Aalborg Universitet: Møller, Henrik

Aalborg Universitet
Fundamentals of Binaural Technology

Møller, Henrik
Published in:
Applied Acoustics
Publication date:
1992
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Accepted author manuscript, peer reviewed version
Link to publication from Aalborg University
Citation for published version (APA):

Møller, H. (1992). Fundamentals of Binaural Technology. Applied Acoustics, 36(3/4), 171-218.
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Applied Acoustics 36 (1992) 171-218
Fundamentals of Binaural Technology
Henrik Moller
Acoustics Laboratory, Aalborg University, Aalborg, Denmark
(Received 3 December 1991; revised version received 24 February 1992:

accepted 3 March 1992)
A BS TRA C T
This article reviews the fundamental ideas of the binaural recording

technique. A model is given that describes the sound transmission from a
source in a free field, through the external ear to the eardrum. It is shown that
sound pressures recorded at any point in the ear canals--possibly even a few
millimeters outside and even with a blocked ear canal--can be used for
binaural recordings, since the), include the full spatial information given to the
ear.
The sound transmission from a headphone is also described. It is shown how
the correct total transmission in a binaural system can be guaranteed by
means of an electronic equalizing filter between the recording head and the
headphone. The advantage of an open headphone is stated. It is shown that a
certain degree of loudspeaker compatibility can be achieved, if the equalizer is
divided into a recording side and a playback side. A method for true
reproduction of binaural signals through loudspeakers is also described.
A number of topical andprospectedapplications of binaural technology are
mentioned. Some of these utilize computer synthesis of binaural signals, a
technique which is also described.
1 INTRODUCTION
The idea behind the binaural recording technique is as follows: The input to
the hearing consists o f two signals: sound pressures at each of the eardrums.
If these are recorded in the ears o f a listener and reproduced exactly as they
were, then the complete auditive experience is assumed to be reproduced,
171
Applied Acoustics 0003-682X/92/$05.00 © 1992 Elsevier Science Publishers Ltd, England.
Printed in Great Britain
172 Henrik Moiler
including timbre and spatial aspects. The term binaural recording refers to
the fact that the two inputs to the hearing are reproduced correctly.
The recording may be made with small microphones placed in the ear
canals of a human listener, but normally a copy of a human head is used. The
copy has the shape of an average human head, including nose, orbits, pinnae
and ear canals, and sometimes the head is even attached to a torso copy. Also
the acoustical impedance of the ear drum is sometimes simulated. By
accurately copying a human head it is ensured that sound waves reaching the
head, undergo the same transmission on their way to the ear canals, as if they
were reaching a real listener. A copy of the human head is called an artificial
head, a dummy head, a head shnulator or, in German, a Kunstkopf These
terms have inspired alternative terms for the binaural recording technique:
artificial head recording technique, dummy head technique and Kunst-
kopftechnik. Also the expression head-related technique is used.
The playback is normally done with headphones, since this method
ensures that sound picked up in one ear is only reproduced in that ear.
Reproduction through loudspeakers would introduce an unwanted
crosstalk, since sound from each of the loudspeakers would be heard with
both ears.
The basic idea of the binaural recording technique is not new.
Descriptions of the idea, of its applications and of details in the sound
transmission from the recording head to the listener's eardrums have
been found in the literature for more than 60 years. Examples are Refs
1-37.
Several artificial heads are commercially available from manufacturers
such as Neumann (Berlin, Germany), Head Acoustics G m b H (Aachen,
Germany), Briiel & Kj~er (Ncerum, Denmark) and Knowles Electronics
(Itasca, IL). Nevertheless, the binaural recording technique has not yet got the
widespread use that might be expected. A m o n g the reasons are the fact that
binaural signals are intended for headphone reproduction, and the
recording and broadcasting industries have not yet been prepared to make
special recordings for this purpose, except for experimental issues. Another
obstacle to use in broadcasting is lack of mono compatibility.
Investigations have shown, though, that proper equalization of the
microphone output may guarantee preservation of timbre, even when
signals are reproduced through an ordinary loudspeaker stereo set-
up. There is some disagreement about the exact way of doing this, the
main concepts being free-fieM equalization and diffuse-field equaliza-
liOn. 18'23"25"27'28"31"33"38-45'83 Of course, the spatial reproduction of the
binaural technique is not obtained, but it is claimed that the quality is
comparable to that of traditional intensity stereo recordings with respect to
timbre and spatial characteristics. 42-'.3
Fundamentals of binaural technology 173
The most important impediment for success of the binaural technique,

however, is presumably problems with frontal localization. Sound sources
that were originally in the frontal hemisphere are often perceived as being
behind the listener, or they appear closer to the listener than they were
during the recording. Sometimes localization in the head occurs. One
explanation of these observations is that human heads and pinnae have
individual differences, and only recording with a listener's own pinna may
guarantee proper frontal localization. 46-48
Another explanation is the following: humans can use small head
movements to distinguish between front and back. A right turn of the head
will cause sound from frontal sources to arrive earlier to the left ear and later
to the right ear. The opposite happens for sound sources behind. A binaural
recording does not react on head movements, and this may explain the
problems with front/back confusions. 49 However, experiments have shown
that for broadband sound sources, humans are able to distinguish between
front and back, even when their head is kept still. 5° - s, Consequently, lack of
proper response to head movements cannot solely explain the problems.
Even encumbered with the above-mentioned problems, the binaural
technique is superior to other recording techniques. Properly used it gives a
very realistic impression of being present during the recording, and people
are often surprised with the authenticity.
A more widespread acceptance of headphones as means for
reproduction--somewhat promoted by the concept of the Walkman and
other kinds of personal stereo--is now contributing to a revival of the
technique. Possibilities also exist for total restoration ofthe binaural signals,
when reproduced through loudspeakers. 52-63
Conducive to a revival of the technique are also new technological
possibilities for computer synthesis of binaural signals. This research is often
connected to projects on artificial environments. 45'61'64- 68
Hopefully, the new interest will inspire research that also helps to
overcome the problems with frontal localization.
The main purpose of the present article is to give an overview of the
methods that can be used for recording and playback of binaural signals. A
new model for sound transmission to the eardrum is introduced, together
with the associated notation. The model has already proven useful during
work in our laboratory, 35-37"69 and it is the author's hope that others may
also gain advantage from it.
In the above description of the binaural technique, it has been assumed
that the recording is made at the position of the eardrum for the artificial
head. Sound pressures recorded at other points in the external ear can also
be regarded as inputs to the hearing, provided that there is an unambiguous
transmission from this pressure to the pressure at the eardrum. In practice
174 Henrik Moiler
this means that the sound transmission from that other point to the eardrum
must be independent of the direction and the distance to the sound source.
Any set of left and right channel signals, recorded at points that fulfil this
requirement, are called binaural signals. The sound transmission from a
source in a free field, through the external ear to the eardrum, is described in
a model given in Section 2.
The model involves a somewhat untraditional application of
transmission-line theory, that makes the calculations simpler. An example
illustrating this is given in Appendix A.
In the binaural technique, the importance of a properly equalized
headphone is often overlooked. Much effort is spent on design of artificial
recording heads, and then any headphone is used for listening. This is
remarkable, since it is quite evident that the headphone, as well as the head
used for the recording, contributes to the total sound transmission. The
correct reproduction of the recorded sound pressure can only be guaranteed
when certain characteristics of the headphone are known. Therefore, a
model describing the sound transmission from this device to the eardrum is
also developed. This model is given in Section 3.
Section 4 gives a description of the binaural technique based upon the
models from Sections 2 and 3. Three possible recordings points are selected:
(a) at the eardrum, (b) at the entrance to the ear canal and (c) at the entrance
to the ear canal, but with the ear canal physically blocked. For each of these
points it is shown how the correct reproduction can be obtained by the
introduction of an electrical equalizing circuit. Section 4 concludes
mentioning recording at other points in the ear canal, using miniature
microphones. Such microphones are often used, since they are produced
small enough to be inserted in the ear canal.
In the description it is assumed that the artificial head used during
recording, and for calibration of the headphone, is a perfect copy of the
listener present during the reproduction. Alternatively, the listener himself
may be used instead of the artificial head.
Techniques that make binaural signals suitable for loudspeaker
reproduction are covered in Sections 5 and 6. Section 5 covers equalizing
methods that give the same tonal balance in loudspeakers, as if the recording
were made with traditional microphones. However, the precise reproduction
of the eardrum signals is not preserved, and the spatial reproduction is not
superior to that of traditional stereo. Section 6 covers a more sophisticated
method for loudspeaker reproduction that gives complete restoration of the
two eardrum signals. Thus the outstanding spatial reproduction of the
binaural technique is preserved. The method works only in anechoic
surroundings, and the position of the head must be rather precise.
Until this point, the binaural signals are assumed to originate in a
recording of an acoustical event that has taken place in real life. It is also
possible to synthesize the signals on a computer. The possibility of
computational creation of binaural signals is described in Section 7. Section
8 is a brief mention of some possible applications of binaural technology.
2 L I S T E N I N G IN A F R E E F I E L D
The listener in Fig. 1 is in a concert hall. He prefers the live concert to his
stereo set at h o m e - - n o t only because of the atmosphere associated with live
concerts, but also because the live concert gives him a true three-dimensional
auditive experience. He can hear the direct sound from each of the
instruments and the reflections coming from the sides and above, and thus
create an 'image' of the orchestra, the concert hall and its acoustics. If it is a
well-designed hall, the reflections contribute positively to the musical
experience, and they help in localizing the instruments.
A precondition for the creation of an 'auditive image' of the orchestra and
the room, is the ability of the human hearing to determine direction and dis-
tance to single sound sources. In the case of the concert hall, each instrument is
a sound source that sends a direct sound to the listener. The instruments also
send sound waves in other directions, waves that give rise to reflections. The
reflections can be regarded as sound coming from additional and imaginary
Fig. !. A listener in the concert hall.

176 Henrik Moiler
sound sources of which the direction and distance can be determined, for
example from a mirror image model. If these sound sources were playing one
at a time, the listener would--at least to some extent--be able to determine
direction and distance to the 'source'. When the direct sound and the
reflections are present all together, the listener gets the total spatial
experience.
It is traditionally said that the hearing uses a number of cues in the
determination of direction and distance to a sound source. Among the cues
are
(1) coloration
(2) interaural time differences
(3) interaural phase differences
(4) interaural level differences
These cues are claimed to be responsible for the directional hearing in each
of their 'domain'. For instance, in the horizontal plane low frequencies are
said to be assessed by interaural phase differences, medium frequencies by
interaural time differences and high frequencies by interaural level
differences. Coloration is claimed to be responsible where no interaural
differences exist, that is in the median plane. A thorough discussion ofcues to
directional hearing is given by BlauertJ 3'32
This way of splitting up the cues for the directional hearing is only justified
on the basis of experiments with presentation of sophisticated artificial
signals. A natural sound coming from a given direction will--on its way to
the two ears--be exposed to two unique filterings, of which the spectral and
time attributes cannot be separated. The fundamental idea in the present
description will therefore be more general, namely:
A sound wave coming from a given direction and distance, results in two
sound pressures, one at each eardrum. The transmissions are described in
terms of two transfer functions that include any linear distortion, such as
coloration and interaural time and spectral differences. The task o f a
binaural recording and playback system is to present the correct inputs to
the hearing, that is to reproduce the eardrum signals correctly. In this
connection, it is not important how the hearing extracts information from
the eardrum signals about distance and direction.
Knowledge about the way in which the hearing extracts the distance and
directional information may prove useful at the time, when the needed
accuracy of the transmission is to be assessed. Or expressed in another way:
if the eardrum signals cannot be reproduced 100% correctly, this knowledge
may tell which aspects of the eardrum signals are most important to
reproduce correctly.
/
Fig. 2. Sound source and listener in a free field. Conventions for the variables indicating
distance and direction are shown.
2.1 Transmission in a free field
A terminology will be introduced that describes the situation, when a sound

wave hits a human.
In Fig. 2, a sound source radiates a sound wave in a free field. Somewhere
the wave hits a listener. The distance from the listener to the source is
denoted by r, and the angle o f incidence is characterized by the azimuth ~b
and the elevation 0. (4 = 0°, 0 = 0 °) is the direction right in front of the
listener. Positive values o f th are defined to characterize directions to the left
of the listener, while positive values o f 0 indicate directions above the
horizontal plane. The whole sphere is covered for -n<ck<n and
- rt/2 _< 0 _< n/2.
The notation which will be used is illustrated for one side in Fig. 3. Part (a)
shows an anatomical sketch and part (b) is an analogue model. The sound
pressure created at the input to the ear canal is denoted by P3. In a certain
frequency range, the canal acts as an acoustical transmission line, and the
resulting pressure at the e a r d r u m is denoted by P4.
'~ itronsmluion ' lineI Zradlotion

transmlnion
line
P2 Zeardrum
_",~ "/I Zrodloflon

Zeor canal Zlmrcanol
(a) (b)
Fig. 3. Sound transmission through the external ear: (a) sketch of the anatomy and (b) an
analogue model.
178 Henrik Meller
Throughout the present article, time-varying signals are denoted by small

letters, and for simplicity the variation with time t is not explicitly indicated.
Thus P3 is short for p3(1). The same signals can be given in the frequency
domain, where capital letters are used. The frequency domain representation
of P3 is Pa, which is short for Pa(f), where f is the frequency.
The transmission line analogy is valid for frequencies where the
wavelength 2 is much larger than the diameter of the ear canal. If an ear-
canal diameter of 8 mm is inserted, then
2>>8x10-am (1)
340 m/s = 42"5 kHz (2)

f<<8 x 1 0 - 3 m
Normally, an upper limit is used where the diameter is a quarter of a
wavelength. This means that the model is supposed to be adequate up to
about 10kHz.
It may be assumed that the diameter of the ear canal is the same at all
points from the entrance to the eardrum. In that case, the characteristics of the
transmission line are constant. However, this assumption is not necessary
for the following description, since a transmission line with properties
varying with position is also acceptable.
Now, if Thevenin's theorem is used at the entrance to the ear canal, the
source can be split into two parts: the 'open circuit' pressure P2, and the
radiation impedance Zr.~ai.,o,. The open-circuit pressure is the pressure that
would exist at the position of p3, when no volume velocity ('current') runs
through Zradiation. Zero volume velocity can only be guaranteed if the ear
canal is physically blocked.
Therefore, P2 does not exist physically in the listening situation. For
measurement purposes, it can be found as the sound pressure at the entrance
to the ear canal, when the ear canal is blocked, for instance with an ear plug.
Naturally, P3 and P4 do not exist at this time then.
It is possible to findp3 from a pressure division of p2 between the radiation
impedance and the impedance of the ear canal, Ze.-r¢...4. Thus
Zearcanal
[P3/P2] = (3)
Zearcanal + Zradiation
2.2 Definitions of transfer functions
The model is going to lead to a description in terms of transmission

characteristics from a point source to the various pressures indicated. If the
sound source is a loudspeaker, the voltage at the loudspeaker terminals,
Fundamentals of binaural technology ! 79
eloudspeaker, can be used as the 'origin'. This is practical in a measurement

situation, but for characterization of the sound transmission from a given
direction and distance it is unsuitable, since it also includes the radiation
characteristics of the loudspeaker.
The reference traditionally chosen--and also in this article--is the sound
pressure Pl at a position right in the middle of the head, but with the listener
absent. This choice causes some complications in the instrumentation, since
pl is not present at the same time as the other sound pressures, but it makes
the results more general and easier to compare. How this problem is
overcome in measurements is described in Section 2.5.
If we turn to the frequency domain, transfer functions can be introduced.
(Of course, we might stay in the time domain and use impulse responses, but
this would involve convolutions rather than multiplications, and the
notation would be a lot more complicated.) The following transfer functions
are important:
sound pressure at the eardrum
[ P4/P~] = sound pressure in the middle of the head with the listener absent
(4)
sound pressure at the entrance to the open ear canal
[Pa/PI] =
sound pressure in the middle of the head with the listener absent
(5)
sound pressure at the entrance to the blocked ear canal
[ P2/PI] =
sound pressure in the middle of the head with the listener absent
(6)
These transfer functions are dependent upon angle of incidence (~ and 0)
and distance to the sound source (r). If r is reasonably large (probably two
meters or more), then the incident wave turns into a nearly plane wave, and
the above transfer functions become almost independent of r. In the
following sections, r may be omitted, if it is assumed that r>_2m,
approximately.
Definitions corresponding to eqns (4), (5) and (6) were given for the first
time by Blauert, 1a and he introduced the name free-field transfer function
(FFTF). Other names seen in the literature are outer ear transfer.function,
external ear transfer Junction, pinna response, ear-canal transfer function,
directional transfer function (DTF), head-related transfer function (HRTF or
HTF), head transfer function (HTF), pressure transformation from the free
.field to the eardrum and free-field-to-eardrum transfer function. The last two
refer explicitly to [PJPI] (eqn (4)).
Unfortunately, some of the terms refer to less precise definitions than the
ones given above. In any case, it is extremely important to know which of the
180 Henrik Moiler
three sound pressures P2, P3 or P, they refer to (or a sound pressure at

another position).
In this article, the term head-related transfer function (HTF) will be used
for any of the three transfer functions in eqns (4), (5) and (6). If the transfer
function is given in the time domain, the term head-related impulse response
(HIR) is used.
Two other terms are to be given: monaural transfer function and interaural
transfer function. They were also introduced by Blauert, la and are defined in
the following (where Pi refers to any of the pressures P2, P3 or P4)"
monaural transfer function = [Pi/Pt](r, dp, O) (7)

[ Pi/Pt](4) = 0 °, 0 = 0 °)
interaural transfer function = [ ei/P1]ear°pp°sites°undsource {r,~b,O)

[ Pi/el]earfacingsoundsource
= I ei, ear°ppositesounds°urce](r, ~, O) (8)
I_ ei, ear facing sound source _.1
A popular, verbal description of the monaural transfer function, is that it
tells how the transmission from a given direction 'deviates' from the
transmission from the front. The interaural transfer function describes the
difference in transmission to the ears at the two sides of the head.
In the denominator of the monaural transfer function, r is not mentioned,
since for reference, sound waves from a distant source are used.
The reference for the monaural transfer function may be chosen
differently from that ofeqn (7). A useful choice is to refer to the transmission
that would be in a diffuse sound field. A diffuse sound field is characterized by
sound arriving randomly from all directions. Therefore, the reference should
be an average of the transmission from all directions.
The way the averaging is done deserves a few comments. In principle,
averaging may be done in the time domain or in the frequency domain. A
simple averaging in the time domain makes no sense, because of the
variation in arrival time with azimuth angle. And as a diffuse sound field is
characterized by sound waves with random phase, averaging in the
frequency domain is only meaningful on a power basis. Then it is only
possible to determine the magnitude of [Pi/Pt] (average of all angles).
monaural transfer function = [Pi/Pl](r, ~p, O) (9)

referenced to diffuse field I[Pi/P1](average of all angles)l
The monaural transfer function referenced to diffuse field (eqn (9)) has the
advantage compared to the traditional monaural transfer function (eqn (7))
that it is less dependent upon the transfer function from a single direction.
Problems with possible zeros in the reference transfer function are also
overcome, since they hardly exist in the average.
The description above applies to the transmission into each ear. If
symmetry is assumed, then
[ Pi, left/Pl"l(r, qb, O) = [ Pi, right/P 1 ] (r, -- alp,O] (1 O)
It is important to understand that the transfer functions defined in this
section give a complete description of the sound transmission, including
diffraction around the head, reflections from shoulders, reflections in the ear
canal, etc. It may be a little tricky to see, for instance, that the reflections from
the eardrum are included in a simple pressure ratio as in eqn (3). The
explanation is, of course, that the impedances Ze, rcan,~ and Zradiatio n a r e
frequency-dependent variables given in amplitude and phase for a wide
frequency range. This is in contrast to traditional transmission-line
calculations, where normally steady-state conditions are assumed at a
specific frequency. If the pressure ratio in eqn (3) is inversely Fourier-
transformed, the reflections will be identifiable in the time domain. An
example of this is given in Appendix A.
At this place it is also important to note that the head-related transfer
functions include all the cues to the directional hearing mentioned in the
introduction to Section 2, being directional-dependent coloration and
interaural differences. Be also aware that some of the head-related transfer
functions are non-causal, since the sound arrives earlier to the ear than to the
middle of the head, if the ear is closer to the sound source.
2.3 Splitting up the transmission
Zr, d~,t~o. is the radiation impedance being looked out into from the entrance
to the ear canal. This impedance is independent of source location. Then the
propagation from P2 through P3 to P4 must be independent of source
location. This means that all of the sound pressures P2,P3 and P4 include the
full spatial information given to the ear. Thus, any of these sound pressures
will be suitable for binaural recording, if only the reproduction is adapted, so
that the 'final p r o d u c t ' - - s o u n d pressure at the e a r d r u m k i s correct. The
same applies to any sound pressure along the ear canal. How the adaptation
should be made is described in Section 4.
Let the transmission from a sound source to sound pressure at the
eardrum be split up in the following way:
[ e,dP,] = [_P,JP3"I " [_P3/P2] " [ P2/P,-I (11)
In addition to a possible dependence upon distance and direction to the
sound source, these transfer functions are assumed dependent u p o n the
182 Henrik Moiler
a n a t o m y of the listener involved. A list of the involved transfer functions is

given in the following, where it is indicated which variables each of them
depend u p o n ('side' means left or right ear).
[P2/Pl](Subject, side, r, ~b, 0)
[ Pa/e2](subject, side) (12)
[ P4/ea](subject, side)
The transformation from a three-dimensional sound field to two binaural
signals is described by the transfer functions [P2/P1] (one for each side). If
this transformation is very different for different humans, then each listener
must have his own recordings. This will restrict the applications of the
binaural technique very much.
Individual variations in the two remaining parts of the transmission are
one-dimensional, a n d - - i f n e e d e d - - t h e y can be c o m p e n s a t e d for by
individual adaptation during playback. A recording with as little individual
information as possible is obtained by recording outside a blocked ear canal
(P2).
2.4 Where does the one-dimensional transmission start?
When the expression 'entrance to the ear canal' is used, it is assumed that
from this point the propagation into the ear canal is one-dimensional and
thus independent of direction and distance to the sound source. Whether the
one-dimensional propagation starts immediately at the entrance, or it is
necessary-to go a few millimeters into the ear canal, is not clear. F r o m a
theoretical point of view, the axial modes will attenuate with distance from
the entrance, and most authors mention a point 0-4 m m from the ear-canal
entrance. However, only sparse experimental verification is available, when
specific deviations from a directionally independent transmission are
considered.
Mehrgardt and Mellert v° used a point 2 m m inside the ear canal, and
reported very briefly dependence upon the direction, if a point outside this
was chosen. A different result was obtained in a recent study carried out at
our laboratory. 6a
In this study, transfer functions were measured from various points in the
ear canal to the eardrum. The measurements were m a d e with probe
microphones in the ear canals of four humans. The probes had an outer
diameter of 1-5 mm, and did not disturb the sound field in the ear canal. The
sound was transmitted from three different directions in a free sound field
(left ear, ~b = 0 °, 90 ° and 180 °, 0 = 0°).
The results from a typical subject are shown in Fig. 4. It is seen that the
Fundamentals o f binaural technology 183
transmission in the two lower lines o f the figure is highly dependent upon the
direction o f sound incidence. The differences exist for frequencies above
approximately 4 kHz. The four upper graphs in Fig. 4 show no or very little
dependence on direction. This means that the one-dimensional transmission
has already started at a point located a few millimeters outside the ear canal.
This conclusion has been based on measurements covering only three
directions. Unpublished measurements at our laboratory o f the pressure
ratio [Pa/P2] at the entrance to the ear canal with five directions of sound
incidence (0 = 0 °, ~ = 0 °, 90 °, 180 °, 270 ° and 0 = 90 °) show the same absence
of directional dependence.
i i ! i i i ii i ! ! 'IYansmission
~ d.B
! ~"'"'~'"'~'"~'"T"i"~
] ~ 5 from a point:
............. ~. . . . . . . . ~'"'"~'""r ""r "" : ' " r "'~ . . . . . . . . . . . . . . . . . . . . . . ~. . . . . . . . . . . . . i ........ ~'"'"~'"" L..~...~...
0 ~ ~ a) 12 man inside
iiii
iiiiiii:iiii/iiiiiiiiiii:/
...........
iiiiiiiii!iiiiiii /:
i. i ! E ; ~i ~ i i i ~
............. ! ......... "......i.....~.....L..!...'..! . . . .

the ear canal
i ! ~ ~ i i ii i ............! ...... !,"!"~"r~'".."
; ~ ! i~
to the eardrum
........... i.........i----..!.....i-....i.-i..4..i.................... : ..~....i...~

0 i i i i i i i ~. ~ " - ~ ~ - ' 1 c) at the entrance
! ! "V'"~"'~'"~'-'~ . . . . ~... ofthe ear canal
..........i.........;......,;...-+-..~--.~....;..~....................................~........--:.-....~....-;....;.-.~...;. to the eardrum
0 ............
!i ii.........ii..--..i.--..i
i..i •~i- i-..i-.4
!!! ..................
: : , : " i ,
.~-....i.-4.. d) outside(in
6 mm
line of)
the ear canal
to the eardrum
0 e) at "caudal
cavum conchae"
to the eardrum
cavum conchae "

to the eardrum
200 1 000 I0 000

Frequency (Hz)
Fig. 4. M a g n i t u d e of transfer function f r o m different points in the car canal to the e a r d r u m
o n a typical subject.Each line shows measurements with s o u n d f r o m three directions.
184 Henrik Moiler
Observations similar to the above were reported by Middlebrooks et al.

from an investigation including 356 source directions. 71 They found
directional dependence in the transmission from the cavum concha to the
ear canal and from a point 1 0 m m lateral o f tragus (entirely free o f the
external ear) to the ear canal. Within the ear canal, including the point o f
entrance, the transmission was not dependent on direction. Middlebrooks et
al. did not include a point similar to the point in Fig. 4, line (d). 71
The consequence o f this is that the physical location o f a point, where full
directional information is present, may be chosen anywhere from the
eardrum to the entrance o f the ear canal. Possibly, even points a few
millimeters outside the ear canal and in line with it may be used.
i i i i iili i i i iili
o ".............i i i T i T i i 5 ~ - ............i ~ ~ - - " ~ : : . . t
P2 1 person
P1 3 directions
.............!'""'"'t'"'"t'"'!""~"" ..'"~"~'
! i i i
............. i T r r " . . . r r - ~! . . .! . .! .
! ! ! !
P3 1 person
o
P2 3 directions
i ! i i!ill i i !!ii
............. ~'"'""~'"'"~'"".-'"'~'"..'"r'7 : : : : : :
i i i i i iii i ! i i i i
P4 1 person
P3 3 directions
i i i i ilii i i i i~i
: : : : : : :: : : : : : :
............. !...,.... ~....,.~.....~....?...~,.~.?,
~ : i i ii:, i t i i i z¢
200 1.000 10.000
Frequency (Hz)
Fig. 5. Magnitude of transfer functions for one subject, one ear. Each line shows
measurements from three different directions.
2.5 Measurement of head-related transfer functions
None of the head-related transfer functions can be measured directly, since

the two sound pressures involved do not exist physically at the same time.
However, it is possible to introduce [Pl/Eloudspeaker], this being the
loudspeaker frequency response measured in a position in the middle of the
head, but with the listener absent. Then the head-related transfer functions
can be found as transfer functions from voltage at the loudspeaker terminals
to the appropriate sound pressure, denoted bypl, divided by the loudspeaker
response.
[ PffPl] = [PffEio.d~k~] (13)
[ P l/ Eloudspeaker]
Because of their physical size, normal microphones cannot be used for
measurement of the involved sound pressures, except for Pt. Miniature
microphones or probe microphones are needed. This implies some practical
problems. Miniature microphones often have a low sensitivity and may be
difficult to calibrate. Also, probe microphones may have low sensitivity, and
as an additional disadvantage, they often have a non-flat frequency
response because of standing waves in the probe tube.
At high frequencies (above approximately 10kHz) it may also be a
problem that probe and miniature microphones measure the sound pressure
at one specific point. It would probably be better to measure the sound
pressure integrated over a cross-section of the ear canal--just like the
hearing does itself at the eardrum.
Examples of measurements of the sound transmission to the human ear
canal, are given in Fig. 5 (measured in our laboratory, experiments further
reported by Hammersh~i et aL)35
3 LISTENING WITH H E A D P H O N E S
Binaural signals are normally reproduced with headphones. This guarantees

that each channel is sent to only one ear. It also makes the reproduction free
from reflections from the listening room. If loudspeakers were used,
crosstalk and reflections from the listening room would disturb the
reproduction. This section gives the theory needed to describe the playback
of binaural recordings through headphones.
3.1 Transfer functions for a headphone
The reproduction through a headphone is illustrated in Fig. 6. The

transmission from voltage at the headphone terminals, eheadphonc, c a n be
186 HenrikMoiler
+
~ronsmissJon line
4.
• ham~hono
Zheadphone
transmission
,~
~ ~ z.. z~ r u m
Zlmr conol Zeor conol

(a) (b)
Fig. 6. Sound transmission through the external ear, when the source is a headphone:
(a) sketch of the anatomy and (b) an analogue model.
described with some analogy to the description in Section 2 of the

transmission from the free field. Here, P7 denotes the pressure at the
eardrum, P6 the pressure at the entrance to the ear canal and P5 the 'open
circuit' pressure at the e n t r a n c e . Zheadphon e is the impedance being looked out
into from the entrance, including a possible volume enclosed by the
headphone, and the mechanical and electrical side of the headphone,
transferred to the acoustical side.
The following headphonetransferfunctions are important:
sound pressure at the eardrum

(14)
[ P7/Eheadph°ne] = voltage at the headphone terminals
so und pressure at the entrance to the open ear canal (15)

sound pressure at the entrance to the blocked ear canal

(16)
Just like in the free field, a set of transfer functions exists for either side. If
symmetry is assumed, then
[Pi, left/Eheadphone"] • [Pi, righJEheadphone-I (17)

where i refers to 5, 6 or 7.
Fundamentals of binaural technology ! 87
3.2 Splitting up the transmission
As for the free-field transmission, the transmission can be split up:

EPT/Eheadphone] = EeT/P6]'EP6/es]'EPs/Eheadphone] (18)
The expected dependencies are:
[ Ps/Eh~dphoj(headphone, subject, side) (19)
[ P6/Ps](headphone, subject, side) (20)
[ PT/P6](subject, side) (21)
3.3 Measurement of headphone transfer functions
The headphone transfer functions can be measured directly. The input is

the voltage at the headphone terminals, and the response is the sound
pressure at some point in the external ear.
Like in the free field, miniature or probe microphones must be used in
order not to disturb the sound field in the confined space in the ear. None of
the transfer functions include any directional or distance dependence, but of
course they refer to a well-defined position of the headphone relative to the
ear.
3.4 Similarities in free-field and headphone listening
Although two different descriptions have been given, part of the

transmission is the same in the two cases.
The transmission from P3 t o P4 depends entirely upon the ear canal and
the termination of it, Zeardr,,m"These components are exactly the same for the
transmission from P6 to PT- Therefore,
EPv/P6] = [ P,/P3] (22)
The transmissions from P2 to P3 and from Ps to P6 consist of pressure
divisions. An expression for [P3/P2] was given in eqn (3), and [P6/Ps] can
be expressed as
[P6/Ps] = Zearcanal (23)
Zearcanal "F Zheadphone
In some of the following sections, the expression ([Pa/P2]/[P6/Ps]) will
appear. If the eqns (3) and (23) are combined, then
[ P3/P2"] - Zearcanal+ Zheadph°ne (24)

[P6/Ps] Zearcanal"[- Zradiatio n
188 Henrik Moiler
Simplifications can be made if the impedances Zradiatio n and Zheadphon e a r e

equal, or if they are both small compared to Ze~r ¢~n.~.A measurement of the
pressure ratio [Pa/P2] (eqn (3)), is seen in Fig. 5. From the figure, it is seen
that there is a considerable loading OfZradiatio n a t some frequencies, and it is
concluded that Zradiatio n is not in general small compared to Ze~rc~,~.
Consequently, simplifications require that
Zheadphon e ~, Zradiatio n (25)
At frequencies below 1 kHz, there is no loading of Zradiation, SO Zradiation <<
Z ~ , u ~ , and the requirement reduces to
Zheadphone << Zearcanal (26)
Headphones that fulfil these requirements to the acoustical impedance are
called open. The term open can be explained like this: a headphone that does
not disturb the radiation impedance as seen from the ear could be a relatively
small unit positioned some distance from the ear. Such a unit would seem
rather 'open'. Be aware that this definition may differ from the commercial
use of the expression open headphone, where it probably only means that
sounds from outside can be heard when wearing the headphone.
For an open headphone, eqn (24) becomes unity, and
[ Pa/P:] ~ [ P6/Ps] (27)
Moiler et aL 36 examined a number of headphones with respect to the
criteria of being open.
4 BINAURAL TECHNIQUE
This section deals with different approaches to binaural technique. All

methods include recording somewhere in the ear canals of a recording head,
transmission through a filter, G, and playback through headphones. This is
illustrated in Fig. 7.
Fig. 7. Transmission in a binaural system.

The recording head may be artificial or human, although it is assumed

that it has the same acoustical properties as the listener's head. Recording
will be considered at three different recording points, where the sound
pressure contains full spatial information. This gives three different
methods:
(a) recording at the eardrum;
(b) recording at the entrance to the open ear canal;
(c) recording at the entrance to the blocked ear canal.
4.1 Method A: recording at the eardrum
The basic binaural technique includes recording of the pressure at the

position of the eardrum and playback through a headphone. If the
microphone has a transfer function MI (including sensitivity as well as
frequency response), and the electrical transfer function from the
microphone to the headphone is GA, then the total transfer function from
the sound field, Pl, to sound pressure at the eardrum, pT, is
[ e,dP~]" M~" GA" [ eT/Ehe.dr,ho,,e] (28)
It is the goal that this should be:
[PJP~] (29)
(here, of course, the time delay from the recording event to the moment of
reproduction is ignored). If expressions (28) and (29) are made equal, then
[PJPI] 1
GA = [ P J P I ] "M1 "[ P7/Eheadphone] = Ml " [ P7/Eheadphone] (30)
Conclusion. The correct transfer function is obtained when the electronic
circuit compensates for (1) the microphone sensitivity and (2) the headphone
transfer function from the terminals to the sound pressure at the eardrum.
4.2 Method B: recording at the entrance to the open ear canal
As argued for in Section 2, the sound pressure at the entrance to the open ear
canal includes full spatial information, it is therefore appropriate also to
have a look at the situation of when this sound pressure is recorded.
The electrical gain is called Ga, and the total transfer function from the
sound field to the eardrum is
[ ea/el] "MI "GB" [ ev/Eheadphone] (31)
while it should still be
[P,/Pl] (32)
190 Henrik Moiler
This goal is reached, if expressions (31) and (32) are m a d e equal, which gives
[P,,/PI]
Ga = [ p3/p1 ] . MI . [ P7/Eheadphone ]
[PJP3] 1
(33)
[ Pv/P6] M 1 • [ P6/Eheadphone]
The first term here is unity, since the transmission from pressure at the
entrance to the open ear canal to the eardrum is the same, whatever the
source (see eqn (22)). Then
1
GB = (34)
M 1 • [ e6/Eheadphone]
circuit compensates for (1) the microphone sensitivity and (2) the h e a d p h o n e
transfer function from the terminals to the sound pressure at the entrance to
the open ear canal.
4.3 Method C: recording at the entrance to the blocked ear canal
The sound pressure at the entrance to the blocked ear canal also contains the
complete spatial information.
The electrical gain is here called G o and the total transfer from the free
sound field to the sound pressure at the eardrum is:
[ P2/PI] . MI "Gc" [ PT/Ehe.~dpho,e] (35)
Again it should be
[P4/P1] (36)
This is fulfilled if expressions (35) and (36) are equal, which gives
[PJP,]
Gc =
[ P2/P1] "M1 " [ Pv/Ehe.~dphoJ
_ [Pa/P3] [P3/P2] 1
(37)
[ PT/P6] [ P6/P5] M l " [ e5/Eheadphone]
As above, the first term is unity, and the second can be exchanged with
expression (24), so
Gc = [ P3/P2] 1
[ P6/P~] M l " [ Ps/Eheadphone]
Zearcanal -'1- Zheadphone 1
(38)
Zearcanal + Zradiation M l "[Ps/Eh,.~aphoJ
Fundamentals of binaural technology 19 i
Sometimes it is not possible or practical to measure the first term.

Fortunately, according to eqn (27) this term is unity, if the headphone is
ideally open as defined in eqns (25) and (26). If G~ is used to denote an
approximate value for Gc--applicable when an open headphone is used--
then
1
Gc ~ G~ = (39)
M l " [ e J Eheadphone]
circuit compensates for (1) the microphone sensitivity, (2) the headphone
transfer function from the terminals to the sound pressure at the entrance to
the blocked ear canal and (3) the transmission difference caused by different
acoustic source impedances in the two listening situations. When an ideally
open headphone is used, compensation for (3) is not needed.
4.4 Comparison of the three methods
In the previous sections, it has been shown that all three methods can be
adapted to give the correct transmission from the recorded sound field to the
listener's eardrum, simply by choosing the proper equalization. This is not
surprising, since the only difference between the methods is the one-
dimensional transmission from open circuit pressure at the input of the ear
canal to pressure at the eardrum.
All methods require recording at a point in the ear canal and
determination of the headphone transfer function to the same point in the
ear canal. The point is sometimes called the reference point. Determination
of the headphone transfer function is called calibration of the headphone.
The third method requires an extra correction to the equalization. This
correction, though, disappears when an ideally open headphone is used.
If a human subject is used for recording and headphone calibration, the
first method with recording at the eardrum might be considered
inconvenient because of the practical problems involved in recording the
sound here. In Method C the ear canal is blocked, and this method has the
disadvantage that the listener is not able to hear the sound during recording.
For recording with an artificial head, Method C is attractive, since the
head needs no ear canals. The method is particularly simple, if on ideally
open headphone is used for reproduction.
It is not clear which method will give the best results, when differences
occur between the recording head, the head used for headphone calibration
and the head of the listener. Method C may seem immediately attractive,
since the recorded signals contain as little individual information as possible.
Only the transfer to P2 is included, and less will not do.
192 Henrik Mailer
4.5 Significance of the microphone used for headphone calibration
All expressions for G include the transfer function of the microphone M 1.

Therefore, a calibration of this would be necessary. In the following,
however, it is shown, how this calibration can be avoided in certain cases.
The calibration of the headphone has until now been described as a
measurement of the transfer function from voltage at the headphone
terminals, eheadphone,to sound pressure somewhere in the ear canal, Ps, P6 or
P7. When this is done, it involves a microphone for measurement of the
sound pressure. Let the transfer function (sensitivity and frequency
response) of this microphone be M 2, its output emicrophone, and the sound
pressure be generally called Pi. GA, Ga and Gc are in general called G. The
expressions from eqns (30), (34) and (39) (also (38), if the impedance term is
omitted) will have the form:
G m
M1 • [ Pi/Eheadphone]
1
M1 " [ ( gmicrophone/ M 2 )/ gheadphone]
= M__k. Ehe.~dpho.e (40)
ml Emicrophone
It is seen that the electrical gain, G, must equalize the transfer function
measured from headphone voltage to output voltage of the microphone, as
well as the ratio between the two microphones used for calibration and for
recording.
Now, the smart reader will probably suggest that the same microphone be
used for recording and calibration, so M1 = M2. In that case eqn (40)
becomes
G = Eheadph°ne (41)
Emicrophone
and the need for calibration of the microphones is avoided.
4.6 Other recording methods
Until now, it has been assumed that the recording could be made without
disturbing the sound field with the microphone. It may be possible with an
artificial head, where a microphone can be built into the head, but this
possibility does not exist with a real head. For measurement purposes, probe
microphones with very thin probe diameter will do the job, but their internal
noise is too high for making recordings.
Very often, miniature microphones are used, a typical one having

dimensions of 2 m m x 3 m m x 4 mm. If method C is used, microphones of
this size can be used without disturbance, since they can be inserted in an
earplug that blocks the ear canal.
If a miniature microphone is inserted in the open ear canal (Methods A
and B), it will disturb the sound field. What this disturbance means for the
final transfer function will be calculated in the following.
It is assumed that the microphone is inserted in the open ear canal, and
that it measures the pressure at a point called x, somewhere between the P3
and P4 points. The calculations will take into account a possible disturbance
of the sound transmission at both sides of the measuring point of the
microphone.
The transfer function from free field to output of the microphone is
[PJP,]*.Mt (42)
where the asterisk indicates a value with the microphone inserted. If

calibration of the headphone is done with the same microphone at the same
position as described in Section 4.5, then
G= 1 (43)
g , . [ P=/E.~.dpho..-]*
The total transfer function to the eardrum will be
1 [ Px/Pl]* "[ PT/Ehe~dphone]
[P=/Pl]*" g l Ml . [Px/Eheadphone] , [P7/Eheadphone'] = EPx/Ehcad~ho J
(44)
This should have been
[ e,/Pl] (45)
The error is found by dividing eqn (44) by (45).
error =
[P./e,]* • [eT/e,o..,d,,ond
[ e 4/ e l ] " [ e x/ Eheadphone]*
[P.IP33*'EP31P23*'EP2/P, 3"" [eT/e63- [e6/l'd" [Pd ,o. o,on.3
= [ P . / P , a ' E e d P d ' E e = / P , ] " [J'JP6]*" Eerie,I*" [ede o.d ,ono]*
(46)
[P2/PI] and [PJE, e,dphoJ are the same with and without the microphone.
The same arguments as in Section 3.4 can be used, so
[ Px/P6]* = [ Px/P3]* (47)
194 Henrik Moiler
Now, by also using eqns (22), (3) and (23), eqn (46) can be reduced to
[ Pa/P2]* [ P6/Ps]
error =
[P3/P2] [ P6/P5]*
Zearcanal/(Zearcanal + Zradiation). Zearcanal/(Zearcanat + Zheadphone)

Zearcanal/(Zearcanal .4- Zradiation) Zearcanal/(Zearcanal dr- Zheadphone)
Zearcanal "l" Zradiatio n . Zearcana1-4--

* Zheadphon e
(48)
Zearcanal -4- Zradiatio n Zearcanal + Zheadphone
The error is only connected to the incorrect impedance match. If an open

headphone is employed, eqn (25) can be used, and eqn (48) reduces to unity,
so no error is then introduced.
If the head used for recording and calibration is artificial and has an
incorrect ear canal, it leads to changes in the transmission similar to those
given above. It can therefore be concluded that an incorrect ear canal is
acceptable without special corrective means, if an open headphone is used
for reproduction.
5 EQUALIZATION FOR LOUDSPEAKER COMPATIBILITY
In Section 4 it was shown how the correct transmission of sound from the
artificial head to the listener's eardrums was achieved by the introduction of
an electrical equalizing filter G. If the signals either before or after this filter
are reproduced through a traditional stereo set-up with loudspeakers, a
coloration will in general occur because of the non-fiat frequency response
from the original sound field to the voltage at these points.
However, it is possible to divide the G filter into two, as illustrated in Fig. 8.
The filters are called G' and G", and
G'-G" = G (49)
The two filters should be chosen so that the frequency response would be flat
from the free sound field to the dividing point between them. In this way
signals from the dividing point can be played through loudspeakers without
coloration.
As mentioned in Section 1, the way of dividing G has been the matter of
some discussion. The two main concepts are free-field equalization and
diffuse-field equalization. These terms will be described in the following.
to l~ds ~ker
Fig. 8. Division of the G filter into G' and G".
As the recording head has different transfer functions for different angles
of sound incidence--that is the idea of binaural recording--a flat frequency
response cannot be obtained for all angles. As most sound sources are in
front of the recording head, it has been argued that a flat frequency response
should be obtained for sound arriving from a sound source in the front. This
way of choosing G' and G" is called free-field equalization.
It has also been argued that the recording head is normally further away
from the sound sources than the hall radius of the recording room. Then it is
located in the diffuse part of the sound field, and a flat frequency response
should be preferred for sound coming from random directions. This choice
is called diffuse-field equalization.
5.1 Free-field equalization
In this case there should be a flat frequency response for a sound arriving
from the front to voltage after filter G'. For method A this means
[P4/Pl](dp = 0 °, 0 = 0°)- MI • G ~ freefield = constant (50)
where the constant determines the gain. It has the dimension voltage per
pressure, giving the units V/Pa. Gk rr~ fieldand G~ freeaetdare easily found from
eqn (50), by using eqn (30)
constant
GAfreefield M I " [ P 4 / P I ] ( ¢ = 0 °, 0 = 0 °) (51)
G,, [v,/Pt](+ = o ° , o = o °)
(52)
G ~ freefield- - G ~ freefield [PT/Eheadphone]"constant
196 Henrik Moiler
Similar expressions can be derived for recording in methods B and C (using

eqns (34) and (38)).
constant
GB freefield= M l "[P3/ei]((~ = 0 °, 0 = 0 °) (53)
/-'~t constant
U C free field = M I " [P2/PI](q~ = 0 °, 0 = 0 °) (54)
[ P3/Pl](dp = 0 °,0 = 0 °)
G~ treelield-- [ P6/Eh¢adphoJ .:constant
(55)
Zearcanal -I- Zheadphon e [ p2/Pl](Ck = 0 o, 0 = 0 °)

Gc freefield= Zearcanal+ Zradiation [Ps/Eheadphone]'constant (56)
A head followed by the filter G~n,~d (or a head that is constructed so that
G~r~enetdbecomes a constant) is called free-field-equalized. Usually this refers
to an artificial head, but the expression can be used in connection with a real
head as well. The transfer function for the free-field-equalized head with
recording at the eardrum becomes
[ P4/Pa] " M 1 • constant

[ P ' / P ~ ] " M1 "GA freelield M~ " [ e4/P~](dp = 0 °, 0 = 0 °)
=
(57)
[P2/P,](r, dp, O)
= constant
[ P 2 / P t ] ( ¢ = 0 °, 0 = 0 °)
Exactly the same expression can be derived for
[Pa/PI]'MI • G~rr,enetd (58)

and
[P2/Px]'Mt • G~rr~neld (59)
This indicates that the output o f a free-field-equalized head is independent o f
the recording point in the ear canal. This is not unexpected. In Section 2.3 it
was stated that the only difference between the pressure at the three points is
a one-dimensional transmission. When the total transmission is equalized to
give a flat frequency response for a certain direction in all methods, the
output for other directions will also be the same.
Use o f definition (7) in expression (57), shows that the transfer function of
a free-field-equalized head is given by
constant.l-monaural transfer function] (60)

5.2 Diffuse-field equalization
Here a flat frequency response is wanted, when the head is placed in a diffuse
sound field. The filter G~iffusefield can be determined from
[PJPl](average of all angles). M 1 • G~diffusefield -~ constant (61)
Then
constant
Gk diffusefield= M l" [ PJPl](average of all angles) (62)
Ga [P4/P1](average of all angles)

G ~ diffusefield - - = (63)
G'Adiffusefield [ P v/ Eheadphone] "c o n s t a n t
F o r methods B and C, the following expressions are derived
constant
G ~ diffusefidd (64)
M 1 " [ Pa/Pl](average of all angles)
constant
G~? diffusefield (65)
M I •[ P2/P1](average of all angles)
[ Pa/Pl](average of all angles)
G~ diffusefield----- (66)
[ P6/Eheadphone]"constant
Zearcanal "Jr- Zheadphon e [P2/P1](average of all angles) (67)
GC diffusefield ~--- Zearcanal + Zradiation [ P5/Eheadphone]"constant
A diffuse-field-equalized recording head is defined as a head followed by the

filter G~iffu~field(or a head that is constructed so that G~tiffusefield becomes a
constant). The transfer function for the diffuse-field-equalized head with
recording at the e a r d r u m becomes
[ P J P I ] "MI "constant
[ P4/Pl] "Ml "G'Adiffusefidd
M I •[PJP~](average of allangles)
[ P ff P,](r, d?, O)
= constant. (68)
[ P2/Pl](average of all angles)
Also, here the same expression can be derived for
[ Pa/PI ]" M 1 • G'Bdiffusefield (69)
and
[ P2/PI ]" Mx" G'c diffusefield (70)
So also diffuse-field-equalized heads perform the same, independent of the
recording point in the ear canal.
198 Henrik Moiler
Note that only the magnitude of [Pi/Px] (average of all angles) has a
meaning (see the arguments in connection with eqn (9)). Then it is only
possible to determine the magnitude of G~iffuselield and G~'ieto~en~td,and
minimum phase realizations of the filters are normally used.
Use of definition (9) in expression (68), shows that the output of a diffuse-
field-equalized head is
output = constant. [monaural transfer function referenced to diffuse field]
(71)
5.3 Headphones used for traditional stereo recordings
A headphone connected with the filter G~'r~n~d--Or constructed so the filter

becomes a constant--is called free-field-equalized. If calibration is done
according to method A and eqn (52) is inserted, the transfer function to the
eardrum will be
[ P4/P,](4' = 0 °, 0 = 0 °)
G~ f~e r,~ld"[ Pv/Eh~adphoJ = [ pv/EhcadphoJ "constant [ PT/Eh~"dPh°J
[ e,/e,](¢ = o °, 0 = 0 °)
(72)
constant
Exactly the same expression is obtained for
G~freefield " [ PT/Eheadphone] (73)
and
G'~free~eld" [ PT/Eheadphone] (74)
from methods B and C (eqns (55) and (56) are inserted and eqns (22) and (24)
are used). This indicates that a headphone that is free-field-equalized
according to one method, is also free-field-equalized according to the other
methods. As for the free-field-equalized head, this is not unexpected.
A verbal description of eqn (72) is as follows: A free-field-equalized
headphone transmits the signals to the eardrums in the same way as--in the
free field--a sound wave from the front is transmitted, This makes a free-
field-equalized headphone useful for playback of traditional stereo
recordings, since this type of headphone simulates listening to the direct
sound from a loudspeaker with an ideally flat free-field frequency response.
In a normal stereo set-up the angle to the loudspeaker is 30 °, and therefore
it may be argued that an azimuth angle of 30 ° should be used for free-field-
equalization of headphones.
At this point it is worth mentioning that reproduction with headphones
will be very different from reproduction through loudspeakers, even when
the headphone is properly equalized. Normally internal localization will

occur.72-76 This is due to the lack of crosstalk and the lack of reflections
from the listening room.
It has been argued that when listening to loudspeakers, the listener is
usually in the reverberant part of the sound field in the listening room.
Therefore, headphone equalization that simulates listening in a diffuse field
may be more appropriate. This equalization is obtained with the headphone
and the G~iffusefieldfilters. If method A is used, and eqn (63) is inserted, then
[ PJPl](average of all angles)
GAdiffuse field • [- PT/Eheadphone]
"
constant (75)
The same result is found for Methods B and C (eqns (66) and (67) are
inserted, and eqns (22) and (24) are used). So, as for free-field equalization, it
does not matter at which recording point the calibration is made.
Free-field- and diffuse-field-equalized headphones are commercially
available, often in a form where the headphone itself is claimed to have the
correct characteristic, so the filter G" is not needed. If a free-field- or a
diffuse-field-equalized headphone is used in connection with a similarly
equalized artificial head, both filters G' and G" should be omitted. Correct
total equalization is obtained, when the output from the artificial head is
connected directly to the headphone (through a power amplifier).
There may be some uncertainty about the quality of the free-field or
diffuse-field equalization ofthe headphones. It is the author's experience that
headphones that are claimed to have the same type of equalization, but
produced by different manufacturers, may be very different in timbre as well
as measured frequency response. 36
6 PROCESSING FOR T R U E R E P R O D U C T I O N WITH

LOUDSPEAKERS
The good directional characteristics of an artificial-head recording are

destroyed if it is reproduced through loudspeakers. This is due to the
crosstalk, which is introduced in any free-field situation. Crosstalk means
that the right speaker is heard not only with the right ear, but also with the
left ear and vice versa.
However, it can be shown that it is possible to add an artificial crosstalk
which cancels out the natural crosstalk. Systems that perform crosstalk
cancellation on binaural systems are sometimes called transaurai systems
or--earlier--TRADIS systems (true reproduction of all directional
information by stereophony). As mentioned in the introduction, they have
been known for some years. An early version involved--among other
200 Henrik Moiler
tricks--playback of a magnetic tape in reverse direction. The principle in a

more recent system is shown in the following. 63
Precord,left and Precord, right denote the two sound pressures recorded at the
reference points in the ear canals of the recording head. M 1 is the transfer
function of the recording microphone. E~oudspeaker,~eftand Eioudspeaker, right are the
signals presented to the loudspeaker terminals, eplaybacks, left and eplayback.right
denote the sound pressure at the reference points in the listener's ear canals.
The transfer functions from loudspeakers to ear canals are denoted with Hs
as indicated in Fig. 9.
The transmission is expressed in the following set of equations:
Pplayback. left= nleft-left " Eloudspeaker, left "1- Bright-left" Eloudspeaker, right (76)
Pplayback, right = nleft-right" E loudspeaker.left "1- Bright-right" Eloudspeaker, right
The wanted transmission is
Pplayback. left = erecord, left

(77)
eplayback, right = erecord, right
If eqns (76) and (77) are combined and solved with respect to the Es, then
Bright-right " erecord, left -- Bright-left " Precord, right
Eloudspeaker, lefl = Hleft-left " Bright-right -- Hleft-right " Hright-left (78)
nieft-left" Precord,right -- nleft-right" Precord,left
Eloudspeaker. right
nleft-left " Bright-right -- Hleft_right " Bright-left
Now symmetry is assumed, and the free-field response of the loudspeakers
[PffEtoudspeaker] is introduced along with the head-related transfer functions
to the ear at the same side as the loudspeaker, [Pplayback/Pl]sameside,and to the
ear at the opposite side, [eplayback/P1]oppositeside.Then
nleft-left = Bright-right = [Pl/Eloudspeaker] "[Pplayback/el]same side (79)

Hleft-right = Bright-left = [P1/Eloudspeaker] " [ Pplayback/P1]oppositeside
If these terms are entered into eqn (78), then some manipulation leads to the
following equation for each of the sides
[ Pplayback/Pl ]opposite side
Precord,same side -- Precord, opposite side [ Pplayback/Pl ]same side
Eloudspeake r ~-
[ Pplayback/P1]same side[P1/ Eloudspeaker] (1
Ceo,ayhak/t',loppositeside
[Pplaybaek/P1]sameside ]
(80)
The term
[ Pplayback/Pl ]opposite side (81)
[ eplayback/P l ]sameside
M1 Precord.l~ MI Preconk right
Signal processing
and
power amplifier
, I I .
H ~ t - ka H right right
-
Fig. 9. Principal diagram showing the transmissions from recorded voltages to sound
pressures in the ear canal.
is easily recognised as the interaural transfer function (see eqn (8)). In the
following, it is denoted ITF.
[ Pplayback/el]sameside" [ Pl/Eioudspeaker] = [ Pplayback/Eioudspeaker]sameside (82)
is the transfer function from a loudspeaker to the reference point in the ear
canal at the side facing the loudspeaker. Now, eqn (80) can be written as
Precord, same side -- Precord, opposite side" ITF (83)
El°udspeaker : [ Pplayback/Eloudspeaker]sameside(1 -- ITF 2)
This signal processing is shown in block-diagram form in Fig. 10. The blocks
to the left perform an equalization of the recording microphone and the
loudspeakers. The next blocks also perform an equalization, necessary
because of coloration due to the crosstalk. At frequencies where the
202 Henrik Moiler
c
E
r-
etO
| | °
!,
b-
,ea
J
crosstalk is low, this block is almost unity. The real suppressing ofcrosstalk
is carried out by the two cross-coupled blocks.
The transfer function from voltage at loudspeaker terminals to sound
pressure at the reference point in the listener's ear canal includes a delay.
Naturally, this delay should also be accepted for the whole system, otherwise
a non-causal filter would be required. A number of other practical
considerations must be taken into account in a realization. Among these are
problems at low frequencies, where the interaural transfer function
approaches unity, and special care must be taken not to require a division by
zero in the block containing 1/(1- ITF2).
Examples of transfer functions, measured on a Neumann KUS0 artificial
head, are given in Fig. 11, and the corresponding interaural impulse response
~dg
tO
-10
-10 '
. -20.
-80'
-10
-20~
!
-30-
-40 I t ~I",, ~ ~ ' ' ' ,I,~, , l, ', I ~'"I,,, I ~.

20 ~ ~ 20k
Frequency [Hz]
Fig. 11. M a g n i t u d e o f t r a n s f e r f u n c t i o n s : (a) h e a d - r e l a t e d t r a n s f e r f u n c t i o n for n e a r e s t
l o u d s p e a k e r , (b) for the o p p o s i t e a n d (c) i n t e r a u r a l t r a n s f e r f u n c t i o n . N e u m a n n K U 8 0 ,
~ = 4 5 °.
204 Henrik Moiler
0.1
-0.1 I I I I '
I 2 3 4
Time [msl
Fig. 12. Interaural impulse response. Neumann KU80, 4)= 45°, 0 = 0°.
in Fig. 12. 63 It is seen that the impulse response is only a few milliseconds
long, and a finite impulse response filter is a possible means o f
implementation.
A crosstalk cancellation system has been in use at our laboratory for some
years, and commercial systems are also available. Basically, they only work
in a free field, which means that an anechoic room is needed. The position of
the listener's head is also somewhat critical. Systems that account properly
for reflections are still at the experimental stage.
7 C O M P U T E R SYNTHESIS O F B I N A U R A L S I G N A L S
In the previous sections it has been assumed that the binaural signals
originate in a recording of an acoustical event that takes place in real life. The
binaural technique is used to transmit the event to listeners who are not
present at the location, or to store it for later reproduction.
It is also possible to synthesize binaural signals on a digital computer and
thus simulate that a sound has been played in a r o o m and has been recorded
by an artificial head. The room need not even exist in real life. Inputs to this
kind o f simulation are:
(1) Information on the sound transmission from source to listening
point in the room.
(2) Information on the head-related transfer functions of the head being
simulated.
(3) A recording of a 'dry' sound source, for example m a d e in an anechoic
room.
The output is the two channels of a binaural signal. H o w this is created will
be described in principle in the following.
The information on the sound transmission is computed in a program of

the ray-tracing or the mirror-image type. 77 -81 For each of the transmission
paths from sound source to listener--including the direct path--the impulse
response of the transmission must be given together with information on the
angle of incidence at the listener's position. For transmission path i, th~
information may be given in the following form
rt, dpt, Or, at(t) (84)
where rt is the distance traversed by the sound wave, ~bt and 0t specify the
angle of incidence to the listener and a,(t) is the impulse response of the
transmission path. Here, at(t) incorporates the delay corresponding to the
propagation length, and includes the distance attenuation and filtering due
to the reflective properties of the surfaces that the signal has passed. It also
includes a possible non-uniform frequency response of the source in the
direction of the transmitted wave, and the air damping.
Here, i starts with number 0 for the direct sound path and continues--at
least theoretically--to infinity. In practice, a finite number of transmission
paths are calculated, and in the following N is used as the upper limit.
The head-related impulse responses (HIRs) from the free field (pl) to each
of the two recording points (P2, Pa or P4) are described as
blert'"'4~"°'(t) (85)
bright.r,.~,.o,(t )
The contribution of each of the transmission paths to the transmission from
the simulated sound source to the simulated recording points is found by
convolution
ai(t) * bleft,,,,4,,,o,(t) (86)

ai( t) * bright.,,.~,.o,(t)
From this it is possible to calculate the total transmission from sound source
to the simulated recording points
N
hl~ft(t) = ~ ' at(t) * bleft,,,,4,,,0,(t)

i=O
N (87)
hright(/) -----~ ' at(t) * bright,,M~,,o,(t)

i=0
This pair of functions is called the binaural room impulse response.

The binaural signals e~eft(t) and eright(t ) (voltage) are obtained by
206 Henrik Moiler
convolution of the recorded dry sound signal s(t) (voltage) with the binaural
room impulse responses.
elert(t) = hjert(t)* s(t) (88)
eri~ht(t) = hri~ht(t)* s(t)
If the room exists in real life, the binaural room impulse response in eqn (87)
can be found by measurement rather than by calculation.
For implementation in a digital system, impulse responses a(t), b(t) and
h(t) should be replaced by sequences a(n), b(n), h(n) that are samples from the
impulse responses, and the signal s(t) should be replaced by s(n) that are
samples from the signal.
8 APPLICATIONS OF BINAURAL T E C H N O L O G Y
Let us assume that the equalizing, transmission, etc., have been done
properly, and that the artificial recording head is a true copy of the listener's
own head. Then it is chai'acteristic of the binaural recording technique that
the sound presented to the listener's eardrums is exactly the same as would
have been found, if the listener had been present during the recording. This
makes the binaural recording technique superior to other recording
techniques. It gives the most valid representation of the original sound, not
only with respect to timbre, but also in relation to spatial aspects.
The applications are divided into (1) applications that involve recording
with an artificial head, (2) applications that use computer-simulated binaural
signals and (3) others.
8.1 Recording with an artificial head
The most obvious application of the binaural technique is the mere

recording of~in acoustical event, i.e. a concert or a radio drama, through an
artificial head and playback through headphones. This is the normal use in
connection with recording and broadcasting. And, of course, there are many
possibilities for use in film and video production, not least connected to
'special effects'. But in addition to that, there are many other possibilities for
utilizing the binaural technique itself and the know-how associated with it.
Noise evaluation
For noise evaluation it is now well known that A-weighted sound levels or
other 'objective measures are often insufficient to characterize a noise.
Subjective assessments have become more common, although they are
difficult to carry out. Normally a number of subjects must listen to many
kinds of noise, and some psychometric scaling technique is used. It is very

impractical to move the subjects around to the real noise sources, so a
recording of the noise is usually played back in a laboratory. A simple
playback of an ordinary recording through loudspeakers does not give the
subjects the feeling of 'being in the noise'.
With the binaural recording technique, the correct sound impression,
including directional qualities, can be presented in the laboratory. Thus,
many sounds can be presented to subjects in an easy way, and the
psychological assessment scales can be properly calibrated. It is also possible
to edit or filter the recording, so that the sound represents the noise after
some kind of noise reduction. Different means of noise abatement may then
be assessed without carrying it out physically.
Comparison of concert halls

It is normally quite difficult to compare the acoustics of different concert
halls, because the human memory for sound impressions is very short--and
not long enough to get from one hall to another. Binaural recordings made
in different halls--if possible with the same orchestra--make it possible to
make direct comparisons between two halls.
Teleconferences and recording of meetings

Normally, participants in meetings have no problems in listening to one
particular speaker, even when several people speak at the same time. This is
due to the well known cocktail-party effect. If a meeting is recorded or
transmitted with traditional technique, this effect is lost, and it may be
difficult to hear what a particular speaker says. Binaural transmission
preserves the cocktail party effect and re-establishes our own 'selectivity tool'.
This is useful for transmission of meetings and discussions. It may also prove
useful for a secretary, when reporting a recorded meeting.
Assessment of speech in rooms

Several new techniques have been developed for objective characterization
of the intelligibility and quality of speech in rooms. Binaural recordings will
constitute a means for subjective evaluation.
Assessment of room impact on loudspeaker sound

The quality of the sound from a loudspeaker is very much influenced by the
room in which the loudspeaker is used. When evaluating a loudspeaker, it is
therefore necessary to listen to it in many rooms and include many positions,
not only of the loudspeaker but also of the listener. The practical
arrangements involved, combined with the short time humans can
remember a sound impression, make such an evaluation almost impossible.
208 Henrik Moiler
Binaural recordings made of the loudspeaker in different rooms and with

different loudspeaker and listener positions may solve the problems. It
makes it easy to present the sound to many people--and it is possible to
change room and position just by means of a switch.
Control of public address systems

In theaters and during concerts with electronic amplification, the mixing
console must be adjusted throughout the performance. The console may be
located in a control room or in the concert hall. The control room location
has the drawback that the operator does not properly hear the sound that he
is adjusting. Setting up the mixer in the concert hall has an economic
consequence--the operator and the equipment occupy several of the best
seats. This leads to a loss of income that is often substantial, and the
operators working place is inconveniently 'public'. An artificial head in the
hall and transmission of the signals to the control room may solve the
problem.
8.2 Simulated binaural signals--artificial environment
The operation of the head--artificial or h u m a n - - i s to transfer sound from a

given direction and distance into two signals. If direction and distance to the
sound source are known, and the transfer functions for this direction and
distance to both signals are known, then the transfer functions can be
simulated with electronic filters. The filters may be implemented in analogue
or digital circuitry. With sufficient knowledge about the transfer functions in
various directions and distances, a sound source can electronically be put
anywhere in space. A very important application of binaural technology is
therefore within the area of artificial environment. The simulation process
was described in Section 7.
Binaural mixing console

A binaural mixing console is an electronic device that contains filters
which--on the basis of a dry m o n o p h o n i c signal---creates a binaural signal,
corresponding to a given direction and distance. It should be possible to
adjust direction and distance while listening to the sound, just as with a pan-
potmeter in a normal mixing console. Of course, it should be possible to mix
more sound sources at the same time and in different positions.
The binaural mixing console can be improved and include also some of
the first and most important reflections. The reflections should be delayed
according to the geometrical conditions from a typical concert hall, and they
should be filtered according to their correct angle of incidence. The mixer
may also add some diffuse reverberation.
Binaural room simulator

If the concept o f a binaural mixer is developed even further, it turns into a
binaural r o o m simulator. In this device, the filters that are introduced in the
path from the dry m o n o p h o n i c source signal have the exact transfer
functions from a source position to each of the two ears o f a listener in a
specific position and in a specific hall. These transfer functions are called
binaural room impulse responses (be sure not to confuse this with room
impulse responses, which refer to the transmission from source to sound
pressure at a given p o i n t - - w i t h o u t the head). With a binaural r o o m
simulator it is possible to listen to the same sound source playing in different
concert halls, and to compare different source and listener positions in the
same hall.
The distinction between a binaural mixing console and a binaural r o o m
simulator is not precise. If a mixer includes reflections and reverberation, it
approaches a r o o m simulator, and ifa r o o m simulator allows more than one
source position at a time, it turns into a mixing console. Characteristics of a
mixer are the m a n y channels and the possibility of easy and on-line change
of source positions. A r o o m simulator is characterized by an accurate
simulation of a specific r o o m and a less easy access to changes in the r o o m
(or to change to another r o o m for comparison).
Tool in acoustic design

The binaural r o o m impulse responses, which are used in the binaural r o o m
simulator, can be found by measurement. They can also be found by
calculation in a r o o m acoustics simulation program o f the ray-tracing or
mirror-image type. If such a program is used, it is possible to listen to a
concert hall before it is built. It is possible to subjectively assess the sound
with different r o o m shapes and different surfaces, and it is possible to
compare it with existing halls.
It is also possible to evaluate the r o o m acoustics simulation programs. If
the program is used for an existing hall, convolution o f a dry source signal is
possible with the c o m p u t e d binaural impulse r o o m response as well as the
measured binaural r o o m impulse response. In this way, subjective
comparisons can be made.
For use in a r o o m simulator, exact impulse responses must be known, and
everything must be based on time signals including phase information from
every single signal path. But normally, room-acoustics simulation programs
calculate room-acoustic parameters such as reverberation time, early decay
time, reflectograms, etc., on an energy basis. The strategy o f the programs
must therefore be changed slightly before the programs can be used to create
inputs to a binaural r o o m simulator.
In this connection, it is a complication that the reflective properties o f
210 Henrik Mailer
materials are normally known from the energy absorption. It may be

necessary to re-measure materials by methods that give the correct
information either directly in the time domain as a reflection impulse
response o r - - i n the frequency domain--as the reflection in amplitude and
phase as a function of frequency. Methods that offer this are various gating
and impulse averaging techniques, maximum length sequence (MLS)
technique and time delay spectrometry (TDS).
Simulated loudspeaker reproduction

When traditional stereo signals, such as X/Y and A/B signals, are
reproduced through headphones, an in-the-head localization results. This is
due to the lack ofcrosstalk and the lack of reflections from a listening room.
Based on knowledge about the transfer functions to the opposite ear in a free
field, crosstalk can be added to the original stereo signal. Also, reflections
corresponding to a normal listening room can be added. At present it is not
known, precisely how much is needed to get a correct out-of-the-head
localization.
This application may be relevant for the consumer market, but it is
especially attractive for control-room simulation. In all areas of sound
production, large and expensive control rooms are used. And quite often the
producer wants to listen to the recording in various surroundings and using
various equipment, since he does not know what equipment will be used by
the consumer. The binaural technique may compete with the control rooms
or be a supplement to them.
Simulation of public address systems

A combination of a room acoustic simulator and a simulator of loudspeaker
reproduction can be used to assess public address systems for use in
auditoriums, theaters, airports, railway stations, at stadiums, etc. The value
of this at the projection stage is obvious.
8.3 Other applications
Binaural hearing aids

It is a well-known fact that hearing-impaired persons have great difficulty
following conversations with more than a few people involved. If they suffer
from a conductive hearing loss, it is theoretically possible to correct their
hearing completely with a hearing aid. If the hearing aid picks up sound at a
point that includes full directional information and the correct equalization
is made, then the directional hearing is re-established, and the cocktail-party
effect is expected to work.
A practical way of making such a hearing aid is to plug the ear canal and
put the microphone outside the plug. The position of the microphone should
be so close to the entrance of the ear canal that the sound propagation from
that point is one-dimensional. The electronics and the earphone can be
included in the plug. Such a device could be denoted a binaural hearing aid
(also if one ear is normal and only one hearing aid is used).
It is not clear whether a binaural hearing aid will improve directional
hearing in the case of an non-linear, neural hearing loss with recruitment.
Binaural noise suppression

It has already been mentioned that the hearing is able to extract information
on the signal from a specific sound source, even when other and possibly
louder sound sources are present. The effect is called the cocktail-party effect
and relies on neural processing in the auditory system. If a proper model of
this is described, it can be implemented in a computer, which can perform
noise suppression on the basis of signals recorded with an artificial head.
9 CONCLUDING REMARKS
The present article has described the basic theory of binaural recording and
playback as well as the theory of computer generation of binaural signals.
Also a number of topical and prospected applications have been described.
It has been shown that any point in the ear canal--and possibly even a
point a few millimeters outside--can be used for recording, since sound
pressure here includes the full spatial information given to the ear. It is also
acceptable to record outside a blocked ear canal.
It is shown that correct overall transmission in a binaural system can be
guaranteed if an electronic equalizing filter is introduced between the
recording head and the headphone. The filter should equalize the
characteristic of the recording microphone and the headphone transfer
function measured at the point in the ear canal, where the recording is made.
The equalizing filter should include extra terms, if recording is made
outside a blocked ear canal, or if the ear canal of the head used for recording
and calibration is different from that of the listener. The extra terms are not
required, when an open headphone is used for reproduction.
The description has concentrated on 'how it should work'. It should not be
forgotten, though, that at present the binaural technique still suffers from
some problems. Most obvious is the poor frontal localization, but also
problems about standardization of recording points, equilization, compati-
bility, interface to room simulations, significance of individual variations
and other things deserve still some attention.
However, binaural technology has greatly improved since it was invented.
212 Henrik Moiler
M a n y qualified research groups are working on it, and the range of

applications has broadened so much that the final breakthrough of the
technique must be very near.
A C K N O W L E D G E M ENTS
The author wants to thank his colleagues for their advice and encourage-
ment. O f special value were a n u m b e r o f discussions with Dorte
Hammershoi, her help in the verification of the models and her fruitful
criticism during the preparation of this article.
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Fundamentals o["binaural technology 215
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216 Henrik Moiler
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APPENDIX
In Section 2.2, difficulties were mentioned in appreciating that, for instance,

a pressure ratio can include reflections in the ear canal. The reason is that the
impedances are frequency-dependent variables, given in amplitude and
phase for a wide frequency range. This is in contrast to traditional
transmission-line calculations, where normally steady-state conditions at a
specific frequency are assumed. This appendix shows an example o f
calculations on a transmission line model.
The ear canal is modelled by a transmission line with a characteristic
~! Fundamentals of binaural technology
i i i+:++ii+ +ii~.++!~
g .5 ..............~........i......i....i....+...i4.i.i~i......i....
~ i..i
I .,0 ..............i........~iii+"ii .................i........i......~
~ i
i
i i[ ii[!
217
103 104 105
2
i 7 !77ii7i 7 iiiT777 7 1!7777
i° -2
iO2¸ 102 tO4 102

Frequency Otz)
Fig. AI. [ P 3 / P 2 ] calculated for values given in e q n (A4).
0.6
0.4 ..................................................................................................................................................................
0 ° 3 .................................................................................................................................................................
0.2 ..................................................................................................................................................................
0.1 ..................................................................................................................................................................
-0.1
-0.1 -O.06 O 0.05 O.1 O.15 0.2 0.25 0.3
Fig. A2. Impulse response Pa/P2,calculated as the inverse F o u r i e r t r a n s f o r m o f [P3/P2],

Fig. A l . Values inserted from e q n (A4).
218 Henrik Moiler
impedance Z0, a propagation constant y and a length l; the speed of sound is

c. F r o m traditional transmission line theory, it is known that
1+ P L e - 21,1
Zearcanal = Z ° 1 - pL e-2rl (A1)
where
Zeardru m - - Z 0
PL - - Zeardrum + N o (A2)
The pressure division at the entrance to the ear canal can be found (eqn (3))
as
Zear canal
[P3/P2] = Zearcana I + Zradiation (A3)
The following are inserted (the values serve as an example and not as an
attempt to suggest real values):
Zradiatio n = Z 0
Zeardru m = 5" Z 0
• 2n'f
?, = j . (A4)
C
c = 340 m/s
1=25"10-3m
The result o f a calculation o f e q n (A4) for a wide frequency range is shown
in Fig. A1.
In this case, a ~ reflection is expected at the eardrum, while the reflected
w a v e - - a s a consequence o f the impedance match with the radiation
impedance--is not reflected again at the entrance. This is exactly what is
seen, if the transfer function o f Fig. A1 is inverse Fourier transformed (see
Fig. A2).

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Fundamentals of Binaural Technology

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Fundamentals of Binaural Technology

Acoustics Laboratory, Aalborg University, Aalborg, Denmark

(Received 3 December 1991; revised version received 24 February 1992:

This article reviews the fundamental ideas of the binaural recording

The most important impediment for success of the binaural technique,

Fig. !. A listener in the concert hall.

2.1 Transmission in a free field

A terminology will be introduced that describes the situation, when a sound

'~ itronsmluion ' lineI Zradlotion

_",~ "/I Zrodloflon

Throughout the present article, time-varying signals are denoted by small

340 m/s = 42"5 kHz (2)

2.2 Definitions of transfer functions

The model is going to lead to a description in terms of transmission

eloudspeaker, can be used as the 'origin'. This is practical in a measurement

three sound pressures P2, P3 or P, they refer to (or a sound pressure at

monaural transfer function = [Pi/Pt](r, dp, O) (7)

interaural transfer function = [ ei/P1]ear°pp°sites°undsource {r,~b,O)

monaural transfer function = [Pi/Pl](r, ~p, O) (9)

2.3 Splitting up the transmission

a n a t o m y of the listener involved. A list of the involved transfer functions is

2.4 Where does the one-dimensional transmission start?

............. ! ......... "......i.....~.....L..!...'..! . . . .

........... i.........i----..!.....i-....i.-i..4..i.................... : ..~....i...~

cavum conchae "

200 1 000 I0 000

Observations similar to the above were reported by Middlebrooks et al.

o ".............i i i T i T i i 5 ~ - ............i ~ ~ - - " ~ : : . . t

2.5 Measurement of head-related transfer functions

None of the head-related transfer functions can be measured directly, since

Binaural signals are normally reproduced with headphones. This guarantees

3.1 Transfer functions for a headphone

The reproduction through a headphone is illustrated in Fig. 6. The

Zlmr conol Zeor conol

described with some analogy to the description in Section 2 of the

sound pressure at the eardrum

so und pressure at the entrance to the open ear canal (15)

sound pressure at the entrance to the blocked ear canal

[Pi, left/Eheadphone"] • [Pi, righJEheadphone-I (17)

3.2 Splitting up the transmission

As for the free-field transmission, the transmission can be split up:

3.3 Measurement of headphone transfer functions

The headphone transfer functions can be measured directly. The input is

3.4 Similarities in free-field and headphone listening

Although two different descriptions have been given, part of the

[ P3/P2"] - Zearcanal+ Zheadph°ne (24)

Simplifications can be made if the impedances Zradiatio n and Zheadphon e a r e

This section deals with different approaches to binaural technique. All

Fig. 7. Transmission in a binaural system.

The recording head may be artificial or human, although it is assumed

4.1 Method A: recording at the eardrum

The basic binaural technique includes recording of the pressure at the

4.2 Method B: recording at the entrance to the open ear canal

4.3 Method C: recording at the entrance to the blocked ear canal