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Howard A. Gaberson, Oxnard, California

**This article is a tutorial attempt to provide an easier analysis of how windows work. I begin by looking at individual
**

spectrum bins as affected by off-bin-centered tones with six

different windows. I define and use the convolution theorem

to explain why the windows do what they do. I review the sophisticated misunderstood fat-center-peaked, picket-fencelooking FFTs of various windows that come from adding zeros to increase. resolution. I then use these drawings in a

step-by-step graphical convolution to show how this or that

window will affect the FFT of your data. This is a procedure

to demonstrate how any oddly shaped, even graphically defined, window affects data. These techniques are tools to allow you to invent a graphical window to affect data in new

ways. To demonstrate how to use graphically defined windows, I use digitized drawings of a Hawaiian mountain and

the popular cartoon beagle as windows. To use these windows,

I demonstrate FFT-IFFT interpolation and resampling, which

in itself is interesting. Finally, I compare how eight windows

affect the spectrum of typical vibration data.

We need a window for vibration spectrum analysis because

the beginning does not match the end of the data segment we

are analyzing and because we virtually never have an integer

number of periods of any cyclic information in the signal segment/chunk. The discrete Fourier transform (DFT) analysis is

really a Fourier series expansion of whatever segment we input. It is considered periodic. Mismatched ends and noninteger

numbers of periods garbles the result. Windows somewhat alleviate that garbling but in a complicated way.

Windows are shapes - like a hill, a hump in the center, and

they go to zero at the ends. When you multiply these window

shapes term by term with a segment of data, you force the ends

of the data segment to zero, so at least the ends match the beginning. You cannot really fix the noninteger number of periods. Figure 1 shows a window application. In Figure la we have

a 1,024 value plotted list of acceleration data; in Figure lb, a

1024 value Hanning window plotted for the same time values.

Figure lc shows the product of the two. The beginning and ends

certainly match.

I am sure there are more than 100 windows described in the

literature. Figure 2, shows six of them that I happen to use and

will illustrate here: boxcar (or uniform), Hanning, Hamming,

Gaussian, Kaiser Bessel, and flat-top (this is very different from

the boxcar or uniform window). Signal analyzers frequently

offer five or six to choose from, with variably helpful discussions of when to use each. Hanning is the most widely recommended. Reference 1 gives 44 and Reference 2 gives eight more;

these might be the most widely referenced windows papers, but

these authors hadn't yet heard of the flat-top. Ron Potter3 gives

about five windows and is famous for an unpublished HP publication. Potter did have a flat-top in there. Finally, the venerable Briiel & Kjxr Technical Review published the first fully

disclosed flat-top window and a nice version of the Kaiser

Bessel window.4,5 These two publications are downloadable

from the B&K web site. I read a papers from the 2004 International Modal Analysis Conference where the investigator was

working on keeping the side lobes extremely low because of

all the new high-resolution, 24-bit, data-collecting hardware.

If you really want to dig into things, Harris7 wrote a difficult

64-page article with excellent drawings that I recommend.

0.4

,

a

0.2

0

-0.2

0.40

to

0.05

al

0.15

0.2

0.25

0.05

0.1

0.15

0.2

0.25

b

10.5

0

0

0.4

c

Term by term product of top tgure data with middle figure windod

0.2

-0.2

-0.4

0

0.05

0.1

lime, sec

0.15

**Non-bin centered or not, an integer number of periods or
**

cycles in the analyzed data segment is the topic to start with.

A sine wave component of our signal is bin centered if it has

an integer number of periods in the data segment being ana14

0.25

Figure 1. This shows a 1,024-point Hanning window applied to 1,024point chunk of air handler acceleration.

1.8

1.6

Boxcar Hanning Hamming Kaiser BesselGauss Flat-top -

1.4 -

1.0

0.8

0.6

0.4

0.2

-0.2 0

500

100

'

600

Figure 2. Six common window shapes.

**lyzed, which almost never happens without planning. We can
**

develop a formula for testing if a sine wave signal component

is bin centered as follows. A sine wave is given by Equation 1:

y = sin2rft

(1)

where f is the frequency in cycles/second (Hz). The period of

a sine wave P (seconds per cycle) is the reciprocal of the frequency (Equation 2):

1

P=(2)

Since we have to work with digitized data, define:

N = number of samples in data segment being analyzed

fs = sample rate in samples/second

The time interval between samples h is the reciprocal of the

sampling rate fs (Equation 3):

h=

Defining the Bin-Centered Concept

0.2

(3)

s

**The signal duration T is given by Equation 4:
**

N

T =Nh=-

(4)

fs

SOUND AND VIBRATION/MARCH 2006

f=18.2 Rat-top 0.4 0.9 1.6 0. and FFT means the fast Fourier transform.2 Hz.6 0. Expanded DFTs.8 0.024/second and if our number of samples is also 1.0 0.8 0.0 0.0 1.8 0.0 VV\ 0.0 1. The time between samples is 1/fs. therefore.8 0.2 0.2 0 0 0 10 15 20 1. this is the bin-centered case.0 0 0 -1. we find: N P Nf from T fs P N 1/f (6) Now. except for the case of exactly 16 Hz. Expanded DFTs. The 4f or bin frequency spacing.4 0. This is shown for 16 Hz and several frequencies close to 16 Hz in Figure 3.8 0.024-point sine wave chunk connected to the beginning of the identical 16-Hz. I have expanded the region where the end of the first sine meets the beginning of the second sine to make it clear that a discontinuity occurs when the frequency is not a whole number. We get a frequency value starting at f = 0.2 Hz.2 0.0 0.8 0 ft 'O 0oaeeee 15 20 0 1.4 0. All signal analyzers and data collectors use an FFT to initially compute and then develope the spectrum from that result. and (1V)(1/fs) = T. Such test segments of a sine wave signal are needed for calibrating a window coefficient in our spectrum calculation programs. I will draw an expanded view of the end of a 16-Hz.0 1. Expanded DFTs for 16 Hz.5 2.0 f= 16.0 11 -2 0 -1. These INSTRUMENTATION REFERENCE ISSUE Figure 5.024-point sine wave chunk.9 1. 16.7 2. all windows seem reasonable in this situation. the number of periods will be equal to the frequency. I will set things up that way here.2 0.0 0 -1.0 1.0 1 1.6 0. Notice that the two curves match perfectly (end to beginning) only for the case of 16 Hz. six different windows.0 1. In case you are rusty. DFT means the discrete Fourier transform.0 Boxcar Kaiser 1.8 0.2 0 -2.0 1.0 1. I use the acronyms DFT and FFT synonymously. 20% off bin center. 1.0 0.4 0. 15 .0 1.4 0.0 0.0 f=16. the calculation procedure used to calculate the DFT.1 Figure 3.0 11 0. but the boxcar window shows side lobe leakage.4 0. the beginnings and ends do not match.024.8 0.2 1.2 0 15 0 Figure 6.2 0. sampled at fs gives us a spectrum of (N/2 + 1) amplitudes at frequencies from 0 to f5/2. and values spaced at zlf all the way up to f5/2. The number of periods N has to be given by the duration over the period (Equation 5): T NP =p (5) By substituting Equations 2 and 4 into Equation 5.2 0.9 --- 20 0 15 20 11 16. We frequently call these (N/2 + 1) amplitudes the bin values.4 0.4 0.4 0.1 2. This is 1/T.8 0.0 -2. thin line shows actual tone positioned at 16. I want to review some spectrum fundamentals so you will know what to expect.8 10 15 20 Frequency.6 0.8 0.0 1. The DFT of an N-point signal.1 Hz 10% off bin center. the sine wave in the data segment is bin centered or has an integer number of periods.8 0. six different windows. 1.0 10 15 1.4 0. is 1/T = fs/N. There will be N/2 intervals between 0 and fs/2. 16.0 1. which makes the signal bin centered.8 0. each interval or space is Lif = 2)/(N/ 2) = fs/N. as long as NP is a whole number.4 0.6 0.6 0. six different windows.0 2. so this is a handy formula to keep in mind.0 1= 16.6 0. Hz 10 15 20 Figure 4. Non-bin-centered tone time histories. To illustrate how the end and beginning not matching affects things.0 1.8 0. Gauss 0.2 0. In the case of a sampling rate of 1. Non-Bin-Centered Effects Now we are in an excellent position to consider the effects that those six windows I mentioned help us alleviate (but cannot really cure) the picket fence and leakage effects of a nonbin-centered signal on the spectra we compute.0 1.3 1=18.8 0. 1.2 0.

Both the Hanning and the Hamming windows indicate content at 15 and 17 Hz as well. Figure 4. the boxcar spectrum indicates roughly equal content at 16 and 17 Hz of about 0. which indicates an amplitude of 1 content at 16 and 17 Hz.4 02 0.8 0. It is trouble to prove.3 Hz.8 0.4 0. The worst case is Figure 8.4 0. 30% off bin centered.2 Hz sine wave with 16. In Figure 6.96. 50% off bin center.024/sec.4 0. Hz 0 Figure 8.4 Harming 1.024 sampling rate. the boxcar windowed spectrum now shows content from 13 to 17 Hz and shows the amplitude at 16 Hz down a little. Picket fence and leakage reduction: that is why we need windows. The Gauss window shows content from 13 to 19 Hz. let us check out all six windows on bin-centered and the other Figure 3 cases with varying degrees of not being bin centered.8 0. Notice that all the other windows do much better than the boxcar. but windows reduce them. 10% off being bin centered.6 0.4 0.5 periods. The Hanning spectrum indicates equal content at 16 and 17 Hz of about 0. to as 1.4 0. If we stay with 1.2 0. boxcar is close to 20% in error now.8 0. they are indicating content where we happen to know there actually is none. this is a leakage of content into adjacent bins where we know there is no content in the true signal. Expanded DFTs.84.2 00 10 15 20 15 20 Figure 7. The bin content shifts. In these spectra. you will come to agree that we have to use them. The Hanning seems to beat the Hamming.4 0.4 0.1 Hz and thus have 16. The boxcar spectrum is indicating 0.024 samples and the same 1. with content in all the adjacent bins shown from 8 to 24 Hz.024 samples sampled at 1. 30% off bin center.0 1. df = 1/T = 1/(1 sec) = 1 Hz.6 0. six different windows.2 0 oe 10 20 15 Frequency.0 0.8 0.3 periods. with the flat-top showing we have content between 16 and 17 Hz with an amplitude of 1. Recall that the signal only contains an amplitude of 1 at 16 Hz.6 0.6 0.8 Harming 1.6 as 0.024/sec. and the flat-top window shows content from 12 to 20 Hz.2 0 Hatming 10 15 20 10 15 o0.4 0.8 0. There is some stuff to dislike about windows.1 periods. That is how this picketfence error goes.6 0.6 0. the Gauss window shows maybe 0. you have to remember them.0 1. 16.2 periods.0 1.6 0. 20% off bin centered.4 0. six different windows.0 0.0 0.8 0. I have used MATLAB 'S "stem-plot" feature to emphasize the individual bin values.0 0.5 Hz.2 0. With 1. I have shown the spectra for a 16. but if you want to see it proved. and the other windows restrict this spreading of content.92 amplitude content at 16 Hz.6 0.2 0. 10 15 20 10 1. Figure 9 shows the same information about 16.4 0. the bin-centered case. Hz lat-top 10 15 Figure 9. Now. 16 facts are important. 1.4 0. We cannot eliminate the effects.8 0. Now the poor boxcar spectrum thinks we have a tone of 0.2-Hz amplitude as a black line. and the Kaiser Bessel is close behind at about 0. and even the 17 Hz bin is pretty close to 1. The flat-top is still hitting 1 right on the money at 16 Hz.5 Hz or 16.2 0.3 Hz. a 16% error.7 Hz.4 0. from 14 to 18 Hz.6 0. but note the flat-top window still gets the amplitude correct. and the Kaiser and the Gauss are considerably more accurate.000 20 10 15 20 0.1. The Kaiser Bessel window shows content in five bins. 16.2 0 0.2 0.0 02 02 0 20 oeeee00 --Leeep 20 1 0 15 1.0 HaMming I t. All the other windows seem to say we still have an amplitude of 1 and a sine wave at 16 Hz. Figures 4 through 9 show an expanded view of the spectra (around 16 Hz).0 1. The boxcar or "no window" shows that we have a single value of one in the spectrum in the 16-Hz bin. shows the situation with all six windows for 16.8 0.7 Hz. Except for the flat-top. ask me for a copy of Reference 8.8 0. In this case. this is the worst case.4 0.2 0. 16.63. the signal duration T equals 1 sec. 16.95.2 0 0 1.8 0. Notice that all the other windows except the flat-top are indicating a content less than 1 still at 16 Hz. but as we move on.6 0.0 1. the df = 1 Hz stays the same no matter what we do to the frequency to change the number of periods and examine non-bin-centered effects. the spectra for 16. with the six windows applied to the degrees of non-bin centeredness of Figure 3. I have shown the 16. with additional content spread from probably 10 to 23 Hz.8 10 15 20 10 15 20 Frequency.024-sample signal of a 16-Hz sine sampled at 1.0 c Kaiser 0.0 0.6 0.0 1. Figure 7.8 0.8 56 Flat-top 0.2 0 0 1.0 0. this will have exactly 16 periods. or 30% off 17 Hz. From Equation 6. or a 37% picket-fence error. This effect is called reducing leakage. 70% off bin center. Figure 5 shows what happens if we raise the frequency to 16. Notice also that the boxcar spectrum shows content in every bin. On the spectrum. SOUND AND VIBRATION/MARCH 2006 . This indication of content where there is none is called leakage.6 0.6 0. shows the six windows applied to the spectrum calculation when the frequency is exactly 16 Hz. this is really 30% off 17 Hz. Expanded DFTs. The fact that the boxcar spectrum shows a 15% error is called the picketfence effect. six different windows.4 02 0. All of the other five windows show content in the bins next to 16 Hz.4 0.8 0. We start with a 1. Expanded DFTs.85 at 16 Hz.

I want to also use the word reconstruction for the inverse transform operation. nh is the discrete time.0 0. It turns out to be the sum of the sequence with alternate signs reversed. in digitized terms. The little circles on the spiral represent the values of the discrete sinusoid for the sequence of n values. it analyzes N samples of digitized data. its phase. each Xk is the amplitude and phase of a complex sine wave. the IFFT. The little circles on the spiral beginning at the tip of the straight line are the values for the sequence of n values. and I have to explain this shifted idea. assumed periodic..) Then they reconstruct the signal in terms of these a's and b's as follows. The time index is n and the frequency index is k.0 477. The data list is sampled at sampling rate fs. is the continuous periodic band-limited curve the original x's were sampled from. not just powers of 2. 27rkt) sm T ) (9) The Fourier series coefficients are given by Equations 9a and 9b: T X(t)COS 271-kt dt (9a) bk 1 2rk t — T x(t)sin dt 2 0 (9b) Cc = 2 T 0 T The ak and bk are the harmonic content. is the frequency. I have the 1/N where I think it belongs. It transforms the data into discrete (or sampled) complex exponentials (or equivalent sinusoids). The DFT equations are Equations 7a and 7b: n=N-1 Xk = N 1. (ak. The NXk values are complex sine wave amplitude values. However.1) unique complex values.5 N-1 kIN Xn = X kel2" e-12'kniN = cos 2. Since it is an exact transformation. if we multiply it by hfs which equals 1. and rearrange as in Expression 8a: kf g. (However. it will make a periodic function of that segment. When the curve is evaluated at the signal sampling instants.5 -1. The straight-line vector from the origin represents.. which is the sum of the N sine waves. There is an even number of N samples in the list. XN/2 also contains one INSTRUMENTATION REFERENCE ISSUE The spectrum of a machinery vibration signal is a plot of content vs frequency.More DFT Background: We have to look a little closer at the DFT and how it is used to compute our spectrum. The DFT is most economically computed using the FFT.0 <0. The xn of Equation 1 are samples from a signal that was accurately sampled and band limited to f912.5 x ne-izzicn/ N (7a) n=0 E coo" 0 (7b) k=o 2itkn N isin 27rkn (8) N We can see the frequency in that 27ckn/N. it exactly reproduces the signal. not where it is usually placed. Equation 7b is the synthesis equation. The X's are numbered from 0 to N. They say if x(t) is periodic with period T. it can be exactly synthesized from its Fourier series coefficients.8 1. it is special.5 -2. the xn into N DFT values. Each Xk is the complex amplitude of one of the discrete spirals. we are able to exactly inverse transform the DFT back to the original data. there are some ground rules. I believe MATLAB'S algorithm is able to deliver efficient results for all N values.1. the complex exponential is also exactly Equation 8: cos 27r 1. The smooth spiral on which the data lie is the underlying curve.. (ak cos 27rkt bk . it is real and contains one value. We can also write the kth harmonic in terms of amplitude and phase as follows: 27rkt (10a) xk (t) = Ak COS( T 0k) Here Ak is the amplitude and ok is the phase. We have to look at the DFT of a window. The phase is the angle in radians to the first positive peak. 2 . the curve with time taken to be continuous or with nh replaced by t in Equation 8a. The transform is the list of their amplitudes as a function of frequency. this means its Fourier transform is zero for all frequencies greater than half the sampling rate. bk ). To use Equations 7a and 7b for vibration analysis. The inverse transform evaluates all these sine waves at the signal sample instants and adds them up. The X values from XN/2±1 to XN _ 1 are not unique but are complex conjugates of the values from XN/2 _ 1 down to X1. each containing two values. The amplitude and phase are given by Equations 10b and 10c: 17 . Thus for the N values of the sequence. It is the content at the Nyquist frequency or half the sampling rate. The FFT will compute N Fourier coefficients from a sequence of Nnumbers. it exactly transforms the complex X's back to the original x's. the Xk. The values symmetrical about XA112 are complex conjugate pairs. This represents one of the discrete complex sinusoids in 3-D. The transform is the list of complex X's. The transform is a set of amplitudes and phases of complex sine waves that form a continuous curve when added together. (8a) Relation of DFT X's to Harmonic Content Thus. Xk is its complex amplitude or a vector from the origin to the beginning point of the discrete spiral. it has a length and is at an angle. The DFT concept: X (thick) is a transform value. real value. Figure 10 attempts to show one of the k discrete complex sinusoids in 3-D.„ • S Go 0 • -1. X0 is the DC or average value. 1.0 Figure 10. the analysis will work almost no matter what you assume. and kfiN. The kth harmonic is given by Equation 10: Xk(t) = ak cos 2nkt + bk sin 2ict (10) Its frequency is k/T. by Equation 3. If you find time to look up Fourier series theory from any old book (25 years or so) you will find that they use a's and b's to do the analysis of a segment of a signal. Let us repeat: the DFT as an exact transformation of a digitized vibration signal. Equation 7b says to add them all up and you have your original signal. we get N unique values from the transform. It is the starting point of the complex sine wave spiral. The continuous curve.0 Equation 7a is the DFT analysis equation. we say they are complex because they contain an amplitude and a phase or the same thing is real and imaginary parts. as Equation 9: x(t)= 2 k=i for k = 0. In between these two are (N/2 . In Equations 7a and 7b. Equation 7a transforms the signal into N sine waves.. If Nis even.-0.0 nh) is analagous to cos 27rft -1. Xk.0 peak 0 -2.

we see the 1. By Equation 12.5 -10 0 1000 0 500 Frequency. .5 1.5 1. but I normalized the DFT plot to make the largest value 1. Now let us look at the DFT magnitude of a Hanning window. SOUND AND VIBRATION/MARCH 2006 .0 DFT of Henning Shifted DFT 1. XN/2. We will soon discuss that the convolution can be used to apply the window. I expand the plot to only slow values from -10 to 10 Hz. Most of the popular windows have simple DFTs for this reason.5 F 2. (pk = tan 1 1. They both should be 1/2.024th value over on the other side of 0. DFT of a 1.21X Sok = tall 1 Re(Xk ) -Im(Xk )) (11a) (11b) The amplitude and phase of the kth harmonic defined in Equation 10a are summarized in Equations 12 and 12a: Ak = 2IX A.' The values past XN/2 can be picked up as a group and lifted to the other side of zero so that now instead of having values on either side of the Nyquist value. Fs = 1024. The X values from Xi" to XN _ I are not unique but are complex conjugates of the values from XN/2 _ down to X1. Figure 12a shows its time history. we get N unique values from the transform. sec 2.I use the stem plot feature that makes it clear we only have one value at zero frequency with an amplitude of 1. In Figure 11d.0 1024-point boxcar window 1. In Figure 12d we expand the plot to only slow values from -10 to 10 Hz.5 0. 11a. More manipulating leads us to the following. In Figure 12b. That is dry and tough.5 0. . It only has a DC component.0 2. In Figure 12c.5 1. and 11b: ak . which shows a triangle with a base from -1 to 1 Hz and an apex of 1 at 0 frequency. We are used to plotting a spectrum.024-point boxcar window. the values on either side of zero frequency or X0 are complex conjugate pairs.XN (12) Re(Xk) (12a) -Im(Xk ) The DFT. . one at 0 frequency with an amplitude of 1. = X0. df = 1 Hz. Thus for the N values of the sequence.5 1. In Figure 12e. DC.0 0 Time. In Figure 11e. will compute N Fourier coefficients from a sequence of N numbers. to} 0. so T = 1 sec.5 05 1. we see the results of shifting the 513th to the 1. I use the stem plot feature that makes it clear we only have three values. which shows a triangle with a base from -2 to +2 Hz and an apex of 1 at 0 frequency.024 points long. and two values of 1/2 at -1 and +1 Hz. 0k is its phase. DFT 1. 1 second. One more DFT concept and then we proceed. and I am going to sample them at 1. the time duration of each window will be one second. In Figure 11b. In this method of plotting a DFT we will have positive and negative frequencies.1) unique complex values. Hz 10 Stem plot -10 10 Figure 12. I am going to make all these windows 1. sec 2. each containing two values. the DFT or the Xk's.024 ones as a horizontal line. 1 27rn (13) w = (1 cos 2 This is a raised cosine with an average or DC value of 1/2. will be 1 Hz. we have the DFT magnitude and we see a 1 at 0 frequency. AN/2 . three numbers.0 2. So T = 1 sec. In Figure 11a.0 0. We get this triangle. or f5/2.0 0.5 0.0 1. We will start with a boxcar window. be complex conjugate pairs. bk Xk = - 2 2 0 0 0.5 (10c) Ak is the content or the amplitude of the kth harmonic or tone.5 1. not the spectrum. which is most economically computed using the FFT. it should have one line in its DFT with amplitude 1 at frequency equal to 0. the 4f. Therefore.024 samples per second.0 1024-paint Henning window • 2.5' 2. Hz Expanded shifted 1. (N. The DFT is going to be a digitized Fourier series of this 1 Hz raised cosine with an average value of 1/2 considered periodic and going on forever. only one line. it is real and contains one value. I show the shifted DFT magnitude with positive and negative frequencies. thus its Af is 1 Hz.0 1. It is a straight line with an amplitude of 1.. In between these two are (N/2 . The Hanning window has a conveniently simple DFT.024 value DFT.5 Ak .5 1.0 1. DFT of a Window Now let us look at the DFT magnitude of some windows. and it is 'shifted. F0 = 1024.024 point Hanning window.0 0 500 Time.1)/2 that we get from the DFT are related to the content as Equations 11. This is the quantity shown on signal analyzers and data collectors.0 DFT of boxcar Shifted DFT 1.5 oi -10 Figure 11. we see its 1. That is what I mean by shifted.0 .4f = 1 Hz. In Figure 11c.Ak = bl2r Ok = tan-1 H` b ak (lob) 2. The values symmetrical about XN/2 are complex conjugate pairs. these two values of 1/2 would add to 1 when we convert this to a spectrum so the spectrum will have a 0 frequency or DC value of 1 and a 1 Hz value of 1. We still have a 1 at 0 frequency. The DFT is going to be digitized Fourier series of a boxcar window considered periodic and going on forever. We see what appears to be a 1 at 0 frequency and a 1/2 at the 1024th value. Figure 11 shows this. The Xk's from k = 1 . only three lines. XN/2 also contains one real value.5 0. Many people not in this business plot the Xk's and use positive and negative frequencies. which is content versus frequency from 0 to the Nyquist frequency.5 0. because the plotter draws straight lines between the values.0 1.0 0. The equation of the Hanning window is Equation 13: 18 • 2.0 1. which is one over the duration.0 500 1000 Frequency. It has a period of our window length. and a convolution with just these three numbers made significant economic sense in the late 1960s and early '70s when the new signal analyzers became digital and started using the FFT. we get this triangle because the plotter draws straight lines between the values. This is a common method of plotting a DFT.0 Expanded shifted 1. X0 is the DC or average value.5 1.

024 points have a duration of 1 second. We want to understand the DFT of a windowed signal. expanded. The side lobes are so small they do not show in this plot.5 0 2 20 4 6 8 lime. 10' -5 0 Frequency. This is the kind of DFT I will use to show what the windows do.0 10' 1. X is the DFT of the windowed data that we can convert to the 19 .5 Time.0 1.9 which is difficult. Quite a complicated result. What is a convolution? It is horribly confusing. Now the plot appears to show the value 1 at 0 frequency and a 1 at the highest frequency. 0. in Figure 15.5 100 0 Shifted OFT -500 0 sodFrequency Hz 0 Frequency Hz DFT of zeropadded flat-top 1. 20 1.0 10' 0.241 frequency values.5 0..024 values are ones.) The time history is 10 seconds long.0 2. This is the amazing result of adding the zeros. shifted. So we have to use the convolution.. Now this forces the DFT to analyze a periodic time history with the window.5 0. and W is the DFT of the window.5 flat-top wiridow! and 9x zeros __.024 point flat-top windo DFT. 1.5 2. The equation is: q=AT-1 X(k) = IY(q)W(k . and so on. Y(q) represents the DFT of our unwindowed data as collected. shifted. but just for a minute.0 0. expanded. To see what is going on near 0. Hz Figure 15. expanded.5 0 2.0 0.5 0 500 0. In Figure 11f. This ripple becomes apparent on the semi-log plot of Figure 14f.024 point boxcar window.024 point Hanning window. I did the same thing for the flat-top window to show the extremely wide main lobe.5 10 1. Convolution Theorem The only way I can analyze or explain window effects (that is. The convolution theorem for us is: the DFT of the term-by-term product of two digitized time signals (a digitized time signal is a long list of digitized acceleration or velocity values) is equal to the convolution of the DFTs of each of the signals. why the window affects leakage. 1. sec o0 0. The reason it is called the flat-top is because the main lobe has a flat top. shifted. Figure 13a. (You have to append a lot of zeros to see the window shape. Instead of getting the single line of Figure 11e. Finally. I will append nine times 1. sec 0 500 Frequency. and the window again. Hz 00 500 1000 Frequency.5 0 2 4 6 8 Time. we see the Hanning window with nine times as many zero values appended. Our Hanning window in Figure 12 was a cosine with a amplitude of 1/2 and a mean value of 1/2 oscillating forever.5 1.0 1.5 02 20 4 6 8 Time. For our situation.050 points of the time history to show that we have the same boxcar window. Hz 101 Expanded shifted DFT 1.5 0. semi-log plot. shows a time history for a 10. important. The sample rate is 1024 sample/second. The DFT of a digitized time history returns N+ 1 frequency values when it receives N time history values equally spaced between zero and J. 20 1.0 10. I expanded the plot to just show the region from -5 to +5 Hz in Figure 13e.0 Expanded view of window 1.02. But reducing the frequency range from -5 to +5 Hz shows a main lobe 4 Hz wide with a slight ripple apparent. And that is our situation exactly. a nine times as long string of zeros. These side lobes are again 1 Hz wide. sec 20 Shifted OFT 500 1000 Frequency Hz 20 10' Expanded Shifted DFT 1.5 2. 4 Hz wide.0 1.5 1.5 10 lime. the DFT will now calculate 10. Figure 13b is a view of just the first 1.5 Log plot shifted DFT 10.024 point window time history.5 10° 1.5 0.5 1. 1. I will pursue adding zeros in examples with the Hanning window shown in Figure 14.0 Expancied view otWindefw. 9x zero-padded. It drives most students nuts and still confuses me every now and then. expanded. and reduces picket fence errors) is via the convolution theorem. sec 1.0 1. If we want the DFT of the product of two time signals. semilog plot. we can get it by a convolution of the two individual DFTs. 1. Hz Figure 14. and semi-log plot. In Figure 14a.0 1.0 0. this is very different from our periodic boxcar that was just a horizontal line.Effect of Adding Lots of Zeros This may seem silly for a minute.0 as 0.5 DFT of zeropadded Nanning 1.5 0. 20 2.0 500 1000 Frequency Hz 2.0 - 1. Figure 14c shows the DFT magnitude and Figure 14d the shifted DFT magnitude. sec Shifted DFT 040301 1. I have plotted a semi-log plot showing the log of the DFT values. The main lobe is fatter. the highest lobe is about a 0.0 1.5 1.5 0. we now have a continuous curve with a main lobe 2 Hz wide between an array of side lobes 1 Hz wide. so the first 1.5 10° 1. and widely used.0 Henning window and 9x zeros 1.5 5 las -5 0 -5 Frequency. 9x zero-padded DFT. Hz 5 104 Log piot Shifted OPT -5 0 -5 Frequency.q) q=0 INSTRUMENTATION REFERENCE ISSUE (14) 20 Boxcar window end 9X zeros 1.024 zeros to the end of a 1. DFT. Now we move on to the convolution theorem where we will use these ideas. The shifted DFT magnitude in Figure 13d shows content near 0 frequency. For the boxcar or uniform window. again with all of the content apparently clustered near 0 frequency. which we shall see enables the flat-top window to provide extreme amplitude accuracy.5 10' -500 0 500 Frequency Hz 0 -5 0 Frequency.240-point boxcar window in which the first 1. Figure 13c shows the magnitude of the DFT of the zero-padded boxcar 10-second time history. Hz 5 10' -5 0 Frequency Hz Figure 13.:. and the ripple magnitude is considerably reduced. the content in the adjacent bin.0 DFT of zeropadded boxcar 1. and we will do it by looking at the convolution of the DFT of unwindowed signal and the DFT of the window.

center it on one k value. by speaking of a widowed segment. Y and W are lists of N numbers. Let us illustrate this with the examples of Figure 7. Affe is infinitesimally small. and that is value of the convolution for ft . We use the infinitely long zeros-window-zeros of Figures 16b and 17b to select a chunk T long of that stable.3 Hz shown as a black line. The product of the DFT of the window with the DFT of the 16.0 0. but we cannot have it because we cannot collect or analyze such a long signal. Signal 2 -1 .2 12 1.0 1. Or: flip the window DFT left right.0 1.8 0.2 0.2 0 12 14 16 18 20 0 12 14 16 18 20 Frequency. We know that the DFT of a signal returns spectrum values at a set of frequencies Af apart. Figure 17 shows the same concept.6 0.6 0. I mean considering the term-by-term product of the upper plot (pretend it is a long vibration signal.2 1.000 points) and the middle plot is an equally long list of zeros with a set of ones (perhaps 1. for now.3 Hz tone is short red line at 13 Hz. We are going to do this in the explanation and I will draw it shortly.2 0.8 0. because it had infinitely many time values. the window DFT (blue) is centered at 13 Hz. say 50. Similarly.1 2 . The DFT of this windowed chunk will still have lines everywhere.spectrum we see in the signal analyzer. If we have a signal that is stable and infinitely long (let fe mean forever) Tfe is infinitely long.4 0. Boxcar window to select a segment of data from long time history.0 1.-111160 149f400 100 200 300 4t1:1 500 600 500 600 2 Henning window function 1 _____________/-0 100 200 400 300 4 Product of window and signil 20 -2_ 100 200 400 300 Time.6 0. The true signal is a tone at 16. The third plot represents a chunk of data our signal analyzer would analyze. a string of mostly zeros with a non-zero digitized window shape in the center. term by term multiply. Continue this for every frequency of interest. window DFT. In Figure 20 100 300 200 4 400 500 600 Product of window and signal 2 0 -2 100 200 300 Tme. 1. That is the true spectrum we want. add up the products. By speaking of a widowed segment. and the middle plot of the long list of zeros with a set of ones in the middle. In Figure 18a. It has lines everywhere and is exact for every tone in that stable signal. and data DFT. Thus.term-by-term multiply the two DFTs together. I mean the product of the upper plot (the signal). which is symmetric if plotted with positive and negative frequencies . We know the DFT of our T length signal analyzer spectrum is going to be a discrete vector with values for frequencies starting at 0.4 rserivo l Am 0.2 12 1.8 0.3 Hz tone. the process of term-by-term multiplying the long window with the long signal conceptually forms our windowed segment that our analyzer/data collector FFTs.024 numbers) that the value of the windowed DFT at frequency k is the sum of the products of the flipped.0 0.024) in the region where we want to select a segment of the signal for analysis. This is an idea of the true spectrum concept: no picket fence or frequency error and no leakage. and at every 1/ T.8 0. a segment of the long signal. its DFT has infinitely many lines and is exact for every tone or harmonic content the signal contains. where T is the time duration of the signal segment. so I think this will become clear. we will convolve the highly detailed zero-padded window DFT with the DFT of a sine wave signal. The equation says (and realize that X. very long time history. Hanning window to select a segment of data from long time history.2 02 0 12 14 16 18 20 0 1. we end of with the third plot. Nfe is infinite. By multiplying these two graphs or data lists term by term.2 a2r ct Aii 12 14 12 14 16 18 20 6 18 20 1. Figure 18 illustrates this for the boxcar window. In Figure 16. Convolution steps of boxcar window with 16.0 1. SOUND AND VIBRATION/MARCH 2006 . But remember: sum of products of flipped. like 1. The Af is 1/T. Hz 0 12 14 16 18 20 Figure 18. 4 Signal 2 0 461 141 ti ll -2 40 100 200 300 400 500 Boxcar window function Applying Convolution Theorem to Windows Analysis How does the convolution theorem help us understand windows? We will view the window as a long digitized time signal. To explain what the window will do to various kinds of signals analyzed on any real signal analyzer. window DFT values centered at frequency k and the DFT of the data.6 0. ms 500 Figure 16. I need this concept to explain what we saw in Figures 4 through 9.4 0.8 0.6 0. on up to N/2. ins 500 600 Figure 17.4 0.8 0. Figures 16 and 17 illustrate this for the boxcar and Hanning windows. except this time we have a centered Hanning window flanked by a huge number of zeros. So it will also have lines at the frequencies that our signal analyzer can compute. And what does this 'convolved' mean? This means the value of the convolution at frequency k. shifted. Now you can see why I needed the DFT of the window with the huge amount of zeros. the case of a 30% of bin-centered signal. shifted.4 0.4 0. and add up the products. Summarizing: take the DFT of the window.6 0.center it at some frequency ft on the DFT of the signal .

11 The digitizing software does not allow you to select the sampling rate or the number of samples. The equation of the main lobe is well known for the standard windows. The product of the DFT of the window with the DFT of the 16.2 I 0 12 14 16 18 20 18b.6 0.3-Hz tone.2 0 Figure 22. In both cases. 20. you can use the formulas from the appendix in Reference 12 to estimate the true frequency and amplitude.4 0.8 0.0 1. This red line height is equal to the height of the intersection of the blue window DFT with the black tone. 19.2 12 14 16 18 20 Main Lobe Significance 0.0 1. In Figure 18c. 16.4 0.4 0. This is the same result I obtained by taking the boxcar windowed FFT and shown in the stem plot of Figure 7a.4 0. notice that if we had a set of vertical grid lines at 12.2 1. the intersection of the window DFT with the grid lines would give us the same result that we came up with in the above paragraph by shifting the window to do the convolution.8 0. The shape of the main lobe of the zero-padded window DFT sets the lines or bin values caused by any tone.0 1. 1. 0.3-Hz tone. INSTRUMENTATION REFERENCE ISSUE Since we have discussed how to estimate window effects.8 0. 15.2 0.6 0.8 0.2 12 1.3 Hz tone is the red line at 14 Hz.6 0. the window is centered at 15 Hz.4 0. this was resampled to 1024 samples by adding zeros to the DFT and inverse (IFFT) transforming it back to the time domain.6 0. I chose two shapes to illustrate the idea.0 0.8 My next observation is also difficult. the window is centered at 14 Hz.0 1.6 0.0 1. Figure 23 shows the zero-padded version. These red lines are the same as indicated in Figure 19. That is how the window works and why we saw the results of Figures 4 through 9. 18. Diamond Head was 696 samples. The green curve is the Hanning window zero-padded DFT centered on the 16.2 0. This is illustrated in Figure 21.3-Hz tone. 15. The same example is illustrated for the Hanning and the flat-top windows in Figures 19 and 20.8 0.4 0. shows line build-up and accuracy due to the wide flat-top of the window DFT.4 02 0 0 0 0. its DFT. By looking at Figures 19 and 20.0 0.8 0.8 0. The convolution of the window DFT with the data DFT is the same as the convolution of the data DFT with the window DFT. The six positions of the window DFT result in the six red lines shown on Figure 18f.2{ 0 12 14 16 18 20 121 12 0 14 6 18 20 Frequency.8 0. If you believe that a group of lines is caused by a tone.2 1.) are the height of the lines it will induce in the DFT.2 0. 14.2 0.3 Hz tone. The Diamond Head window was originally sampled to 696 samples. 18. 13.6 0. We are adding 21 . 16.2 1. kIT) and we centered the window DFT on the 16.6 0.12 1. 19. 20 Hz (which are the bin-centered frequencies.8 0. Convolution steps of Hanning window with 16. 17.2 12 1. 1. Hz 18 19 20 21 Figure 21. Hz 12 14 16 18 20 Figure 19. 17.2 011 12 13 14 15 16 17 Frequency. a well-known mountain crater on the Hawaiian island of Oahu. 14. so these windows must be resampled.2 1.0 1. One is Diamond Head. I want to present a procedure for inventing a window defined only graphically.10 Figure 22 gives a plot of the original digitizing and the resampled version.2 0 16 18 20 12 14 0 12 14 16 18 20 6 18 20 12 1. and both linear and semi-log plots of its expanded central region. After editing.0 1. it was resampled to 1.8 0. 12 14 16 18 20 Frequency.4 0.0 0.6 - 0. Especially if there is not too much going on in the little side lobes.6 . this shows why the several lines appear.4 0.2 1.024. I scanned the images into the computer and then digitized them with digitizing software.2 0. etc. Convolution steps of flat-top window with 16.0 0. Graphically Defined Windows 0. 13.41' 0.4 12 14 16 18 20 1. Where it crosses the bin center frequencies (11. 12.0 0.4 0.6 0. and the other is well known beagle comic character sleeping on his doghouse.6 0. 0.8 0.6 0. Hz Figure 20.

the semi-log plot. semi-log.0 0.0 1.5 DFT of zeropadded sn000py Ur _5 0 5 Frequency. Beagle window. zero-padded. Hz 1. In the case of the beagle window. The running speed is close to 20 Hz. sec 20 1.0 10.0 0.5 1.5 Shifted OFT 040301 0. Hz 0 Frequency.0 1. The wide flat-top window smears the peaks and obscures detail. Effects on Machinery Vibration Data Finally. I made two busy plots. Because of the 1/N in MATLAB . as well as resampled beagle window. It certainly seems to me from References 1.0 1. DFT. Windows with high DFT side lobes or skirts allow noise and other tones or content to contaminate or increase the apparent level for the line at which the window is centered.5 102 Frequency. and both linear and semi log plots of its expanded central region. Figures 26 and 27 show composite linear and semi-log plots of the side lobes of the six windows. sec 20 Shifted DFT Expanded view of wind* 00 2. shifted. and 20. Hz Figure 23. 20 20 2. 9x zero-padded.0 1.5 • 1.5 102 0 500 500 0 Frequency.5 0. DFT. Hz Log pbt shifted DFT 0 -5 Frequency. It is interesting that the beagle and the Diamond Head widows do as well as they do. (Add a complex zero. Hz Figure 25. Figure 24.0 Expanded Shifted DFT 500 10' 1.0 1. There is a strong 2x component near 40 Hz. Maybe it will give you enough background to tackle some of the difficult references. probably due to misalignment. Conclusion Ihope some of this adds some insight to your understanding of windows. Half of the old Nyquist is placed on each side as highest frequency non-zero values. shifted.5 0.) Then place an odd number of complex zeros in the transform center for the desired values in reconstruction. SOUND AND VIBRATION/MARCH 2006 . All of the figures and cal22 Figure 26.5 10° 1. showing the eight windows applied to some pump vibration data.5 1. its DFT.5 1. sec 20 1. shifted DFT.5 Trne. I illustrated the easy problem of the convolution with a single tone.5 10° 1. Side Lobe Height From our discussion of Figures 18. Adding zeros is a sensible practical procedure and certainly worked well here.5 o -600 DFT of zeropadded Diamond Log plot shifted OFT 0 -5 Frequency.5 Snoodpy vvindow and 9x zeros 0 2 4 6 8 Time. DFTs of common windows.5" 1. The content at 7x is because the pump has seven vanes. linear plot. sec 1.5 0. We make the new Nyquist 0. The digitized and edited. the reconstructed window must be renormalized to make its maximum value 1. The current Nyquist or center value is the highest frequency value and is real. and Figure 25 shows the zero-padded version.0 1. that many bright people have devoted years to developing windows.5 Time. and 9. and this was resampled by adding zeros to the DFT. and inverse transforming to bring the time plot to 1. Figure 24 shows a plot of both the original and resampled versions of the window.5 1. Diamond Head window. The high skirt characteristic of the boxcar window shows well on Figure 29.5 2 4 6 8 lime. 9x zero-padded.0 Expanded Shilted DFT 500 1000 Frequency Hz 10' 1.20 20 20 Diamond Head : wihd3W and9x zeros 1. Hz 1000 Frequency. and 29.5 0.024 samples. I digitized the drawing with 170 samples. 19.0 1.5 0. 2. The windowed spectrum level at any of the frequencies will be the sum of the products of the window DFT and the data DFT. linear. we can see the problems of side lobe height. Hz 0. only high-frequency zeros and an even number for economical computing.0 10' 0.5 0. Figures 28.0 0. linear. semi-log plots. 0. expanded. They provide an opportunity to examine spectral changes expected from different windows.

IEEE. Vibration Institute.3. ASSP-29. H. Natick. S. National Technical Training Symposium and 27th Annual Meeting. 84-91. 2. Silk Scientific Inc. Claesson.. Ltd.1^ 0 __I_ As .10.1 • 0.. Potter.com INSTRUMENTATION REFERENCE ISSUE 23 . McConnell. 266-278. Vol. Eight semi-log spectra from the bearing of a large pump. I. 0 20 40 60 may 80 100 120 Frequency 140 160 180 200 Figure 28.. CH Unit 620." IEEE Trans. "Use of Weighting Functions in DFT/ FFT Analysis (Part I).-.org. Section 2. WIDE RANGE of models to fit your application needs. The windows have an effect to be sure." Proc. Willowbrook. MA. each analyzed with the indicated window. H.. and Signal Processing. H. /1Kaiser Vessel /Gatissirri Flat-top' j Diamog Head 10-2 104 Beagle 102 h 104 • ‘" kp 0 20 40 60 80 100 120 140 160 180 200 Frequency Good Selection Better Microphones Best Price BSWA Technology Co.. for Experimental Mechs. No. 1999. 1127 Bei San Huan Zhong Road. we supply thousands of microphones to OEMs.02 0. Vol.sem. pp. 128. "The DFT and the FFT as a Discrete Fourier Series of Sampled Data. Figure 27. China Phone: 86-10-6252 5350 Fax: 86-10-6200 6201 inf Abswa-tech. H. 1. F. John Wiley & Sons.. The MathWorks. 1. J. 1-35. Gaussian 0. Soc. "Compilation of Time Windows and Line Shapes for Fourier Analysis..12 I kept copies of all the little programs used to draw the figures.. References 1...1 Il . Gaberson. .. 11. Inc. tramming . on Acoustics.S. and Herlufsen.2 104 102 10-1 102 104 102 104 102 EACH YEAR.02 r 0. A. July 2003. Gade." Handout notes from an HP seminar circa 1978 4. Vibration Testing. 3. _. 7. Speech." Briiel & Kjnr Technical Review. Harris. Inc. Dahl. Signal Processing. and Resampling. G. No.1 - _ALF 0. T. January 2003. Semi-log plot of shifted. Spectral Dynamics. the flat-top should be most accurate." Briiel Kjfflr Technical Review. and Herlufsen. H.. February 1981. 12. 115 at www. If you would like copies of the programs to see how I have done them. expanded windows showing skirts. www. Version 5. No." Proc. but this one is more directed to our area. (Most digital signal processing books cover the convolution theorem. 9. Inc. Harris. a Unique Introduction to the FFT. Theory and Practice. R.02 0. January 1978. 5 18 3. pp. T. pp. M. zero-padded. J..1 0. R. "Using the FFT for Filtering. A. Gaberson... UN-SCAN-IT. "On the use of Windows for Harmonic Analysis with the Discrete Fourier Transform. UT. "Use of Weighting Functions in DFT/ FFT Analysis (Part II). K... Nuttall.. let me know. CA. bswa-tech. High-Performance Numeric Computation and Visualization Software." MFPT Advanced Signal Analysis Course Notes. 66. High skirts of the boxcar window show well around 40 Hz. com Figure 29. Tran. pp.02 The author can be contacted at: hgaberson@att. F.. 4.1 - dBoxcar _A- O Llanning 1 0. Eight linear spectra from the bearing of a large pump. "High Accuracy Windows for Today's 24 Bit ADCs.culations were done with MATLAB. 102 104 . 3.An J 0. and Lago. 100029. 6. pp. 20 YEARS EXPERIENCE in producing measurement microphones.. S. 0.-. Shangfang Building.SandVeasy. MATLAB ® for Windows. A. Beijing.1 0 002 0P Diamond Head II Beagle 0.. 127136.. 8. No. each analyzed with the indicated window. October 1977.. San Marcos. 5. -. Trigonometric Transforms.net. "Some Windows with Very Good Sidelobe Behavior. W. pp." IMAC 22.. Note the errors in peak amplitudes. 1995. 1987. Gade.}. corn www. IL.. Orem. Transient Details.) 10. . Session 29. 1987.

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