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resolution

Fredrik Lindsten

November 4, 2010

1 Introduction

A common tool in frequency analysis of sampled signals is to use zero-padding

to increase the frequency resolution of the discrete Fourier transform (DFT).

By appending artificial zeros to the signal, we obtain a denser frequency grid

when applying the DFT. At first this might seem counterintuitive and hard to

understand. It is the purpose of this document to give a time-domain explana-

tion of zero-padding, which hopefully can help to increase the understanding of

why we obtain the results that we do.

2 Truncated DTFT

The discrete-time Fourier transform (DTFT) of a discrete-time signal x is given

by

∞

X

XT (eiωT ) = T x[k]e−iωkT . (1)

k=−∞

know

x[0], x[1], . . . , x[N − 1], (2)

but apart from this the signal is unknown. This, very realistic scenario, leads to

an immediate difficulty when computing the DTFT, since the summation in (1)

ranges over unknown values of x. To be able to cope with this problem we need

to make some assumption about the behavior of the signal outside the known

range.

One possibility is to assume that the unknown values are zero, as illustrated

in Figure 1. If we make use of this assumption when computing the DTFT we

obtain the truncated DTFT,

N −1

(N )

X

XT (eiωT ) = T x[k]e−iωkT . (3)

k=0

sampled range, then the truncated DTFT is an approximation of the “true”

DTFT.

1

2 2

1.5 1.5

1 1

0.5 ? ? 0.5

0 0

−0.5 −0.5

−1 −1

−1.5 −1.5

−10 −5 0 5 10 15 20 −10 −5 0 5 10 15 20

Time (sample number) Time (sample number)

Figure 1: (Left) Sampled signal, the values outside the sampled range are un-

known. (Right) One possible approximation, we assume that the signal is zero

outside the sampled range.

3 DFT

The discrete Fourier transform (DFT) is often presented as a discrete approx-

imation of the truncated DTFT. In other words, since the (truncated) DTFT

is frequency continuous (it is a function of the continuous variable ω), it is

problematic to represent and to work with using computers. Hence, to obtain

something that is manageable, we “sample” the truncated DTFT at a discrete

set of frequencies. This, frequency discrete, representation is the DFT of the

signal.

However, it is possible make another interpretation of the DFT. To do so we

return to the original problem, namely that we need to make some assumption

about the behavior of the signal x outside the known range. Now, instead of

assuming that it is zero, as we did for the truncated DTFT, we assume that

the signal is periodic with period N . This assumption is illustrated in Figure 2.

Hence, we claim that periodicity of the signal will turn the DTFT into the DFT.

Unfortunately, to show this is not as straightforward as plugging the periodic

signal into the definition of the DTFT (1) and do the computations. The reason

is that a periodic signal is not of bounded energy (not in `1 ), meaning that its

DTFT does not exist! We shall throughout this section still try to motivate the

proposition that periodicity will “turn the DTFT into the DFT”.

To start with, recall the definitions of the DFT and the inverse DFT, re-

spectively,

N −1

2πi

X

X[n] = x[k]e− N nk , (4a)

k=0

N −1

1 X 2πi

x[k] = X[n]e N nk , (4b)

N n=0

n, k = 0, . . . , N − 1. (4c)

As indicated by (4c), the definition is only valid for n and k ranging from 0 to

N − 1. However, if we relax this condition, implicit periodicity of the signal

2

2 2

1.5 1.5

1 1

0.5 ? ? 0.5

0 0

−0.5 −0.5

−1 −1

−1.5 −1.5

−10 −5 0 5 10 15 20 −10 −5 0 5 10 15 20

Time (sample number) Time (sample number)

Figure 2: (Left) Sampled signal, the values outside the sampled range are un-

known. (Right) One possible approximation, we assume that the signal is peri-

odic with period N .

can be seen already in the DFT definition. More precisely, let k̄ be any natural

number and decompose it as k̄ = N p + k for k ∈ [0, N − 1] and p a natural

number. Consider,

N −1 N −1

1 X 2πi 1 X 2πi 2πi

x[k̄] = X[n]e N n(N p+k) = X[n]e N nk e| N{znN p} = x[k]. (5)

N n=0 N n=0

=1

Hence, writing the signal as in (4b) for arbitrary natural numbers k implicitly

implies that it is periodic. Analogously, the DFT in (4a) is also periodic with

period N .

Even though the implicit periodicity of the signal is indicated by the DFT

definition alone, we still want to show the relationship between the DTFT and

the DFT for periodic signals. As already pointed out, this does not allow for a

rigorous mathematical treatment, since the DTFT does not exist. However, to

circumvent this we shall make use of the standard convention that the DTFT

of a periodic signal can be written in terms of Dirac δ-“functions”. For an

introduction to this concept, see e.g., [1] Appendix 2.A. More precisely, we shall

make use of the DTFT of the constant function 1 expressed as (see [1], page

79),

∞ ∞

X X 2πn

DTFT{1} = T e−iωkT = 2π δ ω− . (6)

n=−∞

T

k=−∞

∞

X ∞

X +N −1

lN X

XT (eiωT ) = T x[k]e−iωkT = T x[k]e−iωkT

k=−∞ l=−∞ k=lN

∞ N

X X −1 N

X −1 ∞

X

=T x[lN + j]e−iω(lN +j)T = T x[j]e−iωjT e−iωlN T .

l=−∞ j=0 j=0 l=−∞

(7)

3

For the second equality, we simply split the summation interval into blocks of

length N . We then make a change of summation index (j = k − lN ). Finally,

we change the order of summation and make use of the assumed periodicity of

x. Using (6) (with ω replaced by N ω) we get

N −1 ∞

iωT

X

−iωjT

X 2πn

XT (e ) = 2π x[j]e δ Nω −

j=0 n=−∞

T

∞ N −1

2π X 2πn X

= δ ω− x[j]e−iωjT . (8)

N n=−∞ N T j=0

Here, we have made use of the scaling property δ(aω) = δ(ω)/|a|. The presence

of the δ-function turns the frequency continuous DTFT into a frequency discrete

representation, by “cutting out” a set of discrete frequency values. Hence, we

can replace ω by 2πn/N T , yielding

∞ −1

NX

2π X 2πn 2πi

XT (eiωT ) = δ ω− x[j]e− N T njT

N n=−∞ NT j=0

∞

2π X 2πn

= δ ω− X[n], (9)

N n=−∞ NT

where we have made use of the DFT definition (4a) (periodically extended to

all natural numbers n).

We can thus view the DTFT of a periodic signal as a frequency pulse train,

with δ-functions spread on a discrete frequency grid ω = 2πn/N T , n ∈ N.

Furthermore, each pulse is weighted with the DFT value at the corresponding

frequency.

As a final remark of this section, there is an analogy to the relationship

between the DTFT and the DFT for continuous-time signals. The DTFT, gen-

erally used for non-periodic signals, corresponds to the Fourier transform (FT)

in continuous time. The DFT on the other hand, corresponds to the Fourier

series (FS) in continuous time, and both apply to periodic signals. Just as in

continuous time the periodicity of the signal will turn the frequency transform

discrete, i.e., both the DFT and the FS are frequency discrete. Also, just as we

have expressed the DTFT of a periodic signal as a Dirac sum weighted by the

DFT, the FT of a continuous-time periodic signal is often expressed as a Dirac

sum weighted by the FS coefficients.

In the previous section we concluded that, when computing the DFT of a signal

x[n], n = 0, . . . , N − 1, we implicitly assume that the signal is periodic with

period N . This insight can help us to understand how we can increase the

frequency resolution by using zero-padding. Assume that we create a new signal

by zero-padding x according to,

(

x[n], n = 0, . . . , N − 1,

y[n] = (10)

0, n = N, . . . , M − 1.

4

2

1.5

0.5

−0.5

−1

−1.5

−20 −10 0 10 20 30 40

Time (sample number)

Here, M = 2N = 24.

Hence, we simply augment x with M − N zeros (of course M > N ). From the

definition of the truncated DTFT (3), it is clear that

(M ) (N )

YT (eiωT ) ≡ XT (eiωT ). (11)

However, it is not true that x and y have the same DTFT (only their truncated

DTFTs coincide).

Now, if we compute the DFT of y, we make the implicit assumption that it is

periodic with period M , as illustrated in Figure 3. As more and more zeros are

appended to the signal, the periodicity assumption will more and more resemble

the assumption that the signal is zero outside the sampled range. Hence, by

padding the signal with zeros we “move” from the DFT assumption (periodicity)

to the truncated DTFT assumption (that the signal is zero outside the known

range). Consequently, the DFT of the signal will “move” toward the truncated

DTFT, as illustrated in Figure 4.

Hence, zero-padding will indeed increase the frequency resolution. However,

we do not gain any more information, we simply move from one assumption

to another. If the (non-truncated) DTFT of x is thought of as the truth, i.e.,

what we really seek, then zero-padding will not necessarily be of any help. It all

depends on which one of the two assumptions (periodicity or truncation) that

most closely resembles the “true” signal.

With that being said, we should not understate the use of zero-padding,

as it quite often can reveal (but not create) useful information about a signal.

However, as a user it is important to understand what is implicitly done when

we apply the tools of our toolbox. If we have this understanding, we are able

to apply the tools only when it is appropriate to do so, and also to draw sound

conclusions about the results that we obtain.

5

7 6

6 5

5

4

4

3

3

2

2

1 1

0 0

0 2 4 6 0 2 4 6

7 7

6 6

5 5

4 4

3 3

2 2

1 1

0 0

0 2 4 6 0 2 4 6

Frequency (rad/s) Frequency (rad/s)

Figure 4: Zero-padding “moves” the DFT toward the truncated DTFT (the

absolute values of the transforms are displayed in all plots). (Top left) Truncated

DTFT of signal x. (Top right) DFT of signal x consisting of N = 12 samples.

(Bottom left) DFT of the same signal, zero-padded to double length. (Bottom

right) DFT of the same signal, zero-padded to three times the length.

6

References

[1] Fredrik Gustafsson, Lennart Ljung, and Mille Millnert. Signal Processing.

Studentlitteratur, Lund, Sweden, 2010.

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