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 THIRD EDITION
Image and Video Compression for
MULTIMEDIA
ENGINEERING
FUNDAMENTALS, ALGORITHMS, AND STANDARDS

Yun-Qing Shi and Huifang Sun

Image and Video Compression
for Multimedia Engineering
 IMAGE PROCESSING SERIES
Series Editor
Phillip A. Laplante
The Pennsylvania State University,
Malvern, Pennsylvania, U.S.A.

Image Acquisitions and Processing with LabVIEW, by Christopher G. Relf

Color Image Processing: Methods and Applications, edited by Ratislav Lukac and Konstantinos N.
Plataniotis

Image and Video Compression for Multimedia Engineering: Fundamentals, Algorithms, and
Standards, by Yun-Qing Shi and Huifang Sun

Single-Sensor Imaging: Methods and Applications for Digital Cameras, edited by Rastislav Lukac

Shape Classification and Analysis: Theory and Practice, Second Edition, by

Luciano da Fona Costa and Roberto Marcond Cesar, Jr.

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by Kim-Hui Yap, Ling Guan, Stuart William Perry, and Hau San Wong

Multimedia Image and Video Processing, edited by Ling Guan, Yifeng He, and Sun-Yuan Kung

Image and Video Compression for Multimedia Engineering: Fundamentals, Algorithms, and
Standards, Third Edition, edited by Yun-Qing Shi and Huifang Sun

For more information about this series, please visit: https://www.crcpress.com/

Image-Processing-Series/book-series/CRCIMAGEPROC
Image and Video Compression
for Multimedia Engineering
Fundamentals, Algorithms, and Standards
Third Edition

Yun-Qing Shi and Huifang Sun

CRC Press
Taylor & Francis Group
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To beloved Kong Wai Shih, Wen Su, Zhengfang Chen, Huai, Wen, Tian

and

Xuedong, Min, Yin, Andrew, Rich, Haixin, Allison, Adam, Emily, Kailey
Contents

Preface to the Third Edition .................................................................................................... xxiii

Acknowledgments ..................................................................................................................... xxv
Authors ...................................................................................................................................... xxvii

Part I Fundamentals

1. Introduction .............................................................................................................................3
1.1 Practical Needs for Image and Video Compression ................................................4
1.2 Feasibility of Image and Video Compression ........................................................... 5
1.2.1 Statistical Redundancy....................................................................................5
1.2.1.1 Spatial Redundancy .........................................................................5
1.2.1.2 Temporal Redundancy .................................................................... 8
1.2.1.3 Coding Redundancy ........................................................................9
1.2.2 Psychovisual Redundancy ........................................................................... 10
1.2.2.1 Luminance Masking ...................................................................... 11
1.2.2.2 Texture Masking............................................................................. 14
1.2.2.3 Frequency Masking........................................................................ 14
1.2.2.4 Temporal Masking ......................................................................... 14
1.2.2.5 Color Masking ................................................................................ 16
1.2.2.6 Color Masking and Its Application in Video Compression ....... 19
1.2.2.7 Summary: Differential Sensitivity ............................................... 20
1.3 Visual Quality Measurement .................................................................................... 20
1.3.1 Subjective Quality Measurement ................................................................ 21
1.3.2 Objective Quality Measurement..................................................................22
1.3.2.1 Signal-to-Noise Ratio .....................................................................22
1.3.2.2 An Objective Quality Measure Based on Human Visual
Perception ........................................................................................23
1.4 Information Theory Results ...................................................................................... 27
1.4.1 Entropy ............................................................................................................ 27
1.4.1.1 Information Measure ..................................................................... 27
1.4.1.2 Average Information per Symbol................................................. 28
1.4.2 Shannon’s Noiseless Source Coding Theorem .......................................... 28
1.4.3 Shannon’s Noisy Channel Coding Theorem ............................................. 29
1.4.4 Shannon’s Source Coding Theorem ............................................................ 29
1.4.5 Information Transmission Theorem ........................................................... 30
1.5 Summary ...................................................................................................................... 30
Exercises .................................................................................................................................. 31
References ............................................................................................................................... 32

vii
viii Contents

2. Quantization .......................................................................................................................... 33
2.1 Quantization and the Source Encoder ..................................................................... 33
2.2 Uniform Quantization ................................................................................................ 35
2.2.1 Basics................................................................................................................ 36
2.2.1.1 Definitions ....................................................................................... 36
2.2.1.2 Quantization Distortion ................................................................ 38
2.2.1.3 Quantizer Design ........................................................................... 39
2.2.2 Optimum Uniform Quantizer ..................................................................... 40
2.2.2.1 Uniform Quantizer with Uniformly Distributed Input ............40
2.2.2.2 Conditions of Optimum Quantization .......................................42
2.2.2.3 Optimum Uniform Quantizer with Different Input
Distributions ...................................................................................43
2.3 Nonuniform Quantization ........................................................................................ 45
2.3.1 Optimum (Nonuniform) Quantization ...................................................... 45
2.3.2 Companding Quantization .......................................................................... 45
2.4 Adaptive Quantization............................................................................................... 49
2.4.1 Forward Adaptive Quantization ................................................................. 50
2.4.2 Backward Adaptive Quantization............................................................... 51
2.4.3 Adaptive Quantization with a One-Word Memory ................................. 52
2.4.4 Switched Quantization ................................................................................. 52
2.5 PCM............................................................................................................................... 53
2.6 Summary ...................................................................................................................... 56
Exercises .................................................................................................................................. 57
References ............................................................................................................................... 57

3. Differential Coding ............................................................................................................. 59

3.1 Introduction to DPCM ................................................................................................ 59
3.1.1 Simple Pixel-to-Pixel DPCM ......................................................................... 60
3.1.2 General DPCM Systems ................................................................................63
3.2 Optimum Linear Prediction ......................................................................................65
3.2.1 Formulation ....................................................................................................65
3.2.2 Orthogonality Condition and Minimum Mean Square Error ................. 66
3.2.3 Solution to Yule-Walker Equations ............................................................. 67
3.3 Some Issues in the Implementation of DPCM ........................................................ 67
3.3.1 Optimum DPCM System .............................................................................. 67
3.3.2 1-D, 2-D, and 3-D DPCM ............................................................................... 67
3.3.3 Order of Predictor .......................................................................................... 69
3.3.4 Adaptive Prediction....................................................................................... 69
3.3.5 Effect of Transmission Errors ....................................................................... 70
3.4 Delta Modulation ........................................................................................................ 70
3.5 Interframe Differential Coding ................................................................................. 74
3.5.1 Conditional Replenishment.......................................................................... 74
3.5.2 3-D DPCM ....................................................................................................... 75
3.5.3 Motion-Compensated Predictive Coding .................................................. 76
3.6 Information-Preserving Differential Coding..........................................................77
3.7 Summary ...................................................................................................................... 78
Exercises .................................................................................................................................. 79
References ............................................................................................................................... 79
Contents ix

4. Transform Coding ................................................................................................................ 81

4.1 Introduction ................................................................................................................. 81
4.1.1 Hotelling Transform ...................................................................................... 81
4.1.2 Statistical Interpretation ...............................................................................83
4.1.3 Geometrical Interpretation ..........................................................................84
4.1.4 Basis Vector Interpretation ...........................................................................85
4.1.5 Procedures of Transform Coding ................................................................ 86
4.2 Linear Transforms....................................................................................................... 87
4.2.1 2-D Image Transformation Kernel ............................................................... 87
4.2.1.1 Separability ..................................................................................... 87
4.2.1.2 Symmetry ........................................................................................ 88
4.2.1.3 Matrix Form .................................................................................... 88
4.2.1.4 Orthogonality ................................................................................. 89
4.2.2 Basis Image Interpretation............................................................................ 89
4.2.3 Sub-image Size Selection .............................................................................. 91
4.3 Transforms of Particular Interest .............................................................................. 92
4.3.1 Discrete Fourier Transform .......................................................................... 92
4.3.2 Discrete Walsh Transform ............................................................................ 93
4.3.3 Discrete Hadamard Transform .................................................................... 94
4.3.4 Discrete Cosine Transform ........................................................................... 96
4.3.4.1 Background ..................................................................................... 96
4.3.4.2 Transformation Kernel .................................................................. 96
4.3.4.3 Relationship with DFT................................................................... 97
4.3.5 Performance Comparison ............................................................................. 99
4.3.5.1 Energy Compaction ....................................................................... 99
4.3.5.2 Mean Square Reconstruction Error ........................................... 100
4.3.5.3 Computational Complexity ........................................................ 102
4.3.5.4 Summary ....................................................................................... 102
4.4 Bit Allocation ............................................................................................................. 102
4.4.1 Zonal Coding................................................................................................ 103
4.4.2 Threshold Coding ........................................................................................ 103
4.4.2.1 Thresholding and Shifting.......................................................... 105
4.4.2.2 Normalization and Roundoff ..................................................... 105
4.4.2.3 Zigzag Scan ................................................................................... 108
4.4.2.4 Huffman Coding .......................................................................... 108
4.4.2.5 Special Codewords ....................................................................... 110
4.4.2.6 Rate Buffer Feedback and Equalization .................................... 110
4.5 Some Issues ................................................................................................................ 110
4.5.1 Effect of Transmission Error ...................................................................... 110
4.5.2 Reconstruction Error Sources .................................................................... 110
4.5.3 Comparison Between DPCM and TC ....................................................... 111
4.5.4 Hybrid Coding ............................................................................................. 111
4.6 Summary .................................................................................................................... 112
Exercises ................................................................................................................................ 114
References ............................................................................................................................. 115
x Contents

5. Variable-Length Coding: Information Theory Results (II)......................................... 117

5.1 Some Fundamental Results ..................................................................................... 117
5.1.1 Coding an Information Source .................................................................. 117
5.1.2 Some Desired Characteristics .................................................................... 119
5.1.2.1 Block Code ..................................................................................... 119
5.1.2.2 Uniquely Decodable Code .......................................................... 120
5.1.2.3 Instantaneous Codes.................................................................... 121
5.1.2.4 Compact Code............................................................................... 122
5.1.3 Discrete Memoryless Sources .................................................................... 122
5.1.4 Extensions of a Discrete Memoryless Source .......................................... 122
5.1.4.1 Definition ....................................................................................... 123
5.1.4.2 Entropy .......................................................................................... 123
5.1.4.3 Noiseless Source Coding Theorem ............................................ 124
5.2 Huffman Codes ......................................................................................................... 124
5.2.1 Required Rules for Optimum Instantaneous Codes .............................. 125
5.2.2 Huffman Coding Algorithm ...................................................................... 126
5.2.2.1 Procedures ..................................................................................... 127
5.2.2.2 Comments ..................................................................................... 127
5.2.2.3 Applications .................................................................................. 128
5.3 Modified Huffman Codes........................................................................................ 128
5.3.1 Motivation ..................................................................................................... 128
5.3.2 Algorithm ...................................................................................................... 129
5.3.3 Codebook Memory Requirement .............................................................. 129
5.3.4 Bounds on Average Codeword Length .................................................... 130
5.4 Arithmetic Codes ...................................................................................................... 131
5.4.1 Limitations of Huffman Coding ................................................................ 131
5.4.2 The Principle of Arithmetic Coding ......................................................... 132
5.4.2.1 Dividing Interval (0,1) into Subintervals ................................... 133
5.4.2.2 Encoding ........................................................................................ 134
5.4.2.3 Decoding ....................................................................................... 135
5.4.2.4 Observations ................................................................................. 136
5.4.3 Implementation Issues ................................................................................ 137
5.4.3.1 Incremental Implementation ...................................................... 138
5.4.3.2 Finite Precision ............................................................................. 138
5.4.3.3 Other Issues................................................................................... 138
5.4.4 History ........................................................................................................... 139
5.4.5 Applications .................................................................................................. 139
5.5 Summary .................................................................................................................... 140
Exercises ................................................................................................................................ 141
References ............................................................................................................................. 142

6. Run-Length and Dictionary Coding: Information Theory Results (III) ................ 143
6.1 Markov Source Model .............................................................................................. 143
6.1.1 Discrete Markov Source .............................................................................. 144
6.1.2 Extensions of a Discrete Markov Source .................................................. 145
6.1.2.1 Definition ....................................................................................... 145
6.1.2.2 Entropy .......................................................................................... 145
6.1.3 Autoregressive Model ................................................................................. 146
Contents xi

6.2 Run-Length Coding .................................................................................................. 146

6.2.1 1-D Run-Length Coding ............................................................................. 147
6.2.2 2-D Run-Length Coding ............................................................................. 148
6.2.2.1 Five Changing Pixels ................................................................... 149
6.2.2.2 Three Coding Modes ................................................................... 150
6.2.3 Effect of Transmission Error and Uncompressed Mode ........................ 150
6.2.3.1 Error Effect in the 1-D RLC Case ............................................... 151
6.2.3.2 Error Effect in the 2-D RLC Case ............................................... 151
6.2.3.3 Uncompressed Mode ................................................................... 152
6.3 Digital Facsimile Coding Standards ...................................................................... 152
6.4 Dictionary Coding .................................................................................................... 153
6.4.1 Formulation of Dictionary Coding............................................................ 153
6.4.2 Categorization of Dictionary-Based Coding Techniques ....................... 153
6.4.2.1 Static Dictionary Coding ............................................................. 153
6.4.2.2 Adaptive Dictionary Coding ...................................................... 154
6.4.3 Parsing Strategy ........................................................................................... 154
6.4.4 Sliding Window (LZ77) Algorithms ......................................................... 155
6.4.4.1 Introduction .................................................................................. 155
6.4.4.2 Encoding and Decoding.............................................................. 155
6.4.4.3 Summary of the LZ77 Approach ............................................... 158
6.4.5 LZ78 Algorithms .......................................................................................... 159
6.4.5.1 Introduction .................................................................................. 159
6.4.5.2 Encoding and Decoding.............................................................. 159
6.4.5.3 LZW Algorithm ............................................................................ 160
6.4.5.4 Summary ....................................................................................... 162
6.4.5.5 Applications .................................................................................. 163
6.5 International Standards for Lossless Still Image Compression ......................... 163
6.5.1 Lossless Bilevel Still Image Compression ................................................ 163
6.5.1.1 Algorithms .................................................................................... 163
6.5.1.2 Performance Comparison ........................................................... 164
6.5.2 Lossless Multilevel Still Image Compression .......................................... 164
6.5.2.1 Algorithms .................................................................................... 164
6.5.2.2 Performance Comparison ........................................................... 164
6.6 Summary .................................................................................................................... 165
Exercises ................................................................................................................................ 166
References ............................................................................................................................. 167

7. Some Material Related to Multimedia Engineering ................................................... 169

7.1 Digital Watermarking............................................................................................... 169
7.1.1 Where to Embed Digital Watermark ........................................................ 169
7.1.2 Watermark Signal with One Random Binary Sequence ........................ 170
7.1.3 Challenge Faced by Digital Watermarking .............................................. 173
7.1.4 Watermark Embedded into the DC Component ..................................... 175
7.1.5 Digital Watermark with Multiple Information Bits and Error
Correction Coding ....................................................................................... 178
7.1.6 Conclusion .................................................................................................... 178
7.2 Reversible Data Hiding ............................................................................................ 178
7.3 Information Forensics............................................................................................... 179
References ............................................................................................................................. 179
xii Contents

Part II Still Image Compression

8. Still Image Coding Standard—JPEG ............................................................................. 183

8.1 Introduction ............................................................................................................... 183
8.2 Sequential DCT-Based Encoding Algorithm ........................................................ 185
8.3 Progressive DCT-Based Encoding Algorithm ...................................................... 190
8.4 Lossless Coding Mode ............................................................................................. 192
8.5 Hierarchical Coding Mode ...................................................................................... 193
8.6 Summary .................................................................................................................... 194
Exercises ................................................................................................................................ 194
References ............................................................................................................................. 195

9. Wavelet Transform for Image Coding: JPEG2000........................................................ 197

9.1 A Review of Wavelet Transform ............................................................................. 197
9.1.1 Definition and Comparison with Short-Time Fourier
Transform ...................................................................................... 197
9.1.2 Discrete Wavelet Transform ...................................................................... 201
9.1.3 Lifting Scheme............................................................................................. 203
9.1.3.1 Three Steps in Forward Wavelet Transform .......................... 203
9.1.3.2 Inverse Transform ...................................................................... 204
9.1.3.3 Lifting Version of CDF (2,2) ...................................................... 204
9.1.3.4 A Numerical Example ............................................................... 205
9.1.3.5 (5,3) Integer Wavelet Transform ............................................... 206
9.1.3.6 A Demonstration Example of (5,3) IWT.................................. 206
9.1.3.7 Summary..................................................................................... 207
9.2 Digital Wavelet Transform for Image Compression ............................................ 207
9.2.1 Basic Concept of Image Wavelet Transform Coding ............................. 207
9.2.2 Embedded Image Wavelet Transform Coding Algorithms .................. 209
9.2.2.1 Early Wavelet Image Coding Algorithms and Their
Drawbacks ..................................................................................209
9.2.2.2 Modern Wavelet Image Coding ............................................... 210
9.2.2.3 Embedded Zerotree Wavelet Coding ..................................... 211
9.2.2.4 Set Partitioning in Hierarchical Trees Coding ...................... 212
9.3 Wavelet Transform for JPEG-2000 .......................................................................... 214
9.3.1 Introduction of JPEG2000........................................................................... 214
9.3.1.1 Requirements of JPEG-2000...................................................... 214
9.3.1.2 Parts of JPEG-2000 ..................................................................... 215
9.3.2 Verification Model of JPEG2000 ................................................................ 216
9.3.3 An Example of Performance Comparison between JPEG and
JPEG2000 ......................................................................................................219
9.4 Summary .................................................................................................................... 219
Exercises ................................................................................................................................ 219
References ............................................................................................................................. 221
Contents xiii

10. Non-standardized Still Image Coding...........................................................................223

10.1 Introduction ............................................................................................................... 223
10.2 Vector Quantization ................................................................................................. 224
10.2.1 Basic Principle of Vector Quantization .................................................... 224
10.2.1.1 Vector Formation........................................................................225
10.2.1.2 Training Set Generation ............................................................225
10.2.1.3 Codebook Generation................................................................ 226
10.2.1.4 Quantization ............................................................................... 226
10.2.2 Several Image Coding Schemes with Vector Quantization .................. 227
10.2.2.1 Residual VQ ................................................................................ 227
10.2.2.2 Classified VQ .............................................................................. 228
10.2.2.3 Transform Domain VQ ............................................................. 228
10.2.2.4 Predictive VQ.............................................................................. 229
10.2.2.5 Block Truncation Coding .......................................................... 229
10.2.3 Lattice VQ for Image Coding .................................................................... 230
10.3 Fractal Image Coding ............................................................................................... 232
10.3.1 Mathematical Foundation.......................................................................... 232
10.3.2 IFS-Based Fractal Image Coding ..............................................................234
10.3.3 Other Fractal Image Coding Methods ..................................................... 236
10.4 Model-Based Coding ................................................................................................ 236
10.4.1 Basic Concept............................................................................................... 236
10.4.2 Image Modeling .......................................................................................... 236
10.5 Summary.................................................................................................................... 237
Exercises ................................................................................................................................ 238
References ............................................................................................................................. 238

Part III Motion Estimation and Compensation

11. Motion Analysis and Motion Compensation ............................................................... 243

11.1 Image Sequences ....................................................................................................... 243
11.2 Interframe Correlation ............................................................................................. 246
11.3 Frame Replenishment .............................................................................................. 249
11.4 Motion-Compensated Coding ................................................................................ 250
11.5 Motion Analysis ........................................................................................................ 253
11.5.1 Biological Vision Perspective .................................................................... 253
11.5.2 Computer Vision Perspective .................................................................... 253
11.5.3 Signal Processing Perspective ................................................................... 255
11.6 Motion Compensation for Image Sequence Processing ...................................... 256
11.6.1 Motion-Compensated Interpolation ........................................................ 256
11.6.2 Motion-Compensated Enhancement ....................................................... 258
11.6.3 Motion-Compensated Restoration ........................................................... 259
11.6.4 Motion-Compensated Down-Conversion ............................................... 259
11.7 Summary.................................................................................................................... 259
Exercises ................................................................................................................................ 261
References ............................................................................................................................. 262
xiv Contents

12. Block Matching ................................................................................................................... 265

12.1 Non-overlapped, Equally Spaced, Fixed-Size, Small Rectangular Block
Matching ....................................................................................................................265
12.2 Matching Criteria ...................................................................................................... 267
12.3 Searching Procedures............................................................................................... 269
12.3.1 Full Search ................................................................................................... 269
12.3.2 2-D Logarithm Search ................................................................................ 269
12.3.3 Coarse-Fine Three-Step Search................................................................. 269
12.3.4 Conjugate Direction Search ....................................................................... 271
12.3.5 Subsampling in the Correlation Window ............................................... 272
12.3.6 Multiresolution Block Matching ............................................................... 273
12.3.7 Thresholding Multiresolution Block Matching ...................................... 274
12.3.7.1 Algorithm .................................................................................... 275
12.3.7.2 Threshold Determination ......................................................... 276
12.3.7.3 Thresholding .............................................................................. 278
12.3.7.4 Experiments ................................................................................ 279
12.4 Matching Accuracy................................................................................................... 281
12.5 Limitations with Block-Matching Techniques ...................................................... 281
12.6 New Improvements .................................................................................................. 283
12.6.1 Hierarchical Block Matching .................................................................... 283
12.6.2 Multigrid Block Matching .........................................................................284
12.6.2.1 Thresholding Multigrid Block Matching ............................... 285
12.6.2.2 Optimal Multigrid Block Matching ........................................ 288
12.6.3 Predictive Motion Field Segmentation .................................................... 289
12.6.4 Overlapped Block Matching ..................................................................... 292
12.7 Summary.................................................................................................................... 293
Exercises ................................................................................................................................ 295
References ............................................................................................................................. 296

13. Pel-Recursive Technique ................................................................................................... 299

13.1 Problem Formulation ............................................................................................... 299
13.2 Descent Methods....................................................................................................... 301
13.2.1 First-Order Necessary Conditions ........................................................... 301
13.2.2 Second-Order Sufficient Conditions ........................................................ 301
13.2.3 Underlying Strategy ................................................................................... 302
13.2.4 Convergence Speed .................................................................................... 303
13.2.4.1 Order of Convergence ...............................................................304
13.2.4.2 Linear Convergence ...................................................................304
13.2.5 Steepest Descent Method...........................................................................305
13.2.5.1 Formulae .....................................................................................305
13.2.5.2 Convergence Speed....................................................................305
13.2.5.3 Selection of Step Size .................................................................305
13.2.6 Newton-Raphson’s Method ....................................................................... 306
13.2.6.1 Formulae .....................................................................................306
13.2.6.2 Convergence Speed.................................................................... 307
13.2.6.3 Generalization and Improvements.......................................... 307
13.2.7 Other Methods ............................................................................................308
Contents xv

13.3 Netravali-Robbins’ Pel-Recursive Algorithm .......................................................308

13.3.1 Inclusion of a Neighborhood Area ...........................................................308
13.3.2 Interpolation ................................................................................................ 309
13.3.3 Simplification ...............................................................................................309
13.3.4 Performance .................................................................................................309
13.4 Other Pel-Recursive Algorithms............................................................................. 310
13.4.1 Bergmann’s Algorithm (1982).................................................................... 310
13.4.2 Bergmann’s Algorithm (1984) ................................................................... 310
13.4.3 Cafforio and Rocca’s Algorithm ............................................................... 310
13.4.4 Walker and Rao’s algorithm ...................................................................... 311
13.5 Performance Comparison ........................................................................................ 311
13.6 Summary.................................................................................................................... 312
Exercises ................................................................................................................................ 313
References ............................................................................................................................. 313

14. Optical Flow ........................................................................................................................ 315

14.1 Fundamentals ............................................................................................................ 315
14.1.1 2-D Motion and Optical Flow ................................................................... 316
14.1.2 Aperture Problem ....................................................................................... 317
14.1.3 Ill-Posed Problem ........................................................................................ 319
14.1.4 Classification of Optical-Flow Techniques .............................................. 319
14.2 Gradient-Based Approach ....................................................................................... 320
14.2.1 Horn and Schunck’s Method .................................................................... 320
14.2.1.1 Brightness Invariance Equation ............................................... 320
14.2.1.2 Smoothness Constraint ............................................................. 322
14.2.1.3 Minimization .............................................................................. 323
14.2.1.4 Iterative Algorithm .................................................................... 323
14.2.2 Modified Horn and Schunck Method...................................................... 325
14.2.3 Lucas and Kanade’s Method ..................................................................... 327
14.2.4 Nagel’s Method ........................................................................................... 327
14.2.5 Uras, Girosi, Verri, and Torre’s Method ................................................... 327
14.3 Correlation-Based Approach................................................................................... 328
14.3.1 Anandan’s Method ..................................................................................... 328
14.3.2 Singh’s Method ............................................................................................ 329
14.3.2.1 Conservation Information ........................................................ 331
14.3.2.2 Neighborhood Information ...................................................... 331
14.3.2.3 Minimization and Iterative Algorithm ................................... 332
14.3.3 Pan, Shi, and Shu’s Method ....................................................................... 333
14.3.3.1 Proposed Framework ................................................................334
14.3.3.2 Implementation and Experiments ........................................... 336
14.3.3.3 Discussion and Conclusion ......................................................345
14.4 Multiple Attributes for Conservation Information ..............................................346
14.4.1 Weng, Ahuja, and Huang’s Method ......................................................... 347
14.4.2 Xia and Shi’s Method ................................................................................. 347
14.4.2.1 Multiple Image Attributes ........................................................348
14.4.2.2 Conservation Stage .................................................................... 349
14.4.2.3 Propagation Stage ...................................................................... 350
14.4.2.4 Outline of Algorithm................................................................. 350
xvi Contents

14.4.2.5 Experimental Results ................................................................ 351

14.4.2.6 Discussion and Conclusion ...................................................... 351
14.5 Summary.................................................................................................................... 352
Exercises ................................................................................................................................354
References ............................................................................................................................. 355

15. Further Discussion and Summary on 2-D Motion Estimation ................................. 357
15.1 General Characterization ......................................................................................... 357
15.1.1 Aperture Problem ....................................................................................... 357
15.1.2 Ill-Posed Inverse Problem .......................................................................... 357
15.1.3 Conservation Information and Neighborhood Information ................ 358
15.1.4 Occlusion and Disocclusion ...................................................................... 358
15.1.5 Rigid and Nonrigid Motion ...................................................................... 359
15.2 Different Classifications ........................................................................................... 360
15.2.1 Deterministic Methods vs. Stochastic Methods ..................................... 360
15.2.2 Spatial Domain Methods vs. Frequency Domain Methods ................. 360
15.2.2.1 Optical-Flow Determination Using Gabor Energy Filters ..... 361
15.2.3 Region-Based Approaches vs. Gradient-Based Approaches ................364
15.2.4 Forward vs. Backward Motion Estimation ............................................. 365
15.3 Performance Comparison between Three Major Approaches ........................... 367
15.3.1 Three Representatives ................................................................................ 367
15.3.2 Algorithm Parameters ................................................................................ 367
15.3.3 Experimental Results and Observations ................................................. 367
15.4 New Trends ................................................................................................................ 368
15.4.1 DCT-Based Motion Estimation ................................................................. 368
15.4.1.1 DCT and DST Pseudophases.................................................... 368
15.4.1.2 Sinusoidal Orthogonal Principle ............................................. 370
15.4.1.3 Performance Comparison ......................................................... 371
15.5 Summary.................................................................................................................... 371
Exercises ................................................................................................................................ 372
References ............................................................................................................................. 372

Part IV Video Compression

16. Fundamentals of Digital Video Coding ........................................................................ 377

16.1 Digital Video Representation .................................................................................. 377
16.2 Information Theory Results: Rate Distortion Function of Video Signal .......... 378
16.3 Digital Video Formats .............................................................................................. 381
16.3.1 Digital Video Color Systems ..................................................................... 381
16.3.2 Progressive and Interlaced Video Signals ............................................... 383
16.3.3 Video Formats Used by Video Industry .................................................. 383
16.4 Current Status of Digital Video/Image Coding Standards ................................ 385
16.5 Summary.................................................................................................................... 389
Exercises ................................................................................................................................ 389
References ............................................................................................................................. 391
Contents xvii

17. Digital Video Coding Standards—MPEG-1/2 Video ................................................. 393

17.1 Introduction ............................................................................................................... 393
17.2 Features of MPEG-1/2 Video Coding..................................................................... 394
17.2.1 MPEG-1 Features ......................................................................................... 394
17.2.1.1 Introduction ................................................................................ 394
17.2.1.2 Layered Structure Based on Group of Pictures ..................... 394
17.2.1.3 Encoder Structure ...................................................................... 395
17.2.1.4 Structure of the Compressed Bitstream ................................. 399
17.2.1.5 Decoding Process....................................................................... 401
17.2.2 MPEG-2 Enhancements.............................................................................. 402
17.2.2.1 Field/Frame-Prediction Mode ................................................. 402
17.2.2.2 Field/Frame DCT Coding Syntax............................................404
17.2.2.3 Downloadable Quantization Matrix and Alternative
Scan Order ..................................................................................404
17.2.2.4 Pan and Scan ..............................................................................405
17.2.2.5 Concealment Motion Vector ..................................................... 406
17.2.2.6 Scalability .................................................................................... 406
17.3 MPEG-2 Video Encoding .........................................................................................408
17.3.1 Introduction .................................................................................................408
17.3.2 Pre-processing .............................................................................................408
17.3.3 Motion Estimation and Motion Compensation ...................................... 409
17.3.3.1 Matching Criterion .................................................................... 410
17.3.3.2 Searching Algorithm ................................................................. 410
17.3.3.3 Advanced Motion Estimation .................................................. 412
17.4 Rate Control ............................................................................................................... 413
17.4.1 Introduction of Rate Control ..................................................................... 413
17.4.2 Rate Control of Test Model 5 for MPEG-2 ............................................... 413
17.4.2.1 Step 1: Target Bit Allocation ..................................................... 413
17.4.2.2 Step 2: Rate Control ................................................................... 414
17.4.2.3 Step 3: Adaptive Quantization ................................................. 416
17.5 Optimum Mode Decision ........................................................................................ 417
17.5.1 Problem Formation ..................................................................................... 417
17.5.2 Procedure for Obtaining the Optimal Mode .......................................... 420
17.5.2.1 Optimal Solution........................................................................ 420
17.5.2.2 Near-Optimal Greedy Solution ...............................................422
17.5.3 Practical Solution with New Criteria for the Selection
of Coding Mode...........................................................................................423
17.6 Statistical Multiplexing Operations on Multiple Program Encoding ............... 424
17.6.1 Background of Statistical Multiplexing Operation ................................ 424
17.6.2 VBR Encoders in StatMux .......................................................................... 426
17.6.3 Research Topics of StatMux ....................................................................... 427
17.6.3.1 Forward Analysis....................................................................... 428
17.6.3.2 Potential Modeling Strategies and Methods.......................... 428
17.7 Summary ....................................................................................................................430
Exercises ................................................................................................................................430
References .............................................................................................................................430
xviii Contents

18 Application Issues of MPEG-1/2 Video Coding ........................................................... 433

18.1 Introduction ............................................................................................................... 433
18.2 ATSC DTV Standards...............................................................................................433
18.2.1 A Brief History ............................................................................................433
18.2.2 Technical Overview of ATSC Systems..................................................... 435
18.2.2.1 Picture Layer .............................................................................. 435
18.2.2.2 Compression Layer .................................................................... 436
18.2.2.3 Transport Layer .......................................................................... 437
18.3 Transcoding with Bitstream Scaling ...................................................................... 438
18.3.1 Background.................................................................................................. 438
18.3.2 Basic Principles of Bitstream Scaling .......................................................440
18.3.3 Architectures of Bitstream Scaling...........................................................442
18.3.3.1 Architecture 1: Cutting AC Coefficients .................................442
18.3.3.2 Architecture 2: Increasing Quantization Step .......................443
18.3.3.3 Architecture 3: Re-encoding with Old Motion Vectors
and Old Decisions......................................................................444
18.3.3.4 Architecture 4: Re-encoding with Old Motion Vectors
and New Decisions ....................................................................444
18.3.3.5 Comparison of Bitstream Scaling Methods ...........................445
18.3.4 MPEG-2 to MPEG-4 Transcoding ............................................................. 447
18.4 Down-Conversion Decoder .....................................................................................448
18.4.1 Background..................................................................................................448
18.4.2 Frequency Synthesis Down-Conversion ................................................. 450
18.4.3 Low-Resolution Motion Compensation ................................................... 452
18.4.4 Three-Layer Scalable Decoder ..................................................................454
18.4.5 Summary of Down-Conversion Decoder................................................ 457
Appendix A: DCT-to-Spatial Transformation ......................................... 458
Appendix B: Full-Resolution Motion Compensation in
Matrix Form .........................................................................459
18.5 Error Concealment .................................................................................................... 460
18.5.1 Background.................................................................................................. 460
18.5.2 Error Concealment Algorithms ................................................................ 462
18.5.2.1 Codeword Domain Error Concealment ................................. 463
18.5.2.2 Spatio-temporal Error Concealment ....................................... 463
18.5.3 Algorithm Enhancements ......................................................................... 467
18.5.3.1 Directional Interpolation .......................................................... 467
18.5.3.2 I-picture Motion Vectors ........................................................... 468
18.5.3.3 Spatial Scalable Error Concealment ........................................ 469
18.5.4 Summary of Error Concealment .............................................................. 470
18.6 Summary.................................................................................................................... 471
Exercises ................................................................................................................................ 471
References ............................................................................................................................. 472
Contents xix

19. MPEG-4 Video Standard: Content-Based Video Coding........................................... 475

19.1 Introduction ............................................................................................................... 475
19.2 MPEG-4 Requirements and Functionalities ......................................................... 476
19.2.1 Content-Based Interactivity ....................................................................... 476
19.2.1.1 Content-Based Manipulation and Bitstream Editing ........... 476
19.2.1.2 Synthetic and Natural Hybrid Coding ................................... 476
19.2.1.3 Improved Temporal Random Access ...................................... 476
19.2.2 Content-Based Efficient Compression...................................................... 477
19.2.2.1 Improved Coding Efficiency .................................................... 477
19.2.2.2 Coding of Multiple Concurrent Data Streams ...................... 477
19.2.3 Universal Access ......................................................................................... 477
19.2.3.1 Robustness in Error-Prone Environments ............................. 477
19.2.3.2 Content-Based Scalability ......................................................... 477
19.2.4 Summary of MPEG-4 Features ................................................................. 477
19.3 Technical Description of MPEG-4 Video............................................................... 478
19.3.1 Overview of MPEG-4 Video...................................................................... 478
19.3.2 Motion Estimation and Compensation ................................................... 479
19.3.2.1 Adaptive Selection of 16 × 16 Block or Four
8 × 8 Blocks ........................................................................ 480
19.3.2.2 Overlapped Motion Compensation ........................................ 481
19.3.3 Texture Coding............................................................................................ 481
19.3.3.1 INTRA DC and AC Prediction ................................................ 482
19.3.3.2 Motion Estimation/Compensation of
Arbitrary-Shaped VOP ..............................................................483
19.3.3.3 Texture Coding of Arbitrary-Shaped VOP.............................484
19.3.4 Shape Coding .............................................................................................. 486
19.3.4.1 Binary Shape Coding with CAE Algorithm .......................... 486
19.3.4.2 Gray-Scale Shape Coding ......................................................... 488
19.3.5 Sprite Coding ............................................................................................... 489
19.3.6 Interlaced Video Coding ............................................................................ 490
19.3.7 Wavelet-Based Texture Coding ................................................................. 490
19.3.7.1 Decomposition of the Texture Information ........................... 490
19.3.7.2 Quantization of Wavelet Coefficients ..................................... 491
19.3.7.3 Coding of Wavelet Coefficients of Low-Low Band and
Other Bands ................................................................................ 491
19.3.7.4 Adaptive Arithmetic Coder...................................................... 491
19.3.8 Generalized Spatial and Temporal Scalability ....................................... 491
19.3.9 Error Resilience ........................................................................................... 493
19.4 MPEG-4 Visual Bitstream Syntax and Semantics ................................................ 494
19.5 MPEG-4 Visual Profiles and Levels ....................................................................... 495
19.6 MPEG-4 Video Verification Model ......................................................................... 496
19.6.1 VOP-Based Encoding and Decoding Process ......................................... 497
19.6.2 Video Encoder ............................................................................................. 497
19.6.2.1 Video Segmentation .................................................................. 497
19.6.2.2 Intra/Inter Mode Decision ....................................................... 499
19.6.2.3 Off-line Sprite Generation ........................................................ 499
19.6.2.4 Multiple VO Rate Control .........................................................500
19.6.3 Video Decoder ............................................................................................. 501
xx Contents

19.7 Summary ....................................................................................................................502

Exercises ................................................................................................................................502
References .............................................................................................................................503

20. ITU-T Video Coding Standards H.261 and H.263.........................................................505

20.1 Introduction ...............................................................................................................505
20.2 H.261 Video Coding Standard ................................................................................ 505
20.2.1 Overview of H.261 Video Coding Standard ........................................... 505
20.2.2 Technical Detail of H.261 ...........................................................................507
20.2.3 Syntax Description ......................................................................................508
20.2.3.1 Picture Layer ............................................................................ 508
20.2.3.2 Group of Blocks Layer ............................................................508
20.2.3.3 Macroblock Layer ....................................................................508
20.2.3.4 Block Layer ...............................................................................509
20.3 H.263 Video Coding Standard ................................................................................ 510
20.3.1 Overview of H.263 Video Coding ............................................................ 510
20.3.2 Technical Features of H.263 ....................................................................... 511
20.3.2.1 Half-Pixel Accuracy................................................................. 511
20.3.2.2 Unrestricted-Motion Vector Mode ........................................ 512
20.3.2.3 Advanced-Prediction Mode ................................................... 512
20.3.2.4 Syntax-Based Arithmetic Coding .......................................... 514
20.3.2.5 PB-frames ..................................................................................515
20.4 H.263 Video Coding Standard Version 2 ............................................................... 516
20.4.1 Overview of H.263 Version 2..................................................................... 516
20.4.2 New Features of H.263 Version 2.............................................................. 516
20.4.2.1 Scalability ..................................................................................516
20.4.2.2 Improved PB-frames ...............................................................518
20.4.2.3 Advanced Intra Coding ..........................................................518
20.4.2.4 Deblocking Filter .....................................................................519
20.4.2.5 Slice-Structured Mode ............................................................ 520
20.4.2.6 Reference Picture Selection .................................................... 521
20.4.2.7 Independent Segmentation Decoding ..................................521
20.4.2.8 Reference Picture Resampling ............................................... 521
20.4.2.9 Reduced-Resolution Update ..................................................522
20.4.2.10 Alternative INTER VLC (AIV) and Modified
Quantization ....................................................................... 523
20.4.2.11 Supplemental Enhancement Information ............................524
20.5 H.263++ Video Coding and H.26L.........................................................................524
20.6 Summary ....................................................................................................................525
Exercises ................................................................................................................................525
References .............................................................................................................................525

21. Video Coding Standard—H.264/AVC ............................................................................. 527

21.1 Introduction ...............................................................................................................527
21.2 Overview of the H.264/AVC Codec Structure ..................................................... 528
21.3 Technical Description of H.264/AVC Coding Tools ............................................ 531
21.3.1 Instantaneous Decoding Refresh Picture................................................ 531
21.3.2 Switching I Slices and Switching P Slices ............................................... 532
21.3.3 Transform and Quantization ....................................................................534
Contents xxi

21.3.4 Intra Frame Coding with Directional Spatial Prediction ..................... 536
21.3.5 Adaptive Block Size Motion Compensation ........................................... 536
21.3.6 Motion Compensation with Multiple References .................................. 537
21.3.7 Entropy Coding........................................................................................... 538
21.3.8 Loop Filter ....................................................................................................543
21.3.9 Error Resilience Tools .................................................................................545
21.4 Profiles and Levels of H.264/AVC ..........................................................................546
21.4.1 Profiles of H.264/AVC ................................................................................. 547
21.4.2 Levels of H.264/AVC ...................................................................................548
21.5 Summary.................................................................................................................... 550
Exercises ................................................................................................................................ 550
References ............................................................................................................................. 550

22. A New Video Coding Standard—HEVC/H.265 ........................................................... 553

22.1 Introduction ............................................................................................................... 553
22.2 Overview of HEVC/H.265 Codec Structure ......................................................... 554
22.3 Technical Description of H.265/HEVC Coding Tools ......................................... 555
22.3.1 Video Coding Block Structure (Codesequois 2012) ............................... 555
22.3.2 Predictive Coding Structure ..................................................................... 559
22.3.3 Transform and Quantization .................................................................... 562
22.3.4 Loop Filters .................................................................................................. 563
22.3.5 Entropy Coding........................................................................................... 566
22.3.6 Parallel Processing Tools ........................................................................... 567
22.4 HEVC/H.265 Profiles and Range Extensions (Sullivan et al. 2013) ................... 568
22.4.1 Version 1 of HEVC/H.265 .......................................................................... 568
22.4.2 Version 2 of HEVC/H.265 .......................................................................... 569
22.4.3 Versions 3 and 4 of HEVC/H.265 ............................................................. 572
22.5 Performance Comparison with H.264/AVC .......................................................... 574
22.5.1 Technical Difference Between H.264/AVC and HEVC/H.265 ............. 574
22.5.2 Performance Comparison Between H.264/AVC and HEVC/H.265 ..... 575
22.6 Summary.................................................................................................................... 577
Exercises ................................................................................................................................ 577
References ............................................................................................................................. 577

23. Internet Video Coding Standard—IVC ......................................................................... 579

23.1 Introduction ............................................................................................................... 579
23.2 Coding Structure of IVC Standard ......................................................................... 581
23.2.1 Adaptive Transform ................................................................................... 582
23.2.2 Intra Prediction ........................................................................................... 582
23.2.3 Inter Prediction ........................................................................................... 582
23.2.4 Motion Vector Prediction ........................................................................... 583
23.2.5 Sub-pel Interpolation.................................................................................. 584
23.2.6 Reference Frames ........................................................................................ 584
23.2.7 Entropy Coding........................................................................................... 585
23.2.8 Loop Filtering .............................................................................................. 585
23.3 Performance Evaluation ........................................................................................... 586
23.4 Summary.................................................................................................................... 589
Exercises ................................................................................................................................ 589
References ............................................................................................................................. 589
xxii Contents

24. MPEG Media Transport ................................................................................................... 591

24.1 Introduction ............................................................................................................... 591
24.2 MPEG-2 System ......................................................................................................... 592
24.2.1 Major Technical Definitions in MPEG-2 System Document ................ 593
24.2.2 Transport Streams ...................................................................................... 594
24.2.2.1 Structure of Transport Streams ............................................... 595
24.2.2.2 Transport Stream Syntax .......................................................... 597
24.2.3 Transport Streams Splicing ....................................................................... 599
24.2.4 Program Streams ........................................................................................ 601
24.2.5 Timing Model and Synchronization ........................................................ 603
24.3 MPEG-4 System......................................................................................................... 605
24.3.1 Overview and Architecture ...................................................................... 605
24.3.2 Systems Decoder Model.............................................................................608
24.3.3 Scene Description ....................................................................................... 609
24.3.4 Object Description Framework ................................................................. 609
24.4 MMT ........................................................................................................................... 610
24.4.1 Overview...................................................................................................... 610
24.4.2 MMT Content Model .................................................................................. 612
24.4.3 Encapsulation of MPU ............................................................................... 613
24.4.4 Packetized Delivery of Package ................................................................ 614
24.4.5 Cross Layer Interface .................................................................................. 615
24.4.6 Signaling ...................................................................................................... 615
24.4.7 Hypothetical Receiver Buffer Model........................................................ 616
24.5 Dynamic Adaptive Streaming over HTTP............................................................ 616
24.5.1 Introduction ................................................................................................. 617
24.5.2 Media Presentation Description ............................................................... 618
24.5.3 Segment Format .......................................................................................... 619
24.6 Summary.................................................................................................................... 620
Exercises ................................................................................................................................ 620
References ............................................................................................................................. 621

Index ............................................................................................................................................. 623

Preface to the Third Edition

When looking at the prefaces of the first and second editions of this book published in 1999
and 2008, respectively, it is observed that the most of analyses, discussion and estimation
made there are still correct. The image and video compression as well as audio compres-
sion continue to play an important role in multimedia engineering. The trend of switch-
ing from analog to digital communications continues. Digital image and video, digital
multimedia, Internet, world wide web (WWW) have been continuously and vigorously
growing in the past 10 years. Therefore, in this third edition of the book, we have kept the
most of material in the second edition with some new additions. Some major changes we
have made are listed as follows.
First, in this book’s third edition, one chapter has been added (new Chapter 7), which
briefly introduces the digital watermarking technology. Furthermore, the so-called revers-
ible data hiding and information forensics have been briefly introduced.
Second, two new chapters describing the recently developed video coding standard,
HEVC/H.265 (Chapter 22) and IVC (Chapter 23) are added into the third edition. New
Chapter 22 introduces HEVC/H.265 which is the video coding standard, and has greatly
improved the coding efficiency compared with currently existing video coding standards.
In the new Chapter 23 an MPEG royalty free video coding standards has been introduced,
which is used for applications of internet video transmission. Third, for the previous
Chapter 21 covering the system part of MPEG, multiplexing/demultiplexing and synchro-
nizing the coded audio, video and other data has been changed as Chapter 24 in this
new addition. Since we have added two new MPEG Transport standards: MPEG media
transport (MMT) and MPEG DASH (Dynamic Adaptive Streaming over HTTP) into this
chapter, we change the title of this chapter to MPEG Transportation Standards.
For the rest of this new edition, we just made some minor changes and, of course, we
reorganized the chapter orders.

xxiii
Acknowledgments

We are pleased to express our gratitude for the support and help we received during the
course of writing this book.
Dr. Yun-Qing Shi thanks his friend and former colleague Dr. C. Q. Shu for fruitful tech-
nical discussion related to some contents of the book. Sincere thanks are also directed to
several of his friends and former students, Drs. J. N. Pan, X. Xia, S. Lin and Y. Shi, for their
technical contributions and computer simulations related to some subjects of the book. He
is grateful to Ms. L. Fitton for her English editing of 11 chapters, and to Dr. Z. F. Chen for
her help in preparing many graphics.
Dr. Huifang Sun expresses his appreciation to many friends and colleagues of the
MPEGers who provided MPEG documents and tutorial materials that are cited in some
revised chapters of this edition. He extends his appreciation to his colleague Dr. Anthony
Vetro for his supports and providing a good working environment to complete this revised
edition.
We would like to express our deep appreciation to Dr. Z. F. Chen for her great help in
formatting all the chapters of the book. We both thank Dr. F. Chichester for his help in
preparing the book.
Special thanks go to the editor-in-chief of the CRC Press Digital Image Processing book
series, Dr. P. Laplante, for his constant encouragement and guidance. The help from the
publisher of Electrical Engineering at CRC Press, Nora Konopka, is also appreciated.
The last, but not the least, we thank our families for their patient support during the
course of the writing. Without their understanding and support, we would not have been
able to complete this book.

Yun-Qing Shi and Huifang Sun

December 12, 2018

xxv
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77;e Turkifli Monajleries and Votaries. ^ Their turning

Books wrote by their Founder, or fome other prime Doctor of the
Maround. hometin Law $ after which is done, the Dervifes with
marvellous inodefty and reverence bowing to their Supcriour, begin
to turn round, fome of them with that fwift motion, that their faces
can li/arce be feen} a certain Pipe made of a Cane, founding all the
time or this motion i snd on a fudden when the Mufick ceafes, they
all ftop with that exa&nefs and firmnefs, (hewing no fymptomsof a
difordered or fwsmmingbrain, to which having accuftomed
themfeives from their infancy or youth, in fome years that motion
becomes as natural, with as little difturbance to their Head or
Stomach, as to walk forward, or to ufe any other exercife wh:ch
nature is delighted with. This cuftom (they fay) theyobferve with
great devotion in imitationof their firft Founder Mevclatta, who for
fourteen days together, and without taking any nourifhment, ufed
this Vertiginous motion by a miraculous alfiftance (his Friend
Hamze^r Companion, all that time founding by him with his Flute or
Pipe) until at laft falling into an cxtafie, he received ftrange
Revelations, and divine commands for the inftitution of this his Order
: the Pipethey play on, they efteem for an ancient and lanctifyed fort
cfMufick,and to be that with which Jacob and the other holy
Shepherds in the Old Teftament praifed God. It batb a doleful
melancholy found 5 but their conftant exercife and application
thereunto makes it as Mufical as can be imagined in fuch an
Inftrument : thebeftcf rhofe Canes are efteemed to come tfom
lconiumy and are of twenty five Dollers price. But this fort of
devotion with inftrumental Mufick, is by Turks themfeives
difputedagainft, denying that their Founder, who wasfofpiritual a
man, did ever inftitute, or himfelf ufe Mufick it; his turning round,
becaufe the Alchoran exprefily forbids all devotion and fervice of God
with Mufick, but only with the natural and living voice. And that
isthereafon, why in calling their people to prayers they ufe no Bells,
but only the voice of a man 5 and for this caule I remember, that in
my time prohibitions have been made by publick Authority againft
this practice of the Dervijes. But they on the contrary, alledging
example,and his Dancing before the Ark as Arguments for their
Mufick and Giration, have by the help of feveral perfons in power,
many of them being greatly affected with their devotion,maintained
from time to time this cuftom and inftitution of the firft Founder of
this Order,notwithftanding that one V anni Efendi a great Stigb or
Preacher, efteemed as a knowing Perfon by the Grand Signior and all
the Court, hath by his Authority endeavoured to Reform this
Corruption (as he calls it) amongft them. They profefs
Poverty,Chaftity,and Obedience, like Capuchin Friers or other Orders
of St. Francis j but if any have not the gift of continence, he may
obtain Licenfe to leave his Convent and marry 5 but of thefe, they
obierve that none ever thrived or lived happily with contentment,
that renounced this Dedication to Gods Service. The Novices ferve in
the moft fervile Offices, and in time others fupply their places } they
lie as companions two together in a Cell, fome of which employ their
timein Learning to Read and Write in Turkift, Arabic^and Perfia» :>
but moft yield for their flothful temperament to which they are
naturally addicted : but becaufe the nature of man is reftlefs, and
muft employ it felf either in good or bad actions 3 moft of thefe
Their Profeffioru Their Employment.
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Tfo Turkifli MonaHeries and Votaries. thefe

sffbciatestxercifefoine kind of Legerdemain, or tricks to amufe the
minds of the common people } and fome really apply themfelves to
Sorceries and Conjurations by help of familiar fpirit-1-. Busbequius
tells Orange Stories of one with whom he was acquainted, that he
would ftrike a ftone of great weight and bignefs againft his D.*re
Breaft with that force and violence as were fufficient to knock down
an Ox, or break the bones of the ftouteft Gyant} and that the fame
man he hath feen take an Iron Bar red-hot from the fire and hold it
in his mouth , and though the fpittle and moifture of his mouth
hifled with the heat , yet he feemed to take it thence again without
the leaftjiurt or burning imaginable. This fort of people of all other
Turk* , addict themfelves to drink Wine, Strong- Waters, and other
intoxicating Liquors 5 and eat Opium in that quantity, by degrees
ufing their bodies t hereunto, that no Mountebank or Aiithridates
himfelf who was nouriQied with poifon, are capable to digeft half
that proportion that thefe men will do 5 the effeft of which is at fir
ft, like men drunk or mad, toraife their fpirits to a fort of diftradred
Mirth, and afterwards when the fubtile vapours are confumed and
fpent, and a dull ftupefaction overcomes them, they name it an
extafie, which they account very holy and divine in imitation of their
firft Founder, who was often obferved to put himfelf into this
condition^ and therefore what helps may be found to excite Mirth or
diftra&ion , is lawful ana allowable in this Order. There is a famous
Monafteryof thefe in Egypt, invocating for their Saint one Kederlee,
which by the Stories they tell of him fhould be St. George, in
conformity with whom all other Dervifis maintain a Reverent efteem
of this Saint, affirming that in his life he was a valiant Horfeman,
killed Dragons and all forts of venomous Beafts , and now being
departed this life, God for prefervationot good men hath given him
power to deliver fuch as being in diftrefs, invokes his affiftance 3
efpecially thofe who are at Sea, and at the point of (hipwrack 5 and
that he with an extraordinary fwiftnefs of motion flies from one
partof the world to another in the twinkling of an eye, and
feafonably comes in to their fuccour. Thefe by vertue of that bleffing
Kederlee confers upon them, pretend to charm Serpents aud Adders,
and handle them as familiarly as we do the moft innocent and
domeftick creatures 3 which art, as I have heard from good
Authority, is not peculiar in Egypt only to Dervifes, but toother men
who are faid to be naturally endued with a vertutr againft
thepoifonous bites of Vipers and other venomous Beafts 5 who
putting great numbers of them into a bag together,do cull and fore
them out with their hands, as one would do Worms orMufclesj and
others with a word charm Serpents from moving as they crawl along
the Banks of Ni'hs which gifts thefe men pretend to inherit from their
Parents, and others to poffefs in reward of their vertues and
Sanctity. This fort of Egyptian Dervifes,\>.ave Sainted the Horfeof
St. George, and have feated him in Paradife with the other three
beafts in high refped: and efteem amongft the Turks, vi%. the Affe
on which Chrift rode, the Camel of Mahomet, and the Dog of the
feven Sleepers, T 2 i \ Thef*
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The Turkifli *5AA onajleries and Votaries Thefe Dervifes

have Monafteries in the moft famous places of the Turkjjh Empire,
which ferve the travelling Pilgrims of this Order for Inns and places
of entertainment : for they above all other R eligious Turhj 9 journey
and travel from one place to another, where the Mahometan Religion
is profefled, under pretence of preaching and propagating their Faith
^ and thus they travel upon Charity of their Monasteries and Alms of
others into Perjia, Chins, and the Dominions of the Mogul, by which
means they become the beft fpies and intelligencers of any that are
found in the Eaftern parts of the world. I remember at Adrianople to
have feen the Ruine of one of thefe Monafteries (ituatedona
pleafcnthill, and in good Air, that overfees the whole City and Plains
round about 5 which upon enquiry I under ftand was demolifhed by
the famous Vifier Kuperli 3 becaule it was difcoveredto be a
Rendezvous of the lewd Women of the Town, and a Stew where the
young Gallants debauched the Wives of the richeft Turks 9 to whom
their Hufbands had given liberty in honour to the Santtity of the
place, to be often prefent at the devotion of the Dervifes 5 but their
way of practice being too publick and fcandalous, the Foundation of
their houfe by the order of the Vifier was razed to the ground. CHAP.
 The Turlafti MonaHeries and V narks. y/^\ CHAP. XIV. Of
the Order of Keligions Turks Ebrbuharee. THis Order of Ebrbuharee
was firft inftitutcd by their founder and inftitutor Ebrbuhar from
whom they have their denominatioo,who herein followed the
Precept9 and Rules of his Mafter Nadybende, from whom in like
manner the Order of Mevelevee or Dervijes are derived : for the
better underftanding this fort of people, the Reader may take this
following, as an authentick difcourfe relating to their manners and
original, which I (hall deliver Verbatim as given me in writing by one
eftcemed Learned amongft the Turks, and was a Hadgi or Pilgrim,
and made it his bufinefs to inform me of this Se&. Sultan Bajazet,
faid he, iq the year of Mahomet nine hundred and eleven, erected a
Mofch and Convent in Conjiantinople, dedicated to this Holy Emir
Ebrbuhar (that is of the race of Mahomet) upon whom reft the
mercy of the Creator. This man both extrinfecally as to appearance
in the world, and intrinfecally as to his devout foul, was famous and
renowned for the Miracles he worked 5 on which Fabrick Sultan
Selim afterwards beftowed a fountain of water. This Ebrbuhar
Scholar of Uaeksbendet taking into his Company the affiftanceof
Abdulla and llahi and Vefa, Preachers and Heads of other Convents ,
came out of Afya to propagate their Doctrine in Europe* Their
anions were governed with Meeknefs, Gravity and Silence, and
laying afide all fuperftitious Worftiips, they exercife themfelvesin
pious anions j their difcourfes amongft themfelves were nothing in
relation to the things of the world, but of Matters relating to a future
life. Thefe poor religious faft for the moft part 00 Mundajs and
Thurfdajs^ and both they and thofe devoted to their order
abftainfrom all Meats that carry with them any fetulent or ungrateful
fmells, and in this manner thele devout people exercifed in
abftinenceand a moral life, add fwallowed up or transported with
theillumination of God, and attending to their daily prayers,
Commemoration ofGods mercy, and other offices of devotion,
acquire a holy difpofition and preparation for Celeftial glory. As to
the Holy Emir Ebrbuhar, whofe Myfterious life may God fancVifie to
usy was nouriftied with Bread made of Barley, Oil of Olives, Honey
and Grapes, and abftained from all things of a ftrong fcent or favour,
he eat but three times a year, giving himfelf continually to Fatting
and Prayer 5 he was a man of great Sanctity, full of Divine
Revelation, his attractive vertue was grateful to all, to his Feet from
divers Countries were many difeafed perfons brought, which
afterwards returned found and healthful to their own homes 5 all
which is the relation of my Doctor and great admirer of the
Mahometan Religion. In commendation of the religious of this Order,
are thefe Verfes in the Perjian tongue. Qher
 \\z The Turkilh a5M onafleries and Votaries. * Gher hakjk?
iabi der gehan bulettdi Hakscbibendi Kiun Nakschibendi 5 that is, If
thou wouldft find in the world one accompliflied as a true Heroe,
make thy fclf a Nakjchibendi, who is the true pattern of a Servant of
God. And notwithftanding this great pretended purity andfan&ity of
thefc men, they are yet by the generality efteemed Hereticks in the
Mahometan fuperftition, becaufethey judge themfelves not obliged
to the Pilgrimage of Mecka, by reafon of their pretended purity of
foul and Seraphick Raptures, which elevate them above the world,
and enable them in their very Cell9 to be prefent, or have a clear
Profped into their Holy Mecha> CHAP. XV. Of the Nimetulahi. ONE
fort of thofe who are accounted in the number of Cbalvetti is the
Nimetulahi 5 they had their beginning in the Hegira or year of
Mahomet 777, and their denomination from one of that name,
famous for his Do&rine and feverity of life in the time of Sultan
Mahomet, Son of Bajazet, called by the Turks Ilderim, or the Son of
Thunder 5 He was an excellent Phyfician, and renowned for his
vertues amongft the vulgar 5 for better knowledge of his Life and
Doctrine, the Reader may take notice what one of this Order related
to me in admiration of his Mafter. He was one, faid he, who
preached and publifhed the truth, mortifyed his body, followed not
the affections of the carnal Appetite, knew the intrinfick nature and
Quiddity of all creatures, rendred continual Prayers and Praifes to his
Creator 5 and fo longrefigned himfelf entirely to fpeculation, until he
arrived to the Ravifhment of Extafiesand Raptures, in which he
oftentimes obtained the happinefs todilcourfe with God. He eat of all
thofe things which God made lawful for humane nourihY ment,
without obfervation of Fafts or ftrictnefs in Diet, but day and night
continued in his prayers and devotions: whilft he flept he extended
not his feet like the beaftsof fenfe, who eat Corn and Hay in the
Stables} fometimes thefear of God made him tremble, and his
countenance became melancholy and affrighted with the
apprehenfion of his Majefty. And to this perfection none ever arrived,
aorta that intimate knowledge of the divine Secrets. The profeflors
of this Order afiemble every Munday night to praife the Unity of the
Divine Nature, and Celebrate the name of God with Hymns and
Songs. Thofe that would initiate themfelves into this Order, are
obliged to make a Qi,iarentine firft, or remain fequeftred in a
Chamber for the fpaceof forty dayes, with twenty four dramcof Meat
a day, during which
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The Turliifh Monajleries and Notaries. which time they fee

the face of God, the fublime Paradife, and prajfe the Creator and
Framer of the Univerfe j at the expiration of their term, they are
taken forth by the reft of the Fraternity, who taking hands Dance in
a Morris $ in which Vagary, if any Vifion appear to the Novices from
God, they throw their Cloaths behind them, and fall flat with their
faces on the ground, like men- alhonilhed or ftrook with an
Apoplexy, until fuch time as the Prior or chief of their Order coming
and making prayers-for them, they return by degrees to their fenfe
again, and taking them up with their eyes red and diftorted, they
remain a while like men drunk, diftra&ed or ftupid 3 but afcerwards
their fcattered fpirits being better colle&ed,the Prior demands in
fecret their Vifions and Revelations, which they communicate to him,
or fome cither ferious and grave perfon well inftru&cd in the
Myfteries of their profeflion. CHAP. XVI. Of the Kadri. THis is another
of thofe fix Religions which are derived from Chalvetti, which had
one Abdul Kadri Ghilani for its fir ft Founder, a man greatly admired
for his wifdom and abftinence, whole Sepulchre is found without
Babylon, to which place many of thofe wh;> enter into the Regular
Orders of thefe Convents make their Pilgrimages. Thofe who enter
into this Religion, muft perform their Novitiate with degrees of
abftinence and fafting 5 wherefore when firft they take the profeflion
upon them, there is bellowed upon them a fmall Cudgel made of ths
Wood of a Willow, weighing when frefh and green four hundred
drams, which they are always to carry about them hung at their
Girdle 5 by the weight of this they take their daily allowance of
bread, until fuch time as the Wood becoming exceeding dry, isalfo
much the lighter, and fo according as the weight thereof
lightens,their proportion of Bread diminilhes. Befides their prayers of
five times a day,to which all Mahometans are N bound, they are
obliged to fpend the whole or beft part of the night with turning
round at the found of a little Pipe, and to utter this word, Haiy Hai3
which fignifies Alive, being one of the Attributes of God and this they
do in imitation of the Cuftomufed by their Founder, who is faid to
have pronounced this word Hat, fo often, and with that vehemency,
that the vein of hisbreaft burfting, the blood guftied out upon the
Wall, and made the word Hat. Wherefore all his Difciples to follow
the example of their Mafter, taking hands together in a ring, rt-peat
this word,H<», Hai, with fo much violence, and fo often, until they
fall on the ground without breath or life 5 thofe who laft out longeft
carry oftthe dead from the Chamber, and lay them to recover their
fpirits after their ftrainedexercife 5 and this they do every Friday
night. Every one of thefe are obliged once in the year to a
retirement of forty days, in a little Cell free from all company or
converfation, during which
 The Turkifh Monajlcries and Votaries. which time they are
wholly to give themfelves to meditations, and to obferve their
dreams, and fo recount them to their Superiour, who ftudies the
interpretation of them, and from them Divines of future things. They
have many times licenfe from their Superiour, to be drunk or
intoxicate themfelves with Aqua vit£y Opium, or any ftupifying
Drugs, to be better able to perform with more fpirit and vehemency
their mad Dance. Thefe fellows are of a refined wit, notable
Sophifters and Hypocrites *, their (ecrets they reveal to none but
thofe or their own proftffion, by which means they are fubtleto cheat
thofe of other Religions. They are not debarred from the liberty of
Marriage, but if they do marry they are excluded from the Convent,
and may wear any fort of habit, yet for diftin&ion fake they wear
Black Buttons 5 thofe that live in the Convent, carry a certain white
Plad of a Courfe Cloth, their Heads with hair unihaven, without Caps
or other covering, and their feet bare. Thefe are called Kadri, and
have a Convent at Tophana in Constantinople. The Founder of this
Order, called, as we have faid before, Abdul KadirGhilan, was born in
the Hegiraot year ot Mahomet five hundred fixty one, and dyed in
the year fix hundred fifty feven 5 he was efteemed both a Lawyer
and a Philofopher, his Mafter or Inftructer was Abdul MuminGazeli,
who compofed two Books, one called Mugrib or the Arabian
Grammar, and another called Andttlut. At that time that Helakjn Son
of Genghiz, Han came to Babylon, he caufed him to kill one Alkami
then Vice- King of that City, for being of the Perfian Sect, called by
the Turks Rafizi or Hereticks, becaufe they rejeft Abubecber, Omar
and Ofaan , as Apocryphal Writers, and attribute not to them that
honour of Holy men, which is given by the Turk*. The Prior or chief
of the Convent of this Order, teach their Difciplesa certain
prayer,which they whifper in their ears, that it may not be over-
heard or known by others , this they are obliged to repeat every
moment with little intermiffion, unlefs at times fet apart for the ofc
fices of nature, and boaft that it hath fo much of efficacy in ir, that
by the vertue thereof, they obtain the enjoyment of divine vifiuns
and revelations. Their pofture is, like other Religious Mahometans, to
fit with their heads hanging down, and their Nofes in their Breads,
which they call Murafybe 3 the better to keep them from diftra&ion
or wandring thoughts, during their contemplations of Heaven, and
the vanity of fatisfying the carnal appetite. Amongft the many
Miracles that the followers of this Order recount of their Mafter, one
is this, That coming once to Babylon to inhabit amongft the other
fuperftitious perfons and Santones of that City, they hearing of his
approach went forth to meet him, one of them carrying in his hand a
dilh filled with water, from whence they would infer, that as that difh
was full to the brim fo as to be capable of containing no mor<;, fo
their City was fo repleniftied with Learned and Religious perfons,
that there was no place to receive him.* Whereupon this fubtle
Sophifter ftudying to confute this Hieroglyphick, whereby
 The Turkifli Monafleries and Votaries. they would excufe the
courtefie of due Hofpitality, ftretching his arms firft towards Heaven,
and then bowed down and gathered a Rofe leaf which he laid on the
water, which before had filled the difti : by which piece of ingenuity,
he not only confuted the parable of the Churlifh Babylonians, but
alfo fo took with them, that they regiftred it as a Miracle of wifdom,
and bringing him into their City with triumph, made him the
Superiour of all their Orders. CHAP. XVII. Of the Order of Kalcnderi.
THis Order may rather be termed the Se& of Epicureans, then men
retired to mortihe their appetites,and deny the world, as all other of
the religious and regulated Turks pretend 5 but yet this fort of
Fanaticks pretend to Religion by a different way of Libertinifm and
loofenefsin their conventions which they aft fo publickly, that they
are not alhamed to profefs their iuftitution and fuftoms to be after
this manner. V* f»
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TAeTurkifli Monkeries and Notaries. In the time rhat

Mahomet Manfur Son of Me\kaz,i% Ohomi the Son of Silabdin, being
rendy to refign up his laft breath, bequeathed to his Son 'Mahomet
Melil^ Kiamel, the Government of Cairo, and all the other parts of
the Kingdom of Egypt } Damascus andjerufalem to his Son Ipt Afclik
Afujzin and Diarbekjr , to bis third Son Ejchrefrnufa ; There lived a
certain Santancz who always mentioned the name of God with the
fuund of his Pipe, and with that Mufick recreated himfclf day and
right, not after a chearful and merry humour, but with fad and
melancholy Tunes, accompanied his Pipe with Tears and Sighs. He
was an excellent Mufidan, and a deep Philofopher, endued with thofe
fupernatural vertues as enabled him to work Miracles clear, and
notorious to all the world} he was a Hermite , called in Arabic^
Abdal^ went with his head bare, and his body full of wounds,
without Shirt or odici Cloathing, befidesa Skin of fome wild Bcaft
thrown about his Shoulders^ at his Girdle he wore fome finely
poliGied ftone } his wrifts, inftead of Diamonds or Stones of value,
he wore counterfeit Jewels, which carried a luftre and fair
appearance with them} this man was called Santone Kaletideri^ who
was continually finging Arabic^. Sonnets, and according to them
Mufical Airs, making alfo harmonious compositions fo artificially, that
he feemed another David. But how ftricl: and fober foever this
Santone was, his Difciples or Prcfelytes arc of another temper, being
wholly given up to Jollity and delights, they banifti all kind of
melancholy and fadnefs, and live free of cares, paffions or torments
of the mind, and have this faying amongfi: them, This day is ours, to
morrow is his who (hall live to enjoy it} and therefore ftudioufly
attend to lofe no moment or leaft part of their pleafure, but confume
their time in eating and drinking} and to maintain this gluttony they
will fell the Stones of their Girdles, their Earrings and Bracelets.
When they come to the houfe of any rich man or perlbn of Quality,
they accommodate themfelves to theii humour, giving all the Family
pleafant words and chearful expreflions toperfwade them to a liberal
and free entertainment. The Tavern by them is accounted holy as
the Mofch, and believe they fcrve God as much with debauchery or
liberal ufe of his creatures (as they call it) as others with feverity and
mortification. And the Turks fay, That in the Hegira 615, the
Chriftians became Mafters ofjernfalem, by reafon that the Inftrtutor
of this Order of the Kalenderi, who had a chief band in the
Government of the City, was found drunk when it was affaulted.
CHAP. «
 The Turkifli Monafteries and Notaries. CHAP. XVIIL Of the
Edhemi, T'He original Founder of this Order was one Ibrahim Edhtm,
concerning whom the Difciples themfelves, of Followers recount
things very obfcurely , and tell us Stories that his Father was a Slave
and Abaftne by Nation, and went one day under the Fort Horanan to
difcourfe with Ibnimelik. King of Cairo, that he was a man very
comely, facetious and fober in his carriage, always defiring to pleafe
God, continued in the Moflhs reading the Alchoran, and in prayer day
and night with his face proftiite on the ground, and often repeating
theie words 3 cc O God, thou haft given me fo much wifdom, as that
I know clearly cc that I am in thy direction 3 and therefore fcorning
all power and domi"nion3Irefignmyfelf to the fpeculationof
Philofophy and a holy life. V 2 His
 1 4.8 The Turkifti Monnftwes and Votaries. His Servants
feeing this his devout way of living , applyed themfelves to the
imitation of his Aufterity, and abandoning all greatnefs and vanities
of the world, applyed themfelves to folitude and mortification 5 their
fupcrfluous garments they beftowedon the Poor, giving to thofe
vvhofe neceffities required them. Their food is Bread made of
Barlcy,and Pray frequently with Fading, and their Priors apply
themfelves much to a faculty in Preaching. Their principal Convents
arc in Cities of Perfia, cfpecially chorafin. Their Cloathing is of a
courfe thick Cloth , upon their heads they wear a Cap of Wool, with
a Turbant round it, and about their necks a white Linnen Cloth
ftriped with red. In the Deferts they converfe with Lions and Tigers ,
falute them and make them tame, and by the miraculouspowerof
divine affiftance entertain difcourfe with Enoch in the Wildernefs j
This and many other wild difcourfes they make of this Edhem0 but
becaufe there are but few of this Order in Conftanti~ nople, being
moft appropriated to Perfia 5 I could not receive fo particular an
account of their Rule and Inftitutions, as I have done of others. T
CHAP. XIX. Of the Order of Be&aflc. *He original Founder of this
Religion, is of no ancient Memory or (landing, nor had his Birth or
Education amongft the Sunt ones of Arabia , from whence moft of
thefe fuperftitious pretenders have had their beginnings but one of
thofe that was an Army-Preacher, that could fight as well as pray, of
whom my learned Hogia gives me this account. In the time ("fays
he) that the Warlike andviUorious Sultan Amurath pajfedwith his
Army izztoServia, and overcame Lazarus, the Defpot of that Country
3 and few him in Battel^ Becktaihnw then Treacher to Amurath j
who among!} other of his admonitions forewarned him of trufting
the SerVjd.Cbap.io, vians. fat Amurath out of his couragious fpirit
relying^on his own wifdom and force admitted a certain Nobleman
called Vilvo, upon pretence of doing him homage, to approach near
him and kjfs his hand, who having his Dagger ready and concealed,
flabbed Amurath to the hearty and with that blow made him a
Martyr* Becktafh knowing that this treacherous death of his Prince ,
mujl needs alfo b e the caufe of his , for being fo near his Per/on,
and prophejying of this fatal ftro^e, fought not tc 'prevent it, but
made prepd' rations for hts own death. -And in order 'thereunto
provided himfelfwith a white Robe with tong sleeves,' which he
proffered to all thofe which were his admirers , and Profelytes, to be
kjjfedas a marki of their obedience to him and to his inftitutions j
from this aUion the cilfto'm hath been introduced of kjffing the
feeveof the Grand Signior. The Religious of this Order wear on their
heads waite Caps of feveral pieces withfurbants of Wool,twifled
in'the fafiibn of a Rope, they obferve conjiiintly the horns of Prayer ,
whirh they perform M their own Ajfemblies 5 they go Cloaihed in
White . and prazfe the Zhity of Gid, crying , Hu ( which
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