Rosa, A. J. Filters (Passive) The Engineering Handbook. Ed. Richard C.

Dorf Boca Raton: CRC Press LLC, 2000

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107
Filters (Passive)
107.1 Fundamentals 107.2 Applications
Simple RL and RC Filters Compound Filters Constant-k Filters m-Derived Filters

Albert J. Rosa
University of Denver

A filter is a frequency-sensitive two-port circuit that transmits signals in a band of frequencies and rejects (or attenuates) signals in other bands. The electric filter was invented during the First World War by two engineers working independently of each otherthe American engineer G. A. Campbell and the German engineer K. W. Wagner. These devices were developed to serve the growing areas of telephone and radio communication. Today, filters are found in all types of electrical and electronic applications from power to communications. Filters can be both active and passive. In this section we will confine our discussion to those filters that employ no active devices for their operation. The main advantage of passive filters over active ones is that they require no power (other than the signal) to operate.

107.1 Fundamentals
The basis for filter analysis involves the determination of a filter circuit's sinusoidal steady state response from its transfer function T ( j! ) . [Some references use H ( j! ) for the transfer function.] The filter's transfer function T ( j! ) is a complex function and can be represented through its gain jT ( j! )j and phase 6 T ( j! ) characteristics. The gain and phase responses show how the filter alters the amplitude and phase of the input signal to produce the output response. The two characteristics of the filter's transfer function can be used to describe its frequency response. The terminology used to describe the gain and phase characteristics shows how the circuit modifies the input amplitude and phase angle to produce the output sinusoid. The two characteristics describe the frequency response of the circuit since they depend on the frequency of the input sinusoid. The signal-processing performance of devices, circuits, and systems is often specified in terms of frequency response. The gain and phase functions can be expressed mathematically or graphically as frequency-response plots. Figure 107.1 shows examples of gain and phase responses versus frequency, ! .

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Figure 107.1 Low-pass filter characteristics showing passband, stopband, and the cutoff frequency, !C .

The terminology used to describe the frequency response of circuits and systems is based on the form of the gain plot. For example, at high frequencies the gain in Fig. 107.1 falls off so that output signals in this frequency range are reduced in amplitude. The range of frequencies over which the output is significantly attenuated is called the stopband. At low frequencies the gain is essentially constant and there is relatively little attenuation. The frequency range over which there is little attenuation is called a passband. The frequency associated with the boundary between a passband and an adjacent stopband is called the cutoff frequency(!C = 2fC ) . In general, the transition from the passband to the stopband, called the transition band, is gradual, so the precise location of

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the cutoff frequency is a matter of definition. The most widely used approach p defines the cutoff frequency as the frequency at which the gain has decreased by a factor of 1= 2 = 0:707 from its maximum value in the passband. This definition is based on the fact that the power delivered to a resistance by a sinusoidal current or voltage waveform is proportional to the square of its amplitude. At a cutoff frequency p the gain is reduced by a factor of 1= 2 and the square of the output amplitude is reduced by a factor of one half. For this reason the cutoff frequency is also called the half-power frequency. There are four prototypical filters. These are low pass (LP), high pass (HP), band pass (BP), and bandstop (BS). Figure 107.2 shows how the amplitude of an input signal consisting of three separate frequencies is altered by each of the four prototypical filter responses. The low-pass filter passes frequencies below its cutoff frequency !C , called its passband, and attenuates the frequencies above the cutoff, called its stopband. The high-pass filter passes frequencies above the cutoff frequency !C and attenuates those below. The band-pass filter passes those frequencies that lie between two cutoff frequencies, !C 1 and !C 2 , its passband, and attenuates those frequencies that lie outside the passband. Finally, the band-reject filter attenuates those frequencies that lie in its reject or stopband, between !C 1 and !C 2 , and passes all others. Figure 107.2 Four prototype filters and their effects on an input signal consisting of three
frequencies.

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The bandwidth of a gain characteristic is defined as the frequency range spanned by its passband. For the band-pass case in Fig. 107.2 the bandwidth is the difference in the two cutoff frequencies.
BW = !C 2 !C 1 (107:1 )

This equation applies to the low-pass response with the lower cutoff frequency !C 1 set to zero. In other words, the bandwidth of a low-pass circuit is equal to its cutoff frequency (BW = !C ) . The bandwidth of a high-pass characteristic is infinite since the upper cutoff frequency !C 1 is infinity. For the band-stop case, Eq. (107.1) defines the bandwidth of the stopband rather than the passbands. Frequency-response plots are usually made using logarithmic scales for the frequency variable because the frequency ranges of interest often span several orders of magnitude. A logarithmic frequency scale compresses the data range and highlights important features in the gain and phase responses. The use of a logarithmic frequency scale involves some special terminology. A frequency range whose end points have a 2:1 ratio is called an octave and one with a 10:1 ratio is called a decade. In frequency-response plots the gain jT ( j! )j is often expressed in decibels (dB), defined as
jT ( j! )jdB = 20 log 10 jT ( j! )j (107:2)

Gains expressed in decibels can be either positive, negative, or zero. A gain of zero dB means that jT ( j! )j = 1 that is, the input and output amplitudes are equal. A positive dB gain means the output amplitude exceeds the input since jT ( j! )j > 1 , whereas a negative dB gain means the usually occurs output amplitude is smaller than the input since jT ( j! )j < 1 . A cutoff frequency p when the gain is reduced from its maximum passband value by a factor 1= 2 or 3 dB . Figure 107.3 shows the asymptotic gain characteristics of ideal and real low-pass filters. The gain of the ideal filter is unity (0 dB ) throughout the passband and zero (1 dB ) in the stopband. It also has an infinitely narrow transition band. The asymptotic gain responses of real low-pass filters show that we can only approximate the ideal response. As the order of the filter or number of poles n increases, the approximation improves since the asymptotic slope in the stopband is 20 n dB=decade . On the other hand, adding poles requires additional stages in a cascade realization, so there is a trade-off between (1) filter complexity and cost and (2) how closely the filter gain approximates the ideal response.

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Figure 107.3 The effect of increasing the order n of a filter relative to an ideal filter.

Figure 107.4 shows how low-pass filter requirements are often specified. To meet the specification, the gain response must lie within the unshaded region in the figure, as illustrated by is the passband gain. In the passband the two responses shown in Fig. 107.4. The parameter Tmaxp the gain must be within 3 dB of Tmax and must equal Tmax = 2 at the cutoff frequency !C . In the stopband the gain must decrease and remain below a gain of Tmin for all ! !min . A low-pass filter design requirement is usually defined by specifying values for these four parameters. The

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parameters Tmax and !C define the passband response, whereas Tmin and !min specify how rapidly the stopband response must decrease. Figure 107.4 Parameters for specifying low-pass filter requirements.

107.2 Applications
Simple RL and RC Filters
A first-order LP filter has the following transfer function:

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T (s ) =

K s+

(107:3)

where for a passive filter K and = !C . This transfer function can be realized using either of the two circuits shown in Fig. 107.5. For sinusoidal response the respective transfer functions are
T ( j! )RL = R=L ; j! + (R=L) T ( j! )RC = 1=RC j! + (1=RC ) (107:4)

For these filters the passband gain is one and the cutoff frequency is determined by R=L for the RL filter and 1=RC for the RC filter. The gain jT ( j! )j and phase 6 T ( j! ) plots of these circuits are shown in Fig. 107.1. Figure 107.5 Single-pole LP filter realizations: (a) RL, (b) RC.

A first-order HP filter is given by the following transfer function:

T (s ) = Ks s+ (107:5)

where, for a passive filter, K 1 and is the cutoff frequency. This transfer function can be realized using either of the two circuits shown in Fig. 107.6. For sinusoidal response the respective transfer functions are

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T ( j! )RL =

j! ; j! + (R=L)

T ( j! )RC =

j! j! + (1=RC )

(107:6)

For the LP filters the passband gain is one and the cutoff frequency is determined by R=L for the RL filter and 1=RC for the RC filter. The gain jT ( j! )j and phase 6 T ( j! ) plots of these circuits are shown in Fig. 107.7. Figure 107.6 Single-pole HP filter realizations: (a) RL, (b) RC.

Compound Filters
Compound filters are higher-order filters obtained by cascading lower-order designs. Ladder circuits are an important class of compound filters. Two of the more common passive ladder circuits are the constant-k and the m-derived filter (either of which can be configured using a T-section, - section, L-section, or combinations thereof), the bridge-T network and parallel-T network, and the Butterworth and Chebyshev realizations. Only the first two will be discussed in this section. Figure 107.8(a) shows a standard ladder network consisting of two impedances, Z1 and Z2 , organized as an L-section filter. Figures 107.8(b) and (c) show how the circuit can be redrawn to represent a T-section or - section filter, respectively.

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Figure 107.7 High-pass filter characteristics showing passband, stopband, and the cutoff frequency, !c .

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Figure 107.8 Ladder networks: (a) standard L-section, (b) T-section, (c) -section.

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T- and - section filters are usually designed to be symmetrical so that either can have its input and output reversed without changing its behavior. The L-section is unsymmetrical and orientation is important. Since cascaded sections "load" each other, the choice of termination impedance is important. The image impedance, Zi , of a symmetrical filter is the impedance with which the filter must be terminated in order to "see" the same impedance at its input terminals. The image impedance of a filter can be found from
Zi = p Z1O Z1S (107:7)

where Z1O is the input impedance of the filter with the output terminals open circuited, and Z1S is its input impedance with the output terminals short circuited. For symmetrical filters the output and input can be reversed without any change in its image impedancethat is,
Z1i = p Z1O Z1S and Z2i = p Z2O Z2S (107:8) Z1i = Z2i = Zi

The concept of matching filter sections and terminations to a common image impedance permits the development of symmetrical filter designs. The image impedances of T- and - section filters are given as
ZiT = Zi = p p Z1O Z1S = q
1 2 Z 4 1

+ Z1 Z2 Z1 Z2

and (107:9)

The image impedance of an L-section filter, being unsymmetrical, depends on the terminal pair being calculated. For the L-section shown in Fig. 107.8(a) image impedances are
Z1iL = Z2iL q
1 2 Z 4 1

Z1O Z1S = p

2 (1=4)Z1 + Z1 Z2

+ Z1 Z2 = ZiT Z1 Z2

and (107:10)

These equations show that the image impedance of an L-section at its input is equal to the image impedance of a T-section, whereas the image impedance of an L-section at its output is equal to the image impedance of a - section. This relationship is important in achieving an optimum termination when cascading L-sections with T- and/or - sections to form a composite filter. Since Z1 and Z2 vary significantly with frequency, the image impedances of T- and - sections will also change. This condition does not present any particular problem in combining any number of equivalent filter sections together, since their impedances vary equally at all frequencies. To develop the theory of constant-k and m-derived filters, consider the circuit of Fig. 107.9. The

= p

2 (1=4)Z1 + Z1 Z2

= Zi

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current transfer function in the sinusoidal steady state is given by T ( j! ) = jT ( j! )j6 T ( j! ) = I2 =I1 :
T ( j! ) = jT ( j! )j6 T ( j! ) I2 ( j! ) = = e ej = e I1 ( j! ) (107:11)

where is the attenuation in dB, is the phase shift in radians, and is the image transfer function. For the circuit shown in Fig. 107.9 the following relationship can be derived:
tanh = p Z1S =Z1O (107:12)

This relationship and those in Eq. (107.8) will be used to develop the constant-k and m-derived filters. Figure 107.9 Circuit for determining the transfer function of a T-section filter.

Constant-k Filters
O. Zobel developed an important class of symmetrical filters called constant-k filters with the conditions that Z1 and Z2 are purely reactivethat is, X ( j! ) and
Z1 Z2 = k 2 = R 2 (107:13)

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Note that the units of k are ohms; in modern references the k is replaced by an R. The advantage of this type of filter is that the image impedance in the passband is a pure resistance, whereas in the stopband it is purely reactive. Hence if the termination is a pure resistance and equal to the image impedance, all the power will be transferred to the load since the filter itself is purely reactive. Unfortunately, the value of the image impedance varies significantly with frequency, and any termination used will result in a mismatch except at one frequency. In LC constant-k filters, Z1 and Z2 have opposite signs, so that Z1 Z2 = jX1 jX2 = +X1 X2 = R2 . The image impedances become
p ZiT = R 1 (Z1 =4Z2 ) and Zi = p R 1 (Z1 =4Z2 ) (107:14)

Therefore, in the stopband and passband, we have the following relations for standard T- or
- sections, where n represents the number of identical sections: Stopband = 2n cosh 1 Passband

= n; 3n; : : : =0 = 2n sin 1 p

Z1 =4Z2 (107:15)

Z1 =4Z2 p

Figure 107.10 shows normalized plots of and versus Z1 =4Z2 . These curves are generalized and apply to low-pass, high-pass, band-pass, or band-reject filters. Figure 107.11 shows examples of a typical LP - section, an HP T-section, and a BP T-section. Figure 107.10 Normalized plots of attenuation and phase angle for various numbers of sections n.

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Figure 107.11 Typical sections: (a) LP -section, (b) HP T-section, (c) BP T-section.

m-Derived Filters
The need to develop a filter section that could provide high attenuation in the stopband near the cutoff frequency prompted the development of the m-derived filter. O. Zobel developed a class of filters that had the same image impedance as the constant-k but had a higher attenuation near the cutoff frequency. The impedances in the m-derived filter were related to those in the constant-k as
Z1m = mZ1k and Z2m = 1 m2 4m Z1k + 1 Z2k m (107:16)

where m is a positive constant 1 . If m = 1 then the impedances reduce to those of the constant-k. Figure 107.12 shows generalized m-derived T- and - sections.

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Figure 107.12 m-derived filters:(a) T-section, (b) -section.

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The advantage of the m-derived filter is that it gives rise to infinite attenuation at a selectable frequency just beyond cutoff. This singularity gives rise to a more rapid attenuation in the stopband than can be obtained using constant-k filters. Figure 107.13 shows the attenuation curve for a single m-derived LP stage for two values of m. The smaller m becomes, the steeper the attenuation near the cutoff, but also the lesser the attenuation at higher frequencies. Figure 107.13 Attenuation curves for a single-stage filter with m = 0:6 and m = 0:9 .

Constant-k filters have an image impedance in the passband that is always real but that varies with frequency, making the choice of an optimum termination difficult. The impedance of an m-derived filter also varies, but how it varies depends on m. Figure 107.14 shows how the impedance varies with frequency (both normalized) and m. In most applications, m is chosen to be 0.6, keeping the image impedance nearly constant over about 80% of the passband.

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Figure 107.14 ZiT =Rand Zi =R versus normalized frequency for various values of m.

Defining Terms
Bridge-T network: A two-port network that consists of a basic T-section and another element connected so as to "bridge across" the two arms. Such networks find applications as band rejection filters, calibration bridges, and feedback networks. Butterworth filters: Ladder networks that enjoy a unique passband frequency response characteristic that remains very constant until near the cutoff, hence the designation "maximally flat." This filter has its critical frequency remain fixed regardless of the number of stages employed. It obtains this characteristic by realizing a transfer function built around a Butterworth polynomial. Chebyshev filters: A variant of the Butterworth design that achieves a significantly steeper transition band for the same number of poles. Although the Chebyshev filter also maintains the integrity of its critical frequency regarding the number of poles, it trades the steeper roll-off for a fixed rippleusually specified as 1 dB or 3 dBin the passband. Chebyshev filters are also called equal-ripple or stagger-tuned filters. They are designed by realizing a transfer function using a Chebyshev polynomial. Parallel-T networks: A two-port network that consists of two separate T-sections in parallel with only the ends of the arms and the stem connected. Parallel-T networks have applications similar to those of the bridge-T but can produce narrower attenuation bandwidths.

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References
Herrero, J. L. and Willoner, G. 1966. Synthesis of Filters. Prentice Hall, Englewood Cliffs, NJ. Van Valkenburg, M. E. 1955. Two-terminal-pair reactive networks (filters). In Network Analysis. Prentice Hall, Englewood Cliffs, NJ. Weinberg, L. 1962. Network Analysis and Synthesis. W. L. Everitt (ed.) McGraw-Hill, New York. Zobel, O. J. 1923. Theory and Design of Uniform and Composite Electric Wave Filters. Bell Telephone Syst. Tech. J. 2:1.

Further Information
Huelsman, L. P. 1993. Active and Passive Analog Filter DesignAn Introduction. McGraw-Hill, New York. Good current introductory text covering all aspects of active and passive filter design. Sedra, A. S. and Brackett, P. O. 1978. Filter Theory and Design: Active and Passive. Matrix, Beaverton, OR. Modern approach to filter theory and design.

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