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Optimal Interpolating Windowed Discrete Fourier Transform

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power systems

H. Xue and R. Yang

Abstract: An interpolating windowed discrete Fourier transform (DFT) has been used to eliminate

the errors caused by the leakage and picket fence effects associated with use of a conventional

DFT. An interpolating algorithm eliminates the errors caused by the picket fence effect, and the

errors produced by the leakage effect are reduced by windowing the signals. The precision of the

harmonic analysis and the implementation of the interpolating algorithm are both affected by

the choice of window function. The leakage effect of a conventional DFT and the windowed DFT

are analysed. A method to construct optimal window functions and the corresponding

interpolation algorithms is presented. Simulation results show that the interpolating windowed

DFT algorithms have a high accuracy and are easy to implement and they are therefore useful

tools for precise and practical harmonics evaluation in power systems.

interpolating algorithm is affected by the window function,

The increasing use of nonlinear harmonic components in in fact, an inappropriate selection of the window function

power systems has lead to the problem of interference would make the corresponding interpolating algorithm

between the harmonics. These harmonics include not complex and therefore difcult to implement [10]. There-

only integer harmonics, which have a frequency that is an fore, the choice of an appropriate window function is a

integer multiple of the fundamental frequency, but also prerequisite for a high precision interpolating windowed

non-integer harmonics, or interharmonics [1], which have a algorithm.

frequency that is not an integer multiple of the fundamental

frequency. The existence of these harmonics deteriorates the

safe and economic operation of an electric power system 2 The leakage effect of the DFT

[13]. Therefore, it is necessary to analyse the harmonic

contents and control the status of harmonics in an electrical For a signal x(t) with a limited duration of T and consisting

network. of a single frequency of m/T, the conventional DFT, or

The harmonic analysis of a power system is generally the discrete spectrum of the signal can be expressed as

effected by using discrete Fourier transform (DFT) follows [10] :

techniques. [4]. However, because of the picket fence and sinn mp jy jnmp

leakage effects created by the use of a DFT, the results are X n AN e e 1

not precise and the technique cannot be used if there are n m2p

non-integer harmonics present in the system. To improve where A and y are the amplitude and phase of the sampled

the precision of the DFT algorithm, the interpolating harmonic and n is the order of the spectral line in the

windowed algorithm was proposed, in which the errors frequency domain. If m in (1) is an integer, then (1) can be

caused by picket fence effects are eliminated by the simplied to:

interpolating algorithm, and the errors created by leakage (

X n AN2 e

jy

nm

effects are reduced by windowing the signals [5, 6]. Many 2

window functions have been proposed [79], including X n 0 n6 m

the Hannings window, the Hammings window and

Equation (2) shows that if m is an integer, that is, if the

the Blackmans window. The performance of a windowed

sampled harmonic is an integer harmonic, the discrete

DFT is affected by the window function. It has been

spectrum is a single line whose frequency, amplitude and

shown that a narrow central lobe in a windows spectrum

phase can be obtained through (2). Therefore, a precise

relates to a good frequency resolving power whilst a

measurement for integer harmonics can be obtained

low amplitude for the side lobes is indicative of a small

through use of a conventional DFT algorithm. However,

if m is not an integer, that is, if the sampled harmonic is a

r IEE, 2003 non-integer harmonic, or an interharmonic, the discrete

IEE Proceedings online no. 20030740 spectrum will be more complex. Assume that m m1+r

doi:10.1049/ip-gtd:20030740 (where m1 is an integer, and 0oro1), then (1) can be

Paper rst received 6th November 2002 and in revised form 27th May 2003. simplied to:

Online publishing date: 13 August 2003 sinn m1 p rp jy jnm1 pjrp

The authors are with the Information and Electrical Engineering Department, X n AN e e 3

China Agriculture University, Beijing 100083, Peoples Republic of China 2n m1 p rp

IEE Proc.-Gener. Transm. Distrib., Vol. 150, No. 5, September 2003 583

Equation (3) can be simplied to: expressed as:

M M X

1

ai

X n t n m1 r XHanningK1 n 1kX0 n i X0 n i

n m1 r t i0

2

4

AN sinrpejyrp 0:5 0:5t M=2

M M 2 2

2p t t 1 tt 1

Equation (4) shows that M is a constant for a certain non- 9

integer harmonic, and the discrete spectrum of the non-

integer harmonic is not concentrated on a single spectral X

1

ai

XHammingK1 n 1i

X0 n i X0 n i

line, but is distributed over the whole frequency domain. 2

i0

The two spectral lines that have the maximum amplitude

would be obtained at n m1 and n m1+1, and have the 0:54 0:46t 0:08t2 1

M 2 M

increased value of 7nm1r7. The amplitude of the t t 1 tt2 1

corresponding spectral lines decreases at a speed of 1/ 10

7nm1r7, or 1/7t7, that is, the spectrum of the non-integer

harmonic leaks to all the spectral lines. This is the leakage X

2

ai

effect of the conventional DFT algorithm. The leakage XBlackmanK2 n 1iX0 n i X0 n i

effect leads to interference of different harmonics in the i0

2

frequency domain, which leads to errors in the harmonic

0:42 0:50t 0:08t

analysis. M 2

t t 1 t2 4

11

3 The leakage effect of the windowed DFT

The logarithmic amplitude curves of the 7Xwindow(n)7 are

The errors produced by the leakage effect can be reduced by given in Fig. 1. Compared to a conventional DFT, the

windowing the signals. The most commonly used window amplitude of a 7Xwindow(n)7 (K40) decays faster than the

function is the cosine window. The general expression for amplitude of 7X(n)7, which means that the leakage

the cosine window oK(n) is [10]: components of a windowed DFT (K40) decay faster,

and the errors caused by the leakage effect would be

X

K

i 2pi reduced. This is why a windowed DFT has a higher

oK n 1 ai cos n 5 precision in harmonic, analyses.

i0

N

The leakage effect can also be analysed through the

spectra of the window functions. The spectra of selected

The values of K and ai determine the various window

window functions are shown in Fig. 2. As previously

functions. For example, if K 0, we have a rectangular

mentioned a low amplitude for the side lobes is associated

window; if K 1, a0 0.54, a1 0.46, we have a Ham-

with a small leakage effects and a narrow central lobe is

mings window; if k 1, a0 a1 0.5, we have a Hannings

associated with a good frequency resolving power for the

window; if K 2, a0 0.42, a1 0.5, a2 0.08, we have a

algorithm. It is clear that the performance of the window

Blackmans window.

functions obtained from Fig. 2 is consistent with the

The key feature of a cosine window that can be described

analysis result obtained through the expression of 7Xwindow

by (5) is that its DFT expression is very simple and can be

(n)7 and Fig. 1.

expressed as:

X

K

ai

WK n 1i Dn i Dn i 6 0

i0

2

rectangular window. D(n) can be expressed as: (I)

(II)

sinpn

Dn ejpnN 1=N 10

log (amplitude)

7

N sinpn=N

15

function. The conventional DFT can be viewed as a

windowed DFT with a rectangular window. Assume that

the conventional DFT of a non-integer harmonic is x(n)

then the windowed DFT, in which the window function has 20 (III)

the form of (5), can be expressed by: (IV)

X

K

ai 25

XK n 1i X n i X n i 8 0 500 1000 1500 2000

i0

2 t(t=n-k1-r)

From (8), the windowed DFT, for the non-integer (i) Rectangular window

harmonics for the cases where the window function (ii) Hammings window

is either a Hannings window (K 1), a Hammings (iii) Hannings window

window (K 1) or a Blackmans window (K 2) can be (iv) Blackmans window

584 IEE Proc.-Gener. Transm. Distrib., Vol. 150, No. 5, September 2003

0 0 Using the same reasoning other optimal window functions

log (amplitude), dB

log (amplitude), dB

(K43) can also be obtained.

100 100

The logarithmic spectra of a Hannings window, a

200 200 Blackmans window and the optimal cosine window (K 2)

are shown in Fig. 3. Figure 3 also shows that an increase of

300

0 100 200 300 400 500

300

0 100 200 300 400 500

K results in a faster decay rate for 7XK(n)7. This means that

frequency frequency the leakage effects can be controlled. However, the width of

a b central lobe increases with an increase in K, and so a large

0 value of K is inadvisable. Generally speaking a choice of

log (amplitude), dB

log (amplitude), dB

0

K 1 or 2, allows a satisfactory precision to be obtained for

100 100

the harmonic analysis.

200 200

300 300 0

0 100 200 300 400 500 0 100 200 300 400 500

log (amplitude)

frequency frequency 100

c d

200

Fig. 2 Logarithmic spectra of window functions

a Rectangular window (K 0) 300

0 0.2 0.4 0.6 0.8 1

b Hannings window (K 1)

frequency

c Hammings window (K 1)

d Blackmans window (K 2) a

0

log (amplitude)

100

4 Optimal window functions

200

The window functions are determined by a combination of

300

the K and ai coefcients, where K determines the width 0 0.2 0.4 0.6 0.8 1

of the central lobe and the combination of K and ai frequency

determines the amplitude of the side lobes. For a certain b

value of K, the width of the central lobe is almost the same, 0

log (amplitude)

value of ai. Thus an appropriate value of ai can ensure the

minimum amplitude of the side lobes, which means 200

the smallest leakage effect and also the optimal performance

300

of the windowed DFT algorithm. Any windows having 0 0.2 0.4 0.6 0.8 1

these coefcients will be called optimal cosine windows. The frequency

question arises of how do we choose the optimal cosine c

window functions? Fig. 3 Logarithmic spectra of window functions

When K 0, the best decay rate is equal to 7X00 (n)7 1/ a Hannings window

7t7, which can be obtained from a rectangular window. So b Blackmans window

the rectangular window is the optimal window when K 0. c Optional window (K 2)

When K 1, the decay rate can be expressed as:

ja0 a1 t2 j

jX1 nj 5 Optimal interpolating windowed algorithm

jtt2 1j

and the best decay rate is 7X10 (n)7 1/7t(t21)7, which can The corresponding interpolating algorithms of the optimal

be obtained when a0 a1 0.5, thus is a Hannings window cosine window functions can be easily deduced and they are

and so a Hannings window is the optimal window when labelled the optimal interpolating windowed algorithms.

K 1. Compared to a Hammings window (K 1), it has Assume that the sample duration is T, the frequency,

almost the same central lobe width but the side lobes have a amplitude and phase of the detected signal are (m1+r)/T

lower amplitude. (where m1 is integer, and 0oro1), A and y respectively.

When K 2, the best decay rate is 7X20 (n)7 1/ The optimal interpolating windowed algorithms are pre-

7t(t21)(t24)7, which can be obtained when a0 1/4, sented in the following Sections.

a1 1/3, a2 1/12, therefore the optimal cosine window

function (K 2) can be expressed as: 5.1 The optimal interpolating windowed

1 1 2p 1 4p algorithm when K 0

cos n cos n 12 The optimal window when K 0 is the rectangular window.

4 3 N 12 N

From the expression of x00 (n), it can be easily deduced that

Compared to a Blackmans window (K 3), it has almost two maximum amplitude spectral lines are obtained at

the same central lobe width but the side lobes have a lower n m1, and n m1+1. Assume that the ratio of the

amplitude. amplitudes of the two spectral lines is a, then the value of r

When K 3, the best decay rate is 7X30 (n)7 1/ can be obtained from the function of a as:

7t(t21)(t24)(t29)7, the value of ai can be obtained as: 0

a0 1, a1 3/2, a2 3/5, a3 1/10; and the optimal x0 m1 M=r 1 r

a 0

window function (K 3) can be expressed as:

x0 m1 1 M=1 r r

14

3 2p 3 4p 1 6p 1

1 cos n cos n cos n 13 r

2 N 5 N 10 N 1a

IEE Proc.-Gener. Transm. Distrib., Vol. 150, No. 5, September 2003 585

Then the amplitude A and phase y can be obtained from the 2000

expression of x00 (n) as:

amplitude

2pM 2px00 m1 r 1000

A 15

N sinrp N sinrp

0

y phasex00 m1 pr 16 0 10 20

frequency

30 40

a

2000

amplitude

algorithm when K 1 1000

Using the same reasoning as above the optimal windowed

interpolating algorithm when K 1 is:

0

0 10 20 30 40

X10 m1 M=rr 2

1 2r

frequency

a 0

b

X1 m1 1 M=1 r1 r 1 1 r

2

400

2a

r

amplitude

1a 200

17

0

2pM 2pX10 m1 r1 r2 0 10 20 30 40

A 18

N sinrp frequency

N sinrp c

y phaseX10 m1 pr 19 Fig. 4 Discrete spectra obtained from the optimal windowed DFT

a When K 0

b When K 1

c When K 2

5.3 The optimal interpolating windowed

algorithm when K 2

Using the same reasoning as above the optimal windowed Table 1: Results obtained using optimal interpolating

interpolating algorithm when K 2 is: algorithms

X20 m1

a 0 Optimal Amplitude Frequency Phase(*)

X2 m1 1 algorithms (1/T)

M=rr2 1r2 4

Theoretical value 1.3 3.3 45

M=1 r1 r2 11 r2 4 K0 1.3321 3.2573 61.3407

3r K1 1.3008 3.3074 43.5176

K2 1.2996 3.2971 45.5418

r2

3 2a Theoretical value 2.5 8.3 72

r 20

1a K0 2.4984 8.2725 79.6329

K1 2.5013 8.3013 71.7423

2pM 2pX20 m1 r1 r2 4 r2

A 21 K2 2.4996 8.3000 71.9997

N sinrp N sinrp

Theoretical value 4.5 15.3 60

K0 4.4484 15.3149 58.3750

y phaseX20 k1 pr 22

K1 4.5012 15.3010 59.8092

K2 4.4997 15.2995 60.0978

Theoretical value 1.59 20.4 60

6 Simulation results

K0 1.5603 20.5617 40.9077

Assume that the sample duration is T and that there are 64 K1 1.5946 20.3901 61.6377

sample points then, the sampled signal can be expressed as: K2 1.5888 20.4029 59.5164

3:3t 8:3t

st 1:3 cos 45 2:5 cos 72

T T

15:3t 20:4t

4:5 cos 60 1:59 cos 60 7 Conclusions

T T

The spectra obtained using the K 1, 2 and 3 optimal The leakage effect of a conventional DFT and the

windows are presented in Fig. 4. The analysis results windowed DFT have been analysed. A method to construct

obtained using the optimal interpolating windowed algo- optimal window functions and the corresponding inter-

rithms are given in Table 1. polating algorithms has been presented. Simulation

Table 1 shows that an increase in K, results in a lowering results show that the algorithms have a high accuracy and

of the leakage effect and thus the harmonic analysis result is are easy to implement and they are therefore useful tools for

more precise. When K 1 or 2, a satisfactory harmonic precise and practical harmonics evaluation in power

analysis result can be obtained. systems.

586 IEE Proc.-Gener. Transm. Distrib., Vol. 150, No. 5, September 2003

8 References 6 Grandke, T.: Interpolation algorithms for discrete Fourier transforms

of weighted signals, IEEE Trans. Instrum. Meas., 1983, 32,

1 Yacamini, R.: Power system harmonics. IV. Interharmonics, Power pp. 350355

Eng. J., 1996, 10, (4), pp. 185193 7 Harris, F.J.: On the use of windows for harmonic analysis with the

2 Nguyen, T.T.: Parametric harmonic analysis of power systems, IEE discrete Fourier transform, Proc. IEEE, 1978, 66, pp. 5183

Proc., Gener., Transm. Distrib., 1997, 144, (1), pp. 2125 8 Heydt, G.T., Fjeld, P.S., Liu, C.C., Pierce, D., Tu, L., and Hensley,

3 Davis, E.J., and Emanuel, A.E.: Harmonic pollution metering: G.: Applications of the Windowed DFT to Electric Power Quality

theoretical considerations, IEEE Trans. Power Deliv., 2000, 1, (15), Assessment, IEEE Trans. Power Deliv., 1999, 14, pp. 14111416

pp. 1923 9 Andria, G., and Savino, M.: Windows and interpolation algorithms

4 Crinon, R.J.: Sinusoid parameter estimation using the fast Fourier to improve electrical evaluatement accuracy, IEEE Trans. Instrum.

transform. Proc. IEEE Int. Sym. on Circuits and systems, 1989, Meas., 1999, 38, pp. 856863

Vol. 2, pp. 10331036 10 Zhang, F., Geng, Z., and Ge, Y.: DFT Algorithm With High

5 Jain, V.K., Collins, W.L., and Davis, D.C.: High-accuracy analog Accuracy for Harmonic Analysis in Power System, IEEE Trans.

measurements via interpolated FFT, IEEE Trans. Instrum. Meas., Power Deliv., 2001, 16, (2), pp. 160164

1979, 28, pp. 179183

IEE Proc.-Gener. Transm. Distrib., Vol. 150, No. 5, September 2003 587

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