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Julius O. Smith III (jos@ccrma.stanford.edu) Center for Computer Research in Music and Acoustics (CCRMA) Department of Music, Stanford University Stanford, California 94305 April 10, 2007

Course Overview • The focus of this course is spectral modeling and signal processing using the short-time Fourier transform (STFT). • Applications include musical sound synthesis and audio signal processing.

1

Administrative Information

Units You may sign up for either 3 or 4 units: • 3 units = lectures + assignments + ﬁnal • 4 units adds a ﬁnal project based on outside reading and/or a software project Important Pointers • The course schedule and outline1 (reachable from the class home page2) lists the following information: – Assignments – Weekly class schedule – Pointers to all lecture overheads • The 421 home page further contains pointers to – Programming examples – Sound examples – Related items of interest online • The MUS421/EE367B Overview3 contains this administrative info and more.

1

http://ccrma.stanford.edu/~jos/intro421/Schedule_Assignments.html http://ccrma.stanford.edu/CCRMA/Courses/421/ 3 http://ccrma.stanford.edu/~jos/intro421/

2

2

**Why The Fourier Transform
**

• Natural for visualizing audio signals: The ear performs a kind of Fourier analysis • Spectral models can be very compact and ﬂexible: – MPEG audio coding – Sinusoidal modeling (“additive synthesis”) ∗ AES talk4 on history of spectral modeling at CCRMA and elsewhere. • Any Linear Time Invariant (LTI) system can be implemented in the frequency domain by means of the Fourier Transform • Eﬃcient FFT implementations exist which make it possible to implement very large LTI systems in real time, e.g., room impulse-response convolutions of length 10,000 to 100,000

4

http://ccrma.stanford.edu/~jos/pdf/AES-Heyser.pdf

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**Applications of the Short-Time Fourier Transform (STFT)
**

• Frequency-domain display of audio signals • Fast convolution • Time-varying linear ﬁltering • Time-varying nonlinear ﬁltering • Fourier analysis, modiﬁcation, and resynthesis • Musical sound synthesis via spectral modeling: – Additive synthesis using sinusoids – Sines + Noise modeling – Sines + Noise + Transients modeling • Speech synthesis • Vocoders • Time scaling • Pitch shifting • Pitch Detection • Noise reduction • Audio compression

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Applications, Cont’d • Transform coders for audio compression, such as – MPEG AAC (10X common) – “MP3” (MPEG-II, Layer III — about half the quality of AAC) – Dolby AC-2 and AC-3 (6X, ﬁxed) – Philips DCC, Sony Minidisc (4 or 5X)) Music 422 (EE 367C) is an entire CCRMA course devoted to this topic. It is oﬀered only in Winter quarters. • Perfect Reconstruction Filter banks • Computational Auditory Modeling • Filter Design and Implementation • System Identiﬁcation • Signal Separation (Auditory Scene Analysis) • Non-Parametric Spectral Estimation

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Emerging Applications in Audio Coding MPEG-4 supports an “object oriented” approach to compression algorithms: • First transmit objects = synthesizer patches = “decoder” • Next transmit messages = performance data (like MIDI) = “encoded bit stream” • Main challenge: to develop classiﬁers and coders for general purpose audio Final Project (4th Unit) • Individual or group research project • Must be related to lecture/lab topics (FFT+Audio) • One-page project proposal due by 4th class meeting • Final written report due by the end of ﬁnals week • Oral presentation during the last class invited! • Project Types – Programming project and report

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– Reading and report • Suggested Outside Reading: See http://ccrma.stanford.edu/~jos/refs421/ (also available in Appendix P of the text.5) • Example Project Topics – Windows ∗ New FFT window types ∗ Explore window types not covered in class – Spectrum Analysis ∗ Short-time spectrum analysis of recorded data ∗ Study of statistical spectrum estimation ∗ Matching spectrum analysis parameters to human hearing ∗ Alternative time-frequency representations (Wavelets, Wigner, ...) – Sinusoidal Modeling ∗ Readings in additive synthesis ∗ Implement your own sines+noise analysis/synthesis system ∗ Noise reduction based on sinusoidal modeling ∗ Source separation based on sinusoidal modeling

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http://ccrma.stanford.edu/~jos/sasp/

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∗ Transient detection (for “sines + noise + transients” modeling) – Short-Time Fourier Transform (STFT) based Analysis, Modiﬁcation, and Resynthesis ∗ Software system development ∗ Noise reduction ∗ Pitch detection/tracking ∗ Time compression/expansion ∗ Transform coding ∗ Pitch-synchronous phase vocoder (adapt window to pitch period) ∗ Signal reconstruction from the STFT magnitude only (phase discarded) ∗ Spectral interpolation schemes to compensate for lost frames – Software Development ∗ Modify course Matlab examples to be compatible with Octave (See http://www.octave.org/.) ∗ Develop missing components of the Signal Processing Toolbox for Octave (looking only at Matlab help info). ∗ PD FFT-processing patches (see http://www.pure-data.org/)

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∗ LADSPA spectral-processing plug-ins (see http://www.ladspa.org/

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Main Pointer The course schedule and outline6 (reachable from the class home page7) lists the following information: • Assignments • Weekly class schedule • Pointers to all lecture overheads

6 7

http://ccrma.stanford.edu/~jos/intro421/Schedule_Assignments.html http://ccrma.stanford.edu/CCRMA/Courses/421/

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Notation

Before we begin, we will review the notation we will use in this class. (We will try to stay consistent.) Frequency and Time: • ω denotes continuous radian frequency (rad/sec) • f denotes continuous frequency in Hertz (Hz) • ω = 2πf • ωk denotes discrete frequency, ωk = 2π(k/N )fs • ω, ωk ∈ R (frequencies are always real) • T = sampling interval (sec) • fs = sampling rate, fs = • tn = nT (discrete time) • n, k ∈ Z (integers) • t, tn ∈ R (times are always real)

1 T

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**Introduction to Audio Spectrum Analysis
**

Spectrum analysis of real-world signals typically occurs in short segments. We are therefore most interested in short-time spectrum analysis: • Spectral content typically varies over time. • The human ear uses less than one second of past sound to form a spectrum. • There is a limit to the length of signal we can analyze at once. To extract and analyze a sound segment, it is necessary to apply a window function. An unmodiﬁed segment extraction corresponds to a “rectangular window”. Everything we ‘look at’ will be through a ‘window’, hence it is important to realize what the window is doing to our underlying signal. Applications we’ll discuss ﬁrst: • Spectral Analysis for Display • FIR Filter Design

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Example of Windowing

Lets look at a simple example of windowing to demonstrate what happens when we turn an inﬁnite duration signal into a ﬁnite duration signal through windowing. Complex Sinusoid: x(n) = ejωnT , Notes: • real part = cos(ωnT ) • The frequencies present in our signal are only positive. A fancy name for this is an ‘analytic signal’ This signal is inﬁnite duration. (It doesn’t die out as n increases.) In order to end up with a signal which dies out eventually (so we can use the DFT), we need to multiply our signal by a window (which does die out). 0 ≤ ωT < π

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**The following is a diagram of a typical window function:
**

Zero−Phase Window 1

0.9

0.8

0.7

0.6 Amplitude

0.5

0.4

0.3

0.2

0.1

0 −1000

−800

−600

−400

−200

0 200 Time (samples)

400

600

800

1000

This is loosely called a “zero-centered” (or “zero phase”, or “even”) window function, which means its phase in the frequency domain is either zero or π, as we will see in detail later. (Recall that a real and even function has a real and even Fourier transform.) The window is also nonnegative, as is typical.

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We might also require that our window be zero for negative time. Such a window is said to be ‘causal’. Causal windows are necessary for real-time processing:

Linear Phase Window (Causal) 1

0.9

0.8

0.7

0.6 Amplitude

0.5

0.4

0.3

0.2

0.1

0 −1000

−800

−600

−400

−200

0 200 Time (samples)

400

600

800

1000

By shifting the original window in time by half its length, we have turned the original non-causal window into a causal window. The Shift property of the Fourier Transform tells us that we have introduced a linear phase term.

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Putting all this together, we get the following: Our original signal (unwindowed, inﬁnite duration), is x(n) = ejω0nT , n ∈ Z A portion of the real part, cos(ω0nT ), is plotted below:

1

0.8

0.6

0.4

0.2 Amplitude

0

−0.2

−0.4

−0.6

−0.8

−1 −2000

−1500

−1000

−500

0 Time (samples)

500

1000

1500

2000

The imaginary part, sin(ω0nT ), is of course identical but for a 90-degree phase-shift to the right.

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The Fourier Transform of this inﬁnite duration signal is a delta function at ω0: X(ω) = δ(ω − ω0)

δ(ω − ω0)

0

ω0

ω

The windowed version is: xw (n) = w(n)e−jω0nT n ∈ Z (Note carefully the diﬀerence between w and ω.)

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1

0.8

0.6

0.4

0.2 Amplitude

0

−0.2

−0.4

−0.6

−0.8

−1 −2500

−2000

−1500

−1000

−500

0 500 Time (samples)

1000

1500

2000

2500

The Convolution Theorem tells us that our multiplication in the time domain results in a convolution in the frequency domain. Hence, in our case, we will obtain the convolution of a delta function at frequency ω0, and the transform of the window. The result of convolution with a delta function is the original function, shifted to the location of the delta function. (The delta function is the identity element for convolution.)

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0

−5 main lobe −10

−15

Amplitude − dB

−20

−25

−30

−35 sidelobes −40

−45

−50

−3

−2

−1

ωT

0

ω0 1

2

3

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Summary

• Windowing in the time domain resulted in a ‘smearing’ or ‘smoothing’ in the frequency domain. We need to be aware of this if we are trying to resolve sinusoids which are close together in frequency. • Windowing also introduced side lobes. This is important when we are trying to resolve low amplitude sinusoids in the presence of higher amplitude signals. When we look at speciﬁc windows, we will be looking at this behavior. • A sinusoid at amplitude A, frequency ω0, and phase φ becomes a window transform shifted out to frequency ω0, and scaled by Aejφ. There are many type of windows which serve various purposes and exhibit various properties.

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**The Rectangular Window The rectangular window may be deﬁned as: wR (n) =
**

∆ −1 1, |n| ≤ M2 0, otherwise

Zero−Phase Rectangular Window − M = 21

1

0.8

Amplitude

0.6

0.4

0.2

0 −20

−15

−10

−5

0 Time (samples)

5

10

15

20

• “Zero centered” deﬁnition (even in time domain) • Need M odd in zero-centered case • Scale window by 1/M to obtain unity dc gain

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To see what happens in the frequency domain, we need to look at the DTFT of the window: WR (ω) = DTFTω (wR ) =

n=−∞

M −1 2

∆

∞

**wR(n)e−jωn ejω
**

M −1 2

=

−1 n=− M2

e−jωn =

− e−jω 1 − e−jω

M +1 2

**where we used the closed form of a geometric series:
**

U

n=L

rL − rU +1 r = 1−r

n

We can factor out linear phase terms from the numerator and denominator of the above expression to get WR (ω) = e−jω 2 ejω 2 − e−jω 2

1 1 1 1 M M

**e−jω 2 ejω 2 − e−jω 2 sin M ω ∆ 2 = M · asincM (ω) = sin ω 2
**

∆

where asincM (ω) denotes the aliased sinc function. sin(M ω/2) asincM (ω) = M · sin(ω/2) (also called the Dirichlet function)

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Rectangular Window Transform (Cont’d) Above, we found the rectangular window transform to be the aliased sinc function: ω ∆ sin M 2 WR (ω) = M · asincM (ω) = sin ω 2

DFT of a Rectangular Window of length M = 11 12 Amp 10

8

Complex Amplitude

6

4

2

0

−2

−4 −6

−4

−2

0 freq

2

4

6

This (real) result is for the zero-centered rectangular window. For the causal case, a linear phase term appears:

c WR (ω) = e−j

M −1 ω 2

M asincM (ω)

As the sampling rate goes to inﬁnity, the aliased sinc function approaches the regular sinc function ∆ sin(πx) sinc(x) = πx

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**More generally, we may plot both the magnitude and phase of the window versus frequency:
**

Magnitude of Rectangular Window Transform (M = 11) 1

0.9

0.8

0.7

Magnitude (Linear)

0.6

0.5

0.4

0.3

0.2

0.1

0 −6

−4

−2

0

ω/ΩM

2

4

6

Phase of Rectangular Window Transform (M = 11) 3.5343

3.1416

2.7489

2.3562

1.9635

Phase

1.5708

1.1781

0.7854

0.3927 Main Lobe

0

−0.3927 −6

−4

−2

0

ω/ΩM

2

4

6

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**In audio work, we more typically plot the window transform magnitude on a decibel (dB) scale:
**

DFT of a Rectangular Window − M = 11 0

−5 main lobe −10 13 dB down −15 Magnitude (dB) sidelobes −20 sidelobes

−25

−30

−35

−40

nulls −3 −2 −1 0 1 Normalized Frequency ω (rad/sample)

nulls 2 3

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Since the DTFT of the rectangular window approximates the sinc function, it should “roll oﬀ” at approximately 6 dB per octave, as veriﬁed in the log-log plot below:

DFT of a Rectangular Window − M = 20 0

−6.0206 Ideal −6 dB per octave line −12.0412

−18.0618

Partial Main

Amplitude (dB)

−24.0824

Lobe

−30.103

−36.1236

−42.1442

−48.1648

−54.1854

0.1

0.2

0.4 0.8 1.6 Normalized Frequency (rad/sample)

3.2

6.4

As the sampling rate approaches inﬁnity, the rectangular window transform (asinc) converges exactly to the sinc function. Therefore, the departure of the roll-oﬀ from that of the sinc function can be ascribed to aliasing in the frequency domain, due to sampling in the time domain.

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Sidelobe Roll-Oﬀ Rate In general, if the ﬁrst n derivatives of a continuous function w(t) exist (i.e., they are ﬁnite and uniquely deﬁned), then its Fourier Transform magnitude is asymptotically proportional to constant (as ω → ∞) |W (ω)| → n+1 ω Proof: Look up “roll-oﬀ rate” in text index. Thus, we have the following rule-of-thumb: n derivatives ←→ −6(n + 1) dB per octave roll-oﬀ rate (since −20 log10(2) = 6.0205999 . . .). This is also −20(n + 1) dB per decade. To apply this result, we normally only need to look at the window’s endpoints. The interior of the window is usually diﬀerentiable of all orders. Examples: • Amplitude discontinuity ←→ −6 dB/octave roll-oﬀ • Slope discontinuity ←→ −12 dB/octave roll-oﬀ • Curvature discontinuity ←→ −18 dB/octave roll-oﬀ For discrete-time windows, the roll-oﬀ rate slows down at high frequencies due to aliasing.

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In summary, the DTFT of the M -sample rectangular window is proportional to the ‘aliased sinc function’: ∆ sin(ωM T /2) asincM (ωT ) = sin(ωT /2) ≈ sin(πf M T ) ∆ = M sinc(f M T ) πf T

∆ 2π M

**Some important points: • Zero crossings at integer multiples of ΩM =
**

∆

**where ΩM = 2π = frequency sampling interval used M by a length M DFT • Main lobe width is 2ΩM =
**

4π M

• As M gets bigger, the mainlobe narrows (better frequency resolution) • M has no eﬀect on the height of the side lobes (Same as the “Gibbs phenomenon” for Fourier series) • First sidelobe only 13 dB down from main-lobe peak • Side lobes roll oﬀ at approximately 6dB per octave • A phase term arises when we shift the window to make it causal, while the window transform is real in the zero-centered case (i.e., when the window w(n) is an even function of n)

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Frequency Resolution

The next series of plots shows the eﬀect that an increased window length has on our ability to resolve 2 sinusoids. Two Cosines (“In-Phase” Case) • 2 cosines separated by ∆ω =

2π 40

**• Rectangular Windows of lengths: 20, 30, 40, 80 (∆ω = 1 ΩM , 3 ΩM , ΩM , 2ΩM ) 2 4
**

M = 20 0.7 0.6 0.5 Magnitude 0.4 0.3 0.2 0.1 0 0 1 2 3 Magnitude 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 0 1 2 3 M = 30

**Frequency ωT (rad/sample)
**

M = 40 0.7 0.6 0.5 Magnitude 0.4 0.3 0.2 0.1 0 0 1 2 3 Magnitude 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 0

**Frequency ωT (rad/sample)
**

M = 80

1

2

3

Frequency ωT (rad/sample)

Frequency ωT (rad/sample)

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One Sine and One Cosine (“Phase Quadrature” Case)

• As above, but 1 sine and 1 cosine • Note: least-resolved case appears resolved! • Note: M = 40 case suddenly looks much worse • Only the M = 80 case looks good at all phases

M = 20 0.7 0.6 0.5 Magnitude 0.4 0.3 0.2 0.1 0 0 1 2 3 Magnitude 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 0 1 2 3 M = 30

**Frequency ωT (rad/sample)
**

M = 40 0.7 0.6 0.5 Magnitude 0.4 0.3 0.2 0.1 0 0 1 2 3 Magnitude 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 0

**Frequency ωT (rad/sample)
**

M = 80

1

2

3

Frequency ωT (rad/sample)

Frequency ωT (rad/sample)

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One Sine and One Cosine (“Phase Quadrature” Case) All Four Resolutions Overlaid • Same plots as on previous page, just overlaid • Peak locations are biased in under-resolved cases, both in amplitude and frequency

0.5 M=20 M=30 M=40 M=80

0.45

0.4

0.35

0.3 Magnitude

0.25

0.2

0.15

0.1

0.05

0

0

0.5

1

1.5

2

2.5

3

Frequency ωT (rad/sample)

The preceding ﬁgures suggest that, for a rectangular window of length M , two sinusoids can be most easily

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resolved when they are separated in frequency by ∆ 2π ∆ω ≥ 2ΩM ΩM = M This implies there must be at least two full cycles of the diﬀerence-frequency under the window. (We’ll see later that this is an overly conservative requirement—a more careful study reveals that 1.44 cycles is suﬃcient for the rectangular window.) In principle, arbitrarily small frequency separations can be resolved if • there is no noise, and • we are sure we are looking at the sum of two ideal sinusoids under the window. However, in practice, there is almost always some noise and/or interference, so we prefer to require sinusoidal frequency separation by at least one main-lobe width (of the sinc-function in this case, or the window transform more generally) whenever possible. The rectangular window provides an abrupt transition at its edge. We will later look at some other windows which have a more gradual transition. This is usually done to reduce the height of the side lobes.

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Resolution Bandwidth (resolving sinusoids) Our ability to resolve two closely spaced sinusoids is determined primarily by the main lobe width of the Fourier transform of the window we are using. Let Bw denote the main lobe width in Hz, with the main lobe width deﬁned as the width between zero crossings:

7 6 5 4 3 2 1 0 -1 -2 -4

WR (ω)

Μ=7

2πBw

−3Ω −2Ω −Ω Ω 2Ω 3Ω ω

-3

-2

-1

0

1

2

3

4

For the Rectangular Window (length M ), we have sin (M πf T ) ∆ sin (M ωT /2) = WR(ω) = asincM (ω) = sin(ωT /2) sin(πf T ) Main lobe width is “two sidelobes wide” ΩM fs ⇒ Bw = 2 =2 (Hz) 2π M

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Choosing Window Length to Resolve Sinusoids A conservative requirement for resolving 2 sinusoids (in noisy conditions) with a spacing of ∆Hz is to choose a window length M long enough so that their main lobes are clearly discernible. For example, we may require that their main lobes meet at the ﬁrst zero crossings.

Closely spaced sinusoids - Rectangular window - M = 21 1 0.9 0.8 0.7 0.6 Amplitude 0.5 0.4 0.3 0.2 0.1 0 0

∆

0.5 Bw

1 Bw

1.5

ωT (radians per sample)

2

2.5

3

To obtain the separation shown above, we must have Bw ≤ ∆, where Bw is the main lobe width in Hz, and ∆ is the sinusoidal frequency separation in Hz.

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For the rectangular window, Bw can be expressed as Bw = 2 Hence we need: Bw = 2 fs ≤∆ M fs ⇒ M ≥2 ∆ fs M

fs |f2 − f1| Thus, to resolve the frequencies f1 and f2 under a rectangular window, it is suﬃcient for the window length M to span at least 2 periods of the diﬀerence frequency f2 − f1, measured in samples, where 2 is the width of the main lobe, measured in sidelobe-widths. M ≥2 A rectangular window of length or greater is said to resolve the sinusoidal frequencies f1 and f2.

or

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