$Id: 01-introduction.xml 7186 2004-07-20 07:19:25Z xiphmont $

# Introduction and Description

## Overview

This document provides a high level description of the Vorbis codec's construction. A bit-by-bit specification appears beginning in . The later sections assume a high-level understanding of the Vorbis decode process, which is provided here.

### Application

Vorbis is a general purpose perceptual audio CODEC intended to allow maximum encoder flexibility, thus allowing it to scale competitively over an exceptionally wide range of bitrates. At the high quality/bitrate end of the scale (CD or DAT rate stereo, 16/24 bits) it is in the same league as MPEG-2 and MPC. Similarly, the 1.0 encoder can encode high-quality CD and DAT rate stereo at below 48kbps without resampling to a lower rate. Vorbis is also intended for lower and higher sample rates (from 8kHz telephony to 192kHz digital masters) and a range of channel representations (monaural, polyphonic, stereo, quadraphonic, 5.1, ambisonic, or up to 255 discrete channels).

### Classification

Vorbis I is a forward-adaptive monolithic transform CODEC based on the Modified Discrete Cosine Transform. The codec is structured to allow addition of a hybrid wavelet filterbank in Vorbis II to offer better transient response and reproduction using a transform better suited to localized time events.

### Assumptions

The Vorbis CODEC design assumes a complex, psychoacoustically-aware encoder and simple, low-complexity decoder. Vorbis decode is computationally simpler than mp3, although it does require more working memory as Vorbis has no static probability model; the vector codebooks used in the first stage of decoding from the bitstream are packed in their entirety into the Vorbis bitstream headers. In packed form, these codebooks occupy only a few kilobytes; the extent to which they are pre-decoded into a cache is the dominant factor in decoder memory usage.

Vorbis provides none of its own framing, synchronization or protection against errors; it is solely a method of accepting input audio, dividing it into individual frames and compressing these frames into raw, unformatted 'packets'. The decoder then accepts these raw packets in sequence, decodes them, synthesizes audio frames from them, and reassembles the frames into a facsimile of the original audio stream. Vorbis is a free-form variable bit rate (VBR) codec and packets have no minimum size, maximum size, or fixed/expected size. Packets are designed that they may be truncated (or padded) and remain decodable; this is not to be considered an error condition and is used extensively in bitrate management in peeling. Both the transport mechanism and decoder must allow that a packet may be any size, or end before or after packet decode expects.

Vorbis packets are thus intended to be used with a transport mechanism that provides free-form framing, sync, positioning and error correction in accordance with these design assumptions, such as Ogg (for file transport) or RTP (for network multicast). For purposes of a few examples in this document, we will assume that Vorbis is to be embedded in an Ogg stream specifically, although this is by no means a requirement or fundamental assumption in the Vorbis design.

The specification for embedding Vorbis into an Ogg transport stream is in .

### Codec Setup and Probability Model

Vorbis' heritage is as a research CODEC and its current design reflects a desire to allow multiple decades of continuous encoder improvement before running out of room within the codec specification. For these reasons, configurable aspects of codec setup intentionally lean toward the extreme of forward adaptive.

The single most controversial design decision in Vorbis (and the most unusual for a Vorbis developer to keep in mind) is that the entire probability model of the codec, the Huffman and VQ codebooks, is packed into the bitstream header along with extensive CODEC setup parameters (often several hundred fields). This makes it impossible, as it would be with MPEG audio layers, to embed a simple frame type flag in each audio packet, or begin decode at any frame in the stream without having previously fetched the codec setup header.

Vorbis can initiate decode at any arbitrary packet within a bitstream so long as the codec has been initialized/setup with the setup headers.

Thus, Vorbis headers are both required for decode to begin and relatively large as bitstream headers go. The header size is unbounded, although for streaming a rule-of-thumb of 4kB or less is recommended (and Xiph.Org's Vorbis encoder follows this suggestion).

Our own design work indicates the primary liability of the required header is in mindshare; it is an unusual design and thus causes some amount of complaint among engineers as this runs against current design trends (and also points out limitations in some existing software/interface designs, such as Windows' ACM codec framework). However, we find that it does not fundamentally limit Vorbis' suitable application space.

### Format Specification

The Vorbis format is well-defined by its decode specification; any encoder that produces packets that are correctly decoded by the reference Vorbis decoder described below may be considered a proper Vorbis encoder. A decoder must faithfully and completely implement the specification defined below (except where noted) to be considered a proper Vorbis decoder.

### Hardware Profile

Although Vorbis decode is computationally simple, it may still run into specific limitations of an embedded design. For this reason, embedded designs are allowed to deviate in limited ways from the 'full' decode specification yet still be certified compliant. These optional omissions are labelled in the spec where relevant.

## Decoder Configuration

Decoder setup consists of configuration of multiple, self-contained component abstractions that perform specific functions in the decode pipeline. Each different component instance of a specific type is semantically interchangeable; decoder configuration consists both of internal component configuration, as well as arrangement of specific instances into a decode pipeline. Componentry arrangement is roughly as follows:

decoder pipeline configuration

### Global Config

Global codec configuration consists of a few audio related fields (sample rate, channels), Vorbis version (always '0' in Vorbis I), bitrate hints, and the lists of component instances. All other configuration is in the context of specific components.

### Mode

Each Vorbis frame is coded according to a master 'mode'. A bitstream may use one or many modes.

The mode mechanism is used to encode a frame according to one of multiple possible methods with the intention of choosing a method best suited to that frame. Different modes are, e.g. how frame size is changed from frame to frame. The mode number of a frame serves as a top level configuration switch for all other specific aspects of frame decode.

A 'mode' configuration consists of a frame size setting, window type (always 0, the Vorbis window, in Vorbis I), transform type (always type 0, the MDCT, in Vorbis I) and a mapping number. The mapping number specifies which mapping configuration instance to use for low-level packet decode and synthesis.

### Mapping

A mapping contains a channel coupling description and a list of 'submaps' that bundle sets of channel vectors together for grouped encoding and decoding. These submaps are not references to external components; the submap list is internal and specific to a mapping.

A 'submap' is a configuration/grouping that applies to a subset of floor and residue vectors within a mapping. The submap functions as a last layer of indirection such that specific special floor or residue settings can be applied not only to all the vectors in a given mode, but also specific vectors in a specific mode. Each submap specifies the proper floor and residue instance number to use for decoding that submap's spectral floor and spectral residue vectors.

As an example:

Assume a Vorbis stream that contains six channels in the standard 5.1 format. The sixth channel, as is normal in 5.1, is bass only. Therefore it would be wasteful to encode a full-spectrum version of it as with the other channels. The submapping mechanism can be used to apply a full range floor and residue encoding to channels 0 through 4, and a bass-only representation to the bass channel, thus saving space. In this example, channels 0-4 belong to submap 0 (which indicates use of a full-range floor) and channel 5 belongs to submap 1, which uses a bass-only representation.

### Floor

Vorbis encodes a spectral 'floor' vector for each PCM channel. This vector is a low-resolution representation of the audio spectrum for the given channel in the current frame, generally used akin to a whitening filter. It is named a 'floor' because the Xiph.Org reference encoder has historically used it as a unit-baseline for spectral resolution.

A floor encoding may be of two types. Floor 0 uses a packed LSP representation on a dB amplitude scale and Bark frequency scale. Floor 1 represents the curve as a piecewise linear interpolated representation on a dB amplitude scale and linear frequency scale. The two floors are semantically interchangeable in encoding/decoding. However, floor type 1 provides more stable inter-frame behavior, and so is the preferred choice in all coupled-stereo and high bitrate modes. Floor 1 is also considerably less expensive to decode than floor 0.

Floor 0 is not to be considered deprecated, but it is of limited modern use. No known Vorbis encoder past Xiph.org's own beta 4 makes use of floor 0.

The values coded/decoded by a floor are both compactly formatted and make use of entropy coding to save space. For this reason, a floor configuration generally refers to multiple codebooks in the codebook component list. Entropy coding is thus provided as an abstraction, and each floor instance may choose from any and all available codebooks when coding/decoding.

### Residue

The spectral residue is the fine structure of the audio spectrum once the floor curve has been subtracted out. In simplest terms, it is coded in the bitstream using cascaded (multi-pass) vector quantization according to one of three specific packing/coding algorithms numbered 0 through 2. The packing algorithm details are configured by residue instance. As with the floor components, the final VQ/entropy encoding is provided by external codebook instances and each residue instance may choose from any and all available codebooks.

### Codebooks

Codebooks are a self-contained abstraction that perform entropy decoding and, optionally, use the entropy-decoded integer value as an offset into an index of output value vectors, returning the indicated vector of values.

The entropy coding in a Vorbis I codebook is provided by a standard Huffman binary tree representation. This tree is tightly packed using one of several methods, depending on whether codeword lengths are ordered or unordered, or the tree is sparse.

The codebook vector index is similarly packed according to index characteristic. Most commonly, the vector index is encoded as a single list of values of possible values that are then permuted into a list of n-dimensional rows (lattice VQ).

## High-level Decode Process

### Decode Setup

Before decoding can begin, a decoder must initialize using the bitstream headers matching the stream to be decoded. Vorbis uses three header packets; all are required, in-order, by this specification. Once set up, decode may begin at any audio packet belonging to the Vorbis stream. In Vorbis I, all packets after the three initial headers are audio packets.

The header packets are, in order, the identification header, the comments header, and the setup header.

#### Identification Header

The identification header identifies the bitstream as Vorbis, Vorbis version, and the simple audio characteristics of the stream such as sample rate and number of channels.

#### Comment Header

The comment header includes user text comments ("tags") and a vendor string for the application/library that produced the bitstream. The encoding and proper use of the comment header is described in .

#### Setup Header

The setup header includes extensive CODEC setup information as well as the complete VQ and Huffman codebooks needed for decode.

### Decode Procedure

The decoding and synthesis procedure for all audio packets is fundamentally the same.

1. decode packet type flag

2. decode mode number

3. decode window shape (long windows only)

4. decode floor

5. decode residue into residue vectors

6. inverse channel coupling of residue vectors

7. generate floor curve from decoded floor data

8. compute dot product of floor and residue, producing audio spectrum vector

9. inverse monolithic transform of audio spectrum vector, always an MDCT in Vorbis I

10. overlap/add left-hand output of transform with right-hand output of previous frame

11. store right hand-data from transform of current frame for future lapping

12. if not first frame, return results of overlap/add as audio result of current frame

Note that clever rearrangement of the synthesis arithmetic is possible; as an example, one can take advantage of symmetries in the MDCT to store the right-hand transform data of a partial MDCT for a 50% inter-frame buffer space savings, and then complete the transform later before overlap/add with the next frame. This optimization produces entirely equivalent output and is naturally perfectly legal. The decoder must be entirely mathematically equivalent to the specification, it need not be a literal semantic implementation.

#### Packet type decode

Vorbis I uses four packet types. The first three packet types mark each of the three Vorbis headers described above. The fourth packet type marks an audio packet. All other packet types are reserved; packets marked with a reserved type should be ignored.

Following the three header packets, all packets in a Vorbis I stream are audio. The first step of audio packet decode is to read and verify the packet type; a non-audio packet when audio is expected indicates stream corruption or a non-compliant stream. The decoder must ignore the packet and not attempt decoding it to audio.

#### Mode decode

Vorbis allows an encoder to set up multiple, numbered packet 'modes', as described earlier, all of which may be used in a given Vorbis stream. The mode is encoded as an integer used as a direct offset into the mode instance index.

#### Window shape decode (long windows only)

Vorbis frames may be one of two PCM sample sizes specified during codec setup. In Vorbis I, legal frame sizes are powers of two from 64 to 8192 samples. Aside from coupling, Vorbis handles channels as independent vectors and these frame sizes are in samples per channel.

Vorbis uses an overlapping transform, namely the MDCT, to blend one frame into the next, avoiding most inter-frame block boundary artifacts. The MDCT output of one frame is windowed according to MDCT requirements, overlapped 50% with the output of the previous frame and added. The window shape assures seamless reconstruction.

This is easy to visualize in the case of equal sized-windows:

overlap of two equal-sized windows

And slightly more complex in the case of overlapping unequal sized windows:

overlap of a long and a short window

In the unequal-sized window case, the window shape of the long window must be modified for seamless lapping as above. It is possible to correctly infer window shape to be applied to the current window from knowing the sizes of the current, previous and next window. It is legal for a decoder to use this method. However, in the case of a long window (short windows require no modification), Vorbis also codes two flag bits to specify pre- and post- window shape. Although not strictly necessary for function, this minor redundancy allows a packet to be fully decoded to the point of lapping entirely independently of any other packet, allowing easier abstraction of decode layers as well as allowing a greater level of easy parallelism in encode and decode.

A description of valid window functions for use with an inverse MDCT can be found in the paper The use of multirate filter banks for coding of high quality digital audio, by T. Sporer, K. Brandenburg and B. Edler. Vorbis windows all use the slope function y=sin(.5*PI*sin^2((x+.5)/n*pi)) $y = \sin(.5*\pi \, \sin^2((x+.5)/n*\pi))$ .

#### floor decode

Each floor is encoded/decoded in channel order, however each floor belongs to a 'submap' that specifies which floor configuration to use. All floors are decoded before residue decode begins.

#### residue decode

Although the number of residue vectors equals the number of channels, channel coupling may mean that the raw residue vectors extracted during decode do not map directly to specific channels. When channel coupling is in use, some vectors will correspond to coupled magnitude or angle. The coupling relationships are described in the codec setup and may differ from frame to frame, due to different mode numbers.

Vorbis codes residue vectors in groups by submap; the coding is done in submap order from submap 0 through n-1. This differs from floors which are coded using a configuration provided by submap number, but are coded individually in channel order.

#### inverse channel coupling

A detailed discussion of stereo in the Vorbis codec can be found in the document Stereo Channel Coupling in the Vorbis CODEC. Vorbis is not limited to only stereo coupling, but the stereo document also gives a good overview of the generic coupling mechanism.

Vorbis coupling applies to pairs of residue vectors at a time; decoupling is done in-place a pair at a time in the order and using the vectors specified in the current mapping configuration. The decoupling operation is the same for all pairs, converting square polar representation (where one vector is magnitude and the second angle) back to Cartesian representation.

After decoupling, in order, each pair of vectors on the coupling list, the resulting residue vectors represent the fine spectral detail of each output channel.

#### generate floor curve

The decoder may choose to generate the floor curve at any appropriate time. It is reasonable to generate the output curve when the floor data is decoded from the raw packet, or it can be generated after inverse coupling and applied to the spectral residue directly, combining generation and the dot product into one step and eliminating some working space.

Both floor 0 and floor 1 generate a linear-range, linear-domain output vector to be multiplied (dot product) by the linear-range, linear-domain spectral residue.

#### compute floor/residue dot product

This step is straightforward; for each output channel, the decoder multiplies the floor curve and residue vectors element by element, producing the finished audio spectrum of each channel.

One point is worth mentioning about this dot product; a common mistake in a fixed point implementation might be to assume that a 32 bit fixed-point representation for floor and residue and direct multiplication of the vectors is sufficient for acceptable spectral depth in all cases because it happens to mostly work with the current Xiph.Org reference encoder.

However, floor vector values can span ~140dB (~24 bits unsigned), and the audio spectrum vector should represent a minimum of 120dB (~21 bits with sign), even when output is to a 16 bit PCM device. For the residue vector to represent full scale if the floor is nailed to -140dB, it must be able to span 0 to +140dB. For the residue vector to reach full scale if the floor is nailed at 0dB, it must be able to represent -140dB to +0dB. Thus, in order to handle full range dynamics, a residue vector may span -140dB to +140dB entirely within spec. A 280dB range is approximately 48 bits with sign; thus the residue vector must be able to represent a 48 bit range and the dot product must be able to handle an effective 48 bit times 24 bit multiplication. This range may be achieved using large (64 bit or larger) integers, or implementing a movable binary point representation.

#### inverse monolithic transform (MDCT)

The audio spectrum is converted back into time domain PCM audio via an inverse Modified Discrete Cosine Transform (MDCT). A detailed description of the MDCT is available in the paper The use of multirate filter banks for coding of high quality digital audio, by T. Sporer, K. Brandenburg and B. Edler.

Note that the PCM produced directly from the MDCT is not yet finished audio; it must be lapped with surrounding frames using an appropriate window (such as the Vorbis window) before the MDCT can be considered orthogonal.

#### overlap/add data

Windowed MDCT output is overlapped and added with the right hand data of the previous window such that the 3/4 point of the previous window is aligned with the 1/4 point of the current window (as illustrated in the window overlap diagram). At this point, the audio data between the center of the previous frame and the center of the current frame is now finished and ready to be returned.

#### cache right hand data

The decoder must cache the right hand portion of the current frame to be lapped with the left hand portion of the next frame.

#### return finished audio data

The overlapped portion produced from overlapping the previous and current frame data is finished data to be returned by the decoder. This data spans from the center of the previous window to the center of the current window. In the case of same-sized windows, the amount of data to return is one-half block consisting of and only of the overlapped portions. When overlapping a short and long window, much of the returned range is not actually overlap. This does not damage transform orthogonality. Pay attention however to returning the correct data range; the amount of data to be returned is:

    window_blocksize(previous_window)/4+window_blocksize(current_window)/4

from the center of the previous window to the center of the current window.

Data is not returned from the first frame; it must be used to 'prime' the decode engine. The encoder accounts for this priming when calculating PCM offsets; after the first frame, the proper PCM output offset is '0' (as no data has been returned yet).