Directional sensitivity of sound-pressure levels in the human

ear canal
John C. Middlebrooks

Departments ofNeuroscience andSurgery (ENT), University ofFlorida,Gainesville, Florida32610

James C. Makous

Department ofNeuroscience, University ofFlorida,Gainesville, Florida32(510

David M. Green

Psychoacoustics Laboratory,University of Florida, Gainesville, Florida 32610

(Received18October1988;accepted for publication14March 1989)

Changes in soundpressures measured in the ear canal are reportedfor broadbandsound sources positioned at variouslocations aboutthe subject. Theselocation-dependent pressures are one sourceof acoustical cuesfor soundlocalizationby human listeners.Soundsource
locations were tested with horizontal and vertical resolution of 10 . Sound levels were

measured with miniature microphones placedinsidethe two ear canals.Although the measured amplitudespectravaried with the positionof the microphonein the ear canal, it is shownthat the directionalsensitivityat any particular frequencyof the broadbandstimulusis independent of microphone positionanywherewithin the ear canal.At any givenfrequency, the distributionof soundpressures as a functionof soundsource locationformeda characteristic spatialpattern comprising one or two discreteareasfrom which soundsources producedmaximum levelsin the ear canal. The locationsof thesediscreteareasvaried in horizontaland verticallocationaccording to soundfrequency. For example,around 8 kHz, two areasof maximumsensitivity typicallywere found that were locatedlaterally and were separated from eachother vertically, whereas,around 12 kHz, two suchareaswere found locatedon the horizontalplaneand separated horizontally.The spatialpatternsof soundlevels were remarkablysimilar amongdifferentsubjects, althoughsomefrequencyscalingwas requiredto accommodate for differences in the subjects' physicalsizes.Interaural differences in sound-pressure level (ILDs) at frequencies below about 8 kHz tendedto increase monotonicallywith increasing distanceof the soundsourcefrom the frontal midline and tendedto be relativelyconstant as a functionof vertical source location.At higherfrequencies,
however, ILDs varied both with the horizontal and with the vertical location of the sound

source. At somefrequencies, asymmetries between the left and right earsin a givensubject resultedin substantial ILDs evenfor midline soundsources. Theseresultsindicatethe typesof horizontaland vertical spatialinformationthat are availablefrom soundlevel cuesover variousranges of frequency and, within a small subject population,indicatethe nature of intersubject variability.
PACS numbers: 43.66.Ba, 43.66.Pn, 43.66.Qp, 43.63.Hx [WAY]

INTRODUCTION

In contrastto the visualsystem, in which the locations

cardinal planes, either thehorizontal plane, thevertical midlineplane, or the planedefined by thevertical axisandthe
per, we reporton the sound:pressure levels measured in the

ofstimuli aremapped directly onto theretinas, theauditory interaural axis.The spatial cues for locations outside of these system hasnotopographic representation of sound locations planes cannot bepredicted frompublished data. In thispaat the sensory periphery.Instead,the locations of sounds

must becomputed centrally fromacoustical cues present at

thetwo ears. Temporalandintensive cues for sound location
are created by the interaction of the sound wave with the

earcanal for 356source locations separated by 10 in both

the horizontal and vertical dimensions.

The description of the acoustic stimulus in the earcanal

torso, head, andexternal ears. Thepurpose ofthisstudy was

to characterize the intensivecues for sound locationsthe

characteristics of the amplitude spectrum andof the interauraldifference spectrum that varywith sound source loca-

of a listener isa complicated business, especially at higher fi'equencies at which the wavelength of the sound approachesthe dimensions of the canal. The cross-sectional

tion.Several previous studies have characterized theamplitude transfer functionof the auditoryperiphery(e.g., Wiener and Ross,1946;Shaw, 1966;Blauert, 1969/70;
Searle etal., 1975; Mehrgardt andMellert,1977).However,
thesestudiesall usedsoundsources restrictedto one of three

area ofthetypical earcanal issmall enough thattheprimary

mode of propagation isa plane progressive wave at least for frequencies belowa certain cutofffrequency (seeKuhn, 1987).Morseand Ingard (1968,p. 511) statethat, for a rigidtube,thecutoff frequency is about 0.58c/d,where c is thevelocity ofpropagation in freespace, andd isthediame89

89

J.Acoust. Soc. Am. 86 (1),July 1989

0001-4966/89/070089-20500.80@ 1989 Acoustical Society ofAmerica

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ter of the tube. For an averageperson,the diameterof the canalis lessthan 1 cm and the typical cutofffrequency will, therefore,exceed20 000 Hz. Higher modesof propagation occuronly at frequencies abovethiscutofffrequency or near physicalirregularitiesin the tube, suchas the entranceor near the tympanicmembrane,where the tube tapersto a point. In the vicinityof these irregularities, cross modes may be present (Rabbitt and Holmes, 1988). These evanescent wavespropagate over a limited distance, and their influence on the planeprogressive waveis minimal. Thus our aim was to measure the pressure levelof thisplaneprogressive wave. Admittedly, the presence of the microphone coulddisturb the normaldistribution of pressure. We reporton measurementsusingtwo microphones that providean upperbound on the error introducedby thesedisturbances. Sinceany tube will have longitudinalstandingwaves, onemight assume that the measurements shouldbe madeas close aspossible to the taperin the tubewherethe tympanic membraneis located.Because of crossmodespresentnear this taper, and because the tympanicmembraneis an extremely sensitive structure,we wereforcedto makeour measurements at some distance from the end of the tube. This

dght go'.o'

fact makesit difficultto infer the amplitude spectrum at the tympanicmembrane from a measurement madeelsewhere in the canal.However,several previous studies(Wiener and Ross,1946;Shawand Teranishi, 1968;Mehrgardt and Mellert, 1977), as well as our own observations,indicate that the

dependence of sound pressures onsource location is independent of the positionof a recordingmicrophone in the ear canal.At anygiven frequency, the position of the microphone will influence the absolute levelof the recorded pressure, but the relative changesin that level with changesin sound sourcelocation will be the samefor all microphonepositions.

FIG. 1. Diagram of the spatialcoordinate system. The locations of sound sources are represented on a unit sphere asif lookingin towardthe subject from a location30abovethe horizontalplaneand 30to the subject's right. Locationsare given by the anglesmeasuredat the center of the subject's interauralaxis:Horizontal locations are givenby azimuth,the angleto the right ( d- ) or left ( - ) of the verticalmidlineplane,and verticallocations are givenby elevation, the angleabove( d- ) or below ( - ) the horizontal plane.Isoazimuthand isoelevation linesare shownin 20increments. The loudspeakers, represented here by small circles,were separated in azimuth by 10.

female. Theywereall Caucasian, ranging in agefrom25-35 years. Theirexternal ears were completely normal in appearance. Their ear canals were free of visible abnormalities or

The generalapproachusedin this studywasto present soundsfrom a number of loudspeakers locatedabout the subject's head and to recordfrom a miniature microphone positioned in the earcanal.The useof multiplespeakers (all calibratedto produceidenticalspectra),ratherthan a single movablespeaker, reducedthe time necessary to samplethe
desired number of locations to about 6 min. This eliminated

accumulations of cerumen. Thusthis group's external ears and ear canalsare probablymore homogeneous than one would findin a random sample fromthegeneral population.
A. Experimental apparatus

Experimentswere conductedin a 2.7-m X 4.3-m X 3.1m room, the walls of which were covered with 3-in. acousti-

the needto restrainthe subject's headwith a bite bar or head rest, which might have interferedwith the soundfield. We useda broadbandstimulus,bandpassed to includeonly the frequencies of interest.This enabledus to test a range of frequencies simultaneously, yet it concentrated energyin a limitedband,thusimproving thesignal-to-noise ratio.Using this approach,we were able to samplesoundsourcelocations in all directionsaround the subjectin 10horizontal and verticalincrements. The resultsrevealthe typesof spatial information that are available from intensive cues over

cal foam (Illbruck) to suppress soundreflections. Ambient noise levels were40 dB SPL (A-weighting scale).For most of the measurements, sound stimuliwerepresented from a circular arrayof 36 loudspeakers (Fig. 1). Thearraywas1.2 m in radius, andtheloudspeakers werespaced in horizontal intervals of 10 . Theaudio signal could bedirected to anyone of the loudspeakers by useof a system of computer-controlledrelays, thuscontrolling the horizontallocation of the stimulus. The planeof the arrayof loudspeakers couldbe rotatedabouta horizontal axis,thereby providing controlof
the vertical stimulus location. For one series of measure-

variousranges of frequencyand, within a smallsubject population, indicatethe nature of intersubject variability.

I. METHODS

ments,stimuli were presented from a verticalsemicircular array of loudspeakers positionedin the vertical midline

plane. Theloudspeakers in thatarraywerespaced in vertical

intervals of 10from -- 40to q- 90.

We measuredsound-pressure levelsinsidethe human

ear canal as a function of the location of a broadband sound

sourcepresented in a free soundfield. Measurements were obtainedfrom six volunteersubjects, three male and three
9O

The orientation of thesubject's headduring therecordings was monitored using an electromagnetic device (3SPACE Isotrak,Polhemus Navigation Sciences Division, McDonnell DouglasElectronics Company).This device generated an alternatingelectromagnetic field from a fixed
Middlebrooks eta/.: Ear directionality 90

J. Acoust. Soc. Am., Vol. 86, No. 1, July 1989

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source,which induced a current in a sensor.The sensorwas

embedded in a plasticblock,with 27 mm asitslargest dimension.It washeld on the subject's headwith a cloth headband. The Isotrak deviceprovidedmeasurements of the azimuth, elevation,and roll of the subject's headwith uncertaintyless than one-halfdegree.

below the horizontal plane. Lines of constantlongitudeall converge ontheverticalaxis,sothat, for a givenincrement in longitude,the horizontal angle subtended at the subject's headvarieswith latitude (elevation). For example,at + 80 elevation,two soundsourcelocationsseparatedby 180 in longitude wouldsubtend an angleof only20at the centerof the subject'shead.
C. Sound stimulation and recording

B. Spatial c. oordinate system

All sound sourceslay on the surfaceof an imaginary sphere,1.2m in radius,concentric with the loudspeaker array (Fig. 1). The locations of sound sources arespecified in a

double-pole coordinate system in Which locations arereferred

to two planes, the interauralhorizontalplaneand the vertical midline plane;this coordinatesystemhas beenusedin severalphysiological studiesof auditory spatialsensitivity (e.g., Knudsen,1982;Middlebrooks and Knudsen,1984). The reference planesare defined by structures of the testing chamberand the loudspeaker array although,to the degree that the subject's headwasuprightandcentered in the loudspeaker array, theyalsocorrespond to anatomical planes of the subject. The interauralhorizontalplaneis parallelto the floorof the testing chamberand contains the axisof rotation of the loudspeaker array, which coincides with the subject's interauralaxis.With a subject's headin an upright position, his/her orbito-meatal plane (i.e., Frankfort plane) was tippedroughly 10 up from the interauralhorizontalplane. The vertical midline plane, which coincides with the subject'smidsagittal plane,is the verticalplanethat is orthogonal to the axisof rotation of the loudspeaker array. Horizontal locations are specified by the azimuth coordinate,whichis the anglesubtended at the centerof the subject's head to the right ( + ) or left (-) of the midline plane.As shownin Fig. 1, linesof constant azimuth form
circles that are centered on the interaural axis. Lines of con-

Soundstimuli were generateddigitally, using an IBM PC/AT computerwith a 12-bit digital-to-analogconverter (Modular Instruments, Inc.) running at a rate of 50 000 samples per second. The audio signalwas passed through a computer-controlledattenuator (Wilsonics) and a Macintosh power amplifier (model MC40). The loudspeakers were piezoelectric tweeters(Motorola model KSN 1072A, available as Radio Shack Cat. /:40-1379). Measurementsof sound pressures were made using a specialcomputer-generated waveform. This specialwaveform wasproducedusingan inversefast Fourier transform.
The waveform was 10.24 ms in duration and contained fre-

quency componentsspacedin intervals of 97.7 Hz. The waveformcontained energyin the frequency bandbetween3 and 16 kHz, and we will refer to this frequencyband as the "stimulusband." The amplitude of each componentin the stimulusband increased by 6 dB per octaveto roughly compensatefor the frequencyrolloff that was encountered in recordingfrom the ear canal with miniature microphones. The phasespectrum of the special waveformhad all the even components in cosinephaseand all the odd components in negativecosinephase.This combinationof amplitude and phase spectra produced a clicklikestimulusthat had negligible voltage excursionsat stimulus onset and offset, thus eliminatingthe needto shapethe envelope of the waveform
to avoid onset transients.

stantazimuthcorrespond to the pathstraversed by the loudspeakers astheloudspeaker arrayisrotated.They alsocorrespondto the projections onto the coordinate sphereof the hyperboloid "cones of confusion,'" whichareoftendiscussed in relation to interaural delays (e.g., Blauert, 1983). All points on thecoordinate sphere thatlie at a givenazimuthlie within a single parasagittalplane. Vertical locationsare specified by the elevationcoordinate,which is the angle above ( + ) or below ( - ) the horizontal plane. Lines of constantelevationlie in horizontal planesand form circles that are centeredon the vertical axis through the subject's
head. These isoelevation circles coincide with the circular

loudspeaker array only at 0elevation. The double-pole coordinate system has the advantage that azimuth and elevationare mutually independent,in that a givenanglein azimuthalwayscorresponds to a constantarclength onthecoordinate sphere, irrespective of elevation.In this respect, it differsfrom a moreconventional single-pole coordinate system. In a typicalsingle-pole system (e.g., as usedby Wightmanand Kistler, 1989), locationson the coordinate sphere are specified by two angles that are analogous to geographical longitude and latitude. The horizontallocation,analogous to longitude, is the angle tered. Sound levels inside the ear canal were measured with around the vertical axis. The vertical location,analogous to KnowlesmodelEA-1934 microphones (Knowles Electronlatitude and identicalto our elevation,is the angleaboveor
91 J. Acoust.Soc. Am., Vol. 86, No. 1, July 1989 Middlebrooks eta/.' Ear directionality 91

The loudspeakers were calibrated using a B&K sound level meter with a B&K model4133 microphonecenteredin the loudspeaker array; the analog output of the soundlevel meterwasdigitizedat 50 kHz with 12-bitresolution. A digital output buffer was tailored for eachspeakerusinga computer programthat adjustedthe amplitudeand phaseof each frequencycomponent until the amplitudesand phases measuredby the B&K microphonematchedthoseof the special calibration waveform to within criteria of +_ 1 dB and +_ 10 ,respectively. Figure 2(a) showsthe time waveform of the stimulusas producedby one of the loudspeakers and measuredwith the B&K sound level meter. Figure 2(b) shows the corresponding amplitude spectrum. As we changedthe orientation of the loudspeaker array, the recordedspectraalsochanged,sincethe testingchamberwas not perfectlyanechoic. Thesechanges were slight,however, in the frequencyband usedin thesemeasurements. Figure 2 (c) and (d) showsthe waveformand amplitudespectrum measured whenthe loudspeaker array wasrotatedvertically by 70relativeto its positionwhenthe speaker wasoriginally calibrated.The illustrateddeviations in amplitude,lessthan _+ 1.5 dB, are representative of the largestthat we encoun-

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(a)
-lO

(b)

-20

.--50

......................

-50

10

15

20

25

Time (ms)

Frequency(kHz)

FIG.2.Time waveforms and amplitude spectra ofthe stimulus. These waveforms were produced from the loudspeaker at0 azimuth and recorded with a B&K microphone ataposition corresponding tothe center ofthe subject's head inthe testing apparatus. The waveform in2(a)and the spectrum in(b)were recorded with the loudspeaker array oriented inthe horizontal plane, the orientation forwhich allofthe loudspeakers were calibrated. The waveform and
spectrum in(c) and (d) were recorded with the array rotated upward by70 so that the sound source was located at0 azimuth and+ 70 elevation. Pressures in (b) and(d) arenormalized relative tothemaximum pressure level ineach spectrum.

We took several steps to maximizethe signal-to-noise ratioof theearcanalrecordings. ( 1) We limitedthestimulus bandto between 3 and 16kHz sothatenergy wasconcentrated in the frequency bandof interest.(2) We equalized the tered between1 and 25 kHz, amplified2000 times with a outputof the loudspeakers by presenting a customdigital custom two channel amplifier, anddigitized using a 12-bit outputbufferthrougheachloudspeaker. An alternative apanalog-to-digital converter(Modular Instruments, Inc.) at proach wouldhavebeento present the same outputbuffer a sample rateof 50 kHz perchannel. Data fromeachchannel througheachloudspeaker, then to apply a correction for wereaveraged overfour samples. Eachsample was10.24ms eachloudspeaker to the signalacquiredfrom the microin duration, andsamples wereseparated in timeby 38 ms; phone.That approach wasless satisfactory because the sigtheuse ofbrieftimewindows effectively excluded anyreflec- nal-to-noise ratiowouldhavebeendecreased at frequencies tionsfrom distantwallsor equipment. For eachmeasure- at whichtheresponse of a given loudspeaker wasdepressed. ment,thelevelof theloudspeaker output wasadjusted auto- (3) We tilted the spectrum of the stimulus up by 6 dB per matically sothattheamplified signal fromeach microphone octave. This compensated roughlyfor the fundamental resowaswithin 12 dB of full scale at the analog-to-digital con- nanceof the ear canal near the low-frequency end of the verter without clipping.Because the stimulus levelwas adstimulus bandandfor the high-frequency rolloffof the minjustedto optimize the recording from eachmicrophone, it iaturemicrophones. (4) We adjusted theoutputlevelof the wasnecessary to sample from the two microphones oneat a loudspeaker for eachstimulus presentation sothat the amtime rather than simultaneously. However, measurements plified microphone signaleffectively "filled" the 12 bits of from the two microphones for eachsoundsource location theanalog-to-digital converter. (5) We averaged themicrowere separated in time by no more than 400 ms. Data were phonesignalover four presentations of the stimulus wave-

ics,Inc.). Thephysical dimensions of themicrophones were 2.3X4.0X5.6 mm. We recorded from two microphones. Normally, one microphone was placedin eachear canal, but,in a fewinstances, we recorded fromtwomicrophones placed in a single canal.The microphone outputs werefil-

D. Signal-to-noise ratio

transformed into the frequency domain using a 512 point fastFouriertransform, yielding 257frequency components
spaced 97.7 Hz apart in frequency from 0 to 25 kHz.
92 J. Acoust. Soc. Am., Vol. 86, No. 1, July 1989

form.

Figure3(a) shows an example of a time waveform recorded in an earcanal; the corresponding amplitude specMiddlebrookseta/.' Ear directionality 92

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'(a)

Time
i i I I i I i i i i i i I i i i I i i I i i

(b)!
.

--10

directionaway from the startingpositionduring that time. The verticalpositionof the loudspeaker array was controlled manuallyfrom outsideof the testingchamber.Every other aspect of stimuluspresentation and recordingwas under computercontrol. Stimuli were presented in 10incrementsof azimuth from - 170to + 180 .Because the plane of the loudspeaker array coincided with circlesof constant elevation only at 0elevation, it wasnot convenient to sample in equal incrementsof elevation. Instead, we steppedthe loudspeakerarray through 10 vertical incrementsfrom - 60to + 70and, at eachpositionof the array, we activated sequentially onlythe loudspeakers that werenecessary to produce a spacing in elevation of 10or less. For example, the loudspeaker at 0azimuth was activatedat eachpositionof the loudspeaker array, whereasthe loudspeakers at +__ 80 and +__ 100 were activated only when the array was at - 60,0,and + 70.A total of 356 loudspeaker locations
were tested in each 6-rain series of measurements.
II. RESULTS

,=

-20
c -30
o

,=
.

A. Influence of microphone position on measurements of directionality

-40

.>

- -50

10

15

20

25

Frequency (kHz)
FIG. 3. Time waveform(a) and amplitudespectrum(b) recorded from an ear canal.This signalwasrecordedfrom the right ear canal of subject 4 in response to a stimuluspresented from right 30,07.

trum isshown in Fig. 3(b). In comparison with thestimulus waveform and amplitudespectrum shownin Fig. 2, this recording shows prominent maximaandminimain theamplitudespectrum. Thesealterations in the amplitude spectrum
show the influence of the transfer function from the free-

fieldsource to the position in the ear canaloccupied by the microphone and the detailed frequency response of the microphone. The signal-to-noise ratio wasabout30 dB on both the high- and the low-frequency endsof the stimulus band, ascanbe seen by comparing the peaklevelwithin the stimulus band to the levels recorded outside the stimulus band.

E. Experimental protocol

In a typical experiment,the subjectwas seatedat the centerof the loudspeaker array with his/her interaural axis

Because of the patternof longitudinalstanding wavesin the ear canal, the recordedspectravaried substantially accordingto the positionof the microphone in the canal.These variationswere,essentially, a nuisance variablein this study. The primary interestwasthe variationin amplitudeof single frequencycomponents as a function of soundsourcelocation, which we refer to as the "directionality." We determined the extent to which the measureddirectionality depended on the positionof the microphone in the ear canalby recordingfrom two microphones placedat two locations approximately 9 mm apart in a single ear canal. Figure 4 shows,for two differentfrequencies, the levelsrecordedat eachmicrophone for eachof 356 loudspeaker locations. The open symbolsrepresentdata at 5.27 kHz, and the crosses represent data at 8.2 kHz. At 5.27 kHz, the absolutelevels measured at the distalmicrophone for mostsource locations were about 5 dB greaterthan thosemeasured by the proximal microphone,whereas,at 8.2 kHz, the absolutelevels measured by the distal microphonewere about 20 dB less than thoseat the proximal microphone. Thesedifferences in absolute levelreflectthe standing wavepatternpresent in the ear canal. Despitethesesubstantial differences in the absolute levels, the relativevariations in the levels with changing soundsource locationwerenearlythe sameat the two microphones, especially for soundsource locations that produced
levels within about 20 to 30 dB of the maximum for each

alignedwith the axisof rotationof the array. The subject worelight clothing.An elastic clothheadband heldthe electromagnetic sensor and supported the microphone leads. The subject wasasked to position oneof the Knowlesmicrophones in eachear canalasdeeplyaswascomfortable. The position of each microphone wasinspected with an otoscope to ensure thatthe microphone wasat least5 mm deep to the opening of the ear canal.During the recording, the subject wasasked to holdhis/herheadstationary in anupright position and to refrainfrom movingthejaw or swallowing. A completeseries of measurements took about6 min. The data wererejected if thesubject's headmovedmorethan2in any
93 J. Acoust. Soc.Am.,Vol.86, No. 1, July1989

frequency. Soundsources at somelocations behindthe head producedlower absolute levelsin the ear canal,resultingin reducedsignal-to-noise ratio and somewhat lesscorrespondence for those source locations.

Figure 5 (a) and (b) shows the amplitudespectraaveragedacross all 356 soundsourcelocations for the proximal and distal microphones.Differencesin the frequencies of peaksand nullsare readilyapparent.Figure 5 (c) shows the difference (in decibels)between the two spectra. This differencespectrumis consistent with that estimatedfor two microphones separated by 9 mm in a straight tube. Absolute
Middlebrooks eta/.' Ear directionality 93

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-10

-20

FIG. 4. Pressure levelsat two frequenciesrecorded from two microphones positioned in the same ear canal. Two mi-

-3o
Xx

x
x

-40

-50

x
0

C o

crophoneswere fastened9 mm apart and positionedin the ear canal so that the moredistalmicrophone(i.e., the one furthestfrom the tympanicmembrane) was at least 5 mm deepto the canal entrance.Each symbolrepresents the levelsrecorded by the two microphones for a single sound sourcelocation. Circles represent the level at the 5.27-kHz frequency component, and crossesrepresent the level at the 8.20-kHz component.

-60

o 5.27 kHz, r--.992 x 8.20 kHz, r=.g70

-70
I I
I I I

-70

-60

-50

-40

-,30

-20

-10

Distal Mic (dB)

amplitude differences of as muchas 20 dB presumably are due to differences in the positions of the microphones relative to the patternof standing waveswithin the ear canal. Figure5(d) shows as a functionof frequency the standard deviationof the difference distributioncomputedover the
356 soundsource locations.Standarddeviations rangefrom lessthan 1 dB at frequencies below7.5 kHz to around3 dB
near 16 kHz. This indicates that we can measure direction-

magnitude to those measured withbothmicrophones inside the canal [ Fig. 5(d) ]. This suggests that comparable measurements of directionalitycould be made for any micro-

ality, independent of microphone position in the ear canal,

with standard deviation of about 1 dB in the lower half of our

stimulus bandand up to 3 dB across the entireband. We also explored therange ofmicrophone positions that would satisfythe criterion of being "within the ear canal" and hence wouldproduce comparable measurements of directionality.In the experiment represented in Fig. 6, we recordedsimultaneously from one microphoneplacedabout 10mm deepto the entrance of the canalanda second micro-

phone position at thecanalentrance or deeper. Above about 4 kHz for moredistalmicrophone positions [Fig. 6(b) and (c) ], the standarddeviations were much larger,nearly 10 dB, demonstrating that measurements of directionality are sensitive to the position of the microphone relativeto the external ear at those frequencies. The standard deviations at the lowestfrequencies in the stimulus band,however, were uniformlylow for all microphone positions, eventhose outside the external ear. This is consistent with the idea that the

headisthe majoracoustical element contributing directionality below about4 kHz. In summary, measurements of directionality from positions outsideof the ear canal can differ substantiallyfrom thosemadeinsidethe canal,but equivalent measures of directionality canbemadefrom anyposition withinthecanal. Thus we assumethat our measurements of directionality at the middle of the canal are representative of the direction-

phone placed furtherdistal:( 1) at thecanalentrance [Fig.

6 (a) ]; (2) outsideof the canal, on the floor of the cavum concha[Fig. 6(b) ]; or (3) entirelyfreeof the externalear, suspended opposite thecanalentrance, 10mm lateralto the tragus[ Fig. 6 (c) ]. The figures show thestandard deviations of the difference distributions for the distalcompared to the proximalrecording andcanbecompared with the standard deviations shownin Fig. 5(d), for which the distalmicrophonewas5 mm deepto the canalentrance. The standard deviations measured when the distalmicrophone was positionedat the canalentrance[Fig. 6(a) ] are comparable in
94 J. Acoust. Soc. Am., Vol. 86, No. 1, July 1989

ality of sound-pressure levelsimmediately in front of the

tympanicmembrane.
B. Directionality of sound-pressure levels

The sound-pressure levelmeasured at anyfrequency for any soundlocationis the productof the longitudinal resonanceof the ear canal and a directionalterm. To providea definitionof directionalitythat wasindependent of absolute
Middlebrooksot a/.' Ear directionality 94

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'

'

"(a) Proxirr;al Mic

(a).

,-12

'

' (b) Distl Mic

m -10
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'*" --20

10

(b).
.

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20
15

(c)Dfference
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10
10

(c).
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(d) StcndardDe/iation .

10

15

20

25

oo

10

15

2o

Frequency(kHz)
FIG. 6. Standarddeviations of the difference distributions for recordings from two microphones in the sameear. In the threerecording configurationsshown in (a)-(c), onemicrophone waspositioned about10mm deep to the entrance of the ear canal,and a second microphone waspositioned either:at the entrance to theea canal(a); outside of the canal,on the floor of the carurnconcha (b); or entirelyfree of the externalear, suspended opposite thecanalentrance, 10mm lateralto thetragus(c). The dataplotted are the standard deviations across 356 sound source locations of the

Frequency(kHz)
FIG. 5. Amplitude spectra andamplitude difference spectrum for recordingsfromtwo microphones in the same earcanal.Data arefromthesame recordings asthose described for Fig. 4. (a) and (b) showthe amplitude spectra recorded by the proximaland distalmicrophones, respectively, averaged across all 356sound source locations. These spectra arenormalizedwith respect to the greatest levelthat wasrecorded by eithermicrophone, i.e.,thelevel around 3.5-kHzrecorded bytheproximal microphone. (c) is a difference spectrum showing the average (across 356 source locations)of thelevelat the proximal microphone minus thelevelat thedistal microphone. (d) shows the standard deviations (across 356 source locations) of thedifferences between the proximalanddistalrecordings. In (c) and(d), theextent ofthegraphs in thefrequency domain islimitedto the3to 16-kHz stimulus band.

differences between the levels recorded at the proximaland distalmicrophones. The extentof thegraphs in thefrequency domain islimitedto the 3to 16-kHz stimulus band.

at positionx and at frequency f, for a soundsource location

givenby az (azimuth) andel (elevation); max,,z, etL is the

sound-pressure level,wenormalized thesound-pressure levelsat anygivenfrequency relative to the greatest levelthat wasmeasured at thatfrequency for any soundsource location:

maximum level obtainedat that microphoneposition and frequencyfor any soundsourcelocation;D (in decibels)is the directionalityat the frequencyfor a givensoundsource location.Valuesof D canbe regarded in the sense of attenuation,for whicha valueof zerorepresents the greatest level

D( az, el,f ) = max,,z,e/L (az, el,f ,x) -- L (az, el,sf,,x ),

( 1)

at any frequency andthe largest values represent the smallestsoundlevels.Note that D is independent of microphone
positionx.
Middlebrooks et al.' Ear directionality 95

whereL (in decibels)is the level measured in the ear canal,

95 J. Acoust. Soc.Am.,Vol.86, No. 1, July 1989

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,I.kHz

6kHz
++

44-

44-

+4-

4.

0.0

0.0

8kHz
4.+

10kHz
4.+ ++

+;-

+
+ 4-I.

4.

-I.

+4.

0,0

0,0

12kHz
++

14kHz
4.+

+
+ + -I.

+++

+
+

-I.

+
+ -

+4-I. .I..i.
+

+'H.

4.

4- -I.'
+
+

:+

0,0

0.0

FIG. 7. Directionality of sound pressures in the ear canal.Recordings weremadewith onemicrophone in the right ear canalof subject 1. The spatial coordinate system isthesame asthatillustrated in Fig. 1.In each of these sixplots, theaxislabeled 0,0 isdirectly in frontofthesubject, andtheaxisextended to theleftofeach figure coincides withthesubject's interaural axisonhisrightside. Lines aredrawn to represent thevertical midline plane andtheinteraural horizontal plane. Dataareshown forfrequency components at 4, 6, 8, 10,12,and14kHz. In theplotforeach frequency, contour lines represent thevalue of D(az,el,f ) [Eq. ( 1) ], which isthesound pressure normalized relative tomaximum level thatwas measured at thatfrequency foranysound source location. Contour lines areplotted in 5-dBincrements of normalized sound pressure. The 5-dBcontours arefilledwithstippling to indicate theareas fromwhich sound sources produced levels that werewithin 5 dB of the maximumat eachfrequency. The smallcrosses indicate the sound source locations for whichmeasurements were made.

96

J. Acoust. Soc.Am.,Vol.86, No.1, July1989

Middlebrooks eta/.: Eardirectionality

96

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Directionality data at constantfrequencies are represented by isolevel contours drawn on the coordinate sphere. The viewpoint for every contour plot is the same as that shownin Fig. 1: Coordinates are shownas if lookingin toward the subjectfrom a position 30 aboveand 30 to the subject's right. The originof the coordinate system(the axis labeled0,0in Fig. 1) is directlyin front of the subject, and the interauralaxison the subject's right sideis drawnon the left sideof the coordinate sphere(the axislabeledright 90, 0in Fig. 1). Figure 7 shows directionality plotsfor onesubject'sright ear canalat sixfrequency components within the
stimulus band. The small crosses indicate the sound source

(a)
+4-

++,.

locations that weretested.Isolevelcontourlinesin eachplot are drawn in increments of 5 dB. The stippledarea in each plot indicates the areafrom which soundsources produced levelswithin 5 dB of the maximumat eachfrequency. The patternof directionalityis qualitativelydifferentat different frequencies. For example, the areas from whichsounds producedmaximalamplitudes occupied one (e.g., 4, 6, 10, and
14 kHz) or two (8 and 12 kHz) discrete areas. At some

0.0

(b)

frequencies(e.g., 14 kHz), the 5-dB contour crossedthe frontal midline,while, at other frequencies ( 10 kHz), it encircled the interaural axis. When there were two areas from

_+M.--,"

+++ -- + +\+ ,?+

4-

which thegreatest amplitudes were produced, thetwoareas

couldbe displaced eitherhorizontally(e.g., 12 kHz) or vertically (8 kHz) from each other. The general patterns of directionality measuredfor a givenear canal were reproducible betweentestingsessions. This is demonstrated in Fig. 8(a) and (b), which shows the directionalityfor 12 kHz measuredin one ear canal on two different days. Close inspectionshowsonly minor differences in thetwo plots.Figure8(c) shows a scatter plot of the amplitudesat 12 kHz measured for 356 sourcelocationsin the two testingsessions. The standarddeviationof the difference distributions between the two sets of measurements was

0.0

2.5 dB. We presumethat someof the scatterin this plot is due to slight differences in the way that the subjectpositioned his head in the two sessions, since the standard devim

(c)

-10

ation due to differences in microphone positionshouldhave beenlessthan 2 dB at this frequency(Fig. 5).

C. Comparisons between subjects
I I

The directionalityof sound-pressure levelsmeasured for all subjects was qualitativelysimilar to thoseof subject1 illustratedin Fig. 7. The similar patternsof directionality, however,occurred at slightlydifferentfrequencies for different subjects. Figure 9 shows directionalitycontourplotsat 8 kHz for subject1 alongwith data for two other subjects. The pattern for subject1 [Fig. 9 (c) ] showstwo discretemaxima, one abovethe horizontal plane and one below. The directionalpatternsmostclosely resembling the 8-kHz pattern for subject1 werefoundat 6.9 kHz for subject 2 [Fig. 9(a) ] and at 8.9 kHz for subject5 [Fig. 9(d) ]. The patternsat 8 kHz for subject2 [ Fig. 9 (b) ] and subject5 [ Fig. 9 (e) ] differ from the patternsfor subject1 in that they eachshow onlya single areafromwhichmaximalamplitudes wereproduced. The patterns at 8 kHz for subjects 2 and5 moreclosely resemble the patterns at 10 and 6 kHz, respectively, for subject1 (Fig. 7).
97 J. Acoust. Soc. Am., Vol. 86, No. 1, July 1989

:u1-30

-40

50

-40

-30

-20

RelativeSPL (dB)
Session 1 FIG. 8. Replication of directionality in the same ear canal.Measurements weremadein therightearcanalof subject 1in separate testing sessions. (a) and (b) show directionality for the 12-kHzfrequency component measured in testing sessions 1 and2, respectively. Conventions of these contour plots are described in Fig. 7. (c) shows the sound pressures at 12kHz measured for 356sound source locations in thetwo testing sessions. Eachsymbol represents the level recorded for one sound source location in the two sessions.

The dashed line indicates equalitybetween the levels measured in the two sessions. The symbols distribute arounda line parallelto, but above, the dashed line, indicating that the levelsrecorded in the two testing sessions
differ by a constant.

Middlebrookseta/.' Ear directionality

97

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(a)

(b)
.i.-I,
.i..i.
.I.I-

-I.

-I,
.I.I-

-I. -I.

-I. .I-

-I. -I. -I.

.I-

4.-I,

,I-

.I-

-I. -I-

.i.'1-I..I-

.H-

6.9kHz

0,0

8kHz

Subject 2

0.0

Subject 2

(c)
.i..I.

.I-

8kHz
Subject 1

0,0

(d)
.i..I.

(e)
.I-

.i..i,

+.1.-I-

+++

.I.I-

8.9kHz
Subject 5

0.0

8kHz

0.0

Subject 5

contours. Inregard tothese characteristics, the directionality at6.9 kHz for subject 2[(a)] and at8.9 kHz for subject 5[(d)] was more similar tothat at8 kHz for subject1.
98

FIG. 9. Comparisons between subjects. Directionality data are shown for one microphone in the right ear canals of subject 2[(a) and (b) ],subject 1[(c) ], and subject 5[(d) and (e) ].Conventions of these contour plots are described in Fig. 7. Data at 8kHz are shown for subject 1. The directionality at 8kHz for subjects 2and 5 [(b)and (e)]differed conspicuously inthe numbers and locations of sound-pressure maxima and inthe general disposition of isolevel
J.Acoust. Soc. Am., Vol. 86,No. 1,July 1989 Middlebrooks ota/.: Ear directionality 98

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10.0

5.0

12kHz 0.0
10.0
I I I

5.0

reference frequency for subject R anda (variable) frequency for subject S; (2) computethe difference in pressure levels measured for the two subjects at eachof the 356 loudspeaker locations; (3) compute the standard deviation of the differencedistribution;(4) repeatthis procedure, systematically varyingthe frequency for subject S in increments of 97.7 Hz (i.e., the spacing between individualFourier components); and (5) plot the standarddeviations as a functionof the variablefrequency for subject S dividedby the reference frequencyfor subject R. The minimum value of the standard deviation identifiesthe directional patterns that are most similar,and hencewe candeterminethe frequency ratio that produces the mostsimilardirectional hearingpattern.Figure 10shows the standard deviations for subject 5 compared to subject1 for four reference frequencies. For this pair of subjects,the minimum standarddeviationsall fell at frequencyratiosgreaterthan 1. We noteda generalcorrelationbetweenthe frequencies
i i I t i i

t-

0.0

._.16

10.0

.....

5.0
,.

E12
E

8kHz
0.0 '

10.0

....

,.-I-."

Subject 2
"Subject 4

/
.

i
6

[
10

[] Subject 6 o Subject 5
12 14

Reference Frequency

(kHz, Subject 1)
Frequency Retio

(Subject5 / Subject1)
FIG. 10. Standard deviations of the distribution of differences in levels mea-

suredfor subjects 1 and 5 at 356sound locations at various frequencies. For eachpanelof thisfigure,a reference frequency (i.e., 6, 8, 10,or 12kHz) was held fixedfor subject1 and a comparison frequency wasvariedsystematicallyin 97.7-Hz steps for subject 5. The standard deviations of thedifference distributions are plottedasa functionof the comparison frequency, whichis expressed astheratioof thecomparison frequency to the reference frequency.

We used standard deviations of difference distributions

to quantifythe similaritybetween directional patternsfor pairsof subjects. To comparea subject S with a reference subjectR, we used the following procedure: (1) Select a
99 J. Acoust. Soc.Am.,Vol.86, No. 1, July1989

FIG. 11. Frequencies at which directionalitydata for subjects 2-6 showed the minimum standarddeviations with that for subject1. Measurements were made in the right ear canalof subjects 1-6. Data for subject1 were testedat fixedreference frequencies of 4 to 15 kHz in steps of 500 Hz. At eachreference frequency for subject 1,we computed the standard deviation of the difference distribution asa function of a variedfrequency for eachof subjects 2-6. This procedure produced plotsof standard deviationversus frequency ratiolike those shown in Fig. 10.From eachplot,we determined the frequencyat which the minimum standarddeviationwas found. We computed that frequency by fittinga second-order polynomial to the lower 1 dB of the correlationplots, and by finding the frequency that corresponded to the minimumof the fittedpolynomial. The heights of the subjects, in order of increasing height,were:subject5, 152 cm; subject 4, 157 cm; subject 6, 173 cm; subject 3, 175cm; subject1, 183 cm; subject 2, 193 cm. Data for the reference frequency of 14kHz areshownonly for subjects 2 and 6 comparedto subject1 because a clear minimum standarddeviation
could not be determined within the stimulus bandwidth (i.e., below 16

kHz) usingthe proceduredescribed above.

Middlebrooks et aL' Eardirectionality

99

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4kHz ++ +
++
+
+

6kHz
4-

+4-

+;::': ::::::::::-:..%'::::::.:-.::,.

i::.:',:! ':':':'--','-'..'. :'.::..";:. :!8 ::"-': :*:':':':::i. :::. '.'::;-.

/.,.-." ,-..:'.-.., ...'....:.::..'_

4-

44-

,4-

' ,':':':':':'-",1,'-', "'-'-'-"'""'- ;'"-" + rzi ,-.-.-.:..-:::...,,:.: '.<.:.:.:..:.:.:.:.:.:.:. , 1:::::::::'.'.::i:!:,: ::: :::::::::::::::::::::::

++:::::::::--:::: :. :':::::.:_ :'e'.':_::.:;!:i:

I..:::f::.: -. . ......... ':-::::::: :: .-...-. ::-':::::k::::::::;::::::
%:'.'. P,',

4-

.+

0.0

8kHz
+4-

10kHz
4-4-

+
444-

-I-.N.

++"
444-

4-

4-

I.

44-

4',,.-I44-

44-

44-

4+ +
4-

4-

4-4-

4'

4-

4' 4' 444-

4-

0,0

,,. 4-

4-

0,0

12kHz
+

14kHz

++

+'P"%,,., 2o
444-

+
4-

++
4-4-

444-

-I-.N.

44-

4-

4-

4-

.I-44-

4444-

4-

4-

c)

4-

44-

4-

4- 4-

_+ ++
0.0

0,0

4- .I-'v 471;. -+4FIG. 12. Directionality ofsound pressures inthe right ear canal averaged across subjects. At each nominal frequency (i.e., 4,6,8, 10,12, and 14kHz),we averaged data across subjects 1to6using the frequencies plotted inFig. 13, which were selected tominimize the standard deviations between subjects; the plot for14 kHz represents the average ofdata only from subjects 1,2,and 6.The nominal frequencies are the frequencies atwhich the data from subject 1were

taken. Other details ofthese contour plots aredescribed in Fig.7.

1O0

J.Acoust. Soc. Am., Vol. 86,No.1,July 1989

Middlebrooks eta/.'Eardirectionality

100

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at whichparticular patterns wereobserved andthe physical

sizesof the subjects. Specifically, smallersubjects tendedto exhibita givenpatternof directionality at higherfrequencies than larger subjects. Figure 11 represents comparisons of fivesubjects with subject 1.The frequency at whichthe minimum standarddeviationwas observed is plotted for each subject againsta rangeof reference frequencies; the dashed line has unity slopeand indicatesperfect correspondence betweenthe varying and the referencefrequencies. The

heights of subjects provide a simple measure of theiroverall physicalsizes.Subject1, whosedata form the reference in Fig. 11,is 183cm tall. Subjects 3 and6 aresomewhat shorter (175 and 173 cm tall, respectively), and their data fall at frequencies equalto or slightlyhigherthan those for subject
1. The data for our two shortestsubjects(subjects4 and 5, 157 and 152cm tall, respectively) all fall at the highestfrequencies. Conversely, the datafor thetallestsubject (subject 2, 193cm tall) all lie at frequencies belowthosefor the reference.If a singlescalingfactor accounted for all the differences in the directionaldata at all frequencies, then the data

ILDs measured at six frequencies for subject1. The contour linesindicateILDs in increments of 5 dB, and the stippling indicates the stimulus locations that produced maximal ILDs at eachfrequency. In general,ILDs increased roughly monotonically with increasing azimuth, and maximum ILDs were producedby soundsources locatednear the interaural axis (i.e., 90azimuth). In the spatialcoordinate system that wasused,linesof constant azimuth lie parallelto the verticalmidline.For frequencies belowabout8 kHz, isoILD contoursroughly paralleledthe midline throughout mostof the frontal hemifieldand, thus, were relatively constantwith changing elevation at a fixedazimuth.In contrast, the iso-ILD contoursfor frequencies of 8 kHz and highercut acrossthe lines of constantazimuth, indicating that ILD
varied both with azimuth and with elevation. The variation

in Fig. 11for eachsubject wouldfall ona straight lineandthe slope of thatlinewouldequal thescaling factor.Thefactthat the data scatterabouta straightline indicates that no single scaling factor accounts for all the differences between subjects.This suggests that the many physicalfeaturesof the headand ears,differingin magnitude amongsubjects, make differentacoustical contributions at differentfrequencies. We usedthis frequencyscalingprocedureto derivean averagedirectionalityplot that is representative of all our subjects.We combined directionality data over different subjects from setsof frequencies that minimized the standard deviations amongsubjects. The average directionality plotsat six differentfrequencies are shownin Fig. 12. The nominalfrequency for eachplot is the frequency of the data set that was usedfrom subject1. Comparedto the plots shown for a single subject (subject 1) in Fig. 7, the average plotsare remarkably similar.Naturally, the averaged data are somewhat smoother, but the similaritywith respect to the numberand locationof sound-pressure maximaand the generaldisposition of isolevelcontoursis striking. Differences in detailaremostevident in areas whereabsolute pressurelevelswere low and the signal-to-noise ratio wascorrespondingly reduced.
D. Interaural level differences

in ILD with elevation wasespecially pronounced at frequencies for which multiple discretemaxima were observedin monauraldirectionalityplots,suchas the plotsfor 8 and 12 kHz shownin Fig. 7. For several of the frequencies represented in Fig. 13, the 0-dB ILD contoursdeviated substantiallyfrom the vertical midline, suggesting that the directionalitymeasured in the two ear canals is asymmetrical. We explored this issue further by making repeatedseries of measurements of ILD
for stimuli located on the vertical midline. In each block of

measurements, we tested elevations from -- 40to -3-90in

10steps, repeatingeachseries of elevations for a total of ten

measurementsat each elevation; an entire block of ten measurements at each of 12 elevations deviations took about 2 min. The for means and standard of these measurements

one subjectare shownin Fig. 14. In somecases, the largest ILDs also had the largest standard deviations,which, to someextent, reflectsthe fact that the amplitudein one ear
was of low level and was contaminated with noise. However,

We computedinteraural level differences(ILDs) by comparingthe normalizedsoundlevelsmeasured in the two earcanals. Because theamplitudes in eachcanalwereknown only relativeto other amplitudes measured in that canal,it was impossible to determineabsolute interaural differences. Therefore, we made the simplifyingassumption that the averageof all ILDs in the frontal half of the vertical midline at any givenfrequency wasequalto zero,andwe normalized the ILD valuesaccordingly. Errors introducedby this assumptionshouldamount only to constantshiftsin ILD valuesandshould not influence the general spatialdistribution of ILDs. We expressed ILDs asthe soundlevel (in decibels) in the right ear canal minusthat in the left. Figure 13 shows in contourplotsthe spatialpatterns of
101 J. Acoust. Soc. Am., Vol. 86, No. 1, July 1989

at severalelevations, the ILD in the vertical midline plane wasasgreatas 10dB and wasmorethan two standarddeviations away from zero. The pattern of ILDs as a function of elevation for midline sound sourcesvaried substantially among subjects.However, nonzero ILDs roughly of the magnitudeillustratedwere observed for all subjects. One possible artifactthat might haveproduced nonzero ILDs for midline stimuluslocationswould be a slight tilt of the subject's headawayfrom a verticalposition.To testthis possibility,we measuredthe ILDs producedby midline soundsources with the subject's headheld upright and with the head inclined 15to the right and 15to the left. These data are plotted in Fig. 15. There are slight changes in the overallslopeof the ILD versus elevationcurvesthat can be attributed to changes in the inclinationof the head. Nevertheless, there are substantial peaksin the curvesthat were largelyinvariantacross these15tipsof the head.Thus these departuresof measuredILDs away from zero cannotbe due entirely to the positionof the subject's head and apparently reflect actual asymmetriesbetweenthe two ears.
III. COMPARISON TO PREVIOUS STUDIES

A central premiseof the current study was that measurements of directional sensitivityare independentof the positionof the recordingmicrophone within the ear canal.
Middlebrookseta/.: Ear directionality 101

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4 ++
4.!-

4.

4.

0.0

0.0

8kHz
+4-

10kHz
+4.

+
4.4'
4.

+4-

+4.

0,0

0,0

12kHz
++

14kJ-Iz
4.-I.

+
+ +

.I-

+ ++, t'.1 ,
++

+ +-I,i.
+

+
+

+ +

+
+ +

+ +
+ +

0.0

0.0

FIG. 13.Directionality ofinteraural level differences (ILDs). Datawere collected fromsubject 1withonemicrophone in each earcanal. TheILDs were normalized ateach frequency sothattheaverage oftheILDsalong thefrontal midline was equal tozero. Thecontours arelabeled indecibels asthelevel inthe right canal minus thelevel intheleftcanal. Thestippling indicates theareas from which sound sources produced maximum ILDs.Other details ofthe contour
plotsare asdescribed in Fig. 7.

102

J. Acoust. Soc.Am.,Vol.86, No. 1, July1989

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102

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tympanicmembranefor ten azimuths.Up to 15 kHz, these

measurementsvaried less than 5 dB with source location,

1 14kHz

again indicatingthat the longitudinalresonance of the ear canalcanbe largelyseparated from the directionality.In the currentstudy,we foundthat measurements of directionality were constantto within standarddeviations of 3 dB for any microphone positionthat we testedin the ear canal;the maximum standard deviation was as small as 1 dB if we excluded

sourcelocations behindthe head for which the signal-tonoise ratio was low. It should be noted that in the current

studyand in mostprevious studies, levelmeasurements were made within narrow frequency bands, using either tonal stimuli or individual Fourier componentsof broadband
stimuli./These narrow-band measurements would have

-lo
L I I
6kHz

I I

I I I I I I I

I I

I I

i
i

_ __.___
i i ! i
i I i i

tended to accentuateany local variability in spectrathat were introducedby changing experimental conditions. One wouldexpectthat levels measured within the tuningcurveof an auditory-nervefiber or within a psychophysical critical band would show substantialsmoothingin the frequency domain. Thus the changesin levelswithin narrow bands resultingfrom changesin microphoneposition probably representworst caseestimates. Given the limited influence of recordingpositionanywherein the ear canalon measured directionality, we infer that recordingsof directionality made within the canal are representative of the intensive cuesavailableto the auditory systemfor soundlocalization. There have been severalpreviousstudiesof the directionality of soundpressures in the human ear canal (e.g.,

Wiener and Ross, 1946; Robinson and Whittle, 1960;

Schirmer, 1963; Shaw, 1966; Blauert 1969/70; Searle etal.,

kl-lz

1975; Mehrgardt and Mellert, 1977). In thosestudies,recordingswere made at the entranceof the canal, at various pointsalong the length of the canal, or near the tympanic
membrane. In each of those studies, the sound source was

-10-. , ,
-60 -30

30

60

90

Elev=tion(deg)
FIG. 14. Interaural level differences for sound sources in the vertical mid-

line plane.The ILDs were normalizedas described for Fig. 13. Data were collected from subject 2 with onemicrophone in eachear canal.The values plottedare the averages and standard deviations of ten soundpresentations
at each location.

This issuehas been addressed in severalpreviousstudies. WienerandRoss(1946) plottedthe ratio of the soundpressures measured at the ear canal entrance to that measured at

the midpointof the canalor the tympanicmembrane for soundsources at azimuthsof 0,45,and 90.At frequencies up to 8 kHz, the ratioswereindependent of source location
to within a few decibels.Thus, at any given frequency,a

change in recording position resulted onlyin a change in the

absolute level thatwas recorded, nota change in thedirectionaldependence. ShawandTeranishi(1968) showed that blockingthe ear canalhad little effecton the sensitivity to
soundsourceazimuth measuredat the ear canal entranceup to at least 12 kHz. This indicates that the longitudinalresonance of the ear canal contributes little to the directional

dependence. Mehrgardtand Mellert (1977) measured the transfer functions from various points in the ear canalto the
103 J. Acoust. Soc.Am.,Vol.86, No. 1, July 1989

restricted to the horizontalplane,the verticalmidlineplane, or the plane definedby the vertical axis and the interaural axis.Our data from thosethreeplanes are largelyconsistent with publisheddirectionalitydata. In Fig. 16, we have replottedthe appropriate data from our studyalongwith data from two published reports(Shaw, 1974,Fig. 11;Mehrgardt and Mellert, 1977,Fig. 18). The directionalityplotspresentedby Shaw(1974) werederivedfrom the dataof 12previous studiesby severalgroupsof investigators representing resultsfrom 100 subjects. The data presented by Mehrgardt and Mellert (1977) were averaged across severalmeasurementsin eachof 20 subjects. As in the current study,Mehrgardt and Mellert scaled their data in the frequency domain before averaging. Their scaling procedure differed from ours, however, in that for each soundsourcelocation, they selected a singlescalarto apply at all frequencies. In contrast,we selected for eachreference frequency a singlescalar that was appliedto data for all soundsourcelocations. Figure 16shows datafor soundsources in the horizontal plane. In eachpanel, the upper curve represents data from Shaw (1974), and the middle curve represents data from Mehrgardt and Mellert (1977). The lower curverepresents the meanand standarddeviationfrom our sixsubjects. Prior to averaging,we scaledour data in the frequencydomain usingthe procedure described in Sec.II. The data are in good
Middlebrooks eta/.' Ear directionality 103

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8kHz
,

12kHz
! ! ! ! ! !

20-

-(a)

(d)

10-

0-

-10-

'

'

'

'

'

'

20-

(b)

(e)

10-

0. . .

-10-20-

.
.

20 (c)
lO

(f)

-1

-so

-3o

3o

so

-so

-3o

3o

so

Elevation (deg)
FIG. 15.Influence ofhead position onILDs produced bymidline sound sources. Datawere collected fromsubject 2 withone microphone in each earcanal. Thevalues plotted aretheaverages andstandard deviations oftensound presentations at each location. ILDs at 8 and12kHz areshown in theleftandright columns, respectively. Initially,thedatawere collected withthesubject's head in anupright position (middle row). Then,thehead wastipped by 15 to the
subject's right (top row) or left (bottom row); the headorientationwasmonitored electromagnetically.

agreement, particularlyat frequencies up to 8 kHz. At 10

kHz and higher, the total variation in level for our data is considerablygreater than in the previousreports. Part of that might be due to the effects of averaging across subjects,

Severalaspects of the directionalityof the ear can be

related to the modal characteristics of the concha, as de-

giventhat our averaging procedure will minimizethe variance between subjects. Another source of differences betweenstudies may be attributedto differences in the alignment of the subject's head relative to the horizontal plane. One can seefrom Fig. 7 that, particularly at high frequencies,the profileof amplitudeversus azimuthdepends strongly on the elevationthat one chooses to definethe horizontal plane.
104 J. Acoust. Soc.Am.,Vol. 86, No. 1, July1989

scribedby Shaw (Shaw and Teranishi, 1968; Shaw, 1975; Shaw, 1980). Specifically, responses near 8 kHz are dominatedby the second and third conchamodesat which there is a horizontally orientedpressure nodenearthecrushelias. This nodecould accountfor the verticalbipolar sensitivity that we havemeasured around8 kHz (Figs. 7 and 12). Similarly, the horizontal bipolar sensitivitythat we have measured around 12 kHz can be related to the vertical nodal

surfaces found at the fourth conchamode. It is noteworthy that Shaw and Teranishi (1968) found that the frequencies
Middlebrooks eta/.: Ear directionality 104

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0 -10 -20

r::3

'1 z [(d) Ck ' ' ' ' ' ' ' ' [

(e) 1

- 180

-90

90

180 - 180

-90

90

180 - 180

-90

90

180

Azimuth (deg)
FIG. 16.Sound pressure asa function ofsound source azimuth compared to previous reports. In each panel, theupper traceisredrawn fromShaw( 1974, Fig. 11), andthemiddletraceis redrawn from Mehrgardtand Mellert ( 1977,Fig. 18). The lowertraceshows themeans and standard deviations for our six subjects (only subjects 1, 2, and6 at 14kHz). The datafrom our studywerescaled in frequency according to the procedure described in the text.

of individual modes could not be matched between individ-

tions ofamplitudes are considerably smaller inour data than

in theprevious study.Presumably, thisoccurred because our ten seriesof measurements were made in a single 2-min block, whereas,in the previousstudy, data were averaged over multiple test sessions.
IV. GENERAL DISCUSSION: SOUND LOCALIZATION ACOUSTIC CUES FOR

ual subjects by the application of a single scaling factor.This is consistent with our observation that no singlefrequency scalar could account for differencesin the directionality amongindividualsubjects. The presenceof nonzero ILDs produced by sound sources in the vertical midline plane hasbeenreportedpreviouslyby Searleet al. (1975). Generally,the magnitudes of deviations awayfrom zero that we observed are comparable to the previousresults,although the profilesof ILD as a
function of sound source elevation differ in detail. The latter

Measurements of the directionalityof soundlevelsin the ear canalprovidesome insights into the acoustical cues
that are available for sound localization. The current results

differences are to be expected, sinceprominentdifferences do not bear on the issueof temporalcuesfor localization, whichcertainlyare importantat frequencies below 1.5kHz between subjectswere encounteredboth in the study by (i.e., Rayleigh, 1907; Mills, 1958) and, in the form of interSearleet al. and in the current study. The standarddevia105 J. Acoust.Soc.Am.,Vol. 86, No. 1, July 1989 Middlebrooks eta/.' Ear directionality 105

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aural envelopecues,might also contributespatialinformation at high frequencies (Henning, 1974;McFaddenand Pasanen, 1976; Nuetzel and Hafter, 1976). However, we are

citedabove,subjects wererequiredto constrain their reports of apparentsoundlocations to the horizontalor the vertical midlineplane.However,our acoustical data predictthat the spectralpeak mimickedby a narrow-bandstimuluswould andthear'sdirectionality. In presenting ourdirectionality signalboth azimuth and elevationcomponents of a source data, we effectivelyeliminated the influence of the source location. Indeed, our preliminary behavioral observations spectrumand the canal resonances by normalizingsound indicatethat the apparentlocationof a narrow-band stimulevelswith respect to the maximumlevelat eachfrequency. lus can deviate from its actual location in both azimuth and The questionremainswhether the nervoussystem, in interelevation. Thus acoustical and behavioral results suggest pretingthe sound levels at the tympanicmembrane, isableto that characteristics of spectralshapeprovidecuesboth for makevalid estimates of the source spectrum andto compen- azimuth and for elevationand that, within any narrow band satefor ear canalresonance in orderto gainaccess to spatial of frequency, thesecuesare not mutually independent. informationavailable from characteristics of spectral shape. The contributionof spectralshapecuesto localization A bodyof behavioralevidence suggests that humansubhas been emphasized in studies ofvertical localization in the jects do utilize spectralshapeinformationin localizinga midlineplane (Gardner, 1973;Hebrank and Wright, 1974; Butler and Belendiuk, 1977). Behavioral studieshave shown soundsource.For example,spectralcuesto soundlocation have beeninvoked to accountfor the accuracyof localizathat stimuli can be localized accuratelyin the vertical midtion by monaurallisteners (Harris and Sergeant, 1971;Butline only if they contain frequencies above about 6 kHz ler and Flannery, 1980;Musicant and Butler, 1984;Oldfield (Roffler and Butler, 1968). Consistent with this finding,our acoustical data show that sound levels below about 8 kHz are andParker, 1986). Moreover,distortions of the shape of the external ear, which modify its transfer function, result in relatively constantwith changingelevationalong the vertisubstantial deterioration in sound localization accuracy cal midline, whereas isolevel contours for higherfrequencies tend to cross the vertical midline. Moreover, we would ex(Gardner and Gardner, 1973; Oldfield and Parker, 1984; Humanski and Butler, 1988). Several studies have shown pectthat verticallocalizationof sounds below8 kHz would that alterations of the amplitudespectra of broadband stimbe poor evenfor locations off the midline, giventhe roughly uli, suchasthe insertion of bandpass or bandstop filters,can verticalorientationofisolevelcontours at lowerfrequencies. resultin characteristic errorsin localizationby normal binInteraural level differences(ILDs) traditionally have aurallisteners (e.g., Blauert, 1969/70; Hebrankand Wright, beenregarded ascuesonly for the azimuth of a soundsource. Indeed, our measurements indicate that ILDs increase 1974; Butler and Helwig, 1983). This suggests that, in the absence of a priori knowledgeof the sourcespectrum,a lisroughlymonotonically with increasing azimuthand, at fretener assumes that the sourcespectrumof a natural sound quencies below 8 kHz, ILDs are roughly constantwith will be relatively flat. Studiesof localizationof narrow-band changing elevation.However,at frequencies of about8 kHz sounds are mostreadilycomparable to our measurements of and higher, we also seeconsiderable variation in ILD as a directionalitywithin single-frequency components. Blauert function of elevation.This indicatesthat ILDs in high fre(1969/70) presentednarrow-band soundsin the vertical quencies couldalsoprovidecuesto soundsource elevation. midlineplaneand askedsubjects to reportwhetherthe apMoreover, the departureof iso-ILD contours from vertical parent sound sourcewas in front, above, or behind. The reat high frequencies indicates that the ILD cueswithin any ported locationwas influencedmore stronglyby the center narrowbandof frequencies will tend to confound the elevafrequencyof the stimulusthan by the actual locationof the tion of a soundsourcewith its azimuth. Thus, like spectral source.The reportedlocationfor a givenfrequencytended cues,ILDs at high frequencies cannot be regardedas cues to correspondto the location from which a sound of that specific for azimuth or specific for elevation. frequency produced its greatest levelin the ear canal.Butler Our measurements of ILDs producedby soundsources and colleagues havereportedsimilarobservations for stimuon the vertical midline confirmthe earlier reportsby Searle li presentedon the vertical midline (Butler and Helwig, et al. (1975). There is some controversy among previous behavioral studies as to whether ILDs contribute substan1983) or in the horizontalplane (Butler andFlannery, 1980; Musicant and Butler, 1984). Butler refers to a band of fretially to the perceivedelevationof a midline soundsource quencythat is presentat its greatestlevel when presented (Searle et al., 1975; Morimoto and Nomachi, 1982). The from a particularsource locationasa "covertpeak."A poscurrentresults contribute no insightinto the salience of midline ILD cues relative to other cues for elevation. However, sibleexplanationof the narrow-bandlocalizationresultsis that the nervous system interprets the spectrum of a narrowwe can say that the ILDs that we observed would be of a band soundsourceas a broadbandspectrumcontaininga magnitudethat shouldbe readily detectable by a listener (Mills, 1960). covertpeakand associates that stimuluswith a locationfrom

able to evaluatethe spatialinformationthat would be available from characteristics of spectralshapeand interaural leveldifferences (ILDs). The amplitudespectrum produced at the tympanicmembrane by a broadband soundsource in a free field containsthe amplitude spectrumof the sound source shaped by the longitudinalresonance of the ear canal

We find that at any given frequencythere are one or sometimes two areasof spacefrom which a soundsource produces a maximumsoundpressure in the ear canal.The locations of theseareasvary with frequency in both azimuth
and elevation. In the studies of narrow-band localization

whicha broadband source wouldproduce a corresponding

covert peak.
106 J. Acoust.Soc. Am.,Vol. 86, No. 1, July 1989

Comparisons of ear canaldirectionality between subjectsindicate thatthepatterns of directionality areremarkMiddlebrooks eta/.: Ear directionality 106

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ably similar amongsubjects, especially when scaledin frequencyaccordingto the physicalsize of the subject.The variation in directionality among subjects,however, suggests that subjects who differin physical sizewould perform differently in tests of localization of narrow-band signals. For example,the directionalityplotsin Fig. 9 predict that, when presentedwith a narrow-bandnoise centeredon 8 kHz, subject2 would localize the source to the side and down, whereassubject5 would localize the samesourceto the sideand up. The similarities and differences amongour subjectsare consistentwith what data are available from experiments in whichsubjects attempted to "localize"prerecordedsignals(Butler and Belendiuk,1977;Morimoto and Ando, 1980). In thoseexperiments, subjects performedbest when listeningto the signalsrecordedfrom their own ear canals,althoughthey couldalsoachievesomesuccess at localizing recordingsmade from the ear canals of different subjects. The partial success in "localization" usingrecordingsfrom another'sear canalsis consistent with the general similarity in directionalityamongsubjects. Conversely,the fact that most subjects localizedbestusingrecordings from their own ears testifies to differences in directionality betweensubjects of differentphysicalsize. It is interesting to comparethe directionalsensitivity of the humanearcanalwith that measured for the cat, giventhe large body of neurophysiological data availablefor the later species. In man, the areasfrom whichsources produce maximum sound-pressure levels range in location throughout most of the frontal half of space,whereasmaximum ILDs are produced by soundsources locatedaround90azimuth. Nearly the opposite situationis seen in the cat. In the cat, the areafrom whichmaximumsound levelsare produced is relatively invariantwith frequency, whereas the sources producingmaximumILDs varyin location from 90to asfar frontal as about 20azimuth (Middlebrooks and Pettigrew, 1981;
Middlebrooks and Knudsen, 1987). Based on these differ-

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tectum of the owl," J. Neurosci. 2, 1177-1194.

Kuhn, G. F. (1987). "Physicalacoustics and measurements pertainingto directionalhearing,"in DirectionalHearing, editedby W. Yost and G. Gourevitch (Academic, New York), pp. 3-25. McFadden, D., and Pasanen,E.G. (1976). "Lateralization at high fre-

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ences in acoustic cues,one would expectthat the cat would obtain more usefulspatial information from interaural differencesthan from characteristics of monaural spectral shape.Indeed,a neuralmap of auditoryspacehasbeendescribedin the cat's superiorcolliculus(Middlebrooksand Knudsen, 1984), and a simplemodelbasedon sensitivity to ILDs canaccountfor muchof the spatialsensitivity of neurons in that structure (Middlebrooks, 1987). In contrast, the

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behavioraldata in man emphasize the relative salienceof spectralcuesthat are presentat eachear and suggest that at leastsomespatialinformation is extractedprior to or independentlyof an interaura! comparison.
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