗ is 2π periodic, continuous, F∗ (0) = 1, 0 ≤ F∗ (ξ ) ≤ 1, and in view of the

fact that F (ξ ) = S(ξ/2)F (ξ/2)
   
F∗ (ξ ) = S(ξ/2)F∗ (ξ/2) + S (ξ/2) + π F∗ (ξ/2) + π .

To verify that F∗ (ξ ) = 1 for all ξ it suffices to verify it for |ξ | ≤ π . We shall do so

by contradiction.
Suppose that the minimum of F∗ (ξ ) is c. If c is < 1 then there is a point ξ = ξ0
that enjoys  that |ξ0 | ≤ π , F∗ (ξ 0 ) = c, and|ξ0 | = min{|ξ | : F∗ (ξ ) = c}.
 the property
Thus S (ξ0 /2) + π F∗ (ξ0 /2) + π ≥ S (ξ0 /2) + π c and since |ξ0 /2| ≤ π/2 we
may conclude that S(ξ0 /2) > 0 and S(ξ0 /2)F∗ (ξ0 /2) > S(ξ0 /2)c. Hence, in view
of the last displayed expression, we may write
 
c = F∗ (ξ0 ) > S(ξ0 /2)c + S (ξ0 /2) + π c = c,

which is a contradiction. 
We summarize the above observations as follows.
Proposition 1 Suppose {sn } is absolutely summable, positive definite, and satisfies
(46) and (47). Then there is a refinable function Φ(x) whose scaling sequence, or
mask, is {sn }. Furthermore, if
110 W. R. Madych

∞
1 
S(ξ ) = sn e−inξ
2 n=−∞

then
∞


Φ(x) = S(ξ/2n ),
n=1

where the infinite product converges uniformly on compact subsets of R,

∞
 ) ≥ 0,
Φ(ξ and  )dξ ≤ 2π.
Φ(ξ
−∞

If, in addition, S(ξ ) satisfies (51), then Φ is a refinable sampling kernel.

To see the construction of Φ(x) in the time domain, let 
gN (ξ ) = GN (ξ ), where
GN (ξ ) is defined by (50). Then

g1 (x) = sn1 φ(2x − n1 ),
n1

  
g2 (x) = sn2 g1 (2x − n2 ) = sn2 sn1 φ(4x − 2n2 − n1 )
n2 n2 n1
 
 
= sn2 sn1 −2n2 φ(4x − n1 ),
n2 1 n2

 
   
g3 (x) = sn3 g2 (2x − n3 ) = sn3 sn2 sn1 −2n2 φ(4(2x − n3 ) − n1 )
n3 n3 n1 n2
 
 
= sn3 sn2 sn1 −2n2 −4n3 φ(8x − n1 )
n1 n2 n3
 
 
= sn3 sn2 −2n3 sn1 −2n2 φ(8x − n1 ),
n1 n2 n3

and by induction
⎧ ⎫
 ⎨  
N −1 ⎬
gN (x) = ··· snN snj −2nj +1 φ(2N x − n1 ). (52)
⎩ ⎭
n1 n2 nN j =1
Refinable Sampling Kernels 111

If x is an integer multiple of 1/2N , x = k/2N , then in view of (52)

  
N −1
gN (k/2N ) = ··· snN snj −2nj +1 , where n1 = k.
n2 nN j =1

Comparing this with (44) and relabeling the indices leads to

gN (k/2N ) = Φ(k/2N ), k = 0, ±1, ±2, ±3, . . . . (53)

Since Φ is a bounded, uniformly continuous function we can state the following:

Proposition 2 The function gN is a continuous, piecewise linear function that
in view of (53) interpolates Φ at the points k/2N , k = 0, ±1, ±2, ±3, . . . .
Furthermore

lim gN (x) = Φ(x)

N →∞

uniformly on R.

2.4.1 Examples

It may be interesting to note that the modulated cardinal sines Φa (x) defined by (17)
are refinable when |a| ≤ π but fail to be refinable when |a| > π .
The kernels defined by (18) in terms of the homogeneous functions |ξ |−α , α > 1,
are all refinable. This is a consequence of a calculation using the homogeneity of
 ) = Q(ξ/2)Φ(ξ
|ξ |−α that shows that Φ(ξ  ), where Q(ξ ) is 2π periodic. An example
of this type of calculation can be seen immediately preceding Sect. 4.2.

2.5 Miscellaneous Comments

All the conclusions in this section follow from the definitions and hypotheses in
a straightforward manner with the possible exception of the proof that (51) does
the job. The argument used here, adapted from [26, p. 80], requires no additional
continuity assumptions on S(ξ ).

2.5.1

Note that if the refinable sampling kernel Φ(x) is integrable, then in view of (36)
we may write

∞ 1 ∞
 

Φ(2π n) = Φ(x)e−i2π n dx = Φ(x − j ) e−i2π n dx = δ0,n ,
−∞ 0 j =−∞
112 W. R. Madych

which implies that

∞

Φ(x − j ) = 1.
j =−∞

This means that the interpolating sampling series reproduces constants.

Furthermore, if x Φ(x) is integrable, then Φ(ξ  ) is differentiable and the values

of its derivative Φ (ξ ) at the integer multiples of 2π can be expressed as

∞ 1 ∞
 
 (2π n) =
Φ ixΦ(x)e −i2π n
dx = i (x − j )Φ(x − j ) e−i2π n dx.
−∞ 0 j =−∞

 (2π n) = 0 for all integers n, then

Hence if Φ
∞
 ∞

(x − j )Φ(x − j ) = 0 = x − j Φ(x − j ),
j =−∞ j =−∞

which implies that the interpolating sampling series reproduces algebraic polyno-
mials of degree ≤ 1.
Analogous calculations and an argument using induction lead to the following:
Proposition 3 Suppose the refinable sampling kernel Φ(x) is integrable. Then the
interpolating sampling series reproduces constants. Furthermore, if x N Φ(x) is
 is in C N (R) and if, in addition,
integrable for some positive integer N , then Φ

Φ (2π n) = 0 for k = 1, . . . , N and all integers n, then the interpolating
(k)

sampling series reproduces algebraic polynomials of degree ≤ N . In other words,

∞

nk Φ(x − n) = x k , for k = 0, 1, . . . , N.
j =−∞

2.5.2

The function Φ(x) = eiπ x sinc(x) whose Fourier transform is


 1 when 0 ≤ ξ ≤ 2π
Φ(ξ ) =
0 otherwise

 ) that is not continuous at

is an example of a refinable sampling function with Φ(ξ
ξ = 0. For more complicated examples see [5] or [39, item 3.1.2, p. 279]
Refinable Sampling Kernels 113

2.5.3

Before leaving this section, we mention that the fixed point iteration

gN +1 (x) = sn gN (2x − n)
n

used in the proof of Proposition 2 is also known as the cascade algorithm, [17,
p. 202].

3 Damped Cardinal Sines

3.1 Preliminaries

A straightforward way of obtaining a sampling kernel that enjoys better decay than
the cardinal sine is to multiply sinc(x) by an appropriate damping function φ(x),

Φ(x) = sinc(x)φ(x), (54)

where

φ(x) is smooth, decays sufficiently rapidly, and satisfies φ(0) = 1. (55)

Also, to ensure that the conditions described in Sect. 2.1 are met, the constraints

 ∈ L1 (R)
φ and (ξ ) ≥ 0
φ (56)

will suffice.
Typical examples include the Gaussian

φ(x) = exp(−x 2 ), (57)

the function
1
φ(x) = with constant α > 0, (58)
(1 + x 2 )α

and, for some fixed value of k, k = 1, 2, . . . , the function

k
sin x/k
φ(x) = (59)
x/k
114 W. R. Madych

and the normalized B spline

φ(x) = ck Bk (x) = ck b ∗ · · · ∗ b(x) , (60)

$ %& '
k fold convolution

where b(x) = (1 − |x|)+ and 1/ck = Bk (0).

Also, any dilate φ( x), with > 0, of such a function is an appropriate damping
function. One reason for considering such dilates is that in addition to ensuring that
sinc(x)φ( x) is a sampling function, conditions (55) also imply that

lim sinc(x)φ( x) = sinc(x)

→0

giving rise to the speculation that, with sufficiently small , the resulting sampling
series will provide a good approximation of a function f in Eπ .
However, the resulting sampling kernels need not necessarily be refinable.
Indeed, in spite of the fact that all the abovementioned examples enjoy properties
(55) and (56), if φ(x) is one of the examples (57), (58), or (60), then Φ (x) =
sinc(x)φ( x) fails to be refinable for every value of > 0. This is a consequence of
the fact that, for every positive , Φ (ξ ) > 0 for all ξ , so Φ
 (2π n) = δ0,n , violating
(36). This is not the case with example (59).

3.2 Refinable Damped Cardinal Sines

To obtain properties of φ that will give rise to a refinable sampling kernel take the
Fourier transform of (54). This results in

1 1 π
 )=
Φ(ξ (ξ ) =
χ ∗φ (ξ − η)dη.
χ (η)φ (61)
2π 2π −π

A painless way to ensure that the Φ(ξ  ) defined by (61) enjoys the relation
  (ξ ) whose
Φ(ξ ) = S(ξ/2)Φ(ξ/2) for some 2π periodic function S(ξ ) is to choose φ
support is contained in the interval [− , ] where < π/3. Then Φ will be refinable.
To be more precise, we state the following:
Proposition 4 Suppose that in addition to (55) the function φ is in E1 . Then

Φ (x) = sinc(x)φ( x)

is in Eπ + . If < π/3 then Φ is refinable and

 (ξ ) = S (ξ/2)Φ
Φ  (ξ/2),
Refinable Sampling Kernels 115

where S (ξ ) is the 2π periodic function

∞
  
S (ξ ) =  2(ξ − 2π n) .
Φ
n=−∞

 (ξ ) are not necessarily non-negative unless φ

S (ξ ) and Φ  also satisfies (56).

Proof Suppose < π/3. Then Φ  (ξ ) has support in the interval |ξ | ≤ π + and
is = 1 when |ξ | ≤ π − while Φ (ξ/2) has support in the interval |ξ | ≤ 2(π + )
and is = 1 when |ξ | ≤ 2(π − ). The 4π periodic function
∞

S(ξ/2) =  (ξ − 4π n)
Φ
n=−∞

satisfies

 (ξ ) if |ξ | ≤ π +
Φ
S (ξ/2) =
0 if π + < |ξ | < 3π − .

Since

 (ξ/2) = 1 if |ξ | ≤ 2(π − )
Φ
0 if |ξ | > 2(π + ),

it follows that if < π/3 then π + < 2(π − ) and

 (ξ/2) = Φ
S (ξ/2)Φ  (ξ ).


The functions φ(x) of example (59) are members of E1 . Examples that enjoy
(ξ )
faster decay can be obtained as inverse Fourier transforms of C ∞ functions φ
1
that have support in |ξ | ≤ 1 and satisfy −1 φ (ξ )dξ = 2π , for instance,
1  
φ(x) = c −1 exp ixξ + ξ 2 −1 dξ where the constant c is such that φ(0) = 1.
1

3.3 The Bernstein–Boas Formula

If 0 ≤ σ < π and f (z) is a function in Eσ that is bounded on the real axis, then
∞  
 sin (z − n)
f (z) = f (n) sinc(z − n) if 0 < < π − σ. (62)
n=−∞
(z − n)
116 W. R. Madych

This identity is known as the Bernstein–Boas formula. Since the proof is short and
involves a handy procedure, we reproduce it here.
In view of the sampling theorem, for any w ∈ C we may write
  ∞  
sin (w − z)  sin (w − n)
f (z) = f (n) sinc(z − n) if 0 < < π − σ,
(w − z) n=−∞
(w − n)

because the right-hand side of the above relation is in P Wπ = Eπ ∩ L2 (R). This

results in (62) when w → z.
Now consider the functions in example (59),

k
sin z/k
φk (z) = , k = 1, 2, 3, . . . .
z/k

If 0 ≤ σ < π and f (z) is a function in Eσ that grows no faster than a polynomial

of degree k − 1, then an argument analogous to the one above shows that
∞
  
f (z) = f (n) sinc(z − n)φk (z − n) if 0 < < π − σ. (63)
n=−∞

In particular (63) is valid whenever f (z) is a polynomial of degree no greater than

k − 1.
By choosing the damping function φ(x) to have faster decay, the restriction on
the growth of f (x) at ±∞ on the real axis can be eliminated. We summarize these
observations as follows.
Proposition 5 Suppose φ(z) is a function in E1 that satisfies φ(0) = 1, (56), and
for some positive integer k, sup{|x k φ(x)| : −∞ < x < ∞} ≤ C < ∞. If σ < π
and f is a function in Eσ that grows no faster than a polynomial of degree k − 1,
then
∞
  
f (z) = f (n) sinc(z − n)φ (x − n) when 0 < < π − σ. (64)
n=−∞

If φ satisfies sup{|x k φ(x)| : −∞ < x < ∞} ≤ Ck < ∞ for all positive integers k,
then (64) is valid for all functions f in Eσ .
Suppose φ satisfies the hypothesis of Proposition 5 and Φ (z) = sinc(z)φ( z).
Then Φ (z/2) is in Eσ for σ = (π + )/2. If < π/3 then < π − σ and in view
of (64), it follows that
∞

Φ (z/2) = Φ (n/2)Φ (z − n).
n=−∞
Refinable Sampling Kernels 117

Replacing z with 2z in the above relation shows that Φ (z) satisfies the scaling
equation
∞

Φ (z) = Φ (n/2)Φ (2z − n). (65)
n=−∞

This derivation of (65), via the Bernstein–Boas formula, provides an alternate proof
of Proposition 4.
Before closing this subsection we bring attention to certain similarities in the
hypotheses and conclusions in Propositions 3 and 5. For example, both propositions
make use of a kind of “flatness” at the integers of the Fourier transform of the
sampling kernel.

3.4 The Limiting Behavior of Sampling Series Consisting of

Damped Cardinal Sines

In Sect. 3.1 we mentioned that one reason to consider sampling series with sampling
function Φ (x) = sinc(x)φ( x) is to obtain approximations of functions f in Eπ
in terms of the data samples {cn : n = 0, ±1, ±2, . . .}. To this end consider the
sampling series
∞
  
F (x) = cn sinc(x − n)φ (x − n) (66)
n=−∞

and suppose φ(x) enjoys the following property:

φ(x) is in C ν (R) where ν is non-negative integer,

φ(0) = 1,

φ(−x) = φ(x),

and for j = 0, . . . , ν there is a constant C independent of x such that

C
|φ (j ) (x)| ≤ .
1 + |x|ν

We will refer to this as hypothesis H(ν).

Note that example (57), the Gaussian, satisfies hypothesis H(ν) for all ν.
Examples (58) and (59) are in C ∞ but satisfy the decay condition only when ν ≤ α
and ν ≤ k, respectively. The B-spline example, (60) is compactly supported but is
in C ν (R) only when ν ≤ 2k − 2.
118 W. R. Madych

Theorem 1 Suppose cn = O(nρ ) as n → ±∞, where 0 ≤ ρ < κ and κ is a

positive integer. Also suppose {φ(x)} satisfies hypothesis H(ν) with ν ≥ κ. When
> 0, the series (66) converges absolutely and F (x) is a well-defined function in
C ν (R). As tends to zero, F (x) either converges uniformly on compact subsets of
R to a function F0 (x) in Eπ or diverges for all but at most κ − 1 non-integer values
of x. In the case of convergence, the function F0 is defined by

 ∞
cn  sin(π x)
F0 (x) = c0 sinc(x) + x κ κ
sinc(x − n) − P (x) ,
n=−∞
n π
n=0

where P (x) is a polynomial of degree ≤ κ − 1.

Furthermore, if the data samples {cn } are the point values cn = f (n) of an entire
function f in Eσ where σ < π then

lim F (x) = f (x) = F0 (x).

→0

For the sake of brevity we omit the proof which can be found in [40]. However,
we do mention that, in the case of convergence, there are formulas for the
coefficients of the polynomial P (x) in Theorem 1 that involve the data samples
{cn } and φ. These formulas and the proof of the following corollary can be found in
[40].
Corollary 1 Suppose the sequence {cn } consists of the coefficients of a convergent
cardinal sine series,
∞

f (x) = cn sinc(x − n).
n=−∞

If φ satisfies hypothesis H(ν) with ν ≥ 3, then the series (66) converges absolutely
and F (x) is a well defined function in C ν (R). Furthermore

lim F (x) = f (x)

→0

uniformly on compact subsets of R.

The cardinal sine series converges when its symmetric partial sums converge
uniformly on compact subsets.
This corollary, that can be considered as an Abel type theorem, justifies the view
that the series (66) is a regularization of the cardinal sine series.
Refinable Sampling Kernels 119

3.5 Miscellaneous Comments

The Gaussian (57) is a popular damping function, for example see [45, 46, 49]. It is
interesting to note that the corresponding sampling series fail to reproduce constants.
The Bernstein–Boas formula and some of its important applications can be found
in [36, Lecture 21].
The cardinal sine series converges when its symmetric partial sums converge
uniformly on compact subsets. There are several classical results that imply this,
including the celebrated WKS sampling theorem, the Plancherel–Polya theorem,
etc., that can be found in the cited literature on sampling theory. A necessary and
sufficient condition for the convergence of the cardinal sine series is the convergence
of both
∞
 ∞

cn − c−n cn + c−n
(−1)n and (−1)n .
n n2
n=1 n=1

See [3].
A more direct, but less efficient, proof of a version of the corollary to Theorem 1
in terms of damping factor φ that is entire can be found in [4].

3.5.1

It may be of some interest to consider the damping function of example (60)

relabeled as

φk (x) = ck Bk (x) = ck b ∗ · · · ∗ b(x) ,

$ %& '
k fold convolution

where b(x) = (1 − |x|)+ and 1/ck = Bk (0). In view of the behavior of the Fourier
transform of φk , it follows that

lim φk (x) = 1 uniformly on compact subsets of R.

k→∞

The behavior of the sampling series

∞

Fk (x) = cn sinc(x − n)φk (x − n)
n=−∞

as k tends to ∞ should be analogous to the behavior of the sampling series in

Theorem 1.
120 W. R. Madych

4 Piecewise Polynomial Cardinal Splines

4.1 Basic Setup

Piecewise polynomial cardinal splines were introduced by I. J. Schoenberg as a

kind of regularization method for the classical cardinal sine series, [50]. Since we
are concerned only with splines of even order, our notation and some conventions
are slightly different from that found in the CBMS lecture notes [51].
If k is a positive integer, the space Sk of cardinal piecewise polynomial splines
of order 2k with knots at the integers can be defined as consisting of functions s(x)
that satisfy the following properties:
• In each interval n ≤ x ≤ n + 1, n = 0, ±1, ±2, . . . , s(x) is a polynomial of
degree no greater than ≤ 2k − 1.
• s(x) is in C 2k−2 (R)
• s(x) has no greater than polynomial growth as x → ±∞. In other words,
|s(x)| ≤ C(1 + |x|)m where C and m are constants independent of x.
The space Sk can also be defined more succinctly as the class of tempered
distributions s(x) that satisfy
∞

s (2k) (x) = cn δ(x − n), (67)
n=−∞

where δ(x) is the Dirac delta measure at the origin.

Members of Sk are uniquely determined by their values on the integers,
{s(n) : n = 0, ±1, ±2, . . .}. Conversely, for every bi-infinite sequence
{cn : n = 0, ±1, ±2, . . .} of no greater than polynomial growth there is a
unique spline s(x) in Sk that interpolates {cn }, in other words s(n) = cn for
n = 0, ±1, ±2, . . . . To indicate the dependence of this spline on k and on
the sequence {cn } we denote it by Sk ({cn }, x). Thus, if s(x) is in Sk , then
s(x) = Sk ({s(n)}, x).
The function Lk (x) = Sk ({δ0,n }, x) is the sampling kernel in Sk , namely the
spline of order 2k that interpolates the Kronecker delta sequence {δ0,n }.
The definition (67) together with the fact that Lk (n) = δ0,n imply that the Fourier
transform of Lk (x) is

k (ξ ) = ∞ ξ −2k
L −2k
. (68)
j =−∞ (ξ + 2πj )

This can also 

 be verified by observing that the inverse Fourier transform of Lk (ξ ) is

in Sk and n Lk (ξ − 2π n) = 1.
Lemma 1 There are positive constants, A and a, independent of x such that

|Lk (x)| ≤ Ae−a|x| and |Lk (x)| ≤ Ae−a|x| .

Refinable Sampling Kernels 121

k (ζ ) is holomorphic in a strip
Proof This is a consequence of the fact that L
{ζ = ξ + iη : |η| < } for some positive and integrable on lines parallel to
the real axis. Namely, if 0 < a < then

∞
2π e±ax Lk (x) = e±ax k (ξ )eiξ x dξ
L
−∞
∞ ∞
= k (ξ )ei(ξ ∓ia)x dξ =
L k (ξ ± ia)eiξ x dξ
L
−∞ −∞

so

1 ∞
e±ax Lk (x) ≤ k (ξ ± ia)|dξ
|L
2π −∞

and hence the desired bound on |Lk (x)| follows.

Analogous reasoning, mutatis mutandis, justifies the bound on |Lk (x)|. 
Lemma 2

lim Lk (x) = sinc(x) uniformly on R.

k→∞

Proof Note that

k (ξ ) ≤ ξ −2k (ξ − 2π n)2k
0≤L when |(ξ − 2π n)| ≤ π

or, more crudely,

k (ξ ) ≤ ξ −2k π 2k ,
0≤L

which is valid for all ξ . These inequalities imply that for all ξ

k (ξ ) ≤ min{1, (ξ/π )−2k }.

0≤L (69)

k (ξ ) can be re-expressed as
Now, L

k (ξ ) = 1
L 
1+ |j |≥1 (ξ/(ξ − 2πj ))2k

from which it follows that

⎧
⎪
⎪ if |ξ | < π
⎨1
k (ξ ) =
lim L 1/2 if |ξ | = π
k→∞ ⎪
⎪
⎩0 if |ξ | > π.
122 W. R. Madych

In view of (69) and the dominated convergence theorem we may conclude that the
last limit is valid in L1 (R) which implies the desired conclusion. 
Every spline Sk ({cn }, x) in Sk enjoys the representation
∞

Sk ({cn }, x) = cn Lk (x − n). (70)
n=−∞

In view of Lemma 1 the series (70) converge absolutely and uniformly on compact
subsets of R for every data sequence of samples {cn } of no greater than polynomial
growth.
Note that s(x/2) is a member of Sk whenever s(x) is. In particular Lk (x/2) is a
member of Sk so that in view of (70) it follows that
∞

Lk (x/2) = Sk ({Lk (n/2)}, x) = Lk (n/2)Lk (x − n).
n=−∞

The variable x can be replaced by 2x in the above relation so we may conclude that
Lk (x) is refinable and satisfies the scaling equation
∞

Lk (x) = sk,n Lk (2x − n) where sk,n = Lk (n/2). (71)
n=−∞

The Fourier transform of (71) is

k (ξ ) = Pk (ξ/2)L
L k (ξ/2), (72)

where
∞

Pk (ξ ) = 1
2 sk,n e−inξ .
n=−∞

Identity (72) is also evident from

k (ξ ) =  ξ −2k
L −2k
j (ξ + 2πj )
  −2k
j (ξ/2) + 2πj ) (ξ/2)−2k
= 2k  −2k   −2k
2 j (ξ + 2πj ) j (ξ/2) + 2πj
  −2k
j (ξ/2) + 2πj ) k (ξ/2),
= 2k  −2k
L
2 j (ξ + 2πj )
Refinable Sampling Kernels 123

where
∞ −2k
j =−∞ (ξ + 2πj )
Pk (ξ ) =  .
22k ∞ j =−∞ (2ξ + 2πj )
−2k

This expression for Pk (ξ ) also follows from an application of (30) with

 )=L
S(ξ ) = Pk (x) and Φ(ξ k (ξ ).

4.2 The Limiting Behavior of Cardinal Splines

In [54, Theorem 11], Schoenberg observed, as an extension of a result in [47,

Theorem 5], that if f (x) is a continuous bounded function and

lim Sk ({f (n)}, x) = f (x) − C sin(π x), where C is a constant

k→∞

uniformly on compact subsets of R then f (x) is in the Bernstein class Bπ . The class
Bπ consists of those functions f in Eπ that are bounded on the real axis.
The following spline analogue of Theorem 1 is an improvement of this observa-
tion.
Theorem 2 Suppose cn = O(nρ ) as n → ±∞ where 0 ≤ ρ < κ and κ is a
positive integer. As k tends to ∞, Sk ({cn }, x) either converges uniformly on compact
subsets of R to a function S∞ ({cn }, x) in Eπ or diverges for all but at most κ −1 non-
integer values of x. In the case of convergence, the function S∞ ({cn }, x) is defined
by
 ∞
cn  sin(π x)
S∞ ({cn }, x) = c0 sinc(x) + x κ κ
sinc(x − n) − P (x) ,
n=−∞
n π
n=0

where P (x) is a polynomial of degree ≤ κ − 1.

Furthermore, if the data samples {cn } are the values cn = f (n) of an entire
function f in Eσ , where σ < π then

lim Sk ({cn }, x) = f (x) = S∞ ({cn }, x).

k→∞

Observe that right-hand side of the formula for S∞ ({cn }, x) is an entire function
in Eπ . Hence if S∞ ({cn }, x) is bounded it must be in Bπ .
As a corollary of Theorem 2 we have the following:
Corollary 2 Suppose f (z) is a convergent cardinal sine series. Then

lim Sk ({f (n)}, x) = f (x)

k→∞

uniformly on compact sunsets of R.

124 W. R. Madych

In short, the spline summability method is regular.

The proof of Theorem 2 and its corollary involves a tedious argument showing that
Lk (x)/ sinc(x) behaves like φ( x) in Theorem 1 with = 1/k. For the sake of
conciseness we omit it. The details can be found in [40]; for a more succinct outline
see [41].

4.3 Miscellaneous Comments

Expansions such as the right-hand side of (70), which Schoenberg labeled as

cardinal in [50], prompted him to introduce splines as a regularization method for
the classical cardinal sine series. No doubt results such as Lemmas 1 and 2 and
related observations encouraged this point of view.
The details concerning the properties of the piecewise polynomial cardinal
splines listed here can be found in [51]. The details concerning the definition of
these splines as tempered distributions that satisfy (67) and an alternate derivation
of some of their properties can be found in [37]
The fact that limk→∞ Sk ({f (n)}, x) = f (x) when f is in Eσ , σ < π , was
observed in [38, 48].
In work on the subject by Schoenberg [53], it was shown that when f is in Eπ and
has a derivative of some order in L2 (R) then limk→∞ Sk ({f (n)}, x) = f (x). This
motivated him to consider interpolation by cardinal splines as a summability method
for the classical cardinal sines series, which he christened spline sum [51, Definition
2, p. 106]. However, it was never established that this summability method was
regular; that is, that limk→∞ Sk ({f (n)}, x) exists and equals f (x) whenever f is a
convergent cardinal sine series. The corollary to Theorem 2 fills this gap.

5 Refinable Sampling Functions with Compact Support

5.1 Preliminaries

The piecewise linear spline L1 (x) = (1 − |x|)+ is the quintessential example of a

sampling function with compact support. It also satisfies the scaling relation

L1 (x) = 12 L1 (2x + 1) + L1 (2x) + 12 L1 (2x − 1).

Other examples of sampling functions with compact support can be constructed

by imitating the examples in Sect. 3: take a sampling function Ψ (x) and a compactly
supported continuous function φ(x) with φ(0) = 1. Then it is evident that
Φ(x) = Ψ (x)φ(x) is a sampling function with compact support. To some extent,
Refinable Sampling Kernels 125

the properties of Φ can be regulated by the choice of φ and Ψ . However, in general,

the result will not be a scaling function. A specific example of such a compactly
supported function φ(x) is given by (60).
One way to construct examples with compact support that are refinable is to start
with a finite sequence of coefficients {sn } that satisfy properties (46) and (47). The
Fourier
 −inξ transform of sn δ(x − n) will be the trigonometric polynomial  s(ξ ) =
sn e . Define the function Φ(x) via the formula for its Fourier transform as
in Proposition 1. Alternatively, Φ(x)can be defined as the limit as N → ∞ of
the fixed point iteration gN +1 (x) = n sn gN (2x − n) with g0 (x) = (1 − |x|)+ .
These procedures will lead to a refinable function with compact support. However,
the result need not necessarily be a sampling function unless the polynomial  s(ξ )
satisfies additional properties, such as (51), that assure that the limit is a sampling
function.
With this objective in mind, in Sect. 5.2 we consider a family of trigonometric
polynomials that have certain desirable properties. In Sect. 5.3 we use these
trigonometric polynomials to define a family of refinable sampling functions and
show that in the limiting case its members converge to the cardinal sine. The
corresponding scaling sequences or masks are arrived at via an alternate procedure,
that is of subdivision type, in Sect. 5.4.

5.2 A Family of Polynomials with Desirable Properties

Following Strichartz [56, top of p. 551], consider the binomial expansion of the
left-hand side of the identity
 n
sin2 (θ/2) + cos2 (θ/2) =1 (73)

and let Pn (θ ) be the first half of this expansion. More precisely, if n is odd,
n = 2m − 1


m−1
2m − 1  2 j  2m−1−j
P2m−1 (θ ) = sin (θ/2) cos2 (θ/2) (74)
j
j =0

and when n is even, n = 2m


m−1
2m  2 j  2m−j
P2m (θ ) = sin (θ/2) cos2 (θ/2)
j
j =0

1 2m
+ sin2m (θ/2) cos2m (θ/2). (75)
2 m
126 W. R. Madych

The following properties of Pn (θ ) are readily apparent from its definition:

Pn (θ ) is 2π periodic, even, and non-negative, (76)

and of degree no greater than n. Namely,


n 
n
Pn (θ ) = ak eikθ = a0 + 2ak cos(kθ ) ≥ 0, (77)
k=−n k=1

where a−k = ak .


n
Pn (0) = 1 = ak . (78)
k=−n


n
Pn (π ) = 0 = (−1)k ak . (79)
k=−n

Identities (78) and (79) are equivalent to

 
an = an = 1/2. (80)
n even n odd

Since Pn (θ + π ) is the second half of the binomial expansion of the left-hand

side of (73), we may conclude that

Pn (θ ) + Pn (θ + π ) = 1. (81)

Substituting θ = −π/2 into (81) and using the fact that Pn (θ ) is even,
Pn (−θ ) = Pn (θ ), yields

P (π/2) = 1/2. (82)

Lemma 3 The polynomials P2m−1 (θ ) and P2m (θ ) are identical. Namely,

P2m (θ ) = P2m−1 (θ ). (83)

Proof To see this, let


m−1
2m − 1 j
Q2m−1 (t) = t (1 − t)2m−1−j
j
j =0

when n = 2m − 1 is odd and

Refinable Sampling Kernels 127


m−1
2m j 1 2m m
Q2m (t) = t (1 − t)2m−j + t (1 − t)m
j 2 m
j =0

when n = 2m is even. Then Qn (sin2 (θ/2)) = Pn (θ ) for n = 1, 2, 3, . . . and the

conclusion of the lemma will follow if

Q2m−1 (t) = Q2m (t). (84)

To see (84) write


m−1
2m − 1 j
(1 − t)Q2m−1 (t) = (1 − t)m + t (1 − t)2m−j
j
j =1

and

m
2m − 1 j
tQ2m−1 (t) = t (1 − t)2m−j .
j −1
j =1

Thus

Q2m−1 (t) = (1 − t)Q2m−1 (t) + tQ2m−1 (t)


m−1
2m − 1 2m − 1

= (1 − t)m + + t j (1 − t)2m−j
j j −1
j =1

2m − 1 m
+ t (1 − t)m .
m−1

Since

2m − 1 2m − 1 2m 2m − 1 2m − 1
+ = and = ,
j j −1 j m−1 m

we also have
 
2m − 1 1 2m − 1 2m − 1 1 2m
= + = .
m−1 2 m−1 m 2 m

In view of these identities, the last expression for Q2m−1 (t) reduces to


m−1
2m j 1 2m m
Q2m−1 (t) = t (1 − t)2m−j + t (1 − t)m = Q2m (t).
j 2 m
j =0

This proves (84) and the conclusion of the lemma follows. 

128 W. R. Madych

In view of Lemma 3, in what follows, we focus on the polynomials

P2m−1 , m = 1, 2, . . . .
Lemma 4 The polynomial P2m−1 (θ ) can be expressed in terms of its Fourier
coefficients as
 
8m 2m − 1 
m
1 k+1 2m − 1 cos (2k − 1)θ
P2m−1 (θ ) = + 2m (−1) . (85)
2 4 m m−k 2k − 1
k=1

Proof We prove identity (85) by first obtaining an expression for P2m−1 (θ ) whose
integral yields (85).
 N = 2m − 1, use the notation established in the proof of Lemma 3,
Let
QN sin2 (θ/2) = PN (θ ), and write


m−1
N
QN (t) = {j t j −1 (1 − t)N −j − (N − j )t j (1 − t)N −j −1 }
j
j =0
⎧ ⎫
⎨m−1
 t j −1 (1 − t)N −j  t j (1 − t)N −j −1 ⎬
m−1
= N! −
⎩ (j − 1)!(N − j )! j !(N − j − 1)! ⎭
j =1 j =0
⎧ ⎫
⎨m−2
 t j (1 − t)N −j −1  t j (1 − t)N −j −1 ⎬
m−1
= N! −
⎩ (j )!(N − j − 1)! j !(N − j − 1)! ⎭
j =0 j =0
 
−{t (1 − t)}m−1
= N!
(m − 1)!(N − m)!

that can be expressed more succinctly as

N
QN (t) = −m {t (1 − t)}m−1 .
m

Hence
 
PN (θ ) = QN sin2 (θ/2) sin(θ/2) cos(θ/2)
N  2 m−1
= −m sin (θ/2) cos2 (θ/2) sin(θ/2) cos(θ/2)
m
N  2m−1
= −m sin(θ/2) cos(θ/2)
m
N m  iθ N
=− N
e − e−iθ .
m (4i)
Refinable Sampling Kernels 129

Now

 iθ N 
N
N i(2j −N )θ
e − e−iθ == (−1)N (−1)j e
j
j =0

and pairing the j and the N − j terms in the last expression on the right-hand side
of this string results in

  
m−1
N i(2j −N )θ N

−iθ N
e −e
iθ
= (−1) N
(−1) j
e + (−1)N −j ei(N −2j )θ
j N −j
j =0

 N  i(2j −N )θ 
m−1
= (−1)N (−1)j e − e−i(2j −N )θ
j
j =0


m−1
N  
= (−1) 2iN
(−1)j sin (2j − N)θ
j
j =0


m
N  
= (−1)N 2i (−1)m−k−1 sin (2k − 1)θ ,
m−k
k=1

where we used the substitution k = m − j to obtain the final expression.

 N
Substituting the final expression for eiθ − e−iθ into the one for PN (θ ) results
in

N m  N
m
 
PN (θ ) = − (−1)N 2i (−1)m−k−1 sin (2k − 1)θ
m (4i) N m−k
k=1

that upon integration yields

 
N m 
m
N cos (2k − 1)θ
PN (θ ) = c − N
(−1) 2i (−1) m−k
.
m (4i)N m−k 2k − 1
k=1

Finally, in view of (82), PN (π/2) = c = 1/2 and the desired result (85) follows. 
In view of (85) we may update (77) as follows: P2m−1 (θ ) is a trigonometric
polynomial of degree 2m − 1,


2m−1 
m
 
P2m−1 (θ ) = aj eij θ = a0 + 2a2k−1 cos (2k − 1)θ (86)
j =−2m−1 k=1
130 W. R. Madych

where a−j = aj , a0 = 1/2, and

(−1)k+1 4m 2m − 1 2m − 1
a2k−1 = . (87)
42m (2k − 1) m m−k

Lemma 5
⎧
⎪
⎪ if |θ | < π/2
⎨1
lim P2m−1 (θ ) = 1/2 if |θ | = π/2 (88)
m→∞ ⎪
⎪
⎩0 if π/2 ≤ |θ | ≤ π.

The convergence is uniform outside neighborhoods of θ = ±π/2.

Since P2m−1 (θ ) is 2π periodic, (88) implies that limm→∞ P2m−1 (θ ) = 1 whenever
|θ − 2π n| < π/2, etc., where n is any integer. In other words, if
⎧
⎪
⎪ if |θ | < π/2
⎨1
χ (θ ) = 1/2 if |θ | = π/2
⎪
⎪
⎩0 if |θ | > 1/2,

then
∞

lim P2m−1 (θ ) = χ (θ − 2π n). (89)
m→∞
n=−∞

Proof of Lemma 5 To establish (88)

 we use the notation used to verify (85), where
N = 2m − 1 and QN sin2 (θ/2) = PN (θ ).
For 0 ≤ p ≤ 1 let

N j
wj = p (1 − p)N −j , j = 0, 1, . . . , N,
j


N 
N
μN = j wj , and VN = (j − μN )2 wj .
j =0 j =0

Then

μN = pN and VN = p(1 − p)N,

which follows from the fact that μN and VN are the mean and variance of the
binomial distribution with parameters N and p. Of course this can also be verified
by direct calculation.
Refinable Sampling Kernels 131

m−1
Since QN (p) = j =0 wj , if p > 1/2 we may write

N 2 
m−1
N 2 
m−1

2 − μN QN (p) = 2 − μN wj ≤ (j − μn )2 wj
j =0 j =0


N
≤ (j − μn )2 wj = p(1 − p)N
j =0

and, since μN = pN, it follows that

p(1 − p)N p(1 − p) 1

0 ≤ QN (p) ≤  2 = 2 . (90)
N
1
2 − p N 2 1
2 − p

Hence if p > 1/2

lim QN (p) = 0.
N →∞

N
If p < 1/2 use 1 − QN (p) = j =m wj and similar reasoning to obtain

N 2 
N

2 − μN {1 − QN (p)} ≤ (j − μn )2 wj ≤ p(1 − p)N,

j =m

which implies that

p(1 − p) 1
0 ≤ 1 − QN (p) ≤  2 . (91)
N
1
2 − p

Hence if p < 1/2

lim QN (p) = 1.
N →∞

Note that in both cases the convergence is uniform outside neighborhoods of

p = 1/2.  
Since PN (θ ) = QN sin2 (θ/2) and PN (π/2) = 1/2 for all N , this completes
the proof of the lemma. 
For future reference note that items (90) and (91) in the above proof show that

C
1 ≥ P2m−1 (θ ) ≥ 1 − when |θ | ≤ a < π/2, (92)
m
132 W. R. Madych

where the constant C depends only on a and

C
0 ≤ P2m−1 (θ ) ≤ when π/2 < b1 ≤ |θ | ≤ b2 < 3π/2, (93)
m
where the constant C depends only on b1 , and b2 .
Finally, we observe that

1 ≥ P2m−1 (θ ) ≥ 1/2 when |θ | ≤ π/2. (94)

This follows from the fact that P2m−1 (0) = 1, P2m−1 (π/2) = 1/2, and P2m−1 (−θ )
= P2m−1 (θ ), together with the fact that P2m−1 (θ ) < 0 when 0 < θ < π.

5.3 A Family of Compactly Supported Refinable Sampling

Functions

Suppose P2m−1 , m = 1, 2, . . . are the polynomials studied in the previous

subsection. Namely,


m−1
2m − 1  2 j  2m−1−j
P2m−1 (ξ ) = sin (ξ/2) cos2 (ξ/2) .
j
j =0

Then, by virtue of Proposition 1 and properties (76), (78), (81), and (94) of P2m−1 ,
the function
∞

m (ξ ) =
Φ P2m−1 (ξ/2n ) (95)
n=1

is well defined and is the Fourier transform of a refinable sampling function Φm (x).
In view of Proposition 2 and (87), Φ(x) can also be defined as the, uniform in x,
limit

Φ(x) = lim gn (x) (96)

n→∞

of the fixed point iteration


2m−1
gn+1 (x) = sm,j gn (2x − j ),
j =−(2m−1)

where g0 (x) = (1 + |x|)+ and the coefficients sm,j are specified by

sm,−j = sm,j , sm,2k = δ0,k , k = 0, 1, 2 . . . ,
Refinable Sampling Kernels 133

(−1)k+1 8m 2m − 1 2m − 1
sm,2k−1 = , k = 1, 2, . . . m, (97)
42m (2k − 1) m m−k

and sm,2k−1 = 0, k = m + 1, m + 2, . . . .
We summarize these observations as
Proposition 6 The function Φm (x) defined by (95) or equivalently by (96) is a
refinable sampling function with scaling coefficients described by (97).
The next proposition provides a bound on the compact support of the sampling
kernel Φm (x).
Proposition 7 Φm (x) is supported in the interval [−(2m − 1), 2m − 1].
Proof This follows from (95) and an application of the Paley–Wiener theorem,
but can also be seen, perhaps more directly, from (96). Namely, g0 (x) has support
[−1, 1] and g1 (x) has support [−(N + 1)/2, (N + 1)/2], where N = 2m − 1.
More generally, if gn (x) has support [−r, r] then gn+1 (x) has support [−(N +
r)/2, (N + r)/2]. Hence by induction gn (x) has support in [−rn , rn ], where
1 n
N
rn = n + . Since lim rn = N = 2m − 1, the desired result follows.
2 2n n→∞
k=1

In view of the fact that Φm (x) has compact support, the cardinal sampling series
∞

cn Φm (x − n) (98)
n=−∞

is well defined for any sequence of data samples {cn : n = 0, ±1, ±2, . . .}.
Proposition 8
⎧
⎪
⎪ if |ξ | < π
⎨1
m (ξ ) =
lim Φ 1/2 if |ξ | = π (99)
m→∞ ⎪
⎪
⎩0 if |ξ | > π.

The limit is uniform in ξ for |ξ | ≤ a < π and |ξ | ≥ b > π .

Proof To see the assertion in the case |ξ | ≤ a < π write

ξ
P2m−1 (ξ ) = 1 + P2m−1 (θ )dθ,
0

recall from the proof of Lemma 8 that

2m − 1  2m−1
P2m−1 (θ ) = −m sin(θ/2) cos(θ/2) ,
m
134 W. R. Madych

2m−1
and note that m ≤ 22m−2 . Hence if 0 ≤ θ ≤ π ,
 2m−1
−P2m−1 (θ ) ≤ m22m−2 sin(θ/2) ≤ m22m−2 (θ/2)2m−1 ,

and

ξ
P2m−1 (ξ ) ≥ 1 − m22m−2 (θ/2)2m−1 dθ
0

2 ξ 2m
= 1 − m22m−2 (ξ/2)2m =1− .
2m 4

Since 1 − c/e ≥ e−c when 0 ≤ c ≤ 1 and 1 − c/4 ≥ 1 − c/e when c ≥ 0, we may

write

P2m−1 (ξ ) ≥ exp(−ξ 2m ) when |ξ | ≤ 1.

Hence, if |ξ | < π and j ≥ 2, then |ξ/2j | < π/4 < 1 and we may write

∞

m (ξ ) = P2m−1 (ξ/2)
Φ P2m−1 (ξ/2j )
j =2
∞
     
≥ P2m−1 (ξ/2) exp − (ξ/2j )2m = P2m−1 (ξ/2) exp − (ξ/2j )2m .
j =2 j ≥2

Since
∞
 ) *
(ξ/2j )2m = (ξ/4)2m 22m /(22m − 1) < 2(ξ/4)2m
j =2

and
C
1 ≥ P2m−1 (ξ/2) ≥ 1 − when |ξ | ≤ a < π
m
where the constant C depends only on a, we may conclude that
 C  
m (ξ ) ≥ 1 −
1≥Φ exp − 2(ξ/4)2m .
m
Since |ξ/4| ≤ a/4 < 1, it follows that
m (ξ ) = 1
lim Φ uniformly when |ξ | ≤ a < π. (100)
m→∞

This proves the assertion of the proposition in the case |ξ | ≤ a.

Refinable Sampling Kernels 135

If ξ = π then P2m−1 (ξ/2) = 1/2 for all m and, since |ξ/2| < π , identity (100)
yields
1 1
m (ξ ) = lim P2m−1 (ξ/2)Φ
lim Φ m (ξ/2) = m (ξ/2) = .
lim Φ
m→∞ m→∞ 2 m→∞ 2
Finally, to see the assertions of the proposition in the case |ξ | > π , suppose b
satisfies π/2 < b < (3π )/4. Then 2b < (3π )/2 and, in view of (92)

C
0 ≤ P2m−1 (ξ/2j ) ≤ when b ≤ |ξ/2j | ≤ 2b,
m
where the constant C depends only on b. Since
∞

{ξ : |ξ | ≥ b} = {ξ : b ≤ |ξ/2j | ≤ 2b},
j =0

for any ξ such that |ξ | ≥ b there is a j0 such that b ≤ |ξ/2j0 | ≤ 2b so that

∞
 C
m (ξ ) = P2m−1 (ξ/2j0 )
0≤Φ P2m−1 (ξ/2j ) ≤ P2m−1 (ξ/2j0 ) ≤ .
m
j =1
j =j0

This implies that

m (ξ ) = 0 uniformly when |ξ | ≥ b > π
lim Φ
m→∞

and completes the proof of the proposition. 

Proposition 8 implies that

lim Φm (x) = sinc(x) in the distribution sense

m→∞

 is in L1 (R),
or, if φ

lim φ ∗ Φm (x) = φ ∗ sinc(x) uniformly in x ∈ R. (101)

m→∞

5.4 An Alternate Development

In this subsection we describe an alternate approach that leads to compactly

supported refinable sampling functions.
Given the data samples {cn : n = 0, ±1, ±2, . . .} and a positive integer m, the
interpolation procedure of Deslauriers and Dubuc [19] extends the data to a function
f defined on the refined lattice {n/2 : n = 0, ±1, ±2, . . .} as follows: When n is
136 W. R. Madych

even, n = 2k, then f (n/2) = f (k) = ck . When n is odd, n = 2k − 1, then

f (n/2) = f (k − 1/2) = p(k − 1/2) is the value of the unique polynomial p of
degree 2m−1 that satisfies p(j ) = f (j ) = cj , j = k−m+ , = 0, 1, 2, . . . , 2m−
1; in other words, f (k −1/2) is the value of the unique polynomial of degree 2m−1
that interpolates the data at the set of 2m points consisting of the nearest m points to
the left of k − 1/2 and the nearest m points to the right of k − 1/2. More explicitly

f (x) = ck when x = k (102)

and


k+m−1 
k+m−1
x−
f (x) = cj when x = k − 1/2. (103)
j−
j =k−m =k−m
=j

By iterating this procedure N times the data can be extended to the lattice
{n/2N : n = 0, ±1, ±2, . . .} and, in the limit if it exists, to all the dyadic rationals
in R. Since the process is linear, translation invariant, and 2 scale invariant, at the
N th stage the result f (x) enjoys the representation
∞

f (x) = ck Ψm (x − k) when x = n/2N ,
k=−∞

where Ψm (x) is the result of applying the process to the data sequence {δ0,n } and
thus satisfies
∞

Ψm (x) = Ψm (n/2)Ψm (x − n) when x = n/2N . (104)
n=−∞

Hence, if the limit as N → ∞ exists and can be extended continuously to all of R,

Ψm (x) is a refinable sampling function. Applying (102) and (103) to the sequence
{δ0,n } results in

Ψm (n/2) = Ψm (k) = δ0,k when n = 2k is even (105)

and, when n = 2k − 1 is odd,


k+m−1
k − 1/2 − j
Ψm (n/2) = Ψm (k − 1/2) = (106)
−j
j =k−m
j =0

when 1 − m ≤ k ≤ m and Ψ (k − 1/2) = 0 otherwise. A straightforward, but

somewhat tedious, calculation shows that when k = 1, 2, . . . m
Refinable Sampling Kernels 137


k+m−1
k − 1/2 − j (−1)k+1 8m 2m − 1 2m − 1
= 2m .
−j 4 (2k − 1) m − 1 m−k
j =k−m
j =k

Comparing this with (97) leads to the conclusion that


2m−1
(ξ ) =
Ψ Ψ (n/2)e−inξ = 2P2m−1 (ξ ), (107)
n=−(2m−1)

where P2m−1 is the polynomial defined by (74) and Ψm (n/2) = Φm (n/2), where
Φm is the refinable sampling kernel defined by (95) and (96). Hence Ψm (x) is indeed
well defined on the dyadic rationals and can be extended continuously to all of R.
The resulting function Ψm (x) is same as the function Φm (x) defined by (95) and
(96).
We summarize this as
Proposition 9 Suppose Φm (x) is the refinable sampling kernel defined by (95) or,
equivalently, by (96). If {f (n) = cn : n = 0, ±1, ±2, . . .} is any data sequence
then
∞

f (x) = f (n)Φm (x − n)
n=−∞

is a well-defined continuous function such that, for each integer k, f (k − 1/2) is

equal to the value of the unique polynomial of degree 2m − 1 that interpolates the
data at the set of 2m points consisting of the nearest m points to the left of k − 1/2
and the nearest m points to the right of k − 1/2. Explicitly


k+m−1 
k+m−1
k − 1/2 −
f (k − 1/2) = f (j ) , k = 0, ±1, ±2, . . . .
j−
j =k−m =k−m
=j

 
This is the case at every dyadic level, namely, f (2k − 1)/2N +1 is equal
to
) the N
value
 of the unique polynomial
* of degree 2m − 1 that interpolates
f n/2 : n = 0, ±1, ±2 . . . at the set of 2m points consisting of the nearest
m points to the left of (2k − 1)/2N +1 and the nearest m points to the right of
(2k − 1)/2N +1 . Explicitly

 
 k+m−1  (2k − 1)/2 −
k+m−1
f (2k − 1)/2N +1 = f (j/2N ) ,
j−
j =k−m =k−m
=j

k = 0, ±1, ±2, . . . .
138 W. R. Madych

5.5 Miscellaneous Comments

The reader familiar with the theory of multiresolution analyses and orthogonal
wavelets may recognize that the trigonometric polynomials P2m−1 defined by
(74) are the squares of the moduli of the polynomials that give rise to the
scaling functions associated with the celebrated Daubechies wavelets; in the cases
m = 2, 3, . . . , 10, the scaling coefficients of these scaling functions are listed in
Table 6.1 of [17]. Formula (74) was adapted from [56, top of p. 551].
A theorem analogous to Theorems 1 and 2 should be valid for the cardinal series
defined by (98). Partially due to time constraints, I have been unable to verify this
supposition.
The interpolation method introduced in [19] that is described in Sect. 5.4 is very
convenient, numerically robust, and preserves polynomials of degree ≤ 2m − 1. A
result equivalent to the fact that Ψm (ξ ) = P2m−1 (ξ ), that is the content of (107),
was apparently first observed in [55].
Finally, I want to thank Stuart Nelson, who kindly provided the proof of Lemma 4
and simplifications of my arguments for Lemmas 3 and 5.

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Prolate Shift Frames and Sampling of
Bandlimited Functions

Jeffrey A. Hogan and Joseph D. Lakey

Abstract The Shannon sampling theorem can be viewed as a special case of

(generalized) sampling reconstructions for bandlimited signals in which the signal is
expressed as a superposition of shifts of finitely many bandlimited generators. The
coefficients of these expansions can be regarded as generalized samples taken at a
Nyquist rate determined by the number of generators and basic shift rate parameter.
When the shifts of the generators form a frame for the Paley–Wiener space, the
coefficients are inner products with dual frame elements. There is a tradeoff between
time localization of the generators and localization of dual generators. The Shannon
sampling theorem is an extreme manifestation in which the coefficients are point
values but the generating sinc function is poorly localized in time. This work reviews
and extends some recent related work of the authors regarding frames for the Paley–
Wiener space generated by shifts of prolate spheroidal wave functions, and the
question of tradeoff between localization of the generators and of the dual frames is
considered.

1 Introduction

This paper reviews and extends several recent results of the authors involving frames
and bases generated by shifts of functions that are bandlimited and essentially
time limited. The frames potentially provide pointwise expansions of bandlimited
signals such that the value at any point is nearly a finite linear sum of bandlimited
components that are  concentrated near that point. Contrast this with the classical
sinc series, f (t) = k∈Z f (k) sinc (t − k) (f ∈ PW), which expresses f as a

J. A. Hogan
School of Mathematical and Physical Sciences, University of Newcastle, Callaghan, NSW,
Australia
e-mail: [email protected]
J. D. Lakey ()
Department of Mathematical Sciences, New Mexico State University, Las Cruces, NM, USA
e-mail: [email protected]

© Springer Nature Switzerland AG 2020 141

S. D. Casey et al. (eds.), Sampling: Theory and Applications, Applied and
Numerical Harmonic Analysis, https://doi.org/10.1007/978-3-030-36291-1_5
142 J. A. Hogan and J. D. Lakey

superposition of shifted sinc functions: the coefficients—the integer samples—are

as concentrated as possible, but the expansion functions—shifted sinc functions—
are not concentrated. There is necessarily a tradeoff between concentration of
coefficients (the analysis) and of expansion (the synthesis) and here is no exception:
when the expansion functions are concentrated pointwise, the coefficients come
from diffuse signal values. The expansion functions considered here are shifts of the
most concentrated prolate spheroidal wave functions, which are eigenfunctions of
the operator PΩ Q that first time limits to the interval [−1, 1] via Q, then bandlimits
to [−Ω/2, Ω/2] via PΩ . The tradeoff between concentration of coefficients
versus expansions will be discussed in Sect. 6. First we will review frame and
Riesz basis/sequence properties of prolates in Sects. 3 and 4 and establish some
generalizations of prior results for functions frequency limited to a finite union of
intervals. After this we consider some specific instances of frames for bandpass-
limited functions generated by what we call bandpass prolates in Sect. 5. Some
of the technical apparatus is to combine baseband representations into multiband
ones. In Sect. 6 we show how to compute dual frames for the baseband and
bandpass cases, and we consider the tradeoff between concentration of signals
versus concentration of dual frame generators when considering subspaces of
bandlimited signals.

2 Background

For f ∈ L1 (R), its Fourier transform fˆ and Fourier inversion f = (fˆ)∨ are
∞ ∞
F (f )(ξ ) = fˆ(ξ ) = f (t)e−2π itξ dt and (fˆ)∨ (t) = fˆ(ξ )e2π itξ dξ = f (t) ,
−∞ −∞

where the latter converges if fˆ ∈ L1 (R) as well. The Fourier transform

∞ extends to
a unitary mapping of L2 (R) (with inner product to be f, g = −∞ f (t)g(t) dt).
Given Ω > 0 we define the Paley–Wiener space PWΩ by

PWΩ = {f ∈ L2 (R); fˆ(ξ ) = 0 if |ξ | > Ω/2}.

Orthogonal projections PΩ and Q defined by Qf (t) = 1[−1,1] (t)f (t) and

∞ sin(π Ω(t − s))
PΩ f (t) = (1[−Ω/2,Ω/2] fˆ)∨ (t) = f (s) ds (1)
−∞ π(t − s)

on L2 (R) give rise to an iterated projection PΩ Q : PWΩ → PWΩ acting via

1 sin(π Ω(t − s))

PΩ Qf (t) = f (s) ds. (2)
−1 π(t − s)
Prolate Shift Frames 143

The prolate spheroidal wave functions (PSWFs) or prolates {ϕn }∞ n=0 are the
L2 (R)-normalized eigenfunctions of the self-adjoint compact operator PΩ Q, i.e.,
PΩ Qϕn = λn ϕn . Attractive properties of these functions include
1. The prolates may be chosen such that they are real-valued; the even-indexed
prolates are even functions, while the odd-indexed prolates are odd functions;
and the eigenvalues are decreasing: 1 > λ0 > λ1 > · · · > 0.
2. The eigenvalues {λn }∞
n=0 have a threshold behavior [9]: their first (approximately)
a = 2Ω eigenvalues are bunched near 1, the next (approximately) log a eigen-
values plunge towards 0, and subsequent eigenvalues decay very rapidly to zero:
λn ≤ Ce−αn log n . ∞
3. Orthogonality on the line: −∞ ϕn (t)ϕm (t) dt = ϕn , ϕm = δnm .
1
4. Orthogonality on [−1, 1]: −1 ϕn (t)ϕm (t) dt = Qϕn , Qϕm = λn δnm .
Property (3) of course follows directly from the nondegeneracy in (1), while (4)
follows from the symmetry of the kernel in (2). The quantity a = 2Ω is the
product of the lengths of the intervals on which the prolates are band limited and
time concentrated, and is known as the time–bandwidth product. More generally,
taking QT f = f 1[−T ,T ] , eigenfunctions of PΩ QT are called (T , Ω)-prolates.
The prolates are different for different values 2ΩT . Prolates of the same order n
corresponding to different time and frequency concentrations but the same time–
bandwidth product, such as (Ω, 1) and (1, Ω)-prolates, are necessarily dilates of
one another. We take this fact for granted when specifying time and frequency
parameters in the figures. For further details on prolate functions, the reader is
referred to [13] and [3].
In [14], shifts of the lowest order prolate ϕ0 were shown to generate the shift-
invariant space PWΩ . The Nyquist rate shifts of ϕ0 are not orthogonal, but they do
form a frame for PWΩ , though the lower frame bound is prohibitively small. In [5],
more prolates are used to generate frames for PWΩ with snug bounds.

3 Frame Properties of Shifts of Eigenfunctions of Time and

Frequency Limiting

Some properties of the eigenfunctions of PΩ Q carry over to limiting to more

general subsets of time and frequency. We continue to work in one variable.
Let S and Σ to be compact subsets of R. Let QS denote multiplication by
1S and PΣ = F −1 QΣ F . We shall assume that Σ = −Σ, which implies that
the kernel of PΣ is real and symmetric. The operator PΣ QS PΣ is then self-adjoint.
The eigenvalues λn = λn (S, Σ) of PΣ QS can be expressed 1 > λ0 ≥ λ1 ≥ · · ·  0
and we continue to denote by ϕn = ϕn (S, Σ) the eigenfunction
 belonging to λn . We
begin with a lemma stating, in effect, that partial sums Nn=0 n |
λ ϕn (ξ )|2 converge
to the ideal multiplier 1Σ .
144 J. A. Hogan and J. D. Lakey

Lemma 1 Under the conditions above, the eigenfunctions ϕn of PΣ QS , nor-

malized to ϕn L2 (R) = 1, form a complete orthogonal family in L2 (S) and

λn |
ϕn (ξ )|2 = |S|, ξ ∈ Σ.
Proof To prove that {ϕn } are complete in L2 (S), if f ∈ L2 (S) and f, ϕn = 0 for

all n then (writing f = QS f ) Q Sf , 
ϕn = 0 and, since {ϕn } forms an orthonormal
basis for L2 (Σ), one concludes that Q S f = 0 a.e. on Σ. But Q  S f is real analytic,

so QS f = 0 identically and therefore QS f = f = 0.
Orthogonality follows from the eigenvalue property. If ρΣ is the inverse Fourier
transform of 1Σ then, since ρΣ is real and symmetric, a change of order of
integration and the reproducing property of ρ give

∞ 1 ∞
ϕn ϕm = ρΣ (t − s) ϕn (s) ds ρΣ (t − u) ϕm (u) du dt
−∞ λn λm −∞ S S
1 1
= ϕm (u) ϕn (s)ρΣ (u − s) ds du = ϕm (u)ϕn (u)du .
λn λm S S λm S

Orthogonality in L2 (S) then follows from orthogonality in L2 (R). The identity

PΣ QS ϕn = λn ϕn now implies that when ξ ∈ Σ,

 ∞
 1
λn |
ϕn (ξ )|2 = ϕn (t) e−2π itξ dt ϕ n (s) e2π isξ ds
λn S S
n=0

∞
1  
= e2π isξ ϕ n (s) ds ϕn (t) e−2π itξ dt
S λn S
n=0

= e2π itξ e−2π itξ dt = 1S = |S| .

S

Here we used the orthonormal expansion e2π itξ = n λ1n e2π iξ , ϕn L2 (S) ϕn (t) of

the exponential in L2 (S) for ξ ∈ Σ. Thus λn | ϕn (ξ )|2 = |S| on Σ. 

ϕn = (QS ϕn )∧ /λn is continuous on Σ, the partial sums n=0 λn |
Since  N
ϕn (ξ )|2
are continuous and monotone increasing, so Dini’s theorem implies that the
convergence
 is uniform in ξ . As such, given A < |S| there is an N such that
A ≤ λn | ϕn (ξ )|2 ≤ |S| for √
all ξ ∈ Σ.
Denote Φn (t) = √ and, for α
λn ϕn (t) > 0 fixed and
∈ Z, let Φn,α (t) = Φn (t − α ) = λn ϕn (t − α ). Set

Fα = Fα (S, Σ) = {Φn, α ; ∈ Z, n ≥ 0}
Fα,N = {Φn,α ; ∈ Z, 0 ≤ n < N}. (3)
Prolate Shift Frames 145

Theorem 1 Suppose that S ⊂ R and α > 0 are such that for almost every t ∈ R,
the translated lattice {t − α } ∈Z intersects S at least A times and at most B times.
Then Fα = {Φ n,α : ∈ Z,n ≥ 0} forms a frame for PWΣ with lower  frame bound 
A ≥ ess inft 1S (t −α ) and upper frame bound B ≤ ess supt 1S (t −α ) .
Proof Let f ∈ PWΣ . Then with τs f (t) = f (t − s), after a change of variable and
using the self-adjointness of PΣ and QS one has (where ϕn is the
√ nth eigenfunction
of PΣ QS which, as before, is assumed self-adjoint, and Φn = λn ϕn )

  ∞ ∞
|f, Φn,α |2 = τ−α f (t)τ−α f (s)λn ϕn (t)ϕn (s) dtds
n n −∞ −∞

 ∞  
= τ−α f (t) τ−α f, ϕn PΣ QS ϕn (t) dt = τ−α f, PΣ QS τ−α f
−∞ n

  
= QS τ−α f 2
= |f (t + α )|2 dt = |f (t)|2 dt
S S+α

 ∞ ∞  
= 1S (t − α )|f (t)|2 dt = 1S (t − α ) |f (t)|2 dt .
−∞ −∞

We used the fact that f ∈ PWΣ in the third identity and that {ϕn } forms an
orthonormal basis
 for PWΣ (established
 in Lemma
1) in the second.
 Consequently,
if A = ess inft 1S (t − α ) and B = ess supt 1S (t − α ) then

A f 2
≤ |f, Φn,α |2 ≤ B f 2

which was to be proved.

√
Corollary 1 Fix α ≤ 1 and Ω > 0 and let Φn = λn ϕn where ϕn are the
eigenfunctions of PΩ Q. Then F2α = {Φn,2α : ∈ Z, n ≥ 0} forms a frame
for PWΩ with lower and upper frame bounds A ≥ "1/α# and B ≤ $1/α%. In
particular, if 1/α = M ∈ N then F2α is an M-tight frame and F2 is a Parseval
frame for PWΩ .
Proof For each t ∈ R, the translated lattice {t − 2α } ∈Z intersects [−1, 1) at least
"1/α# times and at most $1/α% times.
The proof of Theorem 1 required that {ϕn } forms a complete orthonormal family
for PΣ . The normalization of the functions Φn is not intuitive,
√ but is what enables
tight frame bounds. Taking Φn to have L2 (R)-norm λn insures that high order
terms do not add too much energy to the coefficient sum when f is shifted into a
region in which ϕn is more concentrated. A different path to tight frames of shifted
146 J. A. Hogan and J. D. Lakey

prolates comes via the identity in Lemma 1, when 1/α is an integer multiple of the
length of the convex hull of Σ.
Theorem 2 Let S, Σ ⊂ R be compact with Σ = −Σ and Σ ⊂ [−Ω, Ω]. The
∞,∞
family {Φn (t − k/(2Ω))}n=0,k=−∞ forms a tight frame for PWΣ with bound 2|S|Ω.
Proof Using Plancherel’s theorem for the Fourier series of a function in
L2 [−Ω, Ω] and Lemma 1 we have

∞ +
 ,  - 2
f, λn ϕn · −
2Ω
n=0
∞
 + - 2
∞
  Ω 2
= λn f, eπ i ·/Ω

ϕn (·) = λn f(ξ ) e−π i ξ/Ω

ϕn (ξ ) dξ
n=0 n=0 −Ω

∞
 Ω Ω ∞

f(ξ )  |f(ξ )|2
2 2
= 2Ω λn ϕn (ξ ) dξ = 2Ω λn 
ϕn (ξ ) dξ
n=0 −Ω −Ω n=0
Ω
= 2Ω|S| |f(ξ )|2 = 2Ω|S| |f(ξ )|2
−Ω Σ

where we have used the fact that f ∈ PWΣ , that is, f(ξ ) = 0 unless ξ ∈ Σ.
Theorem 2 was proved in [5] for the case in which Σ = [−Ω, Ω] and
S = [−1, 1]. The present frame bounds still depend on Ω, and thus on the ratio
Ω/|Σ|, which is one factor in quantifying redundancy. The other is the number of
eigenfunction generators—infinitely
 −1 many in this case.
Convergence of N λ
n=0 n n|
ϕ (ξ )| 2 to |S| on Σ implies the following corollary of

Lemma 1, which provides (non-tight) frame bounds using finitely many generators.
Corollary 2 With S, Σ, and Ω as in Theorem 2, for N sufficiently large, the shifts
N −1,∞
{Φn (t − k/(2Ω))}n=0,k=−∞ form a (non-tight) frame for PWΣ .
Proof Calculating as above gives

−1 +
 N ,  - 
N −1
2
|f(ξ )|2
2
f, λn ϕn · − = 2Ω λn 
ϕn (ξ ) dξ.
2Ω Σ
n=0 n=0

 −1 2
The partial sums SN (ξ ) = Nn=0 λn ϕn (ξ ) converge uniformly to |S| on Σ so,
if A < |S| is given then for large enough N one has A ≤ SN ≤ |S| on Σ.
Consequently
−1 +
 N ,  - 2
2ΩA f 2
≤ f, λn ϕn · − ≤ 2Ω|S| f 2
2Ω
n=0

which proves the claim.

Prolate Shift Frames 147

 −1 2
The frame bounds are 2Ω times the inf/sup of SN (ξ ) = Nn=0 λn ϕn (ξ ) . In the
special case in which S = .[−1, 1] and Σ = [−Ω/2, Ω/2] one can take advantage
 
ϕn = (−i) Ωλ
of the identity  n 2
n
Qϕn 2ξΩ to deduce the following, cf., [5].

Theorem 3 For α = 1/Ω, Fα,N forms a frame for PWΩ with upper and lower
frame bounds BN and AN , respectively, satisfying


N −1 
N −1
AN ≥ 2 inf |ϕn (ξ )|2 ; BN ≤ 2 sup |ϕn (ξ )|2 .
|ξ |≤1 |ξ |≤1 n=0
n=0

Partial sums SN (ξ ) for different N (times 2) are plotted in Fig. 2.

4 Low Redundancy Prolate Shift Frames and Riesz

Sequences

None of the results in Sect. 3 depends on the fine structure of eigenfunctions of

PΣ QS , but rather on generic properties of the operators themselves. The frame
bounds do, however, rely on redundancy in a couple of ways: first, in that the
eigenfunctions are complete in L2 (S) and, second, that Σ is compact and one can
take Fourier series over its convex hull (Theorem 2). Thinking of frame coefficients
as generalized samples and of shifted eigenfunctions as a type of generalization
of the sinc function, one might only require a total of |Σ| eigenfunction shifts
per unit time to provide stable recovery of f ∈ PWΣ from its coefficients
f, ϕn (· − α ) . For general concentration sets S and frequency supports Σ,
there is not
√ yet a general method to deduce low redundancy frame properties
Fα,N = { λn ϕn (· − α ) : n = 0, . . . , N − 1, ∈ Z}, but such properties can be
established in the special case when S and Σ are intervals. The following results are
(essentially) proved in [5], see also [8]. In both results we assume that S = [−1, 1],
Σ = [−Ω/2, Ω/2].
Theorem 4 If N ≥ $Ωα% then Fα,N is a frame for PWΩ .
Theorem 5 If N ≤ "Ωα# then Fα,N forms a Riesz basis for its span.
In fact, only the case Ωα = N ∈ N is proved in [5]. In that case we refer to 1/α as
the Nyquist rate of Fα,N . In view of Theorem 4, Fα,N forms a Riesz basis for PWΩ
in that case. However, much the same arguments provide the result for N ≤ "Ωα#,
though Fα,N is not complete in PWΩ when N < Ωα. Fundamental to the proofs
is the fact that the prolate spheroidal wave functions form a Markov system [3], a
property that relies crucially on the fact that the prolates are also eigenfunctions of a
Sturm–Liouville system—and a property that does not extend to eigenfunctions of
PΣ QS when S or Σ is not a single interval.
148 J. A. Hogan and J. D. Lakey

A Markov system on [−1, 1] is a collection of functions F = {fi }∞ i=1

such that for all integers N ≥ 1 and points {xj }N j =1 ⊂ R satisfying
−1 ≤ x1 < x2 < · · · < xN ≤ 1, the matrix M ∈ CN ×N with (j, k)-th entry
Mj,k = fj (xk ) has non-vanishing determinant. Riesz bounds in Theorems 4 and 5
can be estimated numerically, in the case Ωα ∈ N, in terms of the pointwise
norms of the N × N matrix function M(ξ ) defined on [−Ω/2, −Ω/2 + Ω/N]
defined by Mj n (ξ ) = ϕn (2ξ/Ω + 2j/N ) and its inverse. Theorem 5 involves the
discrete parameter N (number of prolate generators), the fixed bandwidth Ω, and
the shift parameter α. The constraint N = Ωα ∈ N is needed to establish the
matrix bounds corresponding to Riesz bounds. In the general case N ≤ "Ωα#,
a similar argument relies on uniform injectivity of the matrix whose columns are
ϕn (2ξ/Ω + 2j/(Ωα)) (whose size can depend on ξ ). At present, we do not know
of any simple quantification of the Riesz bounds for Fα,N in terms of N, Ω, α and
the eigenvalues λn of PΩ Q when N = Ωα ∈ N.
What follows is a method to quantify Riesz sequence bounds for systems of
shifts Fα,N of the first several eigenfunctions of PΩ Q when α is large. This rules
out the completeness of Fα,N in PWΩ , but the argument does not rely on the
Markov property. In fact, it readily extends to the case in which [−Ω/2, Ω/2]
is replaced by a finite union Σ of pairwise disjoint intervals of equal length. The
method should extend further to more general unions of intervals (the full extension
requires a nonuniform sampling approach and is not presented here). Nevertheless,
the Riesz bounds do depend explicitly on the eigenfunction/eigenvalue properties of
the generators. The Feichtinger conjecture—that any bounded frame can be written
as a finite union of Riesz basic sequences—implies that whenever ψ1 , . . . , ψm
generate a shift-invariant space for which the shifts of these generators form a frame,
one can subdivide the shifts {ψn (· − αk)} (n = 1, . . . , m; k ∈ Z) into finitely many
Riesz basic sequences. The following method quantifies a concrete means to do so
when the ψn are the first several eigenfunctions of PΣ Q for Σ a finite union of
intervals of equal length. That is, Corollary 2 provides sufficient frame conditions
on Fα,N , and Theorem 6 below provides sufficient Riesz sequence conditions on
Fβ,N for the same N for such Σ. Choosing sufficient α, β such that β/α ∈ N
and defining Fβ,α ,N = {Φn,βk (· − α ) : k ∈ Z}, = 0, . . . , (β/α) − 1, one
obtains Fα,N = ∪ Fβ,α ,N , expressing the frame Fα,N as a finite union of Riesz
sequences Fβ,α ,N .

4.1 Riesz Bounds for Prolate Shifts

Here we estimate Riesz bounds for Fα,N for a range of α and N . The number of
shifts per unit frequency will necessarily be less than the Nyquist rate satisfied by
the examples of Theorem 5, but the method will enable bounds in the case in which
the frequency support Σ is a finite union of intervals of equal length.
Prolate Shift Frames 149

Theorem 6 Let α > 0 and Ω > 0 be such that αΩ ∈ 2N and N ∈ N. Let Σ be

a symmetric union of J intervals of length Ω with pairwise disjoint interiors and
let ϕn be the eigenfunctions of √
PΣ Q with eigenvalues λn arranged in nonincreasing
order. As before, let Fα,N = { λn ϕn (· − αk); n = 0, . . . N − 1, k ∈ Z}. Then
(i) Fα,N is a Riesz basis for its span provided
√
2 2π ΩJ
λN −1 > √ .
3α

(ii) Under these circumstances, the lower and upper Riesz bounds AN and BN
satisfy
√ √
2 2π ΩJ 2 2π ΩJ
λN −1 − √ ≤ AN < BN ≤ λ0 + √ .
3α 3α

The theorem generalizes to arbitrary αΩ > 0 but bounds depend then on the
integer and fractional parts of α and αΩ, see [8]. We will prove the special case
Σ = [−Ω/2, Ω/2], (i.e., J = 1) in detail, then outline the steps of the general case
when Σ is a union of J intervals of length Ω.
The proof of Theorem 6 requires the following quadrature estimate. The estimate
generalizes to the case of noninteger M, but is simpler to state and prove for M ∈ N.
Lemma 2 Fix r ∈ R, Ω > 0, M a positive integer and 0 ≤ η ≤ 2/M. Then


M−1
2k M 2
QM,η,r = eπ ir( M +η−1) − eπ ir(t−1) dt ≤ π |r|. (4)
2 0
k=0

Before proving the lemma, observe that when M ∈ N,

eπ ir(η−1/M) M
QM,η,r = sin(π r) −
sin(π r/M) πr

and Taylor approximations lead to the estimate

QM,η,r  | sin π r|(1 + 2π |r|/(3M) + O((π |r|/M)3 ),

which indicates that the estimate (4) is essentially sharp.

Proof (of Lemma 2) The quantity on the left-hand side of (4) may be rewritten as

M 
M−1 2(k+1)
M 2k
QM,η,r = [eπ ir( M +η−1) − eπ ir(t−1) ] dt .
2 2k
k=0 M

Using the chord–arc estimate |eix − eiy | ≤ |x − y|,

150 J. A. Hogan and J. D. Lakey

M 
M−1 2(k+1)
M 2k
QM,η,r ≤ |eπ ir( M +η−1) − eπ ir(t−1) | dt
2 2k
k=0 M

π M|r|  π M|r|   2 2 
M−1 2(k+1) M−1
M 2k 2
≤ + η − t dt = η − η+ 2
2 2k M 2 M M
k=0 M k=0

π M|r| 
M−1
2
≤ = π |r| (5)
2 M2
k=0

since η ∈ [0, 2/M]. This proves the lemma.

Proof (of Theorem 6) Let C = {Cn ; 0 ≤ n ≤ N − 1, ∈ Z}. Using Plancherel’s
theorem, define

/N−1 ∞ /2
/  , /
FN (C) = /
/ Cn λn ϕn (· − α )/
/
n=0 =−∞
Ω
 
N−1 ∞ , 2 Ω
,
N−1 2
ϕn (ξ )e−2π ıα ξ dξ =
2 2
= Cn λn  λn 
ϕn (ξ ) Cn (ξ ) dξ,
−Ω
2 n=0 =−∞ −Ω
2 n=0

∞ −2π i
where Cn (ξ ) = =−∞ Cn e
αξ , which has period 1/α. This periodicity
allows us to express

αΩ

N −1 , 2 −1 1
α
FN (C) = λn λm ϕn (ξ + k/α) 
Cn (ξ )Cm (ξ ) ϕ m (ξ + k/α) dξ .
0
n,m=0 k=− αΩ
2

Since PΩ Qϕn = λn ϕn , setting 2M = αΩ, one can write


N −1 1
1 1
1 α
FN (C) = √ Cn (ξ )Cm (ξ ) ϕn (s)ϕm (t) e(t − s, ξ ) ds dt dξ,
n,m=0
λn λm 0 −1 −1

where


M−1
e(t − s, ξ ) = e2π i(ξ +k/α)(t−s) . (6)
k=−M

Finally, we can write

Prolate Shift Frames 151


N −1 1
1 α
FN (C) = √ Cn (ξ )Cm (ξ )(An,m + Bn,m (ξ ))dξ = I + I I, (7)
n,m=0
λn λm 0

where I and I I are the sums with An,m and Bn,m terms, respectively, where

1 1 1
An,m = M ϕn (s)ϕm (t) eπ iΩu(t−s) du ds dt
−1 −1 −1

(the factor M is for subsequent use of Lemma 2) and

1 1
Bn,m (ξ ) = ϕn (s)ϕm (t) f (t − s, ξ ) ds dt ,
−1 −1

where
1
f (u, ξ ) = e(u, ξ ) − M eπ iΩuv dv . (8)
−1

But

1 1 sin π Ω(t − s)
An,m = 2M ϕn (s)ϕm (t) ds dt
−1 −1 π Ω(t − s)
2Mλm 1 2Mλ2n
= ϕn (s)ϕm (s) ds = δmn
Ω −1 Ω

using the fact that the truncated sinc function is the integral kernel for PΩ Q and that
1
−1 ϕn ϕm = λn δn –the double orthogonality property of the prolates. Consequently,


N −1 1
1 α
I= √ Cn (ξ )Cm (ξ )An,m dξ
n,m=0
λn λm 0

 −1 N −1
2M 
N 1 1
2Mλ2n δmn α α
= √ Cn (ξ )Cm (ξ )dξ = λn |Cn (ξ )|2 dξ
Ω λn λm 0 Ω 0
n,m=0 n=0

N −1 −1
2M    
N
= λn |Cn |2 = λn |Cn |2 .
Ωα
n=0 n=0

Now rewrite e in (6) as

152 J. A. Hogan and J. D. Lakey


M−1 
2M−1
e(u, ξ ) = e2π iu(ξ +k/α) = e2π iu(ξ +k/α−M/α)
k=−M k=0


2M−1  2ξ 2k 2M
 
2M−1  2ξ 
+ Ωα − αΩ k
+M −1
= eπ iuΩ Ω = eπ iuΩ Ω .
k=0 k=0

By Lemma 2 then, f in (8) becomes

1
|f (t − s, ξ )| = e(t − s, ξ ) − M eπ iΩu(t−s) du
−1
 

2M−1
π i(t−s)Ω 2ξ k
+M −1
2
= e Ω
−M eπ iΩ(t−s)(u−1) du ≤ π Ω|t − s|,
k=0 0

where in the Lemma, r = Ω(t − s) and η = 2ξ/Ω = 2ξ α/(αΩ) ≤ 1/M since

M = αΩ/2 and ξ ∈ [0, 1/α] (note that 2M here corresponds to M in the lemma).
To estimate the term I I in (7) we begin by estimating the norm of the matrix E
defined by (suppressing dependence on ξ )

1 1 1 1
En,m = √ ϕn (s)ϕm (t)f (s − t) ds dt = √ Bn,m .
λn λm −1 −1 λn λm

To do so, first define


N −1
1
F (z, u) = √ ϕn (u) zn ; z = (z0 , . . . , zN −1 ) .
n=0
λn

1
The map z → F (z, ·) is unitary since −1 ϕn ϕm = λn δnm implies


1 N −1 2 
N −1
1
F (z, ·) 2
= √ ϕn (u)zn du = |zn |2 .
−1 n=0 λn n=0

Therefore

1 1
|Ez, w | = F (z, s)F (w, t)f (s − t) ds dt
−1 −1
1 1
≤ πΩ |s − t||F (z, s)F (w, t)| ds dt
−1 −1
Prolate Shift Frames 153

√
1 1 1/2 , 2 2π Ω
≤ πΩ |s − t|2 ds dt z w ≤ π Ω 8/3 z w = √ z w .
−1 −1 3
√
2 2π Ω
From this we conclude that E op ≤ √ . Therefore, with C : [0, 1/α] → CN
3
given by C(ξ )n = Cn (ξ ), we have


N−1
1
1
α 
N−1 1
α
II = √ Cn (ξ )Cm (ξ )Bn,m (ξ )dξ = Cn (ξ )Cm (ξ )En,m dξ
λn λm 0
n,m=0 n,m=0 0
1 1
α α
= EC(ξ ), C(ξ ) dξ ≤ |EC(ξ ), C(ξ ) | dξ
0 0
1 √ √
α 
1 N−1
α 2 2π Ω 2 2π Ω
≤ √ C(ξ ) 2 dξ = √ |Cn (ξ )|2 dξ
0 3 3 0 n=0

√ ∞ √ N−1 ∞
2 2π Ω 
1
N−1
α  2 2 2π Ω  
= √ Cn e2π iα ξ dξ = √ |Cn |2 .
3 n=0 0 =−∞
α 3 n=0 =−∞

Combining the estimates for I and I I one has

−1 √ N −1 ∞

N  2 2π Ω  
FN (C) ≤ λn |Cn | + √
2
|Cn |2
n=0
α 3 n=0 =−∞
√ −1 ∞
2 2π Ω 
N 
≤ λ0 + √ |Cn |2 .
α 3 n=0 =−∞

Using the identity for I and bound for I I one also obtains

−1 √ N −1 ∞

N  2 2π Ω  
FN (C) ≥ λn |Cn | − √
2
|Cn |2
n=0
α 3 n=0 =−∞
√ −1 ∞
2 2π Ω 
N 
≥ λN −1 − √ |Cn |2 .
α 3 n=0 =−∞

√ √
Thus the lower frame bound condition is that λN −1 > 2 2π Ω/(α 3) as the
theorem states, in the case J = 1.
We now briefly indicate the key steps in extending from the case J = 1 to
the case in which Σ is the pairwise disjoint union of J intervals of the form
ωj + [−Ω/2, Ω/2]. First, taking C = {Cn ; 0 ≤ n ≤ N − 1, ∈ Z} as before, and
using Plancherel’s theorem and the relation (Qϕn )∧ = λn 
ϕn on Σ, one obtains
154 J. A. Hogan and J. D. Lakey


N −1 1
1 1
1 α
FN (C) = √ Cn Cm (ξ ) ϕn (s)ϕm (t)×
n,m=0
λn λm 0 −1 −1

−1 M−1
J 
e−2π i(s−t)(ξ +ωj +k/α) ds dt .
j =0 k=−M

Next, applying Lemma 2 on each term of the sum over j , one has

−1
J 
M−1 −1
J 1
e−2π iωj (s−t) e−2π i(s−t)(ξ +k/α) ≈ Me−2π i(s−t)ωj eπ iΩu(s−t) du
j =0 k=−M j =0 u=−1

with an error π ΩJ |s − t| by adding up the corresponding errors for each of the J

intervals.
One then proceeds as before from (7), where now

1 1 −1
J 1
An,m = M ϕn (s)ϕm (t) e2π iωj (s−t) eπ iΩu(t−s) du ds dt
−1 −1 j =0 −1

and
1 1
Bn,m (ξ ) = ϕn (s)ϕm (t) f (t − s, ξ ) ds dt
−1 −1

where
−1
J 
M 1
f (t − s, ξ ) = e2π iωj (s−t)
e−2π i(s−t)(ξ +k/α) − M eπ iΩu(t−s) du .
j =0 k=−M −1

Keeping in mind that, now, ϕn are eigenfunctions of PΣ Q, one obtains just as before
2Mλ2
that An,m = Ω n δn,m , while Bn,m is also estimated just as before, meaning now
there are J terms, each separately satisfying the same bound obtained in the case
J = 1.
The remainder of the argument is just as before. A lower Riesz bound now
requires that
√
2 2π ΩJ
λN −1 > √ .
α 3

The factor ΩJ here replaces Ω before (i.e., J = 1) as the bandwidth parameter.

This completes the outline of the general case and thus the proof of Theorem 6.
Prolate Shift Frames 155

5 Bandpass Pseudo Prolates

Implementing frame decompositions requires ability to compute the frame elements

themselves. Prolate spheroidal wave functions can be computed because they
are eigenfunctions of a Sturm–Liouville operator, see, e.g., [1, 11]. When Σ
is multiband, PΣ Q no longer commutes with any second order operator with
polynomial coefficients (see, e.g., [10, 12]), barring this approach to numerical
computation of its eigenfunctions. In [3, p. 201 ff.], a general method to compute
eigenfunctions of PΣ1 ∪Σ2 Q in terms of eigenfunctions ϕnΣi of PΣi Q (i = 1, 2)
was outlined, involving computing the eigenspace decomposition of the matrix with
entries QϕnΣ1 , ϕm Σ2
. The latter is not always helpful, but it is in certain cases in
which the eigenfunctions associated with the non-negligible eigenvalues can be
approximated using a finite dimensional truncation of this matrix. This was shown
to be the case for what we call bandpass prolates (see [4, 6])—eigenfunctions of the
operator (PΩ − PΩ )Q (Ω < Ω ). Slepian and Pollak [13, p. 63] referred to them
as eigenfunctions (of PΣ Q) for the bandpass kernel.
The annulus {ξ : Ω ≤ |ξ | ≤ Ω} (0 < Ω < Ω) can also be written as
AΩ0 ,Δ = {ξ : |ξ ± Ω0 | < Δ/2} where Ω0 = (Ω + Ω )/2 is the center frequency
and Δ = Ω − Ω is the passband width. We denote by PWΩ0 ,Δ the space of
square-integrable functions that are frequency supported in AΩ0 ,Δ and denote by
PΩ0 ,Δ the orthogonal projection onto PWΩ0 ,Δ . Functions in PWΩ0 ,Δ have the form
e2π iΩ0 ξ f+ (ξ ) + e−2π iΩ0 ξ f− (ξ ) where f± ∈ PWΔ . The method of [6] results in
expansions of bandpass 2π iΩ0 ξ ψ + (ξ ) + e−2π iΩ0 ξ ψ − (ξ )
±
∞ ±prolates ψn in the form e n n
where ψn = m=0 cnm ϕm and ϕm is the baseband prolate eigenfunction of
PΔ Q. The coefficients in these expansions decay rapidly in |n − m|. If Fα,N is
a prolate shift frame for PWΔ then one also has expansions of the bandpass prolate
components ψn± in terms of Fα,N . Then f± can be expanded in this frame and
thus f in appropriate modulates of the frame elements. In light of this observation,
in designing frames of shifts of bandpass-limited functions, rather than taking the
eigenfunctions of PΩ0 ,Δ Q as generators, it makes sense to take as generators the
most concentrated linear combinations of modulated baseband prolates e2π iΩ0 ξ ϕn
and e−2π iΩ0 ξ ϕn (ξ ), n = 0, . . . N − 1. We refer to the resulting functions as
bandpass pseudo prolates (BPψPs) because they are not actual eigenfunctions
(N ) (N )
of PΩ0 ,Δ Q, but rather of the surrogate operator PΩ0 ,Δ Q, where PΩ0 ,Δ denotes
orthogonal projection onto the span of the up- and down-modulated baseband
prolates e±2π iΩ0 ξ ϕn , n = 0, . . . , N − 1. Numerical computation of the BPψPs then
amounts to finding the coefficients of e±2π iΩ0 ξ ϕn in their orthogonal expansions of
(N )
the eigenfunctions of PΩ0 ,Δ Q. For large N , the BPψPs are good L2 -approximations
of true bandpass prolates, since one has
∞

(N )
PΩ0 ,Δ Q − PΩ0 ,Δ Q HS ≤C λn (PΔ Q),
n=N
156 J. A. Hogan and J. D. Lakey

where · H S represents the Hilbert–Schmidt norm. More precise estimates of ϕn −

ϕn(N ) —the error between the nth eigenfunctions of PΩ0 ,Δ Q and of PΩ(N0 ,Δ)
Q—can
be obtained from
 −1 the methods of [6].N −1
Let ψ = N 2π iΩ0 t ϕ + −2π iΩ0 t ϕ be a linear combination of
n=0 wn e n n=0 zn e n
the generating elements of PW(N )
Ω0 ,Δ .


N−1
PΩ ,Δ Q((wn e2π iΩ0 t + zn e−2π iΩ0 t )ϕn ), e2π iΩ0 t ϕm
(N) (N)
PΩ ,Δ Qψ, e2π iΩ0 t ϕm =
0 0
n=0


N−1 1 
N−1 1
= wn ϕn (t)ϕm (t) dt + zn e−4π iΩ0 t ϕn (t)ϕm (t) dt
n=0 −1 n=0 −1


N−1
= λm wm + Γmn zn = (Λw + Γ z)m , (9)
n=0

where Λ ∈ CN ×N is the diagonal matrix with entries Λmn = λn δmn , (λn is the
eigenvalue of PΔ Q) and Γ ∈ CN ×N has entries

1
Γmn = e−4π iΩ0 t ϕn (t)ϕm (t) dt,
−1

w = (w0 , w1 , . . . , wN −1 )T and z = (z0 , z1 , . . . , zN −1 )T . Similarly,

PΩ0 ,Δ Qψ, e−2π iΩ0 t ϕm = (Γ ∗ w + Λz)m .

(N )
(10)

(N )
Combining (9) and (10) we see that ψ is an eigenfunction of PΩ0 ,Δ Q with
eigenvalue μ ∈ R if and only if

Λ Γ w w
=μ . (11)
Γ∗ Λ z z

Λ Γ
The 2N × 2N matrix Y = is self-adjoint, so it has 2N eigenvectors
Γ∗ Λ
w(j )
c(j ) = ∈ C2N (0 ≤ j ≤ 2N − 1) that can be chosen to be orthonormal.
z(j )
Efficient computation of matrices having the structure of Y is addressed in [6].
Regarding each w(j ) and z(j ) as a column vector in CN defines N × 2N matrices

W = (w(0) w(1) · · · w(2N −1) ),

Z = (z(0) z(1) · · · z(2N −1) ) (12)

Prolate Shift Frames 157

W
such that the partitioned matrix U = ∈ C2N ×2N is unitary and
Z

W  ∗ ∗ W W ∗ W Z∗ IN 0N
UU∗ = W Z = = ,
Z ZW ∗ ZZ ∗ 0N IN

that is,

W W ∗ = ZZ ∗ = IN ; W Z ∗ = ZW ∗ = 0N (13)

and

W
U ∗ U = (W ∗ Z ∗ ) = W ∗ W + Z ∗ Z = I2N . (14)
Z
√
Taking, as before, Φn = λn ϕn for the baseband prolates, we define the bandpass
−1
pseudo prolates (BPψP) {ψj }j2N
=0 by (Fig. 1)


N −1
[wn e2π iΩ0 t + zn e−2π iΩ0 t ] Φn (t).
(j ) (j )
ψj (t) = (15)
n=0

(N )
These ψj are different from the eigenfunctions of PΩ0 ,Δ Q in which Φn is replaced
by ϕn . This normalization enables frame properties of Fα,N for PWΔ to be inherited
by corresponding bandpass prolate shift frames. A different definition would take
 −1 (j ) 2π iΩ t
ψj (t) to be the true eigenfunction N 0 + z(j ) e−2π iΩ0 t ] ϕ (t), of
n=0 [wn e n n
(N )
PΩ0 ,Δ Q.

5.1 Frames of Shifted Bandpass Pseudo Prolates

With ψj (0 ≤ j ≤ 2N − 1) defined as in (15) and given α > 0, we consider

also the shifted bandpass pseudo prolates ψj,α (0 ≤ j ≤ 2N − 1, ∈ Z) by
ψj,α (t) = ψj (t − α ). We seek conditions under which

Gα,2N = {ψj,α ; ∈ Z, 0 ≤ j ≤ 2N − 1}

is a frame for PWΩ0 ,Δ .

Theorem 7 Suppose α > 0 and N ∈ N are such that Fα,N is a frame for PWΔ .
Then Gα,2N is a frame for PWΩ0 ,Δ with the same frame bounds.
158 J. A. Hogan and J. D. Lakey

0.5
0
-0.5
-1.5 -1 -0.5 0 0.5 1 1.5 2

0.5

-0.5
-1.5 -1 -0.5 0 0.5 1 1.5 2

0.5

-0.5
-1.5 -1 -0.5 0 0.5 1 1.5 2

Fig. 1 The three most concentrated symmetric BPψP’s are plotted for the case Δ = 5/2 and
(N )
Ω0 = 10, using N = 5 in the definition of PΩ0 ,Δ

If H = H1 ⊕ H2 is an orthogonal direct sum, the union of frames for H1

and H2 , respectively, forms a frame for H whose bounds are the min and max of
the subspace frame bounds. After an orthogonal transformation of generators, the
theorem effectively reduces to this observation.
Proof Suppose f ∈ PWΩ0 ,Δ . Then


N −1
f (t)e−2π iΩ0 (t−α ) Φn (t − α ) dt
(j )
f, ψj,α = wn
n=0


N −1
(j )
+ zn f (t)e2π iΩ0 (t−α ) Φn (t − α ) dt
n=0


N −1
f (t)e−2π iΩ0 t Φn (t − α ) dt
(j )
=e 2π iΩ0 α
wn
n=0


N −1
+ e−2π iΩ0 α
(j )
zn f (t)e2π iΩ0 t Φn (t − α ) dt = Cj + Dj
n=0

 
j |f, ψj,α |
so that 2 = |2 + |Dj |2 + 2((Cj Dj )). However,
j (|Cj
2N −1  −1
wn zm = (W Z ∗ )nm
(j ) (j )
j =0 = 0 by (13), so j2N
=0 Cj Dj = 0. Therefore,
for fixed ,
Prolate Shift Frames 159


2N −1 
2N −1
|f, ψj,α |2 = (|Cj |2 + |Dj |2 ) =
j =0 j =0


2N −1 
N −1 2 
N −1 2
wn f e−2π iΩ0 t , Φn (· − α )
(j ) (j )
+ zn f e2π iΩ0 t , Φn (· − α )
j =0 n=0 n=0

= WT x 2
+ ZT y 2

with W, Z ∈ CN ×2N as in (12) and x, y ∈ CN given by

xn = f e−2π iΩ0 t , Φn ; yn = f e2π iΩ0 t , Φn

(0 ≤ n ≤ N − 1). However, by (13), W T x 2 = x, W W ∗ x = x 2 = x 2 , and

−1
similarly, Z y = y . We therefore have j2N
T 2 2
=0 |f, ψj,α | = x
2 2+ y 2

and since Fα,N is a frame for PWΔ (with upper and lower frame bounds B and A),

∞ 2N
  −1
|f, ψj,α |2 =
=−∞ j =0

∞ N
  −1 
|f e−2π iΩ0 t , Φn (· − α ) |2 + |f e2π iΩ0 t , Φn (· − α ) |2
=−∞ n=0
∞ N
  −1 
= |PΔ (f e−2π iΩ0 t ), Φn (· − α ) |2 + |PΔ (f e2π iΩ0 t ), Φn (· − α ) |2
=−∞ n=0

≤ B PΔ (f e−2π iΩ0 t ) 2
+ B PΔ (f e2π iΩ0 t ) 2
=B f 2

∞ 2N −1
and similarly, =−∞ j =0 |f, ψj,α |2 ≥ A f 2. This completes the proof.

5.2 Riesz Bases of Shifted Bandpass Pseudo Prolates

Theorem 8 Suppose α > 0 and N ∈ N are such that Fα,N is a Riesz basis for
PWΔ . Then Gα,2N is a Riesz basis for PWΩ0 ,Δ with the same Riesz bounds.
Proof Suppose the upper and lower bounds of Fα,N are B and A, respectively, Cj
  −1
(0 ≤ j ≤ 2N − 1, ∈ Z) satisfies ∞=−∞ j2N =0 |Cj | < ∞ and
2

∞ 2N
  −1
f (t) = Cj ψj,α (t).
=−∞ j =0
160 J. A. Hogan and J. D. Lakey

(j ) (j )
Then with Wnj = wn and Znj = zn we have

∞ N
  −1
f (t) = [(W C ∗ )n e2π iΩ0 t + (ZC ∗ )n e−2π iΩ0 t ]Φn, (t).
=−∞ n=0

Hence,

∞ N
  −1
fˆ(ξ ) = n, (ξ − Ω0 ) + (ZC ∗ )n Φ
[(W C ∗ )n Φ n, (ξ + Ω0 )].
=−∞ n=0

The first term in this sum is supported on I+ = Ω0 +[−Δ/2, Δ/2], while the second
term is supported on I− = −I+ and these intervals are disjoint when Ω0 > Δ/2.
Consequently,
∞
|f (t)|2 dt = |fˆ(ξ )|2 dξ + |fˆ(ξ )|2 dξ.
−∞ I+ I−

But for the integral over I+ , denoting by C ∈ C2N the column with entries Cj , we
have (since Fα,N is a Riesz basis)

∞ N
  −1 2
|fˆ(ξ )|2 dξ = (W C)n Φ̂n (ξ − Ω0 ) dξ
I+ I+ =−∞ n=0

Δ/2 ∞ N
  −1 2 ∞ ∞ N
  −1 2
= (W C)n Φ̂n (ξ ) dξ = (W C)n Φn (t) dt
−Δ/2 =−∞ n=0 −∞ =−∞ n=0
∞ N
  −1 ∞

≤B |(W C)n |2 = B C ∗ (W ∗ W )C . (16)
=−∞ n=0 =−∞

Similarly,
∞

|fˆ(ξ )|2 dξ ≤ B C ∗ (Z ∗ Z)C . (17)
I− =−∞

Combining (16) and (17) and applying (14) gives

∞ ∞
 ∞ 2N
  −1
|f (t)|2 ≤ B C ∗ (W ∗ W + Z ∗ Z)C = B |Cj |2 ,
−∞ =−∞ =−∞ j =0

thus giving the upper Riesz bound. The lower Riesz bound is obtained similarly.
Prolate Shift Frames 161

As indicated, one can define the BPψP ψj alternatively as the j -th eigenfunction
(N ) √
of PΩ0 ,Δ Q. In view of Theorem 2, defining Ψj = μj ψj where μj is the j th
(N )
eigenvalue of PΩ0 ,Δ Q will also provide shift frames/Riesz bases.

6 Dual Frames
N
Applying the inverse of the frame operator f → n=0 f, Φn,α Φn,α to the
generators Φn produces generators Φ n of the dual frame Fα,N . In Sect. 6.3 we will
see that when the Φn are well localized, the canonical dual generators are not. We
then consider alternative frames and duals that may provide a more optimal balance
between localization of shift frame generators and dual generators.

6.1 Duals of Redundant Prolate Shift Frames

Any dual frame of a shift-invariant frame is also shift-invariant, so comput-

ing a dual frame is a matter of computing its shift generators. Suppose that
{gn (· − αk) : 0 ≤ n ≤ P − 1, k ∈ Z} is a finite subset of (a closed subspace
of) PWΩ .
If 1/α ≥ Ω then, as a consequence of the Shannon sampling theorem,

f, g = α f (α ) g(α ) f, g ∈ PWΩ , (18)
∈Z

P −1 ∞
and the formal frame operator Tf = n=0 k=−∞ f, gn,αk gn,αk can then be
written


P −1 ∞ 
 ∞ 
Tf (t) = f (x)gn (x − αk) dx gn (t − αk)
n=0 k=−∞ −∞


P −1 ∞  
∞ 
= f (x) gn (x − αk) gn∗ (αk − t) dx
n=0 −∞ k=−∞

 −1 P −1
∞ ∞ 1 
P
1
= f (x) gn (x − s) gn∗ (s − t) ds dx = f ∗ gn ∗ gn∗ (t)
α −∞ −∞ α
n=0 n=0
162 J. A. Hogan and J. D. Lakey

when 1/α ≥ Ω, where f ∗g denotes the convolution of f and g and g ∗ (t) = g(−t).
Taking Fourier transforms one obtains

P −1
 (ξ ) = f(ξ ) μ(ξ ); 1 
Tf μ(ξ ) = |
gn (ξ )|2 . (19)
α
n=0

In other words, the formal frame operator is a Fourier multiplier T = Tμ and the
shifts {gn (· − αk)} form a frame if μ is bounded above and below on its support
(the frame bounds are A = inf μ and B = sup μ). Let Σ denote the support of
μ in [−Ω/2, Ω/2]. If μ is non-vanishing on Σ then μ can be inverted on Σ and
T = Tμ can be inverted on PWΣ by defining

f(ξ )
(T
−1 f )(ξ ) = , ξ ∈ Σ.
μ(ξ )
√
In the special case in which gn = Φn = λn ϕn and ϕn is the nth prolate
eigenfunction of PΩ Q, sums defining μ for different P are plotted in Fig. 2.
The canonical dual frame is obtained by applying T −1 to each of the frame
elements, e.g., [2]. For generators gn ∈ PWΩ , the generators  gn of the canonical
dual are obtained by applying T −1 to the generators of the primal frame, namely,


gn (ξ )


g n (ξ ) = , |ξ | ≤ Ω/2 . (20)
μ(ξ )

Expanding 1/μ in its Fourier series on [−Ω/2, Ω/2],

11
10
9
8
7
6
5
4
3
2
1
0
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1
√
Fig. 2 Multiplier μ = μP in (19) for gn = λn ϕn using P = 5, 10, and 15 terms with a time–
bandwidth product of 10 and 1/α equal to twice the Nyquist rate. The values of μ5 near ±1 are
approximately 5 × 10−5
Prolate Shift Frames 163

∞

1 1 Ω/2 e−2π i η/Ω
= b e2π i ξ/Ω
; b = dη
μ Ω −Ω/2 μ(η)
=−∞

allows one to express

Ω/2 
gn (ξ ) 2π itξ  Ω/2   

gn (t) = e dξ = b gn (ξ ) e2π iξ(t+ Ω ) dξ =
 b gn t + .
−Ω/2 μ(ξ ) −Ω/2 Ω

One can estimate  gn numerically by estimating the coefficients {b }, either by

numerical estimation of the integral defining b if one has precise values of μ, or by
estimating {b } as a convolution inverse of the sequence of Fourier coefficients {μ }
of μ. Using the Shannon sampling theorem as above, one can compute

P −1 ∞
1    − k  k 
μ = gn gn∗ . (21)
Ω Ω Ω
n=0 k=−∞

In the case of a frame Fα,P generated by the first P (1, Ω)-PSWFs, when P )
2Ω a variant of the 2ΩT –theorem allows good approximation of the non-negligible
μ by truncated samples of the ϕn corresponding to (21). For small P , μ is nearly
vanishing at ±Ω/2 making inversion of μ problematic. On the other hand, if P 
2Ω then estimating μ via truncated samples becomes problematic because ϕn is no
longer concentrated on [−1, 1] when n  2Ω. In [7] a method was devised to allow
accurate frame expansions for functions bandlimited to a strictly smaller bandwidth.
We will return to address better frame expansions for the full space PWΩ in Sect. 6.3
(Fig. 3).

0.6
0.4 0.4
0.5
0.4 0.2 0.2
0.3 0 0
0.2
-0.2 -0.2
0.1
0 -0.4
-0.4
-5 0 5 -5 0 5 -5 0 5

0.15 0.1 0.06

0.1 0.05 0.04
0.02
0.05 0
0
0 -0.05 -0.02
-5 0 5 -5 0 5 -5 0 5

Fig. 3 The most concentrated generators ϕn (top) and their duals (bottom) are plotted for n =
0, 2, 4 using P = 5 and shift parameter α = 1/4Ω with a time–bandwidth product equal to 10. The
generators are computed by sinc interpolating 8000 Nyquist sample estimates. The dual generators
are not themselves concentrated on the concentration interval of the prolates ([−2.5, 2.5] here)
164 J. A. Hogan and J. D. Lakey

6.2 Duals of Bandpass Prolates

In the case of bandpass prolates or of BPψP’s as defined in Sect. 5, frames for

PWΩ0 ,Δ generated by the first Q (Ω0 , Δ)-BPψP’s can be defined by the operator

f(ξ ) 1 
Q−1
f(ξ ) μψ (ξ ); (T
−1
ψ f )(ξ ) = , μψ (ξ ) = n (ξ )|2
|ψ (22)
μψ (ξ ) α
n=0

(with terms of μψ possibly normalized by eigenvalues), where the inversion is

restricted to {ξ : |ξ ± Ω0 | ≤ Δ/2}. Since μψ vanishes outside AΩ0 ,Δ , one cannot
compute the Fourier series of 1/μψ on {ξ : |ξ | < Ω0 − Δ/2}. Instead, one observes
that the ψj defined in (15) have the form

+
ψj = ψj+ e2π iΩ0 t + ψj− e−2π iΩ0 t ; ψj− = ψ j

such that ψ+ is supported in [−Δ/2, Δ/2] and |ψ + | is symmetric about zero. As
j j

in the baseband case, one can define μ+
Q−1 +
ψ = 1
α n=0 |ψn (ξ )| on [−Δ/2, Δ/2]
2

n+ = ψn+ ∗ (1/μ+ )∨ , then recover

and can invert its Fourier series there to define ψ ψ
the dual frame generator by defining

n = 2 Re (ψ
ψ n+ e2π iΩ0 t ) .

Plots for the bandpass case most analogous to the baseband case considered above
can be found in [7], where further details on this method to compute bandpass frame
duals can also be found.

6.3 Better Prolate Shift Frames

Prolate shift frames potentially give rise to representations of bandlimited signals

whose oscillatory behavior is captured locally in the shifted prolates. If Fα,N is a
prolate shift frame with dual generators 
ϕn then one has

−1
 N
f = λn f, 
ϕn (· − α ) ϕn (· − α ) f ∈ PWΩ . (23)
∈Z n=0

However, if N ) 2Ω then the multiplier μ nearly vanishes near ±Ω/2, see

Fig. 4. This translates into slow decay of the Fourier coefficients of 1/μ, hence
poor localization of the duals ϕn . On the other hand, if N  2Ω, then ϕn itself
is poorly localized (n  2Ω). In neither case does (23) provide a representation
of f ∈ PWΩ in which f (t) is well-approximated by sums of nearby shifts. The
Prolate Shift Frames 165

0
-1 -0.5 0 0.5 1 -200 -100 0 100 200
4.5
4
3.5
3
2.5
2
1.5
1
0.5
-1 -0.5 0 0.5 1 -200 -100 0 100 200

Fig. 4 Multiplier μ5, base (Ωξ ) for Ω = 2.5 (top left) and μ5, base + μ1, pass (bottom left). On right
are shown the Fourier coefficients of the inverses of the functions on the left. These coefficients
convolve the prolate generator samples to define the samples of the dual prolate generators. Hence,
the more compact Fourier series of 1/(μ5, base + μ1, pass ) results in more compact dual frame
generators

fundamental problem is that the prolates that capture the high-frequency information
within [−Ω/2, Ω/2] are poorly localized in time. A potential remedy is, instead,
to generate a frame by combining shifts of the low-order prolates with those of
one or more functions that are frequency localized near the edge
P −1of [−Ω/2, Ω/2],
such as the most concentrated BPψPs. Let μP , base = n=0 λn |
ϕn |2 and let
Q−1

μQ, pass = 1[−Ω/2, Ω/2] m=0 |ψm | where ϕn are (1, Ω)-prolates and ψn are
2

(Ω/2, Ω/2)-BPψPs (the choice Δ = Ω/2 is ad hoc). The multipliers μ5, base and
μ5, base + μ1, pass are plotted in Fig. 4. The differences between the duals defined
by these multipliers and the primal PSWF generators are plotted in Fig. 5. Since
μ1, pass is symmetric about Ω/2, its restriction to [−Ω/2, Ω/2] can be regarded as
a periodic shift of a smooth periodic function. The price paid for this mollification
of the frame generated by the first P baseband prolates is that the shifts of the most
concentrated bandpass prolate are not bandlimited to [−Ω/2, Ω/2]. 
Nevertheless, the component of f reflected in a sum 
∈Z f, ψm (· −

/Ω) ψm (t − /Ω) is itself Ω-bandlimited, and pointwise values of such a
component are well-approximated by partial sums of nearby terms. In addition,
this component can be computed from the Nyquist samples of f .
Lemma 3 Let ψ ∈ P W2Ω satisfy ψ (ξ ) = ψ(ξ + Ω) for −Ω < ξ < 0.
Then for any f ∈ P W (i.e., fˆ supported on [−Ω/2, Ω/2]), f, ψ =
1
Ω
2 ∈Z f ( /Ω) ψ( /Ω).
166 J. A. Hogan and J. D. Lakey

0.6 0.4 0.4

0.4 0.2 0.2
0 0
0.2 -0.2 -0.2
0 -0.4 -0.4
-10 -5 0 5 10 -10 -5 0 5 10 -10 -5 0 5 10
× 10-3 × 10-3
15 20 0.02
15 0.01
10 10
5 0
5
0
-5 -0.01
0
-10 -5 0 5 10 -10 -5 0 5 10 -10 -5 0 5 10
× 10-3 × 10-3
15 20 0.02
10 0.01
10
5 0
0
-0.01
0
-10 -5 0 5 10 -10 -5 0 5 10 -10 -5 0 5 10

Fig. 5 Top row plots prolate generators (n = 0, 2, 4) using N = 5 and Ω = 2.5 (time bandwidth
product of 10). The second row plots the difference between the generator and corresponding dual
generator when the duals are defined in terms of the multiplier μ5, base + μ1, pass . The third row
plots the difference between the generator and corresponding dual generator when the duals are
defined in terms of the multiplier μ5, base alone (the lack of symmetry is due to quadrature errors).
The oscillatory errors in the third row reflect the high-frequency shift coefficients plotted in the top
right of Fig. 4, and indicating that the dual frame generators in that case depend on distant shifts of
the primal generators

Proof By the Shannon sampling theorem,

        Ω/2
f, ψ = f, PΩ ψ = f (PΩ ψ) = f (ξ )e−2πi
ψ ξ/Ω
dξ
Ω Ω Ω −Ω/2

  Ω/2 0 
= f ( /Ω) (ξ )e−2πi
ψ ξ/Ω
dξ + (ξ )e−2πi
ψ ξ/Ω
dξ
0 −Ω/2

  Ω/2 0 
= f ( /Ω) (ξ )e−2πi
ψ ξ/Ω
dξ + (ξ + Ω)e−2πi
ψ ξ/Ω
dξ
0 −Ω/2

  Ω/2 Ω 
= f ( /Ω) (ξ )e−2πi
ψ ξ/Ω
dξ + (ξ )e−2πi
ψ ξ/Ω
dξ
0 Ω/2

 Ω
= f ( /Ω) (ξ )e−2πi
ψ ξ/Ω
dξ .
0

On the other hand, for all integers ,

0 0 Ω
(ξ )e2π i
ψ ξ/Ω
dξ = (ξ + Ω)e2π i
ψ ξ/Ω
dξ = (ξ )e2π i
ψ ξ/Ω
dξ .
−Ω −Ω 0
 0  Ω Ω
Since ψ( /Ω) = + (ξ ) e2π i
ψ ξ/Ω dξ = 2 (ξ ) e2π i
ψ ξ/Ω dξ , the
−Ω 0 0
lemma follows.
Prolate Shift Frames 167

When μ has the form μ = μP , base + μQ, pass , the shifts of the first P
baseband prolates and the first Q bandpass prolates form a frame for PWΩ with
dual generators ϕn = ( ϕn /μ)∨ , (n = 0, . . . , P − 1) and ψm = (ψ m /μ)∨ ,
(M = 0, . . . , Q − 1). The ψm satisfy the condition of Lemma 3, so the frame
coefficients can be computed by taking inner products of (shifted) samples of f
with the samples of 
ϕn and ψ m . Each such sample sequence is well localized (when
P , Q are small) because it is obtained by convolution of the samples of ϕn or ψm
with Fourier coefficients of 1/μ, which is well behaved in this case.

Acknowledgements JAH thanks the Centre for Computer-Assisted Research in Mathematics and
its Applications at the University of Newcastle for its continued support. JAH is also supported by
Australian Research Council Discovery Project Grant DP160101537. Thanks Roy. Thanks HG.

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spectral element methods using prolate spheroidal wave functions—prolate elements,” ACM
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A Survey on the Unconditional
Convergence and the Invertibility of
Frame Multipliers with Implementation

Diana T. Stoeva and Peter Balazs

Abstract The paper presents a survey over frame multipliers and related concepts.
In particular, it includes a short motivation of why multipliers are of interest to
consider, a review as well as extension of recent results, devoted to the uncon-
ditional convergence of multipliers, sufficient and/or necessary conditions for the
invertibility of multipliers, and representation of the inverse via Neumann-like series
and via multipliers with particular parameters. Multipliers for frames with specific
structure, namely Gabor multipliers, are also considered. Some of the results for the
representation of the inverse multiplier are implemented in Matlab-codes and the
algorithms are described.

1 Introduction

Multipliers are operators which consist of an analysis stage, a multiplication, and

then a synthesis stage (see Definition 1). This is a very natural concept that occurs
in a lot of scientific questions in mathematics, physics, and engineering.
In Physics, multipliers are the link between classical and quantum mechanics, the
so-called quantization operators [1]. Here multipliers link sequences (or functions)
mk corresponding to the measurable variables in classical physics, to operators
Mm,Φ,Ψ , which are the measurables in quantum mechanics, via (1), see, e.g.,
[20, 24].
In Signal Processing, multipliers are a particular way to implement time-variant
filters [28]. One of the goals in signal processing is to find a transform which allows
certain properties of the signal to be easily found or seen. Via such a transform, one
can focus on those properties of the signal, one is interested in, or would like to
change. The coefficients can be manipulated directly in the transform domain and
thus, certain signal features can be amplified or attenuated. This is, for example,

D. T. Stoeva () · P. Balazs

Acoustics Research Institute, Vienna, Austria
e-mail: [email protected]; [email protected]

© Springer Nature Switzerland AG 2020 169

S. D. Casey et al. (eds.), Sampling: Theory and Applications, Applied and
Numerical Harmonic Analysis, https://doi.org/10.1007/978-3-030-36291-1_6
170 D. T. Stoeva and P. Balazs

the case of what a sound engineer does during a concert, operating an equalizer,
i.e., changing the amplification of certain frequency bands in real time. Filters,
i.e., convolution operators, correspond to a multiplication in the Fourier domain,
and therefore to a time-invariant change of frequency content. They are one of the
most important concepts in signal processing. Many approaches in signal processing
assume a quasi-stationary assumption, i.e., a shift-invariant approach is assumed
only locally. There are several ways to have a true time-variant approach (while still
keeping the relation to the filtering concept), and one of them is to use the so-called
Gabor Filters [5, 28]. These are Gabor multipliers, i.e., time-frequency multipliers.
An additional audio signal processing application is the transformation of a
melody played by one instrument to a sound played by another. For an approach
of how to identify multipliers which transfer one given signal to another one, see
[31].
In Acoustics, the time-frequency filters are used in several fields, for example,
in computational auditory scene analysis (CASA) [48]. The CASA-term refers to
the study of auditory scene analysis by computational means, i.e., the separation
of auditory events. The CASA problem is closely related to the problem of source
separation. Typically, an auditory-based time-frequency transform, see, e.g., [9, 29],
is calculated from certain acoustic features and the so-called time-frequency masks
are generated. These masks are directly applied to the perceptual representa-
tion; they weight the “target” regions (mask = 1) and suppress the background
(mask = 0). This corresponds to binary time-frequency multipliers. Such adaptive
filters are also used in perceptual sparsity, where a time-frequency mask is estimated
from the signal and a simple psychoacoustical masking model, resulting in a
time-frequency transform, where perceptual irrelevant coefficients are deleted, see
[10, 30].
Last but certainly not least, multipliers were and are of utmost importance in
Mathematics, where they are used for the diagonalization of operators. Schatten
used multipliers for orthonormal bases to describe certain classes of operators [36],
later known as Schatten p-classes. The well-known spectral theorems, see, e.g.,
[19], are just results stating that certain operators can always be represented as
multipliers of orthonormal bases. Because of their importance for signal processing,
Gabor multipliers were defined as time-frequency multipliers [13, 22, 26], which
motivated the definition of multipliers for general frames in [3]. Recently, the
formal definition of frame multipliers led to a lot of new approaches to multipliers
[2, 7, 34, 35] and new results [23, 41, 43].
Like in [11] we show a visualization of a multiplier Mm,Ψ,Ψ in the time-
frequency plane in Fig. 1, using a different setting at a different soundfile. The
visualization is done using algorithms in the LTFAT toolbox [33, 38], in particular
using the graphical user interface MULACLAB1 for multipliers [33]. We consider
2 s long excerpt of a Bulgarian folklore song (“Prituri se planinata,” performed by
Stefka Sabotinova) as signal f . For a time-frequency representation of the musical

1 http://ltfat.github.io/doc/base/mulaclab.html.
A Frame Multiplier Survey 171

Fig. 1 An illustrative example to visualize a multiplier. (TOP LEFT) The time-frequency

representation of the music signal f . (TOP RIGHT) The symbol m, found by a (manual) estimation
of the time-frequency region of the singer’s voice. (BOTTOM LEFT) The multiplication in the TF
domain. (BOTTOM RIGHT) Time-frequency representation of Mm,Ψ,Ψ f

signal f (TOP LEFT) we use a Gabor frame Ψ (a 23 ms Hanning window with 75%
overlap and double length FFT). This Ψ constitutes a Parseval Gabor frame, so it is
self-dual. By a manual estimation, we determine the symbol m that should describe
the time-frequency region of the singer’s voice. This region is then multiplied
by 0.01, the rest by 1 (TOP RIGHT). Finally, we show the multiplication in the
TF domain (BOTTOM LEFT), and time-frequency representation of the modified
signal (BOTTOM RIGHT).
In this paper we deal with the mathematical concept of multipliers, in particular
with frame multipliers. We will give a survey over the mathematical properties of
these operators, collecting known results and combining them with new findings
and giving accompanying implementation. We give proofs only for new results.
We consider the case of multipliers for general sequences (Sect. 3), as well as
multipliers for Gabor and wavelet systems (Sect. 4). The paper is organized as
follows. In Sect. 2 we collect the basic needed definitions and the notation used
in the paper. In Sect. 3, first we discuss well-definedness of multipliers, as well as
necessary and sufficient conditions for the unconditional convergence of certain
classes of multipliers. Furthermore, we list relations between the symbol of a
multiplier and the operator type of the multiplier. Finally, we consider injectivity,
surjectivity, and invertibility of multipliers, presenting necessary and/or sufficient
conditions. In the cases of invertibility of frame multipliers, we give formulas
for the inverse operators in two ways—as Neumann-like series and as multipliers
172 D. T. Stoeva and P. Balazs

determined by the reciprocal symbol and appropriate dual frames of the initial
ones. For the formulas of the inverses given as Neumann-like series, we provide
implementations via Matlab-codes. In Sect. 4, first we state consequences of the
general results on unconditional convergence applied to Gabor and wavelet systems;
next we consider invertibility of Gabor multipliers and representation of the inverses
via Gabor multipliers with dual Gabor frames of the initial ones. Finally, in Sect. 5,
we implement the inversion of frame multipliers according to some of the statements
in Sect. 3 and visualize the convergence rate of one of the algorithms in Fig. 2. For
the codes of the implementations, as well as for the scripts and the source files
which were used to create Figs. 1 and 2, see the webpage https://www.kfs.oeaw.ac.
at/InversionOfFrameMultipliers.

2 Notation and Basic Definitions

Throughout the paper, H denotes a separable Hilbert space and I denotes a

countable index set. If not stated otherwise, Φ and Ψ denote sequences (φn )n∈I
and (ψn )n∈I , respectively, with elements in H ; m denotes a complex number
sequence (mn )n∈I , m—the sequence of the complex conjugates of mn , 1/m—the
sequence of the reciprocals on mn , mΦ—the sequence (mn φn )n∈I . The sequence
Φ (resp. m) is called norm-bounded below (in short, N BB) if 0 < infn∈I φn
(resp. 0 < infn∈I |mn |). The sequence m is called semi-normalized if it is N BB and
supn∈I |mn | < ∞. An operator F : H → H is called invertible on H (or just
invertible, if there is no risk of confusion of the space) if it is a bounded bijective
operator from H onto H .
Recall that Φ is called

 sequence in H if there is BΦ ∈ (0, ∞) (called a Bessel bound of Φ) so

– a Bessel
that n∈I |f, φn |2 ≤ BΦ f 2 for every f ∈ H ;
– a frame for H [21] if there exist 
AΦ ∈ (0, ∞) and BΦ ∈ (0, ∞) (called frame
bounds of Φ) so that AΦ f 2 ≤ n∈I |f, φn |2 ≤ BΦ f 2 for every f ∈ H ;
– a Riesz basis for H [12] if it is the image of an orthonormal basis under an
invertible operator.
Recall the needed basics from frame theory (see, e.g., [14, 17,
21]). Let Φ be a
frame
 for H . Then there exists a frame Ψ for H so that f = n∈I f, φn ψn =
n∈I f, ψn φn for every f ∈ H ; such a frame Ψ is called a dual frame of Φ.
One associates the analysis operator UΦ : H → 2 given by UΦ f  = (f, φn )n∈I ,
the synthesis operator TΦ : 2 → H given by TΦ (cn )n∈I = n∈I cn φn , and
the frame operator SΦ : H → H given by SΦ f = n∈I f, φn φn ; all these
operators are well-defined and bounded for Bessel sequences. For a frame Φ for
−1
H , the frame operator SΦ is invertible on H and the sequence (SΦ φn )n∈I forms
A Frame Multiplier Survey 173

a dual frame of Φ called the canonical dual, denoted by Φ  = (φ n )n∈I . If Φ is

a Riesz basis for H (and thus a frame for H ), the canonical dual is the only
dual frame of Φ. If Φ is a frame for H which is not a Riesz basis for H (the
so-called overcomplete frame), then in addition to the canonical dual there are
other dual
 frames. If a sequence Ψ not  necessarily being a frame for H satisfies
f = n∈I f, φ ψ
n n (resp. f = n∈I f, ψn φn ) for all f ∈ H , it is called
a synthesis (resp. analysis) pseudo-dual of Φ; for more on analysis and synthesis
pseudo-duals see [40].
Let Λ = {(ω, τ )} be a lattice in R2d , i.e., a discrete subgroup of R2d of the form
AZ2d for some invertible matrix A. For ω ∈ Rd and τ ∈ Rd , recall the modulation
operator Eω : L2 (Rd ) → L2 (Rd ) determined by (Eω f )(x) = e2π iωx f (x) and
the translation operator Tτ : L2 (Rd ) → L2 (Rd ) given by (Tτ f )(x) = f (x − τ ).
For g ∈ L2 (Rd ), a system (resp. frame for L2 (Rd )) of the form (Eω Tτ g)(ω,τ )∈Λ
is called a Gabor system (resp. Gabor frame for L2 (Rd )). Recall also the dilation
operator Da : L2 (R) → L2 (R) (for a = 0) determined by (Da f )(x) = √1|a| f ( xa ).
Given ψ ∈ L2 (R), a system of the form (Daj Tbj ψ)j ∈I for a discrete set (aj , bj )j ∈I
in R+ × R is called a wavelet system for L2 (R).
Definition 1 Given m, Φ, and Ψ , the operator Mm,Φ,Ψ given by

Mm,Φ,Ψ f = mn f, ψn φn , f ∈ D(Mm,Φ,Ψ ), (1)

with domain D(Mm,Φ,Ψ ) = {f ∈ H : mn f, ψn φn converges}, is called a
multiplier. The sequence m is called the symbol (also, the weight) of the multiplier.
When Φ and Ψ are Gabor systems (resp. Bessel sequences, frames, Riesz bases,
wavelet systems), Mm,Φ,Ψ is called a Gabor (resp. Bessel, frame, Riesz, wavelet)
multiplier. A multiplier Mm,Φ,Ψ is called well-defined (resp. unconditionally con-
vergent) if the series in (1) is convergent (resp. unconditionally convergent) in H
for every f ∈ H .
Note that frame multipliers with constant symbol m = (1) are called frame-type
operators or mixed frame operators in the literature.

3 Properties of Multipliers

In this section we consider some mathematical properties of multipliers using

sequences, without assuming a special structure for them, while Sect. 4 is devoted
to certain classes of structured sequences.
174 D. T. Stoeva and P. Balazs

3.1 On Well-Definedness, Unconditional Convergence, and

Relation to the Symbol

Multipliers are motivated by applications and they can be intuitively understood.

Still the general definition given alone is a mathematical one, and so we have to
clarify basic mathematical properties like boundedness and unconditional conver-
gence.
We collect and state some basic results:
Proposition 1 For a general multiplier, the following relations to unconditional
convergence hold:
(a) A well-defined multiplier is always bounded, but not necessarily uncondition-
ally convergent.
(b) If m ∈ ∞ , then a √ Bessel multiplier Mm,Φ,Ψ is well-defined bounded operator
with Mm,Φ,Ψ ≤ BΦ BΨ m ∞ and the series in (1) converges uncondition-
ally for every f ∈ H . The converse does not hold in general, even for a frame
multiplier Mm,Φ,Ψ .
(c) If Φ and Ψ are NBB, then a Bessel multiplier Mm,Φ,Ψ is unconditionally
convergent if and only if m ∈ ∞ .
(d) If Φ, Ψ , and m are NBB, then Mm,Φ,Ψ is unconditionally convergent if and only
if Mm,Φ,Ψ is a Bessel multiplier and m is semi-normalized.
(e) If Φ is NBB Bessel, then Mm,Φ,Ψ is unconditionally convergent if and only if
mΨ is Bessel.
(f) If Φ is NBB Bessel and m is NBB, then Mm,Φ,Ψ is unconditionally convergent
if and only if Mm,Φ,Ψ is a Bessel multiplier.
(g) If Φ is a Riesz basis for H , then Mm,Φ,Ψ is unconditionally convergent if and
only if it is well-defined if and only if mΨ is Bessel.
(h) If Φ is a Riesz basis for H and Ψ is NBB, then well-definedness of Mm,Φ,Ψ
implies m ∈ ∞ , while the converse does not hold in general.
(k) A Riesz multiplier Mm,Φ,Ψ is well-defined if and only if m ∈ ∞ if and only if it
is unconditionally convergent.
Proof
(a) That every well-defined multiplier is bounded is stated in [42, Lemma
2.3], the result follows simply by the uniform boundedness principle.
However, not every well-defined multiplier is unconditionally convergent—
consider, for example, the sequences in [43, Remark 4.10(a)], namely Φ =
(e1 , e2 , e2 , e2 , e3 , e3 , e3 , e3 , e3 , . . .) and Ψ = (e1 , e2 , e2 , −e2 , e3 , e3 , −e3 ,
e3 , −e3 , . . .) for which one has that M(1),Φ,Ψ is the identity operator on H but
it is not unconditionally convergent.
(b) The first part of (b) is given in [3]. To show that the converse is not valid
in general, i.e., that unconditionally convergent frame multiplier does not
require m ∈ ∞ , consider, for example, [43, Ex. 4.6.3(iv)], namely m =
(1, 1, 1, 1, 2, 2, 1, 3, 3, . . .), Φ = (e1 , e1 , −e1 , e2 , e2 , −e2 , e3 , e3 , −e3 , . . .),
A Frame Multiplier Survey 175

and Ψ = (e1 , e1 , e1 , e2 , 12 e2 , 12 e2 , e3 , 13 e3 , 13 e3 , . . .), for which one has that

Mm,Φ,Ψ is unconditionally convergent.
(c) (resp. (d)) One of the directions follows from (b) and the other one from [42,
Prop. 3.2(iii)] (resp. [42, Prop.3.2(iv)]).
(e) is given in [42, Prop. 3.4(i)].
(f) Let Φ be NBB Bessel and let m be NBB. If Mm,Φ,Ψ is unconditionally
convergent, then by (e) the sequence mΨ is Bessel which by the NBB-property
of m implies that Ψ is Bessel. The converse statement follows from (b).
(g) and (h) can be found in [42, Prop. 3.4].
(k) The first equivalence is given in [42, Prop. 3.4(iv)] and for the second
equivalence see (g).
A natural question for any linear operator is how its adjoint looks. For multipliers
we can show the following.
Proposition 2 ([42]) For any Φ, Ψ , and m, the following holds:
∗
(i) If Mm,Φ,Ψ is well-defined (and hence bounded), then Mm,Φ,Ψ equals Mm,Ψ,Φ
in a weak sense.
∗
(ii) If Mm,Φ,Ψ and Mm,Ψ,Φ are well-defined on all of H , then Mm,Φ,Ψ = Mm,Ψ,Φ .
For more on well-definedness and unconditional convergence, we refer to [42].
As a consequence of Proposition 2, every well-defined multiplier Mm,Φ,Φ with
real symbol m is self-adjoint. Below we list some further relations between the
symbol and the operator type of a Bessel multiplier. In fact we investigate when a
multiplier belongs to certain operator classes.
Proposition 3 Let Mm,Φ,Ψ be a Bessel multiplier.
(a) If m ∈ c0 , then Mm,Φ,Ψ is a compact operator.
(b) If m ∈ 1 , then M
√ m,Φ,Ψ is a trace  class operator with
Mm,Φ,Ψ trace ≤ BΦ BΨ m 1 and tr(Mm,Φ,Ψ ) = n mn φn , ψn .
(c) If m ∈ 2 , then M
√ m,Φ,Ψ is a Hilbert Schmidt operator with
Mm,Φ,Ψ H S ≤ BΦ BΨ m 2 .
(d) If m ∈ p for 1 √ < p < ∞, then Mm,Φ,Ψ is a Schatten-p class operator with
Mm,Φ,Ψ Sp ≤ BΦ BΨ m p .
Proof (a)–(c) is in [3].
(d) follows directly from (b) and Proposition 1(b) by complex interpolation [49,
Rem. 2.2.5, Theorems 2.2.6 and 2.2.7].

3.2 On Invertibility

As mentioned above, a multiplier is a time-variant filtering, which can be seen as

the mathematical description of what a sound engineer does during a concert or
recording session. Should the technician make an error, can we get the original
176 D. T. Stoeva and P. Balazs

signal back? Or in the mathematical terms used here: How and under which
circumstances can we invert a multiplier?
To shorten notation, throughout this section M denotes any one of the multipliers
Mm,Φ,Ψ and Mm,Ψ,Φ .

3.2.1 Riesz Multipliers, Necessary and Sufficient Conditions for

Invertibility

Schatten [36] investigated multipliers for orthonormal bases and showed many nice
results leading to certain operator classes. Extending the notion to Riesz bases keeps
the results very intuitive and easy, among them the following one:
Proposition 4 Let Φ be a Riesz basis for H . The following statements hold:
(a) If Ψ is a Riesz basis for H and m is semi-normalized, then Mm,Φ,Ψ is invertible
and
−1
Mm,Φ,Ψ = M1/m,Ψ,Φ. (2)

(b) If Ψ is a Riesz basis for H , then M is invertible if and only if m is semi-

normalized.
(c) If m is semi-normalized, then M is invertible if and only if Ψ is a Riesz basis
for H .
Proof (a) is [3, Prop. 7.7], (b) and (c) are in [41, Theorem 5.1].
Under the assumptions of Proposition 4, one can easily observe that M is
invertible if and only if mΨ is a Riesz basis for H . The following proposition
further clarifies the cases when M is injective or surjective.
Proposition 5 ([44]) Let Φ be a Riesz basis for H . The following equivalences
hold:
(a) Mm,Φ,Ψ is injective if and only if mΨ is a complete Bessel sequence in H .
(b) Mm,Ψ,Φ is injective if and only if TmΨ is injective.
(c) Mm,Φ,Ψ is surjective if and only if mΨ is a Riesz sequence.
(d) Mm,Ψ,Φ is surjective if and only if mΨ is frame for H .
For further results related to invertibility and non-invertibility of M in the cases
when Φ is a Riesz basis and m is not necessarily semi-normalized, see [44].

3.2.2 Bessel Multipliers, Necessary Conditions for Invertibility

Looking at invertible multipliers indicates somehow a kind of duality of the involved

sequences. To make this more precise, let us state the following:
Proposition 6 ([41]) Let Mm,Φ,Ψ be invertible.
A Frame Multiplier Survey 177

(a) If Ψ (resp. Φ) is a Bessel sequence for H with bound B, then mΦ (resp. mΨ )

satisfies the lower frame condition for H with bound 1
−1 2
.
B Mm,Φ,Ψ
(b) If Ψ (resp. Φ) is a Bessel sequence in H and m ∈ ∞ , then Φ (resp. Ψ )
satisfies the lower frame condition for H .
(c) If Ψ and Φ are Bessel sequences in H and m ∈ ∞ , then Ψ , Φ, mΦ, and mΨ
are frames for H .

3.2.3 Frame Multipliers

Naturally, due to the non-minimality the case for overcomplete frames is not that
easy as for Riesz bases. First we are interested to determine cases when multipliers
for frames are invertible:
Sufficient Conditions for Invertibility and Representation of the Inverse via
Neumann-Like Series
In this part of the section we present sufficient conditions for invertibility of
multipliers Mm,Φ,Ψ based on perturbation conditions, and formulas for the inverse
−1
Mm,Φ,Ψ via Neumann-like series. In Sect. 5 we provide Matlab-codes for the
inversion of multipliers according to Propositions 8, 9, and 11.
Let us begin our consideration with the specific case when Ψ = Φ and m is
positive (or negative) semi-normalized sequence. In this case the multiplier is simply
a frame operator of an appropriate frame:
Proposition 7 ([6, Lemma 4.4]) If Φ is a frame for H and m is positive (resp.
negative) and semi-normalized, then Mm,Φ,Φ = S(√mn φn ) (resp. Mm,Φ,Φ =
√
−S(√|mn | φn ) ) for the weighted frame ( mn φn )n∈I and is therefore invertible on
H.
If we give up with the condition Φ = Ψ , but still keep the condition on
m to be semi-normalized and positive (or negative), then the multiplier is not
necessarily invertible and thus it is not necessarily representable as a frame
operator. Consider, for example, the frames Φ = (e1 , e1 , e2 , e2 , e3 , e3 , ...) and
Ψ = (e1, e1, e2, e3, e4, e5, ...); the multiplier M(1),Φ,Ψ is well-defined (even
unconditionally convergent) but not injective [43, Ex. 4.6.2]. For the class of
multipliers which satisfy the assumptions of the above proposition except not
necessarily the assumption Φ = Ψ , below we present a sufficient condition for
invertibility, which is a reformulation of [41, Prop. 4.1]. The reformulation is done
aiming at an efficient implementation of the inversion of multiple multipliers—
√
given Φ and m, once the frame operator of the weighted frame ( mn φn ) and its
inverse are calculated, one can invert Mm,Φ,Ψ for different Ψ fast, just with matrix
summation and multiplication (see Algorithm 1 in Sect. 5).
Proposition 8 Let Φ be a frame for H , m be a positive (or negative) semi-
normalized sequence, and a and b satisfy 0 < a ≤| mn |≤ b for every n. Assume
that the sequence Ψ satisfies the condition
178 D. T. Stoeva and P. Balazs


P1 : |h, ψn − φn |2 ≤ μ h 2 , ∀ h ∈ H ,
a 2 A2Φ
for some μ ∈ [0, b2 BΦ
). Then Ψ is a frame for H , M is invertible on H , and

1 1
√ h ≤ M −1 h ≤ √ h , (3)
bBΦ + b μBΦ aAΦ − b μBΦ

 ∞ −1 k −1
√
k=0 [S( mn φn ) (S( mn φn ) − M)] S( mn φn ) , if mn > 0, ∀n,
√ √
−1 ∞
M = −1 √ k −1
k=0 (−1)[S( |mn |φn ) (S( |mn |φn ) + M)] S( |mn |φn ) , if mn < 0, ∀n,
√ √

n
where the n-term error M −1 − k=0 . . . is bounded by
√ n+1
b μBΦ 1
· √ . (4)
aAΦ aAΦ − b μBΦ

For μ = 0, the above statement gives Proposition 7. Note that P1 is

a standard perturbation result for frames (for μ < AΦ ). Notice that the
a 2 A2Φ
bound b2 BΦ
for μ is sharp in the sense that when the inequality in P1
a 2 A2Φ
holds with μ ≥ b2 BΦ
, the conclusions may fail (consider, for example,
m = (1), Φ = (en )∞
= (2e1 , 12 e2 , 13 e3 , 14 e4 , . . .)), but may also hold (consider,
n=1 , Ψ
for example, m = (1), Φ = (en )∞
n=1 , Ψ = (2e1 , e2 , e3 , e4 , . . .)).
Note that for an overcomplete frame Φ, a frame Ψ satisfying P1 with μ <
a 2 A2Φ
b2 BΦ
(≤AΦ ) must also be overcomplete, by Christensen [17, Cor. 22.1.5]. This
is also in correspondence with the aim to have an invertible frame multiplier in
the above statement—when m is semi-normalized and Φ and Ψ are frames, then
invertibility of Mm,Φ,Ψ requires either both Φ and Ψ to be Riesz bases, or both to
be overcomplete (see Proposition 4).
Now we continue with consideration of more general cases, giving up the
positivity/negativity of m, allowing complex values. Again, aiming at an efficient
inversion implementation for a set of multipliers (for given Φ and m, and varying
Ψ ), we reformulate the result from [41, Prop. 4.1]:
AΦ
Proposition 9 Let Φ be a frame for H and let λ := supn |mn − 1| < BΦ . Assume
(AΦ −λBΦ )2
that the sequence Ψ satisfies the condition P1 with μ ∈ [0, (λ+1)2 BΦ
). Then Ψ is
a frame for H , Mm,Φ,Φ and M are invertible on H , and

1 −1 1
h ≤ Mm,Φ,Φ h ≤ h ,
(λ + 1)BΦ AΦ − λBΦ

1 1
√ h ≤ M −1 h ≤ √ h ,
(λ + 1)(BΦ + μBΦ ) AΦ − λBΦ − (λ + 1) μBΦ
A Frame Multiplier Survey 179

∞

−1 −1 −1
Mm,Φ,Φ = [SΦ (SΦ − Mm,Φ,Φ )]k SΦ , (5)
k=0

 n+1
λBΦ
where the n-term error is bounded by AΦ · 1
AΦ −λBΦ , and

∞

−1 −1 −1
M = [Mm,Φ,Φ (Mm,Φ,Φ − M)]k Mm,Φ,Φ , (6)
k=0

 √ n+1
(λ+1) μBΦ
where the n-term error is bounded by AΦ −λBΦ · 1 √
AΦ −λBΦ −(λ+1) μBΦ
.

In the special case when Φ and Ψ are dual frames, one has a statement
concerning invertibility of the multiplier Mm,Φ,Ψ with the simpler formula (7) for
the inverse operator in comparison to (6):
Proposition 10 ([41, Prop. 4.4]) Let Φ be a frame for H and let Ψ be a dual
frame of Φ. Assume that m is such that there is λ satisfying |mn − 1| ≤ λ < √B 1 B
Φ Ψ
for all n ∈ N. Then M is invertible,

1 1
, h ≤ M −1 h ≤ , h , ∀h ∈ H ,
1 + λ BΦ BΦ d 1 − λ BΦ BΦ d
∞

M −1 = (I − M)k , (7)
k=0

√
n+1
and the n-term error is bounded by ( 1−λ√
λ BΦ BΨ )
B B
.
Φ Ψ

Note that the bound for λ in the above proposition is sharp in the sense that
one cannot claim validity of the conclusions using a bigger constant instead of
√ 1
BΦ BΨ
. Indeed, if the assumptions hold with supn |mn − 1| = λ = √B 1 B , then
Φ Ψ
the multiplier might not be invertible on H , consider, for example, M(1/n),(en ),(en )
which is not surjective.
Next we extend Proposition 10 to approximate duals and provide implementation
for the extended result. Recall that given a frame Φ for H , the sequence Ψ is called
an approximate dual of Φ [18] if for some ε ∈ [0, 1) one has TΨ UΦ f −f ≤ ε f
for all f ∈ H (in this case we will use the notion ε-approximate dual of Φ).
Proposition 11 Let Φ be a frame for H and let Ψ be an ε-approximate dual frame
of Φ for some ε ∈ [0, 1). Assume that m is such that λ := supn |mn − 1| < √B1−εB
Φ Ψ
for all n ∈ N. Then M is invertible,

1 1
, h ≤ M −1 h ≤ , h , ∀h ∈ H ,
1 + λ BΦ BΦ d + ε 1 − λ BΦ BΦ d − ε
180 D. T. Stoeva and P. Balazs

∞

M −1 = (I − M)k , (8)
k=0

√ n+1
λ BΦ BΨ +ε)
and the n-term error is bounded by ( 1−λ√ B B −ε
.
Φ Ψ

Proof The case ε = 0 gives Proposition 10. For the more general case ε ∈ [0, 1),
observe that for every f ∈ H ,
,
Mf − f ≤ Mf − TΨ UΦ f + TΨ UΦ f − f ≤ (λ BΦ BΨ + ε) f .

Applying [41, Prop. 2.2] (which is based on statements in [25] and [15]), one comes
to the desired conclusions.
For the cases when Φ and Ψ are equivalent frames, one can use the following
sufficient conditions for invertibility and representations of the inverses:
Proposition 12 ([41]) Let Φ be a frame for H , G : H → H be a bounded
bijective operator and ψn = Gφn , ∀n, i.e., Φ and Ψ are equivalent frames. Let m be
semi-normalized and satisfy one of the following three conditions: m is positive; m
is negative; or supn |mn − 1| < AΦ /BΦ . Then Ψ is a frame for H , M is invertible,
−1 −1 −1 −1
Mm,Φ,Ψ = (G−1 )∗ Mm,Φ,Φ , and Mm,Ψ,Φ = Mm,Φ,Φ G−1 .
If one considers the canonical dual frame Φ of a frame Φ, it is clearly equivalent
to Φ and furthermore, it is the only dual frame of Φ which is equivalent to Φ [27].
In this case one can apply both Propositions 10 and 12.
Representation of the Inverse as a Multiplier Using the Reciprocal Symbol and
Appropriate Dual Frames of the Given Ones
Some of the results above were aimed at representing the inverse of an invertible
frame multiplier via Neumann-like series. Here our attention is on representation
of the inverse as a frame multiplier of a specific type. The inverse of any
invertible frame multiplier Mm,Φ,Ψ with non-zero elements of m can always be
written using the reciprocal symbol 1/m, e.g., trivially, by any frame G and an
−1
appropriate sequence related to a dual frame (gnd )n∈I of G (e.g., as Mm,Φ,Ψ =
M1/m,(M −1 (mn gnd )),(gn ) ). Actually, any invertible operator V can be written as a
multiplier in such a way (V = M1/m,(V (mn gnd )),(gn ) ). The focus here is on the
−1
possibility for a representation of Mm,Φ,Ψ using the reciprocal symbol and specific
dual frames of Φ and Ψ , more precisely, using

M1/m,Ψ d ,Φ d

for some dual frames Φ d of Φ and Ψ d of Ψ .

The motivation for the consideration of such representations comes from Propo-
sition 4(a), which concerns Riesz multipliers with semi-normalized weights and
representation using the reciprocal symbol and the canonical duals (the only dual
A Frame Multiplier Survey 181

frames in this case) of the given Riesz bases. The representation (2) is not limited
to Riesz multipliers (as a simple example consider the case when Φ = Ψ is an
overcomplete frame and m = (1)), and it is clearly not always valid. Naturally
this leads to the investigation of cases where such inversion formula holds for
overcomplete frames. Furthermore, for the cases of non-validity of the formula,
it opens the question whether the canonical duals can be replaced with other dual
frames.
Theorem 1 ([11, 45]) Let Φ and Ψ be frames for H , and let the symbol m be
such that mn = 0 for every n and the sequence mΦ is a frame for H . Assume that
Mm,Φ,Ψ is invertible. Then the following statements hold:
(i) There exists a unique sequence Ψ † in H so that
−1
Mm,Φ,Ψ = M1/m,Ψ † ,Φ ad , ∀ a-pseudo-duals Φ ad of Φ,

−1
and it is a dual frame of Ψ . Furthermore, Ψ † = (Mm,Φ,Ψ (mn φn ))∞
n=1 .
(ii) If G = (gn )∞ n=1 is a sequence (resp. Bessel sequence) in H such that
M1/m,Ψ † ,G is well-defined and

−1
Mm,Φ,Ψ = M1/m,Ψ † ,G ,

then G must be an a-pseudo-dual (resp. dual frame) of Φ.

Note that the uniqueness of Ψ † in the above theorem is even guaranteed from the
−1
validity of Mm,Φ,Ψ = M1/m,Ψ † ,Φ d for all dual frames Φ d of Φ. Indeed, take Ψ †
to be determined by the above theorem and assume that there is a sequence F such
−1
that Mm,Φ,Ψ = M1/m,F,Φ d for all dual frames Φ d of Φ. Then M1/m,F −Ψ † ,Φ d for
all dual frames Φ d of Φ, which by Stoeva and Balazs [45, Lemma 3.2] implies that
F = Ψ †.
Similar statements hold with respect to an appropriate dual frame of Φ:
Theorem 2 ([11, 45]) Let Φ and Ψ be frames for H , and let the symbol m be
such that mn = 0 for every n and the sequence mΨ is a frame for H . Assume that
Mm,Φ,Ψ is invertible. Then the following statements hold:
(i) There exists a unique sequence Φ † in H so that
−1
Mm,Φ,Ψ = M1/m,Ψ sd ,Φ † , ∀ s-pseudo-duals Ψ sd of Ψ,

−1
and it is a dual frame of Φ. Furthermore, Φ † = ((Mm,Φ,Ψ )∗ (mn ψn ))∞
n=1 .
∞
(ii) If F = (fn )n=1 is a sequence (resp. Bessel sequence) in H such that
M1/m,F,Φ † is well-defined and

−1
Mm,Φ,Ψ = M1/m,F,Φ † ,
182 D. T. Stoeva and P. Balazs

then F must be an s-pseudo-dual (resp. dual frame) of Ψ .

Corollary 1 ([45]) Let Φ and Ψ be frames for H , and let the symbol m be such
that mn = 0 for every n and m ∈ ∞ . Assume that Mm,Φ,Ψ is invertible. Then
Theorems 1 and 2 apply.
Below we consider the task of representing the inverse using the canonical dual
frames of the given ones and the question when the special dual Φ † (resp. Ψ † )
coincides with the canonical dual of Φ (resp. Ψ ).
Proposition 13 ([11, 45]) Let Φ and Ψ be frames for H and let m be semi-
normalized. Assume that Mm,Φ,Ψ be invertible. Then
−1 ;
Mm,Φ,Ψ = M1/m,Ψ,Φ ⇐ Ψ is equivalent to mΦ ⇔ Ψ † = Ψ (9)

−1 
Mm,Φ,Ψ = M1/m,Ψ,Φ ⇐ Φ is equivalent to mΨ ⇔ Φ † = Φ. (10)

−1
Mm,Φ,Ψ = M1/m,Ψ,Φ  (Φ is equivalent to mΨ ) or (Ψ is equivalent to mΦ).

In the cases when the symbol m is a constant sequence, the one-way implications
in the above proposition become equivalences, more precisely, the following holds:
Proposition 14 ([11]) Let Φ and Ψ be frames for H . For symbols of the form
m = (c, c, c, . . .), c = 0, the following equivalences hold:
−1
Mm,Φ,Ψ is invertible and M(c),Φ,Ψ =M(1/c),Ψ,Φ ⇔ Ψ is equivalent to Φ

⇔ Mm,Φ,Ψ is invertible and Ψ †=Ψ

⇔ Mm,Φ,Ψ is invertible and Φ †=Φ.

Motivated by Theorems 1 and 2, it is natural to consider the question whether (9)

and (10) from Proposition 13 hold under more general assumptions. The answer is
affirmative:
Proposition 15 Let Φ and Ψ be frames for H , and let the symbol m be such that
mn = 0 for every n and the sequence mΦ be a frame for H . Then the following
holds:

 ⇔ Ψ is equivalent to mΦ
Mm,Φ,Ψ is invertible and Ψ † =Ψ
−1
⇒ Mm,Φ,Ψ is invertible and Mm,Φ,Ψ = M1/m,Ψ,Φ.

, where Ψ † is determined based

Proof First let Mm,Φ,Ψ be invertible and Ψ † = Ψ
−1
on Theorem 1. Then using Theorem 1(i), one obtains Mm,Φ,Ψ = M1/m,Ψ,Φ and
−1 0 −1 † −1 −1
furthermore ψn = SΨ (ψn ) = SΨ (ψn ) = SΨ Mm,Φ,Ψ (mn φn ), ∀n, leading to
equivalence of the frames Ψ and mΦ.
A Frame Multiplier Survey 183

Conversely, let the frames Ψ and mΦ be equivalent. Then by Proposition 14,

the multiplier M(1),mΦ,Ψ (= Mm,Φ,Ψ ) is invertible, and thus, by Theorem 1, a dual
−1
frame Ψ † of Ψ is determined by Ψ † = (Mm,Φ,Ψ (mn φn ))∞n=1 . This implies that the
†
dual frame Ψ of Ψ is at the same time equivalent to the frame Ψ , which by [27,
Prop. 1.14] implies that Ψ † must be the canonical dual of Ψ .
In a similar way as above, one can state a corresponding result involving Φ † :
Proposition 16 Let Φ and Ψ be frames for H , and let the symbol m be such that
mn = 0 for every n and the sequence mΨ is a frame for H . Then the following
holds:

 ⇔ Φ is equivalent to mΨ
Mm,Φ,Ψ is invertible and Φ † =Φ
−1
⇒ Mm,Φ,Ψ is invertible and Mm,Φ,Ψ =M1/m,Ψ,Φ.

For examples, which illustrate statements from this section, see [11, 45].

4 Time-Frequency Multipliers

In this section we focus on sequences with particular structure, namely on Gabor

and wavelet sequences, which are very important for applications. Considering the
topic of unconditional convergence, we apply results from Sect. 3.1 directly. For the
topic of invertibility we go beyond the presented results in Sect. 3.2 and consider
further questions motivated by the specific structure of the sequences.

4.1 On the Unconditional Convergence

As a consequence of Proposition 1, for Gabor and wavelet systems, we have the

following statements:
Corollary 2 Let Mm,Φ,Ψ be a Gabor (resp. wavelet) multiplier.
(c) If Mm,Φ,Ψ is furthermore a Bessel multiplier, then it is unconditionally conver-
gent if and only if m ∈ ∞ .
(d) If m is NBB, then Mm,Φ,Ψ is unconditionally convergent if and only if Mm,Φ,Ψ
is a Bessel multiplier and m is semi-normalized.
(e) If Φ is Bessel (resp. Φ is Bessel and m is NBB), then Mm,Φ,Ψ is unconditionally
convergent if and only if mΨ is Bessel (resp. Ψ is Bessel).
(f) If Mm,Φ,Ψ is furthermore a Riesz multiplier, then it is well-defined if and only if
it is unconditionally convergent if and only if m ∈ ∞ .
184 D. T. Stoeva and P. Balazs

4.2 On the Invertibility

For the particular case of Gabor and wavelet multipliers, one can apply the general
invertibility results from Sect. 3.2. In addition, one can be interested in cases where
the dual frames Φ † , Ψ † , induced by an invertible Gabor (resp. wavelet) frame
multiplier have also a Gabor (resp. wavelet) structure and whether one can write
the inverse multiplier as a Gabor (resp. wavelet) multiplier. Here we consider the
Gabor case.
Proposition 17 ([46]) Let Λ = {(ω, τ )} be a lattice in R2d , i.e., a discrete
subgroup of R2d of the form AZ2d for some invertible matrix A, and let
Φ = (Eω Tτ v)(ω,τ )∈Λ and Ψ = (Eω Tτ u)(ω,τ )∈Λ be (Gabor) frames. Assume that
the (Gabor) frame-type operator V = M(1),Φ,Ψ is invertible. Then the following
holds.
(a) The frames Φ † and Ψ † determined by Theorems 1 and 2 are Gabor frames.
(b) V −1 can be written as a Gabor frame-type operator as follows:

V −1 = M(1),(Eω Tτ V −1 v)(ω,τ )∈Λ ,Φ d = M(1),Ψ d ,(Eω Tτ (V −1 )∗ u)(ω,τ )∈Λ ,

using any dual Gabor frames Φ d and Ψ d of Φ and Ψ , respectively (in

particular, the canonical duals).
(c) Let (Eω Tτ g)(ω,τ )∈Λ be a Gabor frame for L2 (R). Then V −1 can be written as
the Gabor frame-type operator

hω,τ )(ω,τ )∈Λ ,

M(1),(Eω Tτ g)(ω,τ )∈Λ ,(

where hω,τ = Eω Tτ V g, (ω, τ ) ∈ Λ.

As an illustration of the above proposition, one may consider the following
example with Gabor frame-type operators:
Example 1 ([46]) Let Ψ = (Ekb Tna u)k,n∈Z be a frame for L2 (R) (for example,
take u(x) to be the Gaussian e−x and a ∈ R and b ∈ R so that ab < 1).
2

Furthermore, let F be an invertible operator on L2 (R) which commutes with

all Ekb Tna , k, n ∈ Z, (e.g., take F = Ek0 /a Tn0 /b for some k0 , n0 ∈ Z) and let
Φ = (Ekb Tna F u)k,n∈Z . Then the Gabor frame-type operator
V = M(1),Φ,Ψ (= F SΨ ) is invertible and furthermore:
 and Ψ † = (Ekb Tna S −1 u)k,n∈Z = Ψ
(a) Φ † = (Ekb Tna (V −1 )∗ u)k,n∈Z = Φ ;
Ψ
(b) V −1 = M(1),ψ † ,Φ d = M(1),Ψ,Φ d for any dual Gabor frame Φ d of Φ.
In particular, choosing the canonical dual Φ, one comes to the formula
−1
V = M(1),Ψ,Φ, whose validity is in correspondence with Proposition 14;
A Frame Multiplier Survey 185

(c) applying Proposition 17(c) with g = u, we have V −1 = M(1),Ψ,(

hk,n )k,n∈Z , where
hk,n = Ekb Tna V u;
applying Proposition 17(c) with g = S −1 u, we obtain V −1 = M(1),Ψ,Φ.
The representation of the inverse of a Gabor frame-type operator as a Gabor
frame-type operator has turned out to be related to commutative properties of the
multiplier with the time-frequency shifts:
Proposition 18 ([11]) Let Λ = {(ω, τ )} be a lattice in R2d , i.e., a discrete
subgroup of R2d of the form AZ2d for some invertible matrix A, g ∈ L2 (Rd ), and
(Eω Tτ g)(ω,τ )∈Λ be a Gabor frame for L2 (Rd ). Let V : L2 (Rd ) → L2 (Rd ) be a
bounded bijective operator. Then the following statements are equivalent:
(a) For every (ω, τ ) ∈ Λ, V Eω Tτ g = Eω Tτ V g.
(b) For every (ω, τ ) ∈ Λ and every f ∈ L2 (Rd ), V Eω Tτ f = Eω Tτ Vf (i.e., V
commutes with Eω Tτ for every (ω, τ ) ∈ Λ).
(c) V can be written as a Gabor frame multiplier with the constant symbol (1) and
with respect to the lattice Λ, i.e., V is a Gabor frame-type operator with respect
to the lattice Λ.
(d) V −1 can be written as a Gabor frame multiplier with the constant symbol (1)
and with respect to the lattice Λ, i.e., V is a Gabor frame-type operator with
respect to the lattice Λ.
The above two propositions 17 and 18 concern the cases when the symbol of an
invertible Gabor frame multiplier is the constant sequence (1). They show that such
multipliers commute with the corresponding time-frequency shifts and the frames
induced by these multipliers have Gabor structure. Considering the more general
case of m not necessarily being a constant sequence, the commutative property of
the multiplier with the time-frequency shifts Eω Tτ is no longer necessarily valid (see
[46, Corol. 5.2 and Ex. 5.3 ]), but it can still happen that the frames (Eω Tτ v)†(ω,τ )∈Λ
and (Eω Tτ u)†(ω,τ )∈Λ determined by Theorems 1 and 2 have Gabor structure (see
[46, Ex. 5.6]). Below we consider cases, when validity of the commutativity and Φ †
(resp. Ψ † ) being Gabor frames imply that m is a constant sequence:
Proposition 19 Let Λ = {(ω, τ )} be a lattice in R2d , Φ = (Eω Tτ v)(ω,τ )∈Λ and
Ψ = (Eω Tτ u)(ω,τ )∈Λ be Gabor frames for L2 (R), and m = (mω,τ )(ω,τ )∈Λ be
such that mω,τ = 0 for every (ω, τ ) ∈ Λ. Assume that the Gabor frame multiplier
Mm,Φ,Ψ is invertible on L2 (R) and commutes with Eω Tτ for every (ω, τ ) ∈ Λ.
Then the following statements hold:
(a) If mΦ is a frame for L2 (R) and the frame Ψ † determined by Theorem 1 has
Gabor structure, then m must be a constant sequence.
(b) If mΨ is a frame for L2 (R) and the frame Φ † determined by Theorem 1 has
Gabor structure, then m must be a constant sequence.
(c) If Φ is a Riesz sequence, then m must be a constant sequence.
186 D. T. Stoeva and P. Balazs

Proof (a) and (b) are [46, Cor. 5.5].

(c) Fix an arbitrary couple (ω , τ ) ∈ Λ. Having in mind the general relation

M(mω,τ )(ω,τ )∈Λ ,Φ,Ψ Eω Tτ = Eω Tτ M(mω+ω ,τ +τ )(ω,τ )∈Λ ,Φ,Ψ

(see [46, Coroll. 5.2]), and using the assumption that Mm,Φ,Ψ commutes with Eω Tτ
and the invertibility of Eω Tτ , we get

M(mω,τ )(ω,τ )∈Λ ,Φ,Ψ = M(mω+ω ,τ +τ )(ω,τ )∈Λ ,Φ,Ψ .

The assumption that Φ is a Riesz sequence leads now to the conclusion that

(mω,τ − mω+ω ,τ +τ )f, Eω Tτ u = 0, ∀(ω, τ ) ∈ Λ, ∀f ∈ H .

Since u = 0 (as otherwise Mm,Φ,Ψ is not invertible), one can apply f = Eω Tτ u = 0

above and conclude that mω,τ = mω+ω ,τ +τ for every (ω, τ ) ∈ Λ. Then, for any
fixed (ω, τ ) ∈ Λ, we have

mω,τ = mω+ω ,τ +τ , ∀(ω , τ ) ∈ Λ,

implying that m is a constant sequence.

Observe that using the language of tensor products, in a similar way as in
Proposition 19(c) one can show that φλ ⊗ ψλ being a Riesz sequence in the tensor
product space H ⊗ H would lead to the conclusion that m must be a constant
sequence.
Notice that when m is not a constant sequence, it is still possible to have Φ †
and Ψ † with the Gabor structure (see [46, Ex. 5.6]), which opens interest to further
investigation of this topic.
In this manuscript we presented results focusing on Gabor frames. Note that
some of the above results hold for a more general class of frames, containing Gabor
frames and coherent frames (the so-called pseudo-coherent frames), defined in [11]
and further investigated in [46]. Note that wavelets are not pseudo-coherent frames
in general and one cannot state corresponding results like Propositions 17 and 18 for
wavelet frames. The wavelet case is a topic of interest for further investigations of
questions related to the structure of Φ † and Ψ † for wavelet multipliers. This might
be related to the topic of localized frames, see, e.g., [8], where wavelets also cannot
be included.
A Frame Multiplier Survey 187

5 Implementation of Inversion of Frame Multipliers

For the inversion of multipliers Mm,Φ,Ψ and Mm,Ψ,Φ according to Propositions 8, 9,

and 11, we provide Matlab-LTFAT codes (including demo-files), which are avail-
able on the webpage https://www.kfs.oeaw.ac.at/InversionOfFrameMultipliers. The
inversion is done using an iterative approach based on the formulas from the
corresponding statement. Here we present the algorithms for these codes. Note
that these implementations are only meant as proof-of-concept and could be made
significantly more efficient, which will be the topic of future work, but is beyond
the scope of this manuscript. Implementations naturally require to work in the finite
dimensional case; for specifics of finite frame theory and in particular for finite
Gabor theory, we refer, e.g., to [4, 16, 32, 37, 39, 47].
As an implementation of Proposition 8, we provide three Matlab-LTFAT codes—
−1
one for computing Mm,Φ,Ψ (see Algorithm 1), a second one for computing
−1 −1
Mm,Φ,Ψ f for given f (see Algorithm 2), and a third one—for computing Mm,Φ,Ψ
in the case when Φ and Ψ are Gabor frames (see Algorithm 3). For illustration
of the convergence rate of Algorithm 3, see Fig. 2. On the horizontal axis one has
the number of the iterations in a linear scale, and on the vertical axis—the absolute
error (the norm of the difference between the n-th iteration and the real inverse) in a
logarithmic scale. To produce this plot we have used Gabor frames with length of the
transform L = 4096, time-shift a = 1024, number of channels M = 2048, a Hann
window for Φ, a Gaussian window for Ψ , symbol m with elements between 1/2 and
1, and parameter e = 10−8 , which guides the number of iterations by the predicted
error bound (4). The size of the multiplier-matrix in this test is 4096 × 4096. The
inversion takes only a few iterations—it stops at n = 8 with error 6.1514 · 10−14 .
We also provide implementations of Proposition 9 (see Algorithm 4) and
Proposition 11 (see Algorithm 5).
Note that the codes provide the possibility for multiple inversion of multi-
pliers varying the frame Ψ . Although the initial step in the implementations of
Propositions 8 and 9 involves inversion of an appropriate frame operator and
is computationally demanding, it depends only on Φ and m, and thus multiple
inversions with different Ψ will, in total, be very fast. It is the aim of our next work
to improve the above-mentioned algorithms avoiding the inversion in the initial step.
Notice that the iterative inversion according to Proposition 11 seems to be very
promising for fast inversions as it does not involve an inversion of a full matrix.
In further work we will run tests to compare the speed of the inversion of the
above implementation algorithms with inversion algorithms in Matlab and LTFAT,
with the goal to improve the numerical efficiency.
188 D. T. Stoeva and P. Balazs

−1
Algorithm 1 Iterative computation of Mm,Φ,Ψ (M1inv): [TPsi,M1,M2,M1inv,M2inv,n] =
Prop8InvMultOp(c,r,TPhi,TG,m,e)
1: TG ← TG , m, TΦ
2: TΨ = TΦ + TG , M1 = TΦ ∗ diag(m) ∗ TΨ
3: Initialize M1inv = S(−1 √
mn φn )
4: n ← e, m, TΦ , TG
5: if n > 0
6: P 1 = S(−1 √
mn φn )
∗ (S(√mn φn ) − M1)
7: Initialize Q1 = S(−1
√
mn φn )
8: for i:=1 to n
9: Q1 = P 1 ∗ Q1
10: M1inv = M1inv + Q1
11: end
12: end
−1
13: Mm,Φ,Ψ ← M1inv

−1
Algorithm 2 Iterative computation of Mm,Φ,Ψ f (M1invf): [TPsi,M1,M2,M1invf,M2invf,n] =
Prop8InvMultf(c,r,TPhi,TG,m,f,e)
1: TG ← TG , m, TΦ
2: TΨ = TΦ + TG , M1 = TΦ ∗ diag(m) ∗ TΨ
3: Initialize M1invf = S(−1 √
mn φn )
f
4: n ← e, m, TΦ , TG
5: if n > 0
6: P 1 = S(−1 √
mn φn )
∗ (S(√mn φn ) − M1)
7: Initialize q1 = M1invf
8: for i:=1 to n
9: q1 = P 1 ∗ q1
10: M1invf = M1invf + q1
11: end
12: end
−1
13: Mm,Φ,Ψ f ← M1invf

−1
Algorithm 3 Iterative computation of Mm,Φ,Ψ (M1inv) for Gabor frames:
[TPhi,TPsi,M1,M2,M1inv,M2inv,n] = Prop8InvMultOpGabor(L,a,M,gPhi,gG,m,e)
1: Φ ← gP hi, a, M
2: TΦ ← Φ, L
3: G ← gG, a, M
4: TG ← G, L
5: -17: These steps are like 1–13 of Algorithm 1.
A Frame Multiplier Survey 189

−1 −1
Algorithm 4 Iterative computation of Mm,Φ,Φ (M0inv) and Mm,Φ,Ψ (M1inv):
[m,TPsi,M0,M1,M2,M0inv,n0,M1inv,M2inv,n] = Prop9InvMultOp(c,r,TPhi,TG,m,e)
1: m ← m, TΦ
2: M0 = TΦ ∗ diag(m) ∗ TΦ
−1
3: Initialize M0inv = SΦ
4: n0 ← e, m, TΦ
5: if n0 > 0
−1
6: P 0 = SΦ ∗ (SΦ − M0)
−1
7: Initialize Q0 = SΦ
8: for i:=1 to n0
9: Q0 = P 0 ∗ Q0
10: M0inv = M0inv + Q0
11: end
12: end
−1
13: Mm,Φ,Φ ← M0inv
14: TG ← TG , m, TΦ
15: TΨ = TΦ + TG , M1 = TΦ ∗ diag(m) ∗ TΨ
16: Initialize M1inv = M0inv
17: n ← e, m, TΦ , TG
18: if n > 0
19: P 1 = M0inv ∗ (M0 − M1)
20: Initialize Q1 = M0inv
21: for i:=1 to n
22: Q1 = P 1 ∗ Q1
23: M1inv = M1inv + Q1
24: end
25: end
−1
26: Mm,Φ,Ψ ← M1inv

−1 −1
Algorithm 5 Iterative computation of Mm,Φ,Φ (M0inv) and Mm,Φ,Ψ (M1inv):
[m,TPsi,M1,M2,M1inv,M2inv,n] = Prop11InvMultOp(c,r,TPhi,TPsi,m,e)
1: TΨ ← TΨ , TΦ
2: m ← m, TΦ , TΨ
3: Initialize M1inv = eye(r)
4: n ← e, m, TΦ , TG
5: if n > 0
6: P 1 = eye(r) − M1
7: Initialize Q1 = eye(r)
8: for i:=1 to n
9: Q1 = P 1 ∗ Q1
10: M1inv = M1inv + Q1
11: end
12: end
−1
13: Mm,Φ,Ψ ← M1inv
190 D. T. Stoeva and P. Balazs

Fig. 2 The convergence rate of Algorithm 3 using base-10 logarithmic scale in the vertical axis
and a linear scale in the horizontal axis. Here the absolute error in each iteration is plotted in red,
and the convergence value predicted in Proposition 8 is plotted in blue

Acknowledgements The authors acknowledge support from the Austrian Science Fund (FWF)
START—project FLAME (‘Frames and Linear Operators for Acoustical Modeling and Parameter
Estimation’; Y 551-N13). They thank Z. Prusa for help with LTFAT.

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01457-5)
91. H. G. Feichtinger, P. Boggiatto, E. Cordero, M. de Gosson, F. Nicola, A. Oliaro,
and A. Tabacco: Landscapes of Time-Frequency Analysis (ISBN: 978-3-030-
05209-6)
92. E. Liflyand: Functions of Bounded Variation and Their Fourier Transforms
(978-3-030-04428-2)
93. R. Campos: The XFT Quadrature in Discrete Fourier Analysis (978-3-030-
13422-8)
94. M. Abell, E. Iacob, A. Stokolos, S. Taylor, S. Tikhonov, J. Zhu: Topics
in Classical and Modern Analysis: In Memory of Yingkang Hu (978-3-030-
12276-8)
95. H. Boche, G. Caire, R. Calderbank, G. Kutyniok, R. Mathar, P. Petersen:
Compressed Sensing and its Applications: Third International MATHEON
Conference 2017 (978-3-319-73073-8)
96. A. Aldroubi, C. Cabrelli, S. Jaffard, U. Molter: New Trends in Applied Har-
monic Analysis, Volume II: Harmonic Analysis, Geometric Measure Theory,
and Applications (978-3-030-32352-3)
97. S. Dos Santos, M. Maslouhi, K. Okoudjou: Recent Advances in Mathematics
and Technology: Proceedings of the First International Conference on Tech-
nology, Engineering, and Mathematics, Kenitra, Morocco, March 26-27, 2018
(978-3-030-35201-1)
98. Á. Bényi, K. Okoudjou: Modulation Spaces: With Applications to Pseudodiffer-
ential Operators and Nonlinear Schrödinger Equations (978-1-0716-0330-7)
99. P. Boggiato, M. Cappiello, E. Cordero, S. Coriasco, G. Garello, A. Oliaro,
J. Seiler: Advances in Microlocal and Time-Frequency Analysis (978-3-030-
36137-2)
100. S. Casey, K. Okoudjou, M. Robinson, B. Sadler: Sampling: Theory and
Applications (978-3-030-36290-4)
For an up-to-date list of ANHA titles, please visit http://www.springer.com/
series/4968