IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 49, NO.

5, MAY 2001

979

Fractional Convolution and Correlation via Operator

Methods and an Application to Detection of Linear
FM Signals
Olcay Akay, Member, IEEE, and G. Faye Boudreaux-Bartels, Fellow, IEEE

AbstractUsing operator theory methods together with our recently introduced unitary fractional operator, we derive explicit
definitions of fractional convolution and correlation operations in
a systematic and comprehensive manner. Via operator manipulations, we also provide alternative formulations of those fractional
operations that suggest efficient algorithms for discrete implementation. Through simulation examples, we demonstrate how well the
proposed efficient method approximates the continuous formulation of fractional autocorrelation. It is also shown that the proposed
fractional autocorrelation corresponds to radial slices of the ambiguity function (AF). We also suggest an application of the fast
fractional autocorrelation for detection and parameter estimation
of linear FM signals.
Index TermsHermitian and unitary fractional operators,
Fourier transform, fractional autocorrelation, fractional convolution, fractional Fourier transform, timefrequency analysis.

I. INTRODUCTION

IME and frequency represent two fundamental physical

variables of signal analysis and processing. The Fourier
transform (FT), which provides a mapping between the time
domain and frequency domain representations of a signal, has
been used extensively in signal processing applications [1]. The
of a time domain signal
is defined
continuous-time FT
as
(1)
where denotes the FT operator. The FT can be considered as
with respect to
a reformulation of the time domain signal
the frequency variable of a complete and orthogonal basis of
complex sinusoidal exponentials. Therefore, it is said to reveal
. As a widely accepted
the frequency content of the signal
convention, time and frequency form the orthogonal coordinates
of the timefrequency plane. Thus, since it is a representation
with respect to frequency, the FT of a time domain signal can
Manuscript received November 8, 1999; revised November 21, 2000. This
work was supported in part by a grant from the Ministry of National Education
of Turkey and by the Office of Naval Research under Grant N00014-96-1-0350.
The associate editor coordinating the review of this paper and approving it for
publication was Dr. Xiang-Gen Xia.
O. Akay is with the Department of Electrical and Electronics Engineering,
Dokuz Eylul University, Izmir, Turkey (e-mail: olcay.akay@eee.deu.edu.tr).
G. F. Boudreaux-Bartels is with the Department of Electrical Engineering, University of Rhode Island, Kingston, RI 02881 USA (e-mail:
boud@ele.uri.edu).
Publisher Item Identifier S 1053-587X(01)02260-7.

Fig. 1. Fractional domain r of the timefrequency plane associated with the

angle .

also be viewed as a
rad rotation of the original signal in the
counterclockwise direction of the timefrequency plane.
Following this interpretation, the fractional Fourier transform
(FRFT) was developed as a generalization of the FT through
an angle parameter [2], [3]. According to this generalization, for each fixed value of the angle parameter , the corresponding FRFT rotates a time domain signal counterclockwise
by an angle of . As a result of its general framework, when
, the FRFT reduces to the identity transform, which is
, it
the time domain representation of the signal. For
simplifies to the FT, which is the frequency domain representation. For other values, the FRFT provides a representation
with respect to a fractional variable, say , of a fractional domain in between the time and frequency domains (see Fig. 1).
From now on, we refer to the FT in (1) as the conventional
FT to emphasize the distinction with the FRFT. Thanks to its
desirable properties, the FRFT has been used in numerous applications such as solving differential equations [4], quantum mechanics [4], optical information processing [3] and signal processing [2], [5][7].
Convolution and correlation operations are fundamental in
the theory of linear time-invariant (LTI) systems [1]. Convoluand
is given by
tion of two continuous-time signals

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The output of any continuous-time LTI system is found via the

with the system impulse
convolution of the input function
. Correlation, which is similar to convolution, is
response
another important operation in signal processing, especially in
detection applications. Correlation between two different time
and
is called cross-correlation and is
domain signals
defined as1 [1]
(3)
Note from (3) that cross-correlation can be calculated via conwith the time-reversed and complex-conjugated
volution of
. In the special case where
,
signal
the correlation operation is called autocorrelation. Thus, the auis given [1] as
tocorrelation of the signal
(4)
The conventional FT is a useful tool in this context because the
LTI convolution and correlation operations in (2)(4) transform
into simple multiplication operations in the frequency domain.
The convolution property [1] of the conventional FT is given by
(5)
Similarly, for the cross-correlation operation, one has
(6)
which can be slightly modified for autocorrelation to give the
autocorrelation theorem
(7)
Since the FRFT generalizes the conventional FT into arbitrary
orientations of the timefrequency plane other than frequency
, it is natural to ask the following quesdomain of
tions: What are the definitions of the fractional convolution and
fractional correlation operations associated with the FRFT? Assuming they exist, do these operations generalize the LTI convolution and correlation operations within a rotational framework?
How are the convolution and correlation properties in (5)(7) of
the conventional FT generalized by the FRFT?
In this paper, our main objective is to provide answers to these
questions. To that end, we will utilize operator theory methods
that were successfully employed in deriving many theoretical
results of signal analysis, especially in the area of timefrequency analysis [8][11]. Formulations of LTI convolution and
correlation operations can be derived [10] using either the wellknown unitary time-shift operator [10], [11] or its Hermitian
counterpart [8], [10], [11]. Similarly, our methodology in this
1For cross-correlation and autocorrelation operations defined in (3) and (4),
respectively, we use the time-lag variable  as the output variable. In the following sections, this convention will allow us to better illustrate the relationship
between the one-dimensional (1-D) correlation operations studied in this paper
and the narrowband symmetric ambiguity function (AF) [8], [9], which can be
interpreted as a two-dimensional (2-D) correlation function.

paper consists of embedding the recently introduced [12] unitary fractional-shift operator within the general framework of
operator theory with the purpose of deriving fractional convolution and correlation.
Some preliminary development of the ideas in this paper were
previously published in [13], [14]. Here, we aim to combine the
theoretical results on fractional convolution and correlation operations reported in [13] and simulations and possible applications presented in [14]. Separate work aimed at defining fractional convolution and correlation operations, as well as some
of their possible applications, have also been reported by various optics and signal processing researchers [15][25]. We will
refer to these works as needed in later sections. It is our belief
that although some of our results coincide with those reported
elsewhere, our suggestion of using operator theory methods together with our recently introduced unitary and Hermitian fractional operators [12] in order to define fractional correlation and
convolution operations is a novel and unifying approach. We believe that the following benefits might be gained by adopting the
operator theory approach.
1) Formulating the FRFT and related fractional concepts
using operator theory methods can provide them with a
sound theoretical footing and might lead to additional insight. Since the fractional operators are generalizations of
the time and frequency operators [12], the fractional operations derived from them fit nicely within the theory of
timefrequency analysis.
2) The unitary and Hermitian fractional operators employed
are unique and related to the FRFT in a fundamental
manner. In fact, the FRFT can be defined as the transformation obtained as a signal expansion onto the eigenfunctions of the fractional operators [12]. As a consequence,
the fractional convolution and correlation operations defined via the fractional operators are also unique and fundamentally related to the FRFT. Arriving at a unique and
meaningful definition that is consistent with the theory of
timefrequency analysis might be helpful in alleviating
some of the confusion that could arise from being faced
with numerous definitions for fractional convolution and
correlation operations.
3) One of the advantages of working with operators is that
it is straightforward to manipulate them in deriving various equations. We exploit this fact to provide alternative
equivalent definitions of fractional convolution and correlation operations. As we will show, these alternative definitions suggest different paths for the discrete implementation of those operations.
The outline of the paper is as follows. In the next section, we
review the FRFT and unitary and Hermitian fractional operators. In Section III, we use fractional operators to derive definitions of fractional convolution, cross-correlation, and autocorrelation operations and present their alternative formulations.
In Section IV, we present simulations that implement fractional
autocorrelation using efficient algorithms. In Section V, a practical application involving detection and parameter estimation
of linear FM (chirp) signals is presented. A summary and conclusions section appear at the end of the paper.

AKAY AND BOUDREAUX-BARTELS: FRACTIONAL CONVOLUTION AND CORRELATION VIA OPERATOR METHODS

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II. PRELIMINARIES AND NOTATION

A. Fractional Fourier Transform
Timefrequency representations are signal transformations
that describe how the spectral content of a time-varying signal
or a nonstationary process is changing with time. As one of the
most notable examples of those representations, the Wigner disis defined [8], [9]
tribution (WD) of a time domain signal
as
WD

(8)

The fractional Fourier transform (FRFT) [2], [3], which is

a rotational generalization of the conventional FT in the
timefrequency plane, has recently gathered some interest in
the timefrequency analysis area. The FRFT of a time domain
signal can be construed as a counterclockwise rotated version
of the original signal by an angle . Thus, the FRFT has an
angle parameter , which could theoretically assume any real
is defined [2], [3] as (9),
value. The FRFT of the signal
shown at the bottom of the page, where
FRFT operator associated with angle ;
fractional Fourier transformed signal;
integer.
The FRFT is a linear, unitary transformation. It is periodic with
respect to its angle parameter with a period of . Based on
its inversion formula [2], the FRFT can also be interpreted as
a signal expansion onto linear FM (chirp) functions having a
.
sweep rate of
, the FRFT reduces to the
As a special case, when
identity transform
(10)

Fig. 2. Schematic illustration depicting the effect of the FRFT on the WD. (a)
WD (t; f ), WD of the signal s(t). (b) WD (t; f ), WD of the FRFT signal
S (r ).

One of the defining properties of the FRFT links it with the

Wigner distribution (WD) function in (8). This relationship between the FRFT and the WD is expressed [2], [3] as
WD

WD

(14)

on the left-hand side denotes the WD of

In (14), WD
, whereas WD
on the right-hand
the FRFT signal
. Acside is the WD of the original time domain signal
and WD
are simply rotated
cording to (14), WD
versions of each other. The angle of this rotation is equivalent
to the angle parameter of the FRFT. The effect of the FRFT on
manifests itself through a rotation of the
the original signal
, as illustrated in Fig. 2. Thus, it can
original WD,
be said that the WD is rotationally covariant to the effect of the
FRFT.
The Radon transform (RT) of the Wigner distribution of
, which is denoted by
, is called the
the signal
RadonWigner transform (RWT) [26], [27]. The RWT is equal
to the squared magnitude of the FRFT of the signal [26], [27].
That is
(15)

which gives the time domain representation of the signal

, the FRFT simplifies to the conventional FT2
For

(11)
. Finally,
which is the frequency domain representation of
, the FRFT simplifies to a reversal of the time axis
for
(12)
A fundamental property of the FRFT is the so-called angle additivity property, which can be given [2], [3] as
(13)
2From now on, we will adopt the notations
and S
(f ) to denote the
conventional FT operator and the Fourier transformed signal, respectively.

The squared magnitude of the FRFT in (15) has also been called
the generalized marginal of the WD [3], [6], [28].
B. Fractional Operators
Adopting a method employed in quantum mechanics,
researchers in theoretical signal processing have associated
physical variables of interest with Hermitian and unitary operators [8], [10], [11]. For example, the fundamental Hermitian
time and frequency operators3 are defined [8] as
(16)
3We will use script capital letters to denote Hermitian operators and boldface
capital letters to denote unitary operators. We primarily operate in the Hilbert
space of square-integrable functions L ( ), which has inner product hg; hi =
g (t)h (t) dt for g; h 2 L ( ) and norm kg k = hg; g i.

(9)

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The eigenfunctions of are impulse functions

, and
the signal expansion onto these eigenfunctions is simply the
are comidentity transform in (10). The eigenfunctions of
plex exponentials, and the signal transform obtained as a signal
expansion onto these eigenfunctions is the conventional FT in
(1) and (11). Equally important to the Hermitian operators in
and
(16) are their unitary counterparts: the unitary time-shift
operators that constitute the unitary operator
frequency-shift
representations of time and frequency, respectively. They are defined [10], [11] as
(17)
The equivalence of Hermitian and unitary operator representations has been established by utilizing Stones theorem and the
duality concept [11]. For example, time and frequency are dual
variables. Stones theorem relates their Hermitian and unitary
operators in (16) and (17) as
and

(18)

Similarly, other variables such as scale have also been associated

with operators [8], [10], [11].
Motivated by the operator methods and the fact that the FRFT
in (9) generalizes the identity transform in (10) and the conventional FT in (11) in a rotational manner, we recently introduced
as the unitary rep[12] the unitary fractional-shift operator
resentation of the fractional variable associated with the angle
.
can be defined as
(19)
is moThis definition of the unitary fractional-shift operator
tivated by the unitary equivalence relationship between the uniand the unitary frequency-shift optary time-shift operator
given [10] as
erator

Fig. 3. Schematic illustration depicting the effect of the unitary fractional

operator
on the WD. (a) WD (t; f ), WD of the signal s(t). (b)
WD
(t; f ), WD of the fractionally shifted signal (
s)(t).

Just as the FRFT reduces to the identity transform and the

and
, the
conventional FT as special cases, for
simplifies to the unitary time-shift
fractional shift operator
and
and frequency-shift operators in (17) as
, respectively.
By applying Stones theorem and the duality concept to the
, we derived [12] the Herunitary fractional-shift operator
mitian fractional operator as

(23)
where and are the Hermitian time and frequency operators
in (16). Similar linear combinations of and have also been
studied in [28] and [31]. Analogous to its unitary counterpart in
in (23) also simpli(21), the Hermitian fractional operator
fies to the Hermitian time and frequency operators in (16)
and
, respectively. That
for the special cases of
, and
.
is,
The duality relation for the unitary and Hermitian fractional
operators is given [12] by

(20)

(24)

Note that (19) generalizes (20) by replacing the conventional

with the FRFT operator . As a result,
FT operator
describes a signal shift along the arbitrary orientation of the
timefrequency plane by a radial distance (see Fig. 3). Using
operating on the time do(19), the explicit formulation of
is derived [29] as
main signal

from which one can recover the duality relations between time
and
, respectively.
and frequency in (18) for
Due to (24), it is said that the fractional variable associated with
is the dual of the fractional variable associangle
ated with angle . Because of this duality relation, the operators
and
share the same set of eigenfunctions [12] and
the signal transform defined as a signal expansion onto these
eigenfunctions is the FRFT in (9). Thus, the fractional operators in (21) and (23) are related to the FRFT in the same sense
as the identity transform and the conventional FT relate to the
time and frequency operators, respectively.

(21)
Operators similar to (21) were separately considered in [30].
The operator definition of the unitary fractional-shift operator
in (19) directly leads to the following additivity and inversion
properties:
(22)

C. Linear Time Invariant (LTI) Convolution and Correlation

In this section, we review how the unitary time-shift operin (17) can be used to derive the LTI convolution and
ator

AKAY AND BOUDREAUX-BARTELS: FRACTIONAL CONVOLUTION AND CORRELATION VIA OPERATOR METHODS

correlation in (2)(4). Using

, the time domain convolution
operation in (2) can be expressed4 [10] by an inner product5

(25)
, and
is the axis-reversal operator as
where
given in (12). Similarly, the LTI cross-correlation in (3) can be
obtained by
(26)
The LTI convolution and correlation are related via an axis re. That
versal and a complex conjugation of the second signal
is

983

used in the previous section in deriving the conventional LTI

convolution and correlation. Since the unitary fractional-shift
in (21) generalizes the unitary time shift operoperator
(
) into fractional (arbitrary ) domains of the
ator
time-frequency plane, it naturally lends itself to defining fractional convolution and correlation. Accordingly, we define these
fractional operations by generalizing the unitary time-shift operused in the definition of the LTI operations in (25)(28),
ator
. Thus, the forwith the unitary fractional-shift operator
mulation of fractional convolution associated with the angle
is found by computing the inner product of the input signal
with the axis-reversed, complex-conjugated, and fractionas6
ally shifted version of the function

(27)
Finally, the LTI autocorrelation in (4) can be formulated as
(30)

(28)
One defining property of an LTI system and associated LTI operations is their covariance to time shifts. This can be proven
[10] by

, (30) simplifies to the LTI convoluBy construction, for

tion in (25).
Similarly, the fractional cross-correlation of the functions
and
can be defined by replacing
with
in the
definition of the LTI cross-correlation in (26)

(29)
which shows that LTI convolution fully reflects the effect of
on the signal
. The same
the unitary time-shift operator
covariance property is also valid for the LTI cross-correlation in
(26) and the LTI autocorrelation in (28).
can be used
Since the unitary time shift operator
in defining the LTI convolution and correlation, a natural
question, which we explore in the next section, follows: Can
fractional convolution and correlation operations affiliated
with the fractional domain at an arbitrary angle be similarly
?
defined using the fractional shift operator
III. FRACTIONAL CONVOLUTION AND CORRELATION

(31)
, the fractional cross-correlation simNote that, again, for
plifies to the LTI cross-correlation operation. Similar to the relation in (27) for LTI convolution and correlation, fractional convolution is related to fractional correlation by
(32)
If, in the definition of fractional cross-correlation in (31), we
with the function
, we obreplace the second function
tain the definition of fractional autocorrelation as

A. Derivations of Fractional Convolution and Correlation

In this section, we derive the definitions of fractional convolution and correlation using the operator method that was also
4In the inner product in (25), we used the complex-conjugated and axis-re~ (t) = h ( t) of the second function h(t) in order to derive
versed version h
the conventional form of the temporal convolution in (2). In [10, eq. (17)], the
axis-reversed version of h(t) is used without complex conjugation, resulting in
the slightly different LTI convolution definition

(s3 h)(t) = hs;

hi =

s( )h (t 0  ) d:

3
3

5Here, we extend the notations and ? in (2) and (3) to include a fractional
angle subscript. The new notations and ? denote the conventional temporal
LTI convolution and correlation, respectively, as they associate these LTI operations with the FRFT angle for the time domain ( = 0). Similarly,
and
? are going to be used to indicate convolution and correlation operations in
the frequency domain ( = =2).
and ? are reserved for the most general
case to denote fractional convolution and correlation operations associated
with the fractional domain at angle .

(33)
The fractional autocorrelation also generalizes the LTI autocorrelation accordingly. Table I displays the definitions of fractional convolution and correlation operations.
Recall that we arrived at the definition of fractional autocorrelation in (33) starting from the unitary fractional-shift operator
in (21). In [13], we also derived fractional autocorrelation
6Similar to LTI convolution definition in Footnote 4, if we use only the axisreversed version of h(t) inside the inner product in (30) (without complex conjugation), the corresponding fractional convolution definition is derived [13] as

(s3 h)(r) = s;

h
s( )h (r cos  0  )

=e

1e

d:

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TABLE I
DEFINITIONS OF THE FRACTIONAL CONVOLUTION AND CORRELATION OPERATIONS ASSOCIATED WITH THE FRACTIONAL DOMAIN AT ANGLE 

using the Hermitian fractional operator

in (23) and the characteristic function operator method [8]. The definition obtained
through the Hermitian fractional operator is identical to the one
in (33). Although it is a satisfying result, this should not come as
a complete surprise since the Hermitian and unitary fractional
operators are related to each other by Stones theorem and the
duality concept via (24), as shown in [12].
Similar to time-shift covariance of LTI systems, fractional
convolution and correlation operations are covariant to fractional shifts represented by the unitary fractional-shift operator
. For example, for fractional convolution, this can be shown
[13] by

via the LTI convolution of conventional FT signals

(axis-reversed). That is

and
(36)

, along with the angle adUsing the axis-reversal operator,

ditivity property in (13) and the periodicity property [2], [3] of
the FRFT operator , we can also express (36) in the following
forms:7

(37)

(34)
is unitary and
where we used the fact that
as given by the inversion property in (22). Fractional correlation
operations in (31) and (33) are also covariant to fractional shifts
.
in the same fashion, i.e.,
B. Linear Frequency Invariant (LFrI) Convolution and
Correlation
Using operator theory concepts, it has been established that
time and frequency variables are duals of each other [11]. In a
geometrical sense, duality can be loosely interpreted as orthogonality. It is possible to derive the duals of all of the time domain LTI operations given in (25)(28) for the dual frequency
can be obdomain. Recall that the frequency shift operator
for
tained as a special case of the fractional shift operator
, i.e.,
. Thus, if we substitute
in
(30), (31), and (33), we can derive the linear frequency invariant
(LFrI) convolution and correlation. For instance, the LFrI coninto (30)
volution is derived simply by plugging

(35)

by the
where we used the fact that
periodicity property of the FRFT operator .
Following the steps in (29), it can be shown that LFrI convolution defined in (35) is covariant to frequency shifts
(38)
The LFrI counterparts of cross-correlation and autocorrelation
can also be derived similar to (35). Definitions of the LFrI
convolution and correlation operations together with their LTI
counterparts are in Table II. Note from Table II that, as opposed
to LFrI convolution in (36), LFrI correlation operations are
obtained via the corresponding LTI correlations, without the
. That is
axis reversal of the second FT function

and
(39)
C. Alternative Formulations of Fractional Convolution and
Correlation
Operator methods are advantageous when they make it easier
to manipulate equations. We exploit this fact in deriving alternative formulations of fractional convolution and correlation.
Having alternative, equivalent formulations allows one to better
understand these fractional operations and their relationship
with the FRFT. Furthermore, using alternative formulations, we
7If one uses the fractional convolution definition in Footnote 6, then the corresponding LFrI convolution can be expressed [13] as

and
denote the conventional FTs of
where
and
, respectively. In deriving the last equality, we used
the multiplication property [1] of the conventional FT. By comparing the last expression in (35) with the LTI convolution in
(25), one can notice that the LFrI convolution can be expressed

(s3

h)(f ) =
= (S

[compare with (35) and (37)].

( )[H
3 H

(f

)(f )

0  )]

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TABLE II
DEFINITIONS OF THE LINEAR TIME INVARIANT (LTI) AND LINEAR FREQUENCY INVARIANT (LFrI) CONVOLUTION AND CORRELATION

can devise computationally efficient algorithms that approximate fractional convolution and correlation in discrete time.
, we can rewrite the fractional
Using the unitarity [2] of
convolution in (30) as

(40)
is defined as
where the translation operator
for any arbitrary variable . In (40), we used the fractional shift covariance property [12] of , which is given as
(41)
Using the commutativity property
(40), we can rewrite (41) as

of

in

Using the additivity property of the FRFT

we can rewrite (43) and (45) as8

(46)
This suggests another alternative form in which the fractional
convolution associated with the angle can be computed by
of the first signal
multiplying the FRFT at angle
, with the FRFT at angle
of the second
, and then taking a conventional inverse FT.
signal
This formulation can be used along with fast FFT and FRFT [32]
algorithms to efficiently implement a discrete approximation of
the fractional convolution.
By a similar derivation leading up to (43), we can also derive
an alternative formulation of fractional autocorrelation in (33)
as

(47)
(42)
and
where
we also used the FRFT property [28],
Finally, writing (42) explicitly, we obtain

. In (42),
.

Note from (47) that fractional autocorrelation can alternatively

. If we
be calculated via the temporal autocorrelation of
apply the autocorrelation property in (7) to the right-hand side
of (47), we obtain a second alternative formulation of fractional
autocorrelation as
(48)

(43)
The formulation in (43) provides an equivalent definition of the
fractional convolution operation in (30). We can see from (43)
that fractional convolution at angle can equivalently be calcuand
.
lated by a conventional LTI convolution of
Note that since the FRFT itself simplifies to the identity transand
, respecform and the conventional FT for
tively, it is easy to see that the fractional convolution formulation
in (43) simplifies to corresponding LTI convolution in (25) and
LFrI convolution in (37) for those special angle values. Utilizing
the convolution property

and one conIn this form, one FRFT with angle

ventional inverse FT are used in computing the fractional autocorrelation at angle . The formulation in (48) suggests a discrete-time approximation of fractional autocorrelation based on
fast FFT and FRFT algorithms. The two alternative formulations of fractional cross-correlation are similarly obtained by
in (47) and (48) with
. These alreplacing the second
ternative formulations of fractional cross-correlation are given
in the third row of Table III.
of both sides, (48)
By computing the conventional FT
can be rewritten as

(44)

(49)

of the conventional FT, it is possible to derive a third formulation

of the fractional convolution. By applying (44) to the right-hand
side of (43), we obtain

(45)

8Alternative formulations of the fractional convolution definition in Footnote

6 are given [13] as

s h r
S H )(r)
S

( 3 )( )
= ( 3
=

[compare with (43) and (46)].

u H

( )

(0 )

( )

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TABLE III
ALTERNATIVE FORMULATIONS OF THE FRACTIONAL CONVOLUTION AND CORRELATION OPERATIONS ASSOCIATED WITH THE FRACTIONAL DOMAIN AT
dt, SIMPLIFIES TO THE AUTO AF IN (51) WHEN
ANGLE . THE CROSS AF, AF (;  ) = s(t + (=2))h (t (=2))e
h(t) = s(t). THESE ALTERNATIVE EQUATIONS ARE EQUAL TO THOSE IN TABLE I

This equality can be considered to be a fractional generalization

of the autocorrelation theorem of the conventional FT in (7),
which can be deduced from (49) for

Thus, comparing (53) with (51), fractional autocorrelation can

be related to the AF by

(50)

This property generalizes the equalities given in (52) for time

) and frequency (
) domain autocorrelations into
(
fractional domain autocorrelations. One can deduce from (54)
that fractional autocorrelation associated with the fractional domain of angle , as defined in (33), can also be recovered by
taking a slice of the AF at angle in the ambiguity plane (see
Fig. 4). This property is the dual of the generalized marginal
property in (15) between the RWT and the FRFT. The idea that
radial slices of the AF should correspond to fractional correlation has been previously suggested in [3] and [20]. Similarly,
in [25], the authors define fractional cross-correlation as radial
slices of the cross AF. This property can be seen in the fourth
column of Table III. Note that a corollary of the property in (54)
is

All alternative formulations of fractional operations derived in

this section can be seen in the second and third columns of
Table III.
D. Fractional Autocorrelation and the Ambiguity Function
(AF)
The FRFT has been shown to be related to the WD [2], [3].
Via fractional autocorrelation, it can also be related to the 2-D
Fourier transform of the WD, which is known as the Woodward
(narrowband) ambiguity function (AF). The AF of a signal
can be considered to be a 2-D joint correlation function of time
lag and frequency lag [8], [9]. Definition of the symmetrical
can be derived using the unitary
form of the AF of the signal
and the frequency-shift operator
in
time-shift operator
(17)
AF
(51)
A well-known property of the AF is that one can recover the LTI
and LFrI autocorrelations in the fourth row of Table II by taking
) and vertical (
) cross sections of the
horizontal (
AF, respectively [9], that is
AF

and

AF
(52)

The relationship between the AF and the fractional autocorrelation is a generalization of the equalities in (52) into other orientations of the AF plane. This can be seen by applying the change
in (33)
of the integration dummy variable
to obtain

(53)

AF

(54)

(55)
which states that fractional autocorrelation assumes its max. This is a result of the property that
imum value when
. Since
the AF has its maximum value at the origin as AF
each different fractional autocorrelation operation at a specific
angle corresponds to a cross-section of the AF at angle ,
all fractional autocorrelations for all angles are guaranteed to
. This is a desirable property
have their maximum value at
for any meaningful autocorrelation operation.
E. Comparisons with Other Definitions
Our second alternative formulations of fractional convolution
and cross-correlation (similarly for autocorrelation) associated
with the fractional domain at angle were given in Table III as

(56)
(57)
, (56) and (57) specialize to the
respectively. Note that for
well-known convolution and correlation properties in (5) and
(6).

AKAY AND BOUDREAUX-BARTELS: FRACTIONAL CONVOLUTION AND CORRELATION VIA OPERATOR METHODS

987

is proposed to be calculated by multiplying two FRFTs with

angle followed by a conventional inverse FT

Fig. 4. Schematic illustration of the property in (54) showing that fractional

autocorrelation at angle  is equal to the radial slice of the AF at angle  in the
timefrequency plane.

Other definitions of fractional convolution and fractional

correlation have been proposed in the literature [3], [15], [18],
[20][24]. They are typically formulated so that the complicated operations of fractional convolution and correlation
transform to equivalent, yet simpler, operations formed by
multiplication of FRFTs in some specially chosen fractional
domains. Many of the proposed definitions for fractional
convolution and correlation at a desired angle can be written
in the most general form9
(58)
denotes a complex exponential term that can dewhere
pend on the angle of the convolution or correlation operation. In addition, in some fractional correlation definitions, the
can be comsecond multiplicative term on the right
plex conjugated. Thus, all these definitions formulate fractional
convolution and correlation via multiplication of FRFTs
and
. The proposed definitions differ philosophically as
of the FRFT operator
should be
to whether the angle
or an FRFT
chosen to be a conventional FT angle
angle that is equivalent to the angle of the operation
or an FRFT angle that is orthogonal to the angle of the op. Additionally, we are concerned as
eration
should be collinear to [3], [22][24] or different
to whether
and . Typically,
from [13], [15], [20] the FRFT angles
and
on the right side of (58) have been
the FRFT angles
chosen to be either collinear [15], [20], [22][24]
or orthogonal [3], [13],
to the angle
of the fractional convolution or correlation operation under consideration.
Comparing (58) with our fractional convolution definition in
,
, and
(56), one sees that
, and the multiplicative complex exponential term in (58)
. Similarly, for our fractional correlation
is trivially
,
,
definition in (57),
, and the second multiplicative term
is complex
conjugated.
A definition for fractional correlation that is almost identical
to (57) was previously proposed in [15] and [20], where the fractional cross-correlation associated with the fractional angle10

(59)
Thus, comparing (59) with the most general form in (58), we can
,
, and
, and the second
see that
is complex conjugated. Note also, by
multiplicative term
comparing with (57), that the definition in (59) corresponds to
our definition of fractional cross-correlation but is associated
,
with the fractional domain at the orthogonal angle
rather than . That is
(60)
One of the advantages of the operator method used here is that
it allows us to associate the definitions of fractional operations
with the proper11 fractional domains. Thus, the fractional convolution and correlation operations corresponding to each and
every fractional domain of the timefrequency plane is given
precisely and without any ambiguity. Some applications and the
performance analysis of the definition in [15] and [20] have been
considered in [16], [17], and [19].
In [22] and [23], fractional convolution at angle is defined
as the product of two FRFTs and a complex exponential term

(61)
Comparing with the most general form in (58), one can see
, and the complex exponential term
that
. This definition is clearly
is given by
different from our definition of fractional convolution in (56).
and
is
In our definition, fractional convolution of
calculated by multiplying the two FRFT signals
and
and then computing the inverse conventional
, whereas, in (61), it is computed by first
FT at angle
and
and a
multiplying the two FRFT signals
complex exponential term, followed by the inverse FRFT,
. The definition in (61) can
namely, the FRFT with angle
be deemed desirable by some in the sense that the FRFT at
angle of the fractional convolution defined at the same angle
is equal to the product of the FRFTs at of the individual
and
, except for the additional multiplication
functions
. Historically, this
by the constant exponential term
is how convolution is defined. For example, the convolution
property in (5) of the conventional FT states that the FT of
the convolution is equal to the product of the FTs of the
individual functions. However, on the flip side, the problem
with the convolution definition in (61) is that its autocorrelation
counterpart cannot satisfy the desirable property in (54). In

9We use the notation ; ?

to indicate that the most general equation in
(58) can denote either a fractional convolution or a fractional correlation operation at angle . We will also distinguish among different definitions of fractional
convolution and correlation proposed in the literature by using the superscript
[ref :], which indicates the reference number in which a particular definition was
proposed.
10In [15], instead of the angle parameter , the fractional order parameter P
is used. They are related to each other as  = P (=2).

11By proper, we mean that the fractional autocorrelation defined for the
fractional domain at angle  should be equal to the radial slice at angle  of
the AF as in (52) and (54). In addition, it should generalize the conventional
FT autocorrelation property in (50). The fractional autocorrelation at angle 
defined via (59) also corresponds to a slice of the AF but at the orthogonal angle
 (=2), rather than .

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fact, the fractional autocorrelation counterpart of (61) can be

related to the AF by

AF

(62)

. Thus, fractional autocorrelation counterwhere

parts of fractional convolution defined in [22] and [23] are not
exactly equal to the radial slices of the AF.
Other fractional convolution definitions similar to (61) also
appeared in the literature. For example, in [3], the definition of
fractional convolution at angle is proposed as

(63)
Similarly, in [24], fractional convolution at angle

is defined as
(64)

Other operations named either fractional convolution or fractional correlation have also been proposed in the literature. In
[18], rather than defining fractional convolution and correlation
operations, the author derives the analytical expressions giving
the FRFTs of two functions multiplied in time and convolved
in time. In [21], propagation and thin-lens phase-delay operators of optics are used to derive the 2-D optical FRFT operation
with respect to two spatial variables. Consequently, their proposed fractional convolution and correlation operations are notably different than the ones suggested in this paper.
Defining fractional operations using operator theory methods
allowed us to derive the important result in (54). We believe that
the property given in (54) is a defining property of fractional
autocorrelation and should be satisfied in order to rotationally
generalize the relationships in (52) between the conventional
time and frequency domain correlations and the AF. Arriving at
this satisfying result strengthens our belief that the definitions
derived in this paper using operator theory principles represent
ideal definitions of fractional convolution and correlation that
generalize the LTI and LFrI convolution and correlation into
fractional domains.
IV. EFFICIENT CALCULATION OF FRACTIONAL
AUTOCORRELATION
In this section, we use the alternative formulations in
Table III to propose an efficient algorithm to compute a discrete
approximation of fractional autocorrelation. Recall from (33)
and Table III that fractional autocorrelation can be written
in four different, yet equal forms. As the first definition of
fractional autocorrelation, we derived (33) from principles of
operator theory. Using operator methods in modifying (33),
we then arrived at (47), which suggests calculating fractional
autocorrelation at angle via the conventional autocorrelation
. As yet another alternative, the formula in (48) is
of
executed by taking the conventional inverse FT of the squared
magnitude of the FRFT associated with the orthogonal (dual)

angle parameter
. Finally, the equation in (54) states
that the radial slice of the narrowband AF evaluated along the
orientation is equal to the fractional autocorrelation at angle
.
Looking at (33), we observe that a direct Riemann sum
discrete-time approximation of the fractional autocorrelation
integral would require interpolation of a uniformly sampled
. Instead, we introduce a discrete-time
signal
fractional autocorrelation algorithm based on (48), which we
call Method I. We test the accuracy of Method I with respect
to exact closed-form expressions for continuous-time fractional
autocorrelation of some example signals. We also compare our
new algorithm with a discrete approximation of (54) based on
radial slices of the AF, which we call Method II.
A. Method I
Method I uses a discrete-time approximation of (48) that involves the use of the FRFT and the conventional FT. Fast discrete approximations of the continuous FRFT exist. The discrete
FRFT algorithm proposed in [32] has a computational load of
for a length discrete-time signal, making it comparable in efficiency to the fast Fourier transform (FFT) [1] algorithm. Thus, utilizing the discrete FRFT proposed in [32] along
with the FFT, a discrete-time calculation of fractional autocorrelation via Method I can be realized without excessive computational overhead. In Method I, fractional autocorrelation of a
is evaluated in discrete time for
different angles
signal
by the following steps.
First, uniformly sample
with satisfying the sampling criteria in [32]. Then, for
:
each angle,
of the sam Calculate the FRFT at angle
pled signal using the fast FRFT [32].
Square the discrete FRFT magnitude.
Evaluate the inverse conventional Fourier transform
via the FFT.
B. Method II
Method II first uniformly samples the signal and computes
its discrete-time AF on the conventional rectangular grid. Then,
for each angle , fractional autocorrelation is calculated by
using linear interpolation of the discrete AF to approximate the
right-hand side of (54).
C. Computational Comparison
The major computational load in Method I is due to the discrete FRFT and the inverse FFT, both of which are
operations for a length- signal. If we want to calculate fracdifferent angles, then the total cost
tional autocorrelation for
. In comparison, Method
of Method I is
II requires a one-time evaluation of the discrete-time AF, which
operations as a start-up cost. For
different
has
interpoangles, Method II requires the additional cost of
. Thus, when
lations, making the total cost
, evaluation via Method I has significant computational
advantage over calculation via Method II.

AKAY AND BOUDREAUX-BARTELS: FRACTIONAL CONVOLUTION AND CORRELATION VIA OPERATOR METHODS

989

Fig. 5. Magnitude of the fractional autocorrelation for rect (t), a = 1:35 at various  angles. Dashed line: Method I. Dash dot line: Normalized Method II (see
Footnote 12). Dotted line: Closed-form solution using (66). Horizontal axis is the fractional parameter .

D. Simulation Examples
Here, we demonstrate how well Methods I and II approximate
the continuous time formulation of fractional autocorrelation in
(33). More extensive plots of simulations can be found in [28].
We first use a rectangular (box) function
(65)
centered at the origin and having duration of , as a test case.
in (33) and using the AF tables in [33],
Letting
can be derived [28] as
fractional autocorrelation of

(66)
The closed-form expression of fractional autocorrelation
in (66), its discrete approximations computed via Method I,
and its normalized12 discrete approximations computed via
Method II are superimposed in Fig. 5 for fractional angles
,
, and
. As expected,
fractional autocorrelation of the rectangle exhibits a transition
12Calculation of Method II involves computing the discrete-time AF whose
amplitude increases as the number of signal samples used increases. Consequently, the amplitude of the discrete-time AF does not match the amplitude of
its continuous-time counterpart. As a result, we normalized the maximum amplitude of the fractional autocorrelations obtained via Method II to that of the
continuous-time solution in (66) in order to be able to superimpose, in Fig. 5
and Fig. 6, the results obtained via Method II together with the results obtained
via Method I and the closed-form continuous-time solutions.

from a triangle (LTI autocorrelation,

) to a sinc function
). It can be observed that the
(LFrI autocorrelation,
discrete-time approximations (Methods I and II) are in very
close agreement with the continuous-time closed-form solution
for all six angles. This suggests that Method I approximates the
continuous-time fractional autocorrelation fairly well and can
be used as a computationally efficient method [28].
As our second test case, we use the Gaussian function defined
by
(67)
above into (33), we can find the closed-form
By plugging
expression of the fractional autocorrelation for the Gaussian
function as

(68)
The closed-form solution of fractional autocorrelation in
(68) and its discrete approximations computed via Methods
,
I and II are superimposed in Fig. 6 for
.
Results are similar to those of the first test case. Fractional
correlations computed via the three methods closely match for
all the test angles. This again confirms that Method I can be used
reliably as a fast algorithm in computing fractional autocorrelation [28].

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IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 49, NO. 5, MAY 2001

Fig. 6. Magnitude of the fractional autocorrelation for s(t) = (1=  )e

with  = 2 at various  angles. Dashed line: Method I. Dash dot line:
Normalized (see Footnote 12) Method II. Dotted line: Closed-form solution using (68). Horizontal axis is the parameter .

V. DETECTION AND ESTIMATION OF LINEAR FM SIGNALS

In this section, we use fractional autocorrelation for detection
and parameter estimation of linear FM (chirp) signals. We
exploit the fact that fractional autocorrelation calculated via
Method I algorithm based on (48) corresponds to radial slices
of the AF.
It has been shown that an optimum detector for a linear FM
with certain unknown chirp rate
and
signal
initial frequency parameter values can be implemented by integrating the Wigner distribution (WD) of the received signal
along all lines in the timefrequency plane [34], [35]. Integration of the WD along lines in the timefrequency plane has been
named the RadonWigner transform (RWT) [26], which can be
efficiently implemented via a dechirping algorithm that does not
require the direct calculation of the WD [26]. Wang et al. [36]
proposed a different detection statistic that can be used when
is of interest. Their deonly the chirp rate parameter value
tection statistic is motivated by the fact that the AF of all linear
FM signals has a linear region of support that goes through the
origin of the ambiguity plane [37]. Thus, they propose integrating the AF modulus of the received signal only along lines
that go through the origin. Information about the initial frequency parameter value is lost because it is embedded in the
phase of the AF. The gain obtained by this sacrifice is the reduction in the complexity of the peak search. The 2-D search of the
RWT algorithm in [26] to estimate the FM parameter values
and simplifies to a 1-D search with respect to only the chirp
rate parameter value .

The detection statistic in [36] is given as

AF

(69)

.
where AF denotes the AF of the received signal
calculates a line integral of the magnitude of AF along a radial
exceeds a
line of slope . When the detection statistic
threshold for a certain chirp rate value , then the algorithm in
[36] decides that a linear FM signal, with that particular chirp
rate, is present in the received signal.
A. Detection Statistic via Fractional Autocorrelation
In this section, we show that the detection statistic in (69) is
closely related to the fractional autocorrelation. Hence, we can
use the previously described Method I algorithm as an efficient
alternative for computing a detection statistic for linear FM signals.
Starting by expressing the integral of the AF magnitude along
the radial line with angle , we derive [14], [28] our detection
statistic as
AF
AF
(70)

AKAY AND BOUDREAUX-BARTELS: FRACTIONAL CONVOLUTION AND CORRELATION VIA OPERATOR METHODS

991

where
is the Dirac function, and in the last equality, we used
and
, our
(54). If we let
final detection statistic is given as
(71)
Thus, from (71), one can state that integrating the magnitude
AF along a line with angle going through the origin is equal
to integrating fractional autocorrelation with the angle
of the received signal
.
Although conceptually based on the same idea, the detection
statistic proposed in [36] and our detection statistic in (70) are
not completely identical. Comparing (69) with (70) and using
, we can relate the two detection statistics
by
(72)
, the ratio beThus, for chirp rate parameter values
tween the two detection statistics is bounded as
. However, as opposed to the detection statistic given in
(69), our detection statistic does not require the calculation of
the AF, as can be seen from (71). As indicated previously, when
the number of angles for which the fractional autocorrelation
is calculated is less than the number of signal samples , then
calculation of the detection statistic via (71) provides significant
computational savings over the calculation via AF in (69).

Fig. 7. Example I: Normalized (see Footnote 13) detection statistic. Dotted

line: noise-free. Dashed line: SNR = 6 dB. Solid line: SNR = 9 dB.

B. Simulation Examples
In this section, we examine two simulated examples presented in [36] to test the agreement of the proposed fractional
autocorrelation detection statistic in (71) with the RadonAmbiguity algorithm of [36] in (69).
In Example I, a discrete-time, linear FM signal
(73)
is corrupted with complex additive
with chirp rate
, generated via two independent, zero-mean, Gaussian
noise
random processes of equal variance. Fig. 7 shows how normalized13 detection statistic calculated via (71) behaves in different
for different
levels of noise. We used Method I to evaluate
.
chirp rate values
In Example II, a discrete-time, multicomponent linear FM
signal

(74)
with initial frequency and chirp rate parameter values
,
,
,
,
,
,
, and
as in [36] is
generated by two
corrupted with complex additive noise
independent, zero-mean, Gaussian random processes of equal
variance. Fig. 8 shows the normalized detection statistic
calculated via (71) using Method I with respect to different chirp
13We normalize the detection statistic by the area under the received signal

magnitude, i.e., L(m)=
s[k] , so that the detection threshold level is less
affected by the noise level.

j j

Fig. 8. Example II: Normalized (see Footnote 13) detection statistic. Dotted
line: noise-free. Dashed line: SNR = 6 dB. Solid line: SNR = 12 dB.

rates
. This experiment was
realized for the noise-free case and for additive complex noise
cases of 6 dB and 12 dB SNR values. The results agree with
those in [36]; in all cases, the linear FMs with correct chirp rates
are detected, and the two closely spaced chirps at
and
are also well resolved.
VI. SUMMARY AND CONCLUSIONS
We have shown that by using the unitary fractional-shift
in (21) within the established theory of operator
operator
methods, it is possible to derive definitions of fractional convolution and correlation operations associated with the fractional

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IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 49, NO. 5, MAY 2001

domains of the FRFT in a systematic and comprehensive

generalizes
manner. Since the fractional-shift operator
),
and the frequency-shift
the time-shift operator (
,
, the proposed fractional convolution
operator
and correlation operations also generalize the well-known LTI
convolution and correlation operations into fractional domains
of the timefrequency plane in a unique manner. The unifying
theory presented allowed us to derive explicit formulas for
fractional operations. We also derived alternative formulations
by manipulating operator equations. Thus, we were able to
show the equivalence of different formulations, some of which
were previously proposed separately in a piecemeal fashion.
We also derived the important relationship in (54), linking
fractional autocorrelation and the AF. This property states that
not only do time and frequency domain autocorrelations correspond to horizontal and vertical cross sections of the AF, respectively, but in addition, the cross sections of the AF at oblique
angles are given by fractional autocorrelations calculated at the
corresponding angles.
Based on one of the alternative formulations, we proposed a
new, fast discrete-time implementation for fractional autocorrelation (Method I). Our simulations demonstrated that fractional
autocorrelation calculated via Method I very closely approximates radial slices of the AF. We presented simulation examples
that used fractional autocorrelation to formulate an efficient alternative algorithm for detection and parameter estimation of
linear FM signals corrupted by noise.
ACKNOWLEDGMENT
The authors would like to thank H. M. Ozaktas and M. A.
Kutay of Bilkent University, Ankara, Turkey, for providing the
MATLAB code for the discrete FRFT algorithm. They also
would like to thank the anonymous reviewers for their helpful
comments on the paper.
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Olcay Akay (M94) received the B.S. degree

(Hons.) from Dokuz Eylul University, Izmir, Turkey,
in 1990, the M.S. degree from the University of
Michigan, Ann Arbor, in 1993, and the Ph.D. degree
from the University of Rhode Island, Kingston, in
2000, all in electrical engineering.
He is currently with the Department of Electrical
and Electronics Engineering, Dokuz Eylul University, where he is an Assitant Professor. His research
interests include statistical signal processing and
timefrequency analysis methods.

993

G. Faye Boudreaux-Bartels (F98) received the B.S. degree in computer science from the University of Southwestern Louisiana, Lafayette, in 1974 and the
M.S. and Ph.D. degrees in electrical engineering from Rice University, Houston,
TX, in 1980 and 1984, respectively.
She was a Research Mathematician for Shell Development Company,
Houston, from 1974 to 1977 and a Fulbright Scholar at Ecole National
Superieure des Telecommunications, Paris, France, from 1981 to 1982. Since
1984, she has been teaching at the University of Rhode Island (URI), Kingston,
where she is currently Professor of electrical and computer engineering. Her
research interests are in the areas of timefrequency representations and digital
signal processing. She has published over 90 papers.
Dr. Boudreaux-Bartels received the 1988 Senior Paper Award from the
IEEE Signal Processing Society (SPS). She has served as an Associate Editor
of the IEEE TRANSACTIONS ON SIGNAL PROCESSING and of the IEEE SIGNAL
PROCESSING LETTERS, Vice-Chair of the Digital Signal Processing Technical
Committee, and an elected member of the IEEE SPS Advisory Committee. She
has received two URI Faculty Excellence Awards.