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 HEARING
An Introduction to Psychological and
Physiological Acoustics
 HEARING
An Introduction to Psychological and
Physiological Acoustics
SIXTH EDITION

STANLEY A. GELFAND, PhD

Professor
Department of Linguistics and Communication Disorders
Queen’s College of the City University of New York
Flushing, New York
and
PhD Program in Speech-Language-Hearing Sciences and AuD Program
Graduate Center of the City University of New York
New York, New York
CRC Press
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Names: Gelfand, Stanley A., 1948- author.

Title: Hearing : an introduction to psychological and physiological acoustics / Stanley A. Gelfand.
Description: Sixth edition. | Boca Raton : CRC Press, 2018. | Includes bibliographical references.
Identifiers: LCCN 2017021446 (print) | LCCN 2017022201 (ebook) | ISBN 9781315154718
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To Janice
In Loving Memory
Contents

Preface xiii

1 Physical concepts 1
Physical quantities 1
Decibel notation 6
Harmonic motion and sound 8
Combining waves 15
Complex waves 17
Filters 20
Standing waves 21
Impedance 22
References 24
2 Anatomy 27
Gross anatomy and overview 27
Temporal bone 29
Outer ear 32
Pinna 32
Ear canal 32
Eardrum 33
Middle ear 33
Ossicular chain 35
Intratympanic muscles 36
Inner ear 37
Osseous and membranous labyrinths 37
Inner ear fluids 37
Vestibular organs 39
Cochlea 39
Hair cells 44
Innervation 48
Efferent innervation of the hair cells 50
Central auditory pathways 51
Ascending auditory pathways 52
Cochlear nuclei 52
Superior olivary complex 53
Lateral lemniscus 54
Inferior colliculus 54
Medial geniculate body 54

vii
viii Contents

Cortex 55
Descending auditory pathways 57
Olivocochlear bundle 58
Middle ear muscle reflex 59
References 59
3 Conductive mechanism 69
Outer ear 69
Pinna 69
Ear canal 69
Middle ear 70
Middle ear transformer mechanism 72
Area ratio 72
Curved-membrane mechanism 73
Ossicular lever 74
Middle ear response 76
Bone conduction 77
The acoustic reflex 80
Reflex parameters 81
Middle ear muscle theories 89
References 90
4 Cochlear mechanisms and processes 95
Action of sensory receptors 95
Classical theories of hearing 96
Classical resonance theory 96
Traveling wave theory 97
Classical temporal theories 97
Place-volley theory 98
The traveling wave 98
Hair cell activation 100
Mechanoelectrical transduction 103
Cochlear electrical potentials 104
Resting potentials 105
Receptor potentials 105
Cochlear microphonics 105
Distribution of the cochlear microphonic 108
Summating potentials 111
Cochlear tuning and frequency selectivity 112
Nonlinearity in the cochlea 118
Active processes and the cochlear amplifier 120
Otoacoustic emissions 122
References 127
5 Auditory nerve 137
Frequency coding 138
Tuning curves 138
Firing patterns 139
Responses to clicks 139
Responses to tones and tonal complexes 141
Two-tone suppression 144
Intensity coding 146
Speech coding 150
 Contents ix

Whole-nerve action potentials 151

References 154
6 Auditory pathways 159
Responses of the auditory nervous system 159
Binaural and related responses 161
Brainstem 161
Superior olivary complex 161
Inferior colliculus 162
Coding of binaural differences 163
Medial geniculate body 164
Cortex 164
Tonotopic organization 165
Cochlear nuclei 165
Superior olivary complex 167
Lateral lemniscus 167
Inferior colliculus 167
Medial geniculate body 168
Cortex 169
Auditory evoked potentials 170
Frequency-following response 173
Complex auditory brainstem response 173
Auditory steady-state response 174
Effects of cortical ablation 175
Medial olivocochlear reflex 177
References 181
7 Psychoacoustic methods 197
Scales of measurement 197
Measurement methods 198
Classical methods of measurement 198
Method of limits 198
Method of adjustment 201
Method of constant stimuli 201
Forced-choice methods 203
Adaptive procedures 203
Bekesy’s tracking method 203
Simple up-down or staircase method 204
Parameter estimation by sequential testing 205
Block up-down methods 206
Transformed up-down or staircase procedures 207
Modifications, other procedures, and comparisons 209
Direct scaling 209
Ratio estimation and production 210
Magnitude estimation and production 210
Cross-modality matches 211
Category rating scales 211
References 211
8 Signal detection theory 217
Factors affecting responses 217
Psychophysical methods in sdt 222
Yes/no methods 222
x Contents

Two-interval and N-interval f­ orced-­choice methods 222

Confidence rating methods 222
Some implications of sdt 223
References 223
9 Auditory sensitivity 225
Absolute sensitivity 225
Minimum audible levels 225
Threshold microstructure 227
Upper limits of hearing 227
Reference levels 227
Hearing level 230
Effects of duration 230
Differential sensitivity 232
Intensity discrimination 233
Frequency discrimination 235
Profile analysis 236
Temporal resolution 238
Temporal discrimination 240
Stimulus uncertainty 241
Temporary threshold shift 242
Appendix 9.1 244
Appendix 9.2 244
References 244
10 Masking 251
Nature of masking 252
Frequency selectivity 255
Psychoacoustic tuning curves 259
Comodulation masking release 262
Overshoot 263
Temporal masking 264
Central masking 266
Informational masking 267
References 269
11 Loudness 275
Loudness level 275
Loudness scaling and loudness functions 277
Loudness and distance 280
Loudness and bandwidth 280
Temporal integration of loudness 281
Loudness adaptation 283
Induced loudness reduction 285
Binaural loudness summation 285
Annoyance 287
References 288
12 Pitch and timbre 295
Mel scales of pitch 295
Musical pitch 297
Consonance and dissonance 300
Pitch and intensity 301
 Contents xi

Beats, harmonics, and combination tones 301

Pitch of complex sounds 303
Missing fundamental and periodicity pitch 306
Pitch shift of the missing fundamental 308
Place/spectral theories 309
Temporal theories 309
Timbre 311
References 315

13 Binaural and spatial hearing 321

Binaural fusion 321
Binaural beats 322
Binaural summation 322
Differential sensitivity 323
Auditory scene analysis 324
Directional hearing 325
Localization 325
Head movements 330
Lateralization 331
Virtual auditory space localization 334
Minimum audible angle 334
Minimum audible movement angle 336
Directional hearing in infants 336
Species differences in directional hearing 336
Auditory distance perception 337
Precedence effect 338
Masking level differences 342
References 346

14 Speech and its perception 357

Speech sounds: Production and perception 358
Vowels 358
Consonants 360
Dichotic listening and cerebral lateralization 364
Categorical perception 365
The speech module 366
Power of speech sounds 367
Speech intelligibility 368
Audibility: Speech level and signal-to-noise ratio 369
Frequency 369
Amplitude distortion 370
Interruptions and temporal distortion 370
Masking and reverberation 372
Nonacoustic considerations 373
Speech perception theories and approaches 373
Models implicating the production system 374
Motor theory 374
Direct realist theory 374
Analysis-by-synthesis 374
General auditory approaches 374
Fuzzy logical model of perception 374
xii Contents

Word recognition models 375

Prototype and exemplar models 375
Logogen model 375
Cohort model 375
Trace model 375
Shortlist model 376
Neighborhood activation model 376
Speech intelligibility and acoustical measurements 376
Clear speech 378
References 379

Index 391
Preface

This is the sixth edition of a textbook intended In addition to reflecting advances in the field,
to provide beginning graduate students with an the sixth edition of Hearing has been strongly
introduction to the sciences of hearing, as well as influenced by extensive comments and sugges-
to provide an overview of the field for more expe- tions from both colleagues and graduate students.
rienced readers. This has resulted in updates, changes, and addi-
The need for a current text of this type has tions to the material as well as several new and
been expanded by the advent of the professional revised figures; but every effort has been made to
doctorate in audiology, the AuD in addition to maintain the fundamental characteristics of the
those in PhD programs in the speech and hear- prior editions wherever possible. These include the
ing sciences. However, an interest in hearing is by basic approach, structure, format, and the general
no means limited to audiologists and speech and (and often irregular) depth of coverage, the provi-
hearing scientists. It includes readers with widely sion of references at the end of each chapter, and
diverse academic backgrounds, such as psycholo- the provision of liberal references to other sources
gists, speech-language pathologists, physicians, for further study. As one might expect, the hard-
deaf educators, industrial hygienists, linguists est decisions involved choosing material that could
and engineers, among others. The result is a frus- be streamlined, replaced, or omitted, keeping the
trating dilemma in which a text will likely be too original orientation and flavor of the book, and
basic for some of its intended readers and too avoiding a “state-of-the-art” treatise.
advanced for others. Thus, the idea is to provide a It is doubtful that all of the material covered in
volume sufficiently detailed to serve as a core text this text would be addressed in a single one-semester
for graduate students with a primary interest in course, nor that it would be the only source used. It
hearing, while at the same time avoiding a reli- is more likely that this book would be used as a core
ance on scientific or mathematical backgrounds text for a two-course sequence dealing with psy-
not shared by those with different kinds of aca- chological and physiological acoustics, along with
demic experiences. appropriately selected readings from the research
Hearing science is an exciting area of study literature and state-of-the-art books. Suggested
because of its broad, interdisciplinary scope, and readings are provided in context throughout the
even more because it is vital and dynamic. Research text to provide a firm foundation for further study.
continuously provides new information to expand My heartfelt appreciation is expressed to the
on the old and also causes us to rethink what was numerous colleagues and students who provided
once well established. The reader (particularly the me with valuable suggestions that have been incor-
beginning student) is reminded that new findings porated into this and prior editions. I am especially
occasionally disprove the “laws” of the past. Thus, indebted to my current and former colleagues and
this textbook should be treated as a first step; it is students in the Department of Linguistics and
by no means the final word. Communication Disorders at Queens College,

xiii
xiv Preface

the PhD Program in Speech-Language-Hearing Lauren Calandruccio, Joseph Danto, Lillian and
Sciences, and the AuD Program at the City Sol Gelfand, Irving Hochberg, Gertrude and Oscar
University of New York Graduate Center, and at Katzen, Arlene Kraat, Linda Leggio, John Lutolf,
the East Orange Veterans Affairs Medical Center. Grace McInnes, Maurice Miller, Neil Piper, Teresa
Thank you all for being continuous examples of Schwander, Stanley Schwartz, Shlomo Silman,
excellence and for your valued friendships. I am Carol Silverman, Helen and Harris Topel, Robert
also grateful to the talented and dedicated staff of Vago, Barbara Weinstein, and Mark Weiss. Very
CRC Press/Taylor & Francis Group, who contrib- special gratitude is expressed to Harry Levitt, who
uted so much to this book and graciously arranged will always be my professor.
for the preparation of the indices and the proof- Finally, my deepest gratitude goes to Janice,
reading of the final page proofs. the love of my life, whose memory will always be
At the risk of inadvertently omitting several, a blessing and inspiration; and to my wonderful
I would like to thank the following people for children, Michael, Joshua, and Erin, and Jessica
their advice, inspiration, influence, and support, and Robert for their love, support, confidence, and
which have taken forms too numerous to mention: unparalleled patience.
Cherry Allen, Nick Barber, Sandra Beberman, Moe
Bergman, Arthur Boothroyd, Miranda Bromage, Stanley A. Gelfand
 1
Physical concepts

This book is concerned with hearing, and what basic quantities (and other derived quantities), and
we hear is sound. Thus, both intuition and reason include such phenomena as velocity, force, and
make it clear that a basic understanding of the work. If a quantity can be described completely
nature of sound is prerequisite to an understand- in terms of just its magnitude (size), then it is a
ing of audition. The study of sound is acoustics. ­scalar. Length is a good example of a scalar. On the
An understanding of acoustics, in turn, rests upon other hand, a quantity is a vector if it needs to be
knowing several fundamental physical principles. described by both its magnitude and its direction.
This is so because acoustics is, after all, the physics For example, if a body moves 1 m from point x l
of sound. We will therefore begin by reviewing a to point x2, then we say that it has been displaced.
number of physical principles so that the following Here, the scalar quantity of length becomes the
chapters can proceed without the constant need for vector quantity of displacement when both magni-
the distracting insertions of basic definitions and tude and direction are involved. A derived quantity
concepts. The material in this chapter is intended is a vector if any of its components is a vector. For
to be a review of principles that were previously example, force is a vector because it involves the
learned. Therefore, the review will be rapid and components of mass (a scalar) and acceleration (a
somewhat cursory, and the reader may wish to con- vector). The distinction between scalars and vectors
sult the American National Standard addressing is not just some esoteric concept. One must be able
acoustical terminology and a physics or acoustics to distinguish between scalars and vectors because
textbook for a broader coverage of these topics (e.g., they are manipulated differently in calculations.
Pearce and David, 1958; van Bergeijk et al., 1960; The basic quantities may be more or less appreci-
Peterson and Gross, 1972; Beranek, 1986; Kinsler ated in terms of one’s personal experience, and are
et al., 1999; Speaks, 1999; Everest, 2000; Rossing expressed in terms of conventionally agreed upon
et al., 2002; Hewitt, 2005; Young and Freedman, units. These units are values that are measurable
2007),* as well as the American National Standard and repeatable. The unit of time (t) is the s­ econd
addressing acoustical terminology (ANSI, 2004). (s), the unit of length (L) is the meter (m), and
the unit of mass (M) is the kilogram (kg). There
PHYSICAL QUANTITIES is a common misconception that mass and weight
are synonymous. This is actually untrue. Mass is
Physical quantities may be thought of as being related to the density of a body, which is the same
basic or derived, and as either scalars or vectors. for that body no matter where it is located. On
The basic quantities of concern here are time, the other hand, an object’s weight is related to the
length (distance), and mass. The derived quanti- force of gravity upon it, so that weight changes as a
ties are the results of various combinations of the function of gravitational attraction. It is common
knowledge that an object weighs more on earth
* While no longer in print, the interested student may than it would on the moon, and that it weighs more
be able to find the classical books by Pearce and David at sea level than it would in a high-flying airplane.
(1958), van Bergeijk et al. (1960), and Peterson and In each of these cases, the mass of the body is the
Gross (1972) in some libraries. same in spite of the fact that its weight is different.

1
2 Physical concepts

A brief word is appropriate at this stage regard- moment in time. Instantaneous velocity reflects
ing the availability of several different systems of the speed at some point in time when the displace-
units. When we express length in meters and mass ment and time between that point and the next one
in kilograms we are using the units of the Système approaches zero. Thus, students with a background
International d’Unités, referred to as the SI or the in mathematics will recognize that instantaneous
MKS system. Here, MKS stands for meters, kilo- velocity is equal to the derivative of displacement
grams, and seconds. An alternative scheme using with respect to time, or
smaller metric units coexists with MKS, which is
the cgs system (for centimeters, grams, and sec- dx
onds), as does the English system of weights and v= (1.3)
dt
measures. Table 1.1 presents a number of the major
basic and derived physical quantities we will deal
with, their units, and their conversion factors.* As common experience verifies, a fixed speed is
Velocity (v) is the speed at which an object is rarely maintained over time. Rather, an object may
moving, and is derived from the basic quantities of speed up or slow down over time. Such a change
displacement (which we have seen is a vector form of velocity over time is acceleration (a). Suppose
of length) and time. On average, velocity is the we are concerned with the average acceleration of
distance traveled divided by the amount of time it a body moving between two points. The velocity
takes to get from the starting point to the destina- of the body at the first point is v1 and the time as it
tion. Thus, if an object leaves point x l at time t1 and passes that point is t1. Similarly, its velocity at the
arrives at x 2 at time t2, then we can compute the second point and the time when it passes this point
average velocity as are, respectively, v2 and t2. The average accelera-
tion is the difference between these two velocities
( x 2 − x1 ) divided by the time interval involved:
v= (1.1)
( t 2 − t1 )
(v 2 − v1 )
a= (1.4)
( t 2 − t1 )
If we call (x 2 − x l) displacement (x) and (t2 − t l)
time (t), then, in general:
or, in general:
x
v= (1.2) v
t a= (1.5)
t
Because displacement (x) is measured in meters
and time (t) in seconds, velocity is expressed in If we recall that velocity corresponds to displace-
meters per second (m/s). ment divided by time (Equation 1.2), we can sub-
In contrast to average velocity as just defined, stitute x/t for v, so that
instantaneous velocity is used when we are con-
cerned with the speed of a moving body at a specific x
t x (1.6)
a= =
t t2
* Students with a penchant for trivia will be delighted
to know the following details. (1) One second is the
Therefore, acceleration is expressed in units of
time needed to complete 9,192,631,770 cycles of radi-
meters per second squared (m/s2) or centimeters
ation of cesium-133 atoms in an atomic clock (for an
per second squared (cm/s2).
interesting and informative discussion, see Finkleman
The acceleration of a body at a given moment is
et al., 2011). (2) The reference value for 1 kg of mass
called its instantaneous acceleration, which is the
is that of a cylinder of platinum–iridium alloy kept in
derivative of velocity with respect to time, or
the International Bureau of Weights and Measures in
France. (3) One meter is 1,650,763.73 times the wave-
dv
length of orange-red light emitted by krypton-86 a= (1.7)
under certain conditions. dt
 Physical quantities 3

Table 1.1 Principal physical quantities

Quantity Formula SI (MKS) units cgs units Equivalent values

Time (t) t second (s) s
Mass (M) M kilogram (kg) gram (g) 1 kg = 1000 g
Displacement (x) x meter (m) centimeter (cm) 1 m = 100 cm
Area (A) A m2 cm2 1 m2 = 104 cm2
Velocity (v) v = x/t m/s cm/s 1 m/s = 100 cm/s
Acceleration (a) a = v /t m/s2 cm/s2 1 m/s2 = 100 cm/s2
= x /t 2
Force (F) F = Ma newton (N) dyne (d) 1 N = 105 d
= Mv/t kg ∙ m/s2 g ∙ cm/s2
Work (w) w = Fx joule (J) erg 1 J = 107 erg
N∙m d ∙ cm
Power (P) P = w /t watt (W) watt (W) 1 W = 1 J/s = 107 erg/s
= Fx /t
= Fv
Intensity (I) I = P/A W/m2 W/cm2 Reference values:
10−12 W/m2
or
10−16 W/cm2
Pressure (p) p = F/A pascal (Pa) microbar (µbar) Reference values:
N/m2 d/cm2 2 × 10−5 N/m2 (µPa)
or
2 × 10−4 d/cm2 (µbar)a
a The reference value for sound pressure in cgs units is often written as 0.0002 dynes/cm2.

Recalling that velocity is the first derivative of that is, to change its speed or direction. The amount
displacement (Equation 1.3), and substituting, we of force is equal to the product of mass times accel-
find that acceleration is the second derivative of eration (Newton’s second law of motion):
displacement:
F = Ma (1.9)
d x
2
a= (1.8)
dt 2 Recall that acceleration corresponds to velocity
over time (Equation 1.5). Substituting v/t for a
Common experience and Newton’s first law of (acceleration) reveals that force can also be defined
motion tell us that if an object is not moving (is at in the form
rest), then it will tend to remain at rest, and that if
an object is moving in some direction at a given Mv
F= (1.10)
speed, that it will tend to continue doing so. This t
phenomenon is inertia, which is the property of
mass to continue doing what it is already doing. where Mv is the property of momentum. Stated
An outside influence is needed in order to make a in this manner, force is equal to momentum over
stationary object move, or to change the speed or time.
direction of a moving object. That is, a force (F) Because force is the product of mass and accel-
is needed to overcome the body’s inertia. Because eration, the amount of force is measured in kg ∙ m/
a change in speed is acceleration, we may say that s2. The unit of force is the newton (N), which is the
force is that which causes a mass to be accelerated, force needed to cause a 1-kg mass to be accelerated
4 Physical concepts

by 1 kg ∙ m/s2 (i.e., 1 N = kg ∙ m/s2). It would thus The opposing force of friction depends on
take a 2-N force to cause a 2-kg mass to be accel- two factors. Differing amounts of friction occur
erated by 1 m/s2, or a 1-kg mass to be accelerated depending upon what is sliding on what. The mag-
by 2 kg ∙ m/s2. Similarly, the force required to nitude of friction between two given materials is
accelerate a 6-kg mass by 3 m/s2 would be 18 N. called the coefficient of friction. Although the
The unit of force in cgs units is the dyne, where 1 details of this quantity are beyond current inter-
dyne = 1 g ∙ cm/s2 and 105 dynes = 1 N. est, it is easily understood that the coefficient of
Actually, many forces tend to act upon a given friction is greater for “rough” materials than for
body at the same time. Therefore, the force referred “smooth” or “slick” ones.
to in Equations 1.9 and 1.10 is actually the resultant The second factor affecting the force of fric-
or net force, which is the net effect of all forces act- tion is easily demonstrated by an experiment the
ing upon the object. The concept of net force is clari- reader can do by rubbing the palms of his hands
fied by a few simple examples: If two forces are both back and forth on one another. First rub slowly
pushing on a body in the same direction, then the and then rapidly. Not surprisingly, the rubbing
net force would be the sum of these two forces. (For will produce heat. The temperature rise is due to
example, consider a force of 2 N that is pushing an the conversion of the mechanical energy into heat
object toward the north, and a second force of 5 N as a result of the friction, and will be addressed
that is also pushing that object in the same direc- again in another context. For the moment, we will
tion. The net force would be 2 N + 5 N, or 7 N and accept the amount of heat as an indicator of the
the direction of acceleration would be to the north.) amount of friction. Note that the hands become
Alternatively, if two forces are pushing on the same hotter when they are rubbed together more rap-
body but in opposite directions, then the net force is idly. Thus, the amount of friction is due not only to
the difference between the two, and the object will the coefficient of friction (R) between the materials
be accelerated in the direction of the greater force. involved (here, the palms of the hands), but also to
(Suppose, for example, that a 2-N force is pushing an the velocity (v) of the motion. Stated as a formula,
object toward the east and that a 5-N force is simul- the force of friction (F) is thus
taneously pushing it toward the west. The net force
would be 5 N – 2 N, or 3 N which would cause the F = Rv (1.11)
body to accelerate toward the west.)
If two equal forces push in opposite directions, A compressed spring will bounce back to its
then net force would be zero, in which case there original shape once released. This property of a
would be no change in the motion of the object. deformed object to return to its original form is
This situation is called equilibrium. Thus, under called elasticity. The more elastic or stiff an object,
conditions of equilibrium, if a body is already mov- the more readily it returns to its original form after
ing, it will continue in motion, and if it is already being deformed. Suppose one is trying to compress
at rest, it will remain still. That is, of course, what a coil spring. It becomes increasingly more diffi-
Newton’s first law of motion tells us. cult to continue squeezing the spring as it becomes
Experience, however, tells us that a moving more and more compressed. Stated differently, the
object in the real world tends to slow down and will more the spring is being deformed, the more it
eventually come to a halt. This occurs, for example, opposes the applied force. The force that opposes
when a driver shifts to “neutral” and allows his car the deformation of a spring-like material is called
to coast on a level roadway. Is this a violation of the the restoring force.
laws of physics? Clearly, the answer is no. The rea- As the example just cited suggests, the restoring
son is that in the real world a moving body is con- force depends on two factors; the elastic modulus
stantly in contact with other objects or mediums. of the object’s material and the degree to which
The sliding of one body against the other consti- the object is displaced. An elastic modulus is the
tutes a force opposing the motion, called friction ratio of stress to strain. Stress (s) is the ratio of the
or resistance. For example, the coasting automo- applied force (F) to the area (A) of an elastic object
bile is in contact with the surrounding air and the over which it is exerted, or
roadway; moreover, its internal parts are also mov-
ing one upon the other. s = F/A (1.12)
 Physical quantities 5

The resulting relative displacement or change in accomplished. The rate at which work is done is
dimensions of the material subjected to the stress power (P) and is equal to work divided by time,
is called strain. Of particular interest is Young’s
modulus, which is the ratio of compressive stress P = w /t (1.15)
to compressive strain. Hooke’s law states that
stress and strain are proportional within the elastic in joules per second (J/s). The watt (W) is the unit
limits of the material, which is equivalent to stat- of power, and 1 W is equal to 1 J/s. In the cgs sys-
ing that a material’s elastic modulus is a constant tem, the watt is equal to 107 ergs/s.
within these limits. Thus, the restoring force (F) of Recalling that w = Fx, then Equation 1.15 may
an elastic material that opposes an applied force is be rewritten as

F = Sx (1.13) P = Fx /t (1.16)

where S is the stiffness constant of the material and If we now substitute v for x/t (based on Equation
x is the amount of displacement. 1.2), we find that
The concept of “work” in physics is decidedly
more specific than its general meaning in daily P = Fv (1.17)
life. In the physical sense, work (w) is done when
the application of a force to a body results in its Thus, power is equal to the product of force and
displacement. The amount of work is therefore the velocity.
product of the force applied and the resultant dis- The amount of power per unit of area is called
placement, or intensity (I). In formal terms,

w = Fx (1.14) I = P/A (1.18)

Thus, work can be accomplished only when where I is intensity, P is power, and A is area.
there is displacement: If the displacement is zero, Therefore, intensity is measured in watts per
then the product of force and displacement will square meter (W/m2) in SI units, or in watts per
also be zero no matter how great the force. Work square centimeter (W/cm2) in cgs units. Because
is quantified in Newton-meters (N ∙ m); and the of the difference in the scale of the area units in
unit of work is the joule (J). Specifically, one joule the MKS and cgs systems, we find that 10−12 W/m2
(1 J) is equal to 1 N ∙ m. In the cgs system, work corresponds to 10−16 W/cm2. This apparently pecu-
is expressed in ergs, where 1 erg corresponds to 1 liar choice of equivalent values is being provided
dyne-centimeter (1 d ∙ cm). because they represent the amount of intensity
The capability to do work is called energy. The required to just barely hear a sound.
energy of an object in motion is called kinetic An understanding of intensity will be better
energy and the energy of a body at rest is its poten- appreciated if one considers the following. Using
tial energy. Total energy is the body’s kinetic for the moment the common knowledge idea of
energy plus its potential energy. Work corresponds what sound is, imagine that a sound source is a tiny
to the change in the body’s kinetic energy. The pulsating sphere. This point source of sound will
energy is not consumed, but rather is converted produce a sound wave that will radiate outward in
from one form to the other. Consider, for exam- every direction, so that the propagating wave may
ple, a pendulum that is swinging back and forth. be conceived of as a sphere of ever-increasing size.
Its kinetic energy is greatest when it is moving the Thus, as distance from the point source increases,
fastest, which is when it passes through the mid- the power of the sound will have to be divided over
point of its swing. On the other hand, its potential the ever-expanding surface. Suppose now that we
energy is greatest at the instant that it reaches the measure how much power registers on a one-unit
extreme of its swing, when its speed is zero. area of this surface at various distances from the
We are concerned not only with the amount source. As the overall size of the sphere is get-
of work, but also with how fast it is being ting larger with distance from the source, so this
6 Physical concepts

one-unit sample must represent an ever-decreasing another form, called decibels (dB), which make the
proportion of the total surface area. Therefore, less values both palatable and rationally meaningful.
power “falls” onto the same area as the distance One may conceive of the decibel as basically
from the source increases. It follows that the mag- involving two characteristics, namely ratios and log­
nitude of the sound appreciated by a listener would arithms. First, the value of a quantity is expressed
become less and less with increasing distance from in relation to some meaningful baseline value in
a sound source. the form of a ratio. Because it makes sense to use
The intensity of a sound decreases with distance the softest sound one can hear as our baseline, we
from the source according to an orderly rule as long use the intensity or pressure of the softest audible
as there are no reflections, in which case a free field sound as our reference value.
is said to exist. Under these conditions, increasing As introduced earlier, the reference sound
the distance (D) from a sound source causes the intensity is 10−12 W/m2 and the equivalent ref-
intensity to decrease to an amount equal to 1 over erence sound pressure is 2 × 10−5 N/m2. Recall
the square of the change in distance (1/D2). This also that the equivalent corresponding values in
principle is known as the inverse-square law. In cgs units are 10−16 W/cm2 for sound intensity and
effect, the inverse square law says that doubling 2 × 10−4 dynes/cm2 for sound pressure. The appro-
the distance from the sound source (e.g., from 1 priate reference value becomes the denominator
to 2 m) causes the intensity to drop to 1/22 or 1/4 of our ratio and the absolute intensity or pressure
of the original intensity. Similarly, tripling the dis- of the sound in question becomes the numerator.
tance causes the intensity to fall to 1/32, or 1/9 of Thus, instead of talking about a sound having an
the prior value; four times the distance results in absolute intensity of 10−10 W/m2, we express its
1/42, or 1/16 of the intensity; and a tenfold increase intensity relatively in terms of how it relates to our
in distance causes the intensity to fall 1/102, or reference, as the ratio:
1/100 of the starting value.
Just as power divided by area yields intensity, so (10−10 W/m2 )
force (F) divided by area yields a value called pres-
(10−12 W/m2 )
sure (p):

p = F/A (1.19) which reduces to simply 102. This intensity ratio

is then replaced with its common logarithm. The
reason is that the linear distance between numbers
so that pressure is measured in N/m2 or in dynes/ having the same ratio relationship between them
cm2. The unit of pressure is called the pascal (Pa), (say, 2:1) becomes wider when the absolute magni-
where 1 Pa = 1 N/m2. As for intensity, the softest tudes of the numbers become larger. For example,
audible sound can also be expressed in terms of its the distance between the numbers in each of the
pressure, for which 2 × 10−5 N/m2 and 2 × 10−4 following pairs increases appreciably as the size
dynes/cm2 are equivalent values.
of the numbers becomes larger, even though they
all involve the same 2:1 ratio: 1:2, 10:20, 100:200,
DECIBEL NOTATION and 1000:2000. The logarithmic conversion is used
because equal ratios are represented as equal dis-
The range of magnitudes we concern ourselves tances on a logarithmic scale.
with in hearing is enormous. As we shall discuss The decibel is a relative entity. This means that
in Chapter 9, the sound pressure of the loudest the decibel in and of itself is a dimensionless quan-
sound that we can tolerate is on the order of 10 mil- tity, and is meaningless without knowledge of the
lion times greater than that of the softest audible reference value, which constitutes the denomina-
sound. One can immediately imagine the cumber- tor of the ratio. Because of this, it is necessary to
some task that would be involved if we were to deal make the reference value explicit when the magni-
with such an immense range of numbers on a lin- tude of a sound is expressed in decibel form. This is
ear scale. The problems involved with and related accomplished by stating that the magnitude of the
to such a wide range of values make it desirable to sound is whatever number of decibels with respect
transform the absolute physical magnitudes into to the reference quantity. Moreover, it is common
 Decibel notation 7

practice to add the word “level” to the original pressure level. Here, we must be aware that inten-
quantity when dealing with dB values. Intensity sity is proportional to pressure squared:
expressed in decibels is called intensity level (IL)
and sound pressure in decibels is called sound I ∝ p2 (1.22)
pressure level (SPL). The reference values indi-
cated above are generally assumed when decibels
and
are expressed as dB IL or dB SPL. For example,
one might say that the intensity level of a sound is
“50 dB re: 10−12 W/m2” or “50 dB IL.” p∝ I (1.23)
The general formula for the decibel is expressed
in terms of power as As a result, converting the dB IL formula into
the equivalent equation for dB SPL involves replac-
P ing the intensity values with the squares of the cor-
PL dB = 10 ⋅ log   (1.20) responding pressure values. Therefore,
 P0 
 p2 
SPL dB = 10 ⋅ log  2  (1.24)
where P is the power of the sound being mea-  p0 
sured, P0 is the reference power to which the for-
mer is being compared, and PL is the power level. where p is the measured sound pressure and p0 is
Acoustical measurements are, however, typically the reference sound pressure (2 × 10−5 N/m2). This
made in terms of intensity or sound pressure. The formula may be simplified to
applicable formula for decibels of intensity level is
thus:
 p 2
SPL dB = 10 ⋅ log   (1.25)
 p0 
I
IL dB = 10 ⋅ log   (1.21)
 I0 
Because the logarithm of a number squared cor-
responds to two times the logarithm of that num-
where I is the intensity (in W/m2) of the sound in ber (log x = 2 ∙ log x), the square may be removed
question, and I0 is the reference intensity, or 10−12 to result in
W/m2. Continuing with the example introduced
above, where the value of I is 10−10 W/m2, we thus p
find that SPL dB = 10 ⋅ 2 ⋅ log   (1.26)
 p0 
 10−10 W/m2 
IL dB = 10 ⋅ log  −12 
 10 W/m2  Therefore, the simplified formula for decibels of
SPL becomes
= 10 ⋅ log 102
= 10×2 p
SPL dB = 20 ⋅ log   (1.27)
= 20 dB re: 10−12 W/m2  p0 

In other words, an intensity of 10−10 W/m2 where the value of 20 (instead of 10) is due to having
­corresponds to an intensity level of 20 dB re: 10−12 removed the square from the earlier described ver-
W/m2, or 20 dB IL. sion of the formula. One cannot take the intensity
Sound intensity measurements are important ratio from the IL formula and simply insert it into
and useful, and are preferred in certain situations. the SPL formula, or vice versa. The square root of
(See Rasmussen [1989] for a review of this topic.) the intensity ratio yields the corresponding pressure
However, most acoustical measurements involved ratio, which must then be placed into the SPL equa-
in hearing are made in terms of sound pres- tion. Failure to use the proper terms will result in
sure, and are thus expressed in decibels of sound an erroneous doubling of the value in dB SPL.
8 Physical concepts

By way of example, a sound pressure of 2 × 10−4 reference sound pressure of 2 × 10−5 N/m2. Notice
N/m2 corresponds to an SPL of 20 dB (re: 2 × 10−5 that 0 dB does not mean “no sound.” Rather, 0 dB
N/m2), which may be calculated as follows: implies that the quantity being measured is equal
to the reference quantity. Negative decibel values
 2×10−4 N/m2  indicate that the measured magnitude is smaller
SPL dB = 20 ⋅ log  
 2×10−5 N/m2  than the reference quantity.
Recall that sound intensity drops with distance
= 20 ⋅ log 101 from the sound source according to the inverse-
= 20×1 square law. However, we want to know the effect of
= 20 dB re: 10−5 N/m2 the inverse-square law in terms of decibels of sound
pressure level because sound is usually expressed in
these terms. To address this, we must first remem-
What would happen if the intensity (or pres- ber that pressure is proportional to the square root
sure) in question were the same as the reference of intensity. Hence, pressure decreases according
intensity (or pressure)? In other words, what is the to the inverse of the distance change (1/D) instead
dB value of the reference itself? In terms of inten- of the inverse of the square of the distance change
sity, the answer to this question may be found by (1/D2). In effect, the inverse-square law for inten-
simply using 10−12 W/m2 as both the numerator (I) sity becomes an inverse-distance law when we are
and denominator (I0) in the dB formula; thus, dealing with pressure. Let us assume a doubling as
the distance change, because this is the most use-
10−12 W/m2  ful relationship. We can now calculate the size of
IL dB = 10 ⋅ log  −12  (1.28)
10 W/m2  the decrease in decibels between a point at some
distance from the sound source (Dl, e.g., 1 m) and a
Because anything divided by itself equals 1, and point at twice the distance (D2, e.g., 2 m) as follows:
the logarithm of 1 is 0, this equation reduces to
Level drop in SPL = 20 ⋅ log(D2 /D1 )
IL dB = 10 ⋅ log 1 = 20 ⋅ log(2/1)
= 10×0 = 20 ⋅ log 2
= 0 dB re: 10−12 W /m2 = 20×0.3
= 6 dB
Hence, 0 dB IL is the intensity level of the refer-
ence intensity. Just as 0 dB IL indicates the inten-
In other words, the inverse-square law causes
sity level of the reference intensity, so 0 dB SPL
the sound pressure level to decrease by 6 dB when-
similarly implies that the measured sound pressure
ever the distance from the sound source is doubled.
corresponds to that of the reference
For example, if the sound pressure level is 60 dB at
 2×10−5 N/m2  1 m from the source, then it will be 60 − 6 = 54
SPL dB = 20 ⋅ log   (1.29) dB when the distance is doubled to 2 m, and
 2×10−5 N/m2  54 − 6 = 48 dB when the distance is doubled again
from 2 to 4 m.
Just as we saw in the previous example, this
equation is solved simply as follows:
HARMONIC MOTION AND SOUND
SPL dB = 20 ⋅ log 1 What is sound? It is convenient to answer this ques-
= 20×0 tion with a formally stated sweeping generality.
For example, one might say that sound is a form of
= 0 dB re: 10−5 N/m2
vibration that propagates through a medium (such
as air) in the form of a wave. Although this state-
In other words, 0 dB SPL indicates that the pres- ment is correct and straightforward, it can also be
sure of the sound in question corresponds to the uncomfortably vague and perplexing. This is so
 Harmonic motion and sound 9

because it assumes knowledge of definitions and center (C), the rapidly moving prong overshoots
concepts that are used in a very precise way, but this point. It now continues rightward (arrow 3),
which are familiar to most people only as “gut-level” slowing down along the way until it comes to a
generalities. As a result, we must address the under- halt at point R (right). It now reverses direction
lying concepts and develop a functional vocabulary and begins moving leftward (arrow 4) at an ever-
of physical terms that will not only make the gen- increasing speed, so that it again overshoots the
eral definition of sound meaningful, but will also center. Now, again following arrow 1, the prong
allow the reader to appreciate its nature. slows down until it reaches a halt at L, where it
Vibration is the to-and-fro motion of a body, reverses direction and repeats the process.
which could be anything from a guitar string to The course of events just described is the result
the floorboards under the family refrigerator, or a of applying a force to an object having the proper-
molecule of air. Moreover, the motion may have a ties of elasticity and inertia (mass). The initial force
very simple pattern as produced by a tuning fork, to the tuning fork displaces the prong. Because the
or an extremely complex one such as one might tuning fork possesses the property of elasticity, the
hear at lunchtime in an elementary school caf- deformation caused by the applied force is opposed
eteria. Even though few sounds are as simple as by a restoring force in the opposite direction. In
that produced by a vibrating tuning fork, such an the case of the single prong in Figure 1.2, the initial
example provides what is needed to understand the force toward the left is opposed by a restoring force
nature of sound. toward the right. As the prong is pushed farther
Figure 1.1 shows an artist’s conceptualization to the left, the magnitude of the restoring force
of a vibrating tuning fork at different moments of increases relative to the initially applied force. As
its vibration pattern. The heavy arrow facing the a result, the prong’s movement is slowed down,
prong to the reader’s right in Figure 1.1a repre- brought to a halt at point L, and reversed in direc-
sents the effect of applying an initial force to the tion. Now, under the influence of its elasticity, the
fork, such as by striking it against a hard surface. prong starts moving rightward. Here, we must
The progression of the pictures in the figure from consider the mass of the prong.
(a) through (e) represents the movements of the As the restoring force brings the prong back
prongs as time proceeds from the moment that the toward its resting position (C), the inertial force of
outside force is applied. its mass causes it to increase in speed, or acceler-
Even though both prongs vibrate as mirror ate. When the prong passes through the resting
images of one another, it is convenient to consider position, it is actually moving fastest. Here, inertia
just one of them for the time being. Figure 1.2 high- does not permit the moving mass (prong) to simply
lights the right prong’s motion after being struck. stop, so instead it overshoots the center and con-
Point C (center) is simply the position of the prong tinues its rightward movement under the force of
at rest. Upon being hit (as in Figure 1.1a) the prong
is pushed, as shown by arrow 1, to point L (left).
L C R
The prong then bounces back (arrow 2), picking 1 4
up speed along the way. Instead of stopping at the 2 3

(a) (b) (c) (d) (e)

Figure 1.1 Striking a tuning fork (indicated by the

heavy arrow) results in a pattern of movement
that repeats itself over time. One complete cycle Figure 1.2 Movements toward the right (R)
of these movements is represented from frames and left (L) of the center (C) resting position of
(a) through (e). Note that the two prongs move as a single tuning fork prong. The numbers and
mirror images of one another. arrows refer to the text.
10 Physical concepts

its inertia. However, the prong’s movement is now The events and forces just described are summa-
resulting in deformation of the metal again once rized in Figure 1.3, where the tuning fork’s motion
it passes through the resting position. Elasticity is represented by the curve. This curve represents
therefore comes into play with the buildup of an the displacement to the right and left of the center
opposing (now leftward) restoring force. As before, (resting) position as the distance above and below
the restoring force eventually equals the applied the horizontal line, respectively. Horizontal dis-
(now inertial) force, thus halting the fork’s dis- tance from left to right represents the progression
placement at point R and reversing the direction of of time. The initial dotted line represents its initial
its movement. Here, the course of events described displacement due to the applied force. The elastic
above again comes into play (except that the direc- restoring forces and inertial forces of the prong’s
tion is leftward), with the prong building up speed mass are represented by arrows. Finally, damping
again and overshooting the center (C) position as a is shown by the reduction in the displacement of
result of inertia. The process will continue over and the curve from center as time goes on.
over again until it dies out over time, seemingly “of The type of vibration just described is called
its own accord.” simple harmonic motion (SHM) because the to-
Clearly, the dying out of the tuning fork’s vibra- and-fro movements repeat themselves at the same
tions does not occur by some mystical influence. rate over and over again. We will discuss the nature
On the contrary, it is due to resistance. The vibrat- of SHM in greater detail below with respect to the
ing prong is always in contact with the air around motion of air particles in the sound wave.
it. As a result, there will be friction between the The tuning fork serves as a sound source by
vibrating metal and the surrounding air particles. transferring its vibration to the motion of the sur-
The friction causes some of the mechanical energy rounding air particles (Figure 1.4). (We will again
involved in the movement of the tuning fork to be concentrate on the activity to the right of the fork,
converted into heat. The energy that has been con- remembering that a mirror image of this pattern
verted into heat by friction is no longer available occurs to the left.) The rightward motion of the
to support the to-and-fro movements of the tuning tuning fork prong displaces air molecules to its
fork. Hence, the oscillations die out as continuing right in the same direction as the prong’s motion.
friction causes more and more of the energy to be These molecules are thus displaced to the right of
converted into heat. This reduction in the size of their resting positions, thereby being forced closer
the oscillations due to resistance is called damping. and closer to the particles to their own right. In

Left Time
Displacement from center (C)

rce

Restoring Damping due to friction

ied fo

force Elasticity
resting position

Appl

Inertia Mass

Right

Figure 1.3 Conceptualized diagram graphing the to-and-fro movements of the tuning fork prong in
Figure 1.2. Vertical distance represents the displacement of the prong from its center (C) or resting
position. The dotted line represents the initial displacement of the prong as a result of some applied
force. Arrows indicate the effects of restoring forces due to the fork’s elasticity, and the inertia due
to its mass. The damping effect due to resistance (or friction) is shown by the decreasing displace-
ment of the curve as time progresses, and is highlighted by the shaded triangles (and double-headed
arrows) above and below the curve.
 Harmonic motion and sound 11

L C R As the air molecules move left of their ambi-

(a) ent positions, they are now at an increasingly
greater distance from the molecules to their right
than when they were in their resting positions.
(b) Consequently, the air pressure is reduced below
atmospheric pressure. This state is the opposite
(c) of compression, and is called rarefaction. The air
particles are maximally rarefied so that the pres-
(d)
sure is maximally negative when the molecules
reach the leftmost position. Now, the restoring
force yields a rightward movement of the air mol-
(e) ecules, enhanced by the push of the tuning fork
prong which has also reversed direction. The air
molecules now accelerate rightward, overshoot
Figure 1.4 Transmittal of the vibratory pattern their resting positions (when rarefaction and nega-
from a tuning fork to the surrounding air par-
tive pressure are zero), and continue rightward.
ticles. Frames represent various phases of the
Hence, the SHM of the tuning fork has been trans-
tuning fork’s vibratory cycle. In each frame, the
filled circle represents an air particle next to the mitted to the surrounding air, so that the air mol-
prong as well as its position, and the unfilled ecules are now also under SHM.
circle shows an air molecule adjacent to the first Consider now one of the air molecules set into
one. The latter particle is shown only in its resting SHM by the influence of the tuning fork. This air
position for illustrative purposes. Letters above molecule will vibrate back and forth in the same
the filled circle highlight the relative positions of direction as that of the vibrating prong. When this
the oscillating air particle (C, center [resting]; L, molecule moves rightward, it will cause a similar
leftward; R, rightward). The line connecting the
displacement of the particle to its own right. Thus,
particle’s positions going from frames (a) through
the SHM of the first air molecule is transmitted to
(e) reveals a cycle of simple harmonic motion.
the one next to it. The second one similarly initi-
ates vibration of the one to its right, and so forth
other words, the air pressure has been increased down the line.
above its resting (ambient or atmospheric) pres- In other words, each molecule moves to-and-fro
sure because the molecules are being compressed. around its own resting point, and causes successive
This state is clearly identified by the term “com- molecules to vibrate back and forth around their
pression.” The amount of compression (increased own resting points, as shown schematically by the
air pressure) becomes greater as the tuning fork arrows marked “individual particles” in Figure 1.5.
continues displacing the air molecules rightward; Notice in the figure that each molecule stays in its
it reaches a maximum positive pressure when the
prong and air molecules attain their greatest right- Transverse: λ
ward amplitude.
The prong will now reverse direction, over-
shoot its resting position, and then proceed to its
Longitudinal:
extreme leftward position. The compressed air
molecules will also reverse direction along with
the prong. The reversal occurs because air is an
elastic medium, so that the rightward compressed Individual particles:
particles undergo a leftward restoring force. The
rebounding air molecules accelerate due to mass
effects, overshoot their resting position, and con- Wave propagation
tinue to an extreme leftward position. The amount
of compression decreases as the molecules travel Figure 1.5 Transverse and longitudinal repre-
leftward, and falls to zero at the moment when the sentations of a sinusoidal wave illustrating points
molecules pass through their resting positions. made in the text.
12 Physical concepts

own general location and moves to-and-fro about as though they were transverse, as in the upper part
this average position; and that it is the vibratory of Figure 1.5. Here, the dashed horizontal baseline
pattern that is transmitted. represents the particle’s resting position (ambient
This propagation of vibratory motion from par- pressure), distance above the baseline denotes com-
ticle to particle constitutes the sound wave. This pression (positive pressure), and distance below the
wave appears as alternating compressions and rar- baseline shows rarefaction (negative pressure). The
efactions radiating from the sound source as the passage of time is represented by the distance from
particles transmit their motions outward, and is left to right. Beginning at the resting position, the
represented in Figure 1.5. air molecule is represented as having gone through
The distance covered by one cycle of a propagat- one cycle (or complete repetition) of SHM at point
ing wave is called its wavelength (λ). If we begin 1, two cycles at point 2, three complete cycles at
where a given molecule is at the point of maxi- point 3, and four cycles at point 4.
mum positive displacement (compression), then The curves in Figure 1.5 reveal that the wave-
the wavelength would be the distance to the next form of SHM is a sinusoidal function, and is thus
molecule, which is also at its point of maximum called a sinusoidal wave, also known as a sine
compression. This is the distance between any two wave or a sinusoid. Figure 1.6 elucidates this con-
successive positive peaks in the figure. (Needless to cept and also indicates a number of the character-
say, such a measurement would be equally correct istics of sine waves. The center of the figure shows
if made between identical points on any two suc- one complete cycle of SHM, going from points a
cessive replications of the wave.) The wavelength of through i. The circles around the sine wave cor-
a sound is inversely proportional to its frequency, respond to the various points on the wave, as
as follows: indicated by corresponding letters. Circle (a) cor-
responds to point a on the curve, which falls on the
c baseline. This point corresponds to the particle’s
λ= (1.30) resting position.
f
Circle (a) shows a horizontal radius (r) drawn
from the center to the circumference on the right.
where f is frequency and c is a constant represent-
Imagine as well a second radius (r′) that will rotate
ing the speed of sound. (The speed of sound in air
around the circle in a counterclockwise direction.
approximates 344 m/s at a temperature of 20°C.)
The two radii are superimposed in circle (a) so that
Similarly, frequency can be derived if one knows
the angle between them is 0°. There is clearly no
the wavelength, as:
distance between these two superimposed lines.
This situation corresponds to point a on the sine
c wave at the center of the figure. Hence, point a may
f= (1.31)
λ be said to have an angle of 0°, and no displacement
from the origin. This concept may appear quite
Figure 1.5 reveals that the to-and-fro motions of vague at first, but it will become clear as the second
each air molecule is in the same direction as that in radius (r′) rotates around the circle.
which the overall wave is propagating. This kind of Let us assume that radius r′ is rotating coun-
wave, which characterizes sound, is a longitudinal terclockwise at a fixed speed. When r′ has rotated
wave. In contrast to longitudinal waves, most peo- 45°, it arrives in the position shown in circle (b).
ple are more familiar with transverse waves, such Here, r′ is at an angle of 45° to r. We will call this
as those that develop on the water’s surface when angle the phase angle (θ), which simply reflects the
a pebble is dropped into a still pool. The latter are degree of rotation around the circle, or the number
called transverse waves because the water particles of degrees into the sine wave at the correspond-
vibrate up and down around their resting positions ing point b. We now drop a vertical line from the
at right angles (transverse) to the horizontal propa- point where r′ intersects the circle down to r. We
gation of the surface waves out from the spot where label this line d, representing the vertical distance
the pebble hit the water. between r and the point where r′ intersects the
Even though sound waves are longitudinal, it is circle. The length of this line corresponds to the
more convenient to show them diagrammatically displacement of point b from the baseline of the
 Harmonic motion and sound 13

(b) (c) (d)

r′ r′
θ d θ r′ θ
r r r
θ = 45° θ = 90° θ = 135°
sin θ = .707 sin θ = 1.0 sin θ = .707

c
b d
(a,i) (e)
e
a i θ
r, r′ r′ r

f h θ = 180°
θ = 0°, 360° g
sin θ = 0
sin θ = 0 0 45 90 135 180 225 270 315 360 Degrees
0 π/4 π/2 3π/4 π 5π/4 3π/2 7π/4 2π Radians

(h) (g) (f)

r r θ
θ θ r
r′ θ = 315° r′ θ = 270° r′ θ = 225°
sin θ = –.707 sin θ = –.1 sin θ = –.707

Figure 1.6 The nature of sinusoidal motion (see text).

sine wave (dotted line at [b]). We now see that point (e) by the fact that r and r′ constitute a single hori-
b on the sine wave is 45° into the cycle of SHM, zontal line (diameter). Alternatively stated, r and
at which the displacement of the air particle from r′ intersect the circle’s circumference at points that
its resting position is represented by the height are 180° apart. Here, we have completed half of the
of the point above the baseline. It should now be cycle of SHM, and the phase angle is 180° and the
clear that the sine wave is related to the degrees of displacement from the baseline is again zero.
rotation around a circle. The sine wave’s shape cor- Continuing rotation of r′ places its intersection
responds to the sine of θ as r′ rotates around the with the circumference in the lower left quadrant
circle, which is simply equal to d/r′. of the circle, as in circle (f). Now, θ is 225°, and the
The positive peak of the sine wave at point c cor- particle has overshot and is moving away from its
responds to circle (c), in which r′ has rotated to the resting position in the negative (rarefaction) direc-
straight up position. It is now at a 90° angle to r, and tion. The vertical displacement from the baseline
the distance (d) down to the horizontal radius (r) is is now downward or negative, indicating rarefac-
greatest. Here, we have completed a quarter of the tion. The negative peak of the wave occurs at 270°,
wave and an arc equal to a quarter of the circum- where displacement is maximum in the negative
ference of the circle. Notice now that further coun- direction (point and circle [g]).
terclockwise rotation of r′ results in decreasing the Circle (h) and point h show that the negative
distance (d) down to the horizontal, as shown in displacement has become smaller as the rotating
circle (d) and by the displacement of point d from radius passes 315° around the circle. The air parti-
the baseline of the sine wave. Note also that θ is cle has reversed direction again and is now moving
now 135°. Here, the air particle has reversed direc- toward its original position. At point i, the air par-
tion and is now moving back toward the resting ticle has once again returned to its resting position,
position. When the particle reaches the resting where displacement is again zero. This situation
position (point [e]), it is again at no displacement. corresponds to having completed a 360° rotation,
The zero displacement condition is shown in circle so that r and r′ are once again superimposed. Thus,
14 Physical concepts

360° corresponds to 0°, and circle (i) is one and the repetition of the wave. Thus, four cycles of a sinu-
same with circle (a). We have now completed one soidal wave were shown in Figure 1.5 because it
full cycle. depicts four complete repetitions of the waveform.
Recall that r′ has been rotating at a fixed speed. Because the waveform is repeated over time, this
It therefore follows that the number of degrees tra- sound is said to be periodic. In contrast, a wave-
versed in a given amount of time is determined by form that does not repeat itself over time would be
how fast r′ is moving. If one complete rotation takes called aperiodic.
1 s, then 360° is covered each second. It clearly fol- The amount of time that it takes to complete
lows that if 360° takes 1 s, then 180° takes 0.5 s, 90° one cycle is called its period, denoted by the sym-
takes 0.25 s, 270° takes 0.75 s, and so on. It should bol t (for time). For example, a periodic wave that
now be apparent that the phase angle reflects the repeats itself every millisecond is said to have a
elapsed time from the onset of rotation. Recall from period of 1 ms, or t = 1 ms or 0.001 s. The periods
Figure 1.3 that the waveform shows how particle of the waveforms considered in hearing science are
displacement varies as a function of time. We may overwhelmingly less than 1 s, typically in the mil-
also speak of the horizontal axis in terms of phase, liseconds and even microseconds. However, there
or the equivalent of the number of degrees of rota- are instances when longer periods are encountered.
tion around a circle. Hence, the phase of the wave at The number of times a waveform repeats itself
each of the labeled points in Figure 1.6 would be: 0° per unit of time is its frequency (f). The standard
at (a), 45° at (b), 90° at (c), 135° at (d), 180° at (e), 225° unit of time is the second; thus, frequency is the
at (f), 270° at (g), 315° at (h), and 360° at (i). With number of times that a wave repeats itself in a sec-
an appreciation of phase, it should be apparent that ond, or the number of cycles per second (cps). By
each set of otherwise identical waves in Figure 1.7 convention, the unit of cycles per second is the
differs with respect to phase: (a) wave 2 is offset from hertz (Hz). Thus, a wave that is repeated 1000
wave 1 by 45°; (b) waves 3 and 4 are apart in phase times per second has a frequency of 1000 Hz, and
by 90°; and (c) waves 5 and 6 are 180° out of phase. the frequency of a wave that repeats at 2500 cycles
We may now proceed to define a number of per second is 2500 Hz.
other fundamental aspects of sound waves. A If period is the time it takes to complete one
cycle has already been defined as one complete cycle, and frequency is the number of cycles that
occur each second, then it follows that period and
(a)
1 2 frequency are intimately related. Consider a sine
wave that is repeated 1000 times per second. By
definition it has a frequency of 1000 Hz. Now, if
exactly 1000 cycles take exactly 1 s, then each cycle
must clearly have a duration of 1 ms, or 1/1000 s.
3 4 Similarly, each cycle of a 250-Hz tone must last
(b) 1/250 s, or a period of 4 ms. Formally, then, fre-
quency is the reciprocal of period, and period is the
reciprocal of frequency:

1
5 6 f= (1.32)
(c)
t

and

1
t= (1.33)
f
Figure 1.7 Pairs of sinusoidal waves of identical
frequency differing in phase by (a) 45°, (b) 90°, It has already been noted that the oscillating
and (c) 180°. The numbers serve only to identify air particle is moving back and forth around its
the individual waves. resting or average position. In other words, the air
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 These general facts now began to be commonly recognized, and
followed into detail. Stukeley the antiquary 14 (1724), remarked an
important feature in the strata of England, that their escarpments, or
steepest sides, are turned towards the west and north-west; and
Strachey 15 (1719), gave a stratigraphical description of certain coal-
mines near Bath. 16 Michell, appointed Woodwardian Professor at
Cambridge 512 in 1762, described this stratified structure of the earth
far more distinctly than his predecessors, and pointed out, as the
consequence of it, that “the same kinds of earths, stones, and
minerals, will appear at the surface of the earth in long parallel slips,
parallel to the long ridges of mountains; and so, in fact, we find
them.” 17
14 Itinerarium Curiosum, 1724.

15 Phil. Trans. 1719, and Observations on Strata, &c. 1729.

16 Fitton, Annals of Philosophy, N. S. vol. i. and ii. (1832, ’3), p.

157.

17 Phil. Trans. 1760.

Michell (as appeared by papers of his which were examined after

his death) had made himself acquainted with the series of English
strata which thus occur from Cambridge to York;—that is, from the
chalk to the coal. These relations of position required that geological
maps, to complete the information they conveyed, should be
accompanied by geological Sections, or imaginary representations of
the order and mode of superpositions, as well as of the superficial
extent of the strata, as in more recent times has usually been done.
The strata, as we travel from the higher to the lower, come from
under each other into view; and this out-cropping, basseting, or by
whatever other term it is described, is an important feature in their
description.

It was further noticed that these relations of position were

combined with other important facts, which irresistibly suggested the
notion of a relation in time. This, indeed, was implied in all theories of
the earth; but observations of the facts most require our notice.
Steno is asserted by Humboldt 18 to be the first who (in 1669)
distinguished between rocks anterior to the existence of plants and
animals upon the globe, containing therefore no organic remains;
and rocks super-imposed on these, and full of such remains; “turbidi
maris sedimenta sibi invicem imposita”.
18 Essai Géognostique.

Rouelle is stated, by his pupil Desmarest, to have made some

additional and important observations. “He saw,” it is said, “that the
shells which occur in rocks were not the same in all countries; that
certain species occur together, while others do not occur in the same
beds; that there is a constant order in the arrangement of these
shells, certain species lying in distinct bands.” 19
19 Encycl. Méthod. Geogr. Phys. tom. i. p. 416, as quoted by
Fitton as above, p. 159.

Such divisions as these required to be marked by technical

names. A distinction was made of l’ancienne terre and la nouvelle
terre, to which Rouelle added a travaille intermédiaire. Rouelle died
in 1770, having been known by lectures, not by books. Lehman, in
1756, claims for himself the credit of being the first to observe and
describe correctly the structure of stratified countries; being ignorant,
513 probably, of the labors of Strachey in England. He divided
mountains into three classes; 20 primitive, which were formed with
the world;—those which resulted from a partial destruction of the
primitive rocks;—and a third class resulting from local or universal
deluges. In 1759, also, Arduine, 21 in his Memoirs on the mountains
of Padua, Vicenza, and Verona, deduced, from original observations,
the distinction of rocks into primary, secondary, and tertiary.
20 Lyell, i. 70.

21 Ib. 72.

The relations of position and fossils were, from this period,

inseparably connected with opinions concerning succession in time.
Odoardi remarked, 22 that the strata of the Sub-Apennine hills are
unconformable to those of the Apennine, (as Strachey had observed,
that the strata above the coal were unconformable to the coal; 23 )
and his work contained a clear argument respecting the different
ages of these two classes of hills. Fuchsel was, in 1762, aware of
the distinctness of strata of different ages in Germany. Pallas and
Saussure were guided by general views of the same kind in
observing the countries which they visited: but, perhaps, the general
circulation of such notions was most due to Werner.
22 Ib. 74.

23 Fitton, p. 157.

Sect. 2.—Systematic form given to Descriptive Geology.—Werner.

Werner expressed the general relations of the strata of the earth by

means of classifications which, so far as general applicability is
concerned, are extremely imperfect and arbitrary; he promulgated a
theory which almost entirely neglected all the facts previously
discovered respecting the grouping of fossils,—which was founded
upon observations made in a very limited district of Germany,—and
which was contradicted even by the facts of this district. Yet the
acuteness of his discrimination in the subjects which he studied, the
generality of the tenets he asserted, and the charm which he threw
about his speculations, gave to Geology, or, as he termed it,
Geognosy, a popularity and reputation which it had never before
possessed. His system had asserted certain universal formations,
which followed each other in a constant order;—granite the lowest,—
then mica-slate and clay-slate;—upon these primitive rocks,
generally highly inclined, rest other transition strata;—upon these, lie
secondary ones, which being more nearly horizontal, are called flötz
or flat. The term formation, 514 which we have thus introduced,
indicating groups which, by evidence of all kinds,—of their materials,
their position, and their organic contents,—are judged to belong to
the same period, implies no small amount of theory: yet this term,
from this time forth, is to be looked upon as a term of classification
solely, so far as classification can be separately attended to.

Werner’s distinctions of strata were for the most part drawn from
mineralogical constitution. Doubtless, he could not fail to perceive
the great importance of organic fossils. “I was witness,” says M. de
Humboldt, one of his most philosophical followers, “of the lively
satisfaction which he felt when, in 1792, M. de Schlottheim, one of
the most distinguished geologists of the school of Freiberg, began to
make the relations of fossils to strata the principal object of his
studies.” But Werner and the disciples of his school, even the most
enlightened of them, never employed the characters derived from
organic remains with the same boldness and perseverance as those
who had from the first considered them as the leading phenomena:
thus M. de Humboldt expresses doubts which perhaps many other
geologists do not feel when, in 1823, he says, “Are we justified in
concluding that all formations are characterized by particular
species? that the fossil-shells of the chalk, the muschelkalk, the Jura
limestone, and the Alpine limestone, are all different? I think this
would be pushing the induction much too far.” 24 In Prof. Jamieson’s
Geognosy, which may be taken as a representation of the Wernerian
doctrines, organic fossils are in no instance referred to as characters
of formations or strata. After the curious and important evidence,
contained in organic fossils, which had been brought into view by the
labors of Italian, English, and German writers, the promulgation of a
system of Descriptive Geology, in which all this evidence was
neglected, cannot be considered otherwise than as a retrograde step
in science.
24 Gissement des Roches, p. 41.

Werner maintained the aqueous deposition of all strata above the

primitive rocks; even of those trap rocks, to which, from their
resemblance to lava and other phenomena, Raspe, Arduino, and
others, had already assigned a volcanic origin. The fierce and long
controversy between the Vulcanists and Neptunists, which this
dogma excited, does not belong to this part of our history; but the
discovery of veins of granite penetrating the superincumbent slate, to
which the controversy led, was an important event in descriptive
geology. Hutton, the 515 author of the theory of igneous causation
which was in this country opposed to that of Werner, sought and
found this phenomenon in the Grampian hills, in 1785. This
supposed verification of his system “filled him with delight, and called
forth such marks of joy and exultation, that the guides who
accompanied him were persuaded, says his biographer, 25 that he
must have discovered a vein of silver or gold.” 26
 25 Playfair’s Works, vol. iv. p. 75.

26 Lyell, i. 90.

Desmarest’s examination of Auvergne (1768) showed that there

was there an instance of a country which could not even be
described without terms implying that the basalt, which covered so
large a portion of it, had flowed from the craters of extinct volcanoes.
His map of Auvergne was an excellent example of a survey of such
a country, thus exhibiting features quite different from those of
common stratified countries. 27
27 Lyell, i. 86.

The facts connected with metalliferous veins were also objects of

Werner’s attention. A knowledge of such facts is valuable to the
geologist as well as to the miner, although even yet much difficulty
attends all attempts to theorize concerning them. The facts of this
nature have been collected in great abundance in all mining districts;
and form a prominent part of the descriptive geology of such
districts; as, for example, the Hartz, and Cornwall.

Without further pursuing the history of the knowledge of the

inorganic phenomena of the earth, I turn to a still richer department
of geology, which is concerned with organic fossils.

Sect. 3.—Application of Organic Remains as a Geological Character.

—Smith.

Rouelle and Odoardi had perceived, as we have seen, that fossils

were grouped in bands: but from this general observation to the
execution of a survey of a large kingdom, founded upon this
principle, would have been a vast stride, even if the author of it had
been aware of the doctrines thus asserted by these writers. In fact,
however, William Smith executed such a survey of England, with no
other guide or help than his own sagacity and perseverance. In his
employments as a civil engineer, he noticed the remarkable
continuity and constant order of the strata in the neighborhood of
Bath, as discriminated by their fossils; and about the year 1793, he 28
drew up a Tabular View of the 516 strata of that district, which
contained the germ of his subsequent discoveries. Finding in the
north of England the same strata and associations of strata with
which he had become acquainted in the west, he was led to name
them and to represent them by means of maps, according to their
occurrence over the whole face of England. These maps appeared 29
in 1815; and a work by the same author, entitled The English Strata
identified by Organic Remains, came forth later. But the views on
which this identification of strata rests, belong to a considerably
earlier date; and had not only been acted upon, but freely imparted
in conversation many years before.
28 Fitton, p. 148.

29 Brit. Assoc. 1832. Conybeare, p. 373.

In the meantime the study of fossils was pursued with zeal in

various countries. Lamarck and Defrance employed themselves in
determining the fossil shells of the neighborhood of Paris; 30 and the
interest inspired by this subject was strongly nourished and
stimulated by the memorable work of Cuvier and Brongniart, On the
Environs of Paris, published in 1811, and by Cuvier’s subsequent
researches on the subjects thus brought under notice. For now, not
only the distinction, succession, and arrangement, but many other
relations among fossil strata, irresistibly arrested the attention of the
philosopher. Brongniart 31 showed that very striking resemblances
occurred in their fossil remains, between certain strata of Europe and
of North America; and proved that a rock may be so much disguised,
that the identity of the stratum can only be recognized by geological
characters. 32
30 Humboldt, Giss. d. R. p. 35.

31 Hist. Nat. des Crustacés Fossiles, pp. 57, 62.

32 Humboldt, Giss. d. R. p. 45.

The Italian geologists had found in their hills, for the most part, the
same species of shells which existed in their seas; but the German
and English writers, as Gesner, 33 Raspe, 34 and Brander, 35 had
perceived that the fossil-shells were either of unknown species, or of
such as lived in distant latitudes. To decide that the animals and
plants, of which we find the remains in a fossil state, were of species
now extinct, obviously required an exact and extensive knowledge of
natural history. And if this were so, to assign the relations of the past
to the existing tribes of beings, and the peculiarities of their vital
processes and habits, were tasks which could not be performed
without the most consummate physiological skill and talent. Such
tasks, however, have been the familiar employments of geologists,
and naturalists incited and 517 appealed to by geologists, ever since
Cuvier published his examination of the fossil inhabitants of the Paris
basin. Without attempting a history of such labors, I may notice a few
circumstances connected with them.
33 Lyell, i. 70.

34 Ib. 74.

35 Ib. 76.
 Sect. 4.—Advances in Palæontology.—Cuvier.

So long as the organic fossils which were found in the strata of the
earth were the remains of marine animals, it was very difficult for
geologists to be assured that the animals were such as did not exist
in any part or clime of the existing ocean. But when large land and
river animals were discovered, different from any known species, the
persuasion that they were of extinct races was forced upon the
naturalist. Yet this opinion was not taken up slightly, nor acquiesced
in without many struggles.

Bones supposed to belong to fossil elephants, were some of the

first with regard to which this conclusion was established. Such
remains occur in vast numbers in the soil and gravel of almost every
part of the world; especially in Siberia, where they are called the
bones of the mammoth. They had been noticed by the ancients, as
we learn from Pliny; 36 and had been ascribed to human giants, to
elephants imported by the Romans, and to many other origins. But in
1796, Cuvier had examined these opinions with a more profound
knowledge than his predecessors; and he thus stated the result of
his researches. 37 “With regard to what have been called the fossil
remains of elephants, from Tentzelius to Pallas, I believe that I am in
the condition to prove, that they belong to animals which were very
clearly different in species from our existing elephants, although they
resembled them sufficiently to be considered as belonging to the
same genera.” He had founded this conclusion principally on the
structure of the teeth, which he found to differ in the Asiatic and
African elephant; while, in the fossil animal, it was different from
both. But he also reasoned in part on the form of the skull, of which
the best-known example had been described in the Philosophical
Transactions as early as 1737. 38 “As soon,” says Cuvier, at a later
period, “as I became acquainted with Messerschmidt’s drawing, and
joined to the differences which it presented, those which I had myself
observed in the inferior jaw and the 518 molar teeth, I no longer
doubted that the fossil elephants were of a species different from the
Indian elephant. This idea, which I announced to the Institute in the
month of January, 1796, opened to me views entirely new respecting
the theory of the earth; and determined me to devote myself to the
long researches and to the assiduous labors which have now
occupied me for twenty-five years.” 39
36 Hist. Nat. lib. xxxvi. 18.

37 Mém. Inst. Math. et Phys. tom. ii. p. 4.

38Described by Breyne from a specimen found in Siberia by

Messerschmidt in 1722. Phil. Trans. xl. 446.

39 Ossemens Fossiles, second edit. i. 178.

We have here, then, the starting-point of those researches

concerning extinct animals, which, ever since that time, have
attracted so large a share of notice from geologists and from the
world. Cuvier could hardly have anticipated the vast storehouse of
materials which lay under his feet, ready to supply him occupation of
the most intense interest in the career on which he had thus entered.
The examination of the strata on which Paris stands, and of which its
buildings consist, supplied him with animals, not only different from
existing ones, but some of them of great size and curious
peculiarities. A careful examination of the remains which these strata
contain was undertaken soon after the period we have referred to. In
1802, Defrance had collected several hundreds of undescribed
species of shells; and Lamarck 40 began a series of Memoirs upon
them; remodelling the whole of Conchology, in order that they might
be included in its classifications. And two years afterwards (1804)
appears the first of Cuvier’s grand series of Memoirs containing the
restoration of the vertebrate animals of these strata. In this vast
natural museum, and in contributions from other parts of the globe,
he discovered the most extraordinary creatures:—the
Palæotherium, 41 which is intermediate between the horse and the
pig; the Anoplotherium, which stands nearest to the rhinoceros and
the tapir; the Megalonix and Megatherium, animals of the sloth tribe,
but of the size of the ox and the rhinoceros. The Memoirs which
contained these and many other discoveries, set the naturalists to
work in every part of Europe.
40 Annales du Muséum d’Hist. Nat. tom. i. p. 308, and the
following volumes.

41 Daubuisson, ii. 411.

Another very curious class of animals was brought to light

principally by the geologists of England; animals of which the bones,
found in the lias stratum, were at first supposed to be those of
crocodiles. But in 1816, 42 Sir Everard Home says, “In truth, on a
consideration of this skeleton, we cannot but be inclined to believe,
that among the animals destroyed by the catastrophes of remote
antiquity, there had 519 been some at least that differ so entirely in
their structure from any which now exist as to make it impossible to
arrange their fossil remains with any known class of animals.” The
animal thus referred to, being clearly intermediate between fishes
and lizards, was named by Mr. König, Ichthyosaurus; and its
structure and constitution were more precisely determined by Mr.
Conybeare in 1821, when he had occasion to compare with it
another extinct animal of which he and Mr. de la Beche had collected
the remains. This animal, still more nearly approaching the lizard
tribe, was by Mr. Conybeare called Plesiosaurus. 43 Of each of these
two genera several species were afterwards found.
42 Phil. Trans. 1816, p. 20.

43 Geol. Trans. vol. v.

Before this time, the differences of the races of animals and plants
belonging to the past and the present periods of the earth’s history,
had become a leading subject of speculation among geological
naturalists. The science produced by this study of the natural history
of former states of the earth has been termed Palæontology; and
there is no branch of human knowledge more fitted to stir men’s
wonder, or to excite them to the widest physiological speculations.
But in the present part of our history this science requires our notice,
only so far as it aims at the restoration of the types of ancient
animals, on clear and undoubted principles of comparative anatomy.
To show how extensive and how conclusive is the science when thus
directed, we need only refer to Cuvier’s Ossemens Fossiles; 44 a
work of vast labor and profound knowledge, which has opened wide
the doors of this part of geology. I do not here attempt even to
mention the labors of the many other eminent contributors to
Palæontology; as Brocchi, Des Hayes, Sowerby, Goldfuss, Agassiz,
who have employed themselves on animals, and Schlottheim,
Brongniart, Hutton, Lindley, on plants.
44The first edition appeared in 1812, consisting principally of the
Memoirs to which reference has already been made.

[2nd Ed.] [Among the many valuable contributions to

Palæontology in more recent times, I may especially mention Mr.
Owen’s Reports on British Fossil Reptiles, on British Fossil
Mammalia, and on the Extinct Animals of Australia, with descriptions
of certain Fossils indicative of large Marsupial Pachydermata: and M.
Agassiz’s Report on the Fossil Fishes of the Devonian System, his
Synoptical Table of British Fossil Fishes, and his Report on the
Fishes of the London Clay. All these are contained in the volumes
produced by the British Association from 1839 to 1845. 520

A new and most important instrument of palæontological

investigation has been put in the geologist’s hand by Prof. Owen’s
discovery, that the internal structure of teeth, as disclosed by the
microscope, is a means of determining the kind of the animal. He
has carried into every part of the animal kingdom an examination
founded upon this discovery, and has published the results of this in
his Odontography. As an example of the application of this character
of animals, I may mention that a tooth brought from Riga by Sir R.
Murchison was in this way ascertained by Mr. Owen to belong to a
fish of the genus Dendrodus. (Geology of Russia, i. 67.)]

When it had thus been established, that the strata of the earth are
characterized by innumerable remains of the organized beings which
formerly inhabited it, and that anatomical and physiological
considerations must be carefully and skilfully applied in order rightly
to interpret these characters, the geologist and the palæontologist
obviously had, brought before them, many very wide and striking
questions. Of these we may give some instances; but, in the first
place, we may add a few words concerning those eminent
philosophers to whom the science owed the basis on which
succeeding speculations were to be built.

Sect. 5.—Intellectual Characters of the Founders of Systematic

Descriptive Geology.
It would be in accordance with the course we have pursued in
treating of other subjects, that we should attempt to point out in the
founders of the science now under consideration, those intellectual
qualities and habits to which we ascribe their success. The very
recent date of the generalizations of geology, which has hardly
allowed us time to distinguish the calm expression of the opinion of
the wisest judges, might, in this instance, relieve us from such a
duty; but since our plan appears to suggest it, we will, at least,
endeavor to mark the characters of the founders of geology, by a few
of their prominent lines.

The three persons who must be looked upon as the main authors
of geological classification are, Werner, Smith, and Cuvier. These
three men were of very different mental constitution; and it will,
perhaps, not be difficult to compare them, in reference to those
qualities which we have all along represented as the main features
of the discoverer’s genius, clearness of ideas, the possession of
numerous facts, and the power of bringing these two elements into
contact. 521

In the German, considering him as a geologist, the ideal element

predominated. That Werner’s powers of external discrimination were
extremely acute, we have seen in speaking of him as a mineralogist;
and his talent and tendency for classifying were, in his mineralogical
studies, fully fed by an abundant store of observation; but when he
came to apply this methodizing power to geology, the love of system,
so fostered, appears to have been too strong for the collection of
facts he had to deal with. As we have already said, he promulgated,
as representing the world, a scheme collected from a province, and
even too hastily gathered from that narrow field. Yet his intense spirit
of method in some measure compensated for other deficiencies, and
enabled him to give the character of a science to what had been
before a collection of miscellaneous phenomena. The ardor of
system-making produced a sort of fusion, which, however superficial,
served to bind together the mass of incoherent and mixed materials,
and thus to form, though by strange and anomalous means, a
structure of no small strength and durability, like the ancient vitrified
structures which we find in some of our mountain regions.

Of a very different temper and character was William Smith. No

literary cultivation of his youth awoke in him the speculative love of
symmetry and system; but a singular clearness and precision of the
classifying power, which he possessed as a native talent, was
exercised and developed by exactly those geological facts among
which his philosophical task lay. Some of the advances which he
made, had, as we have seen, been at least entered upon by others
who preceded him: but of all this he was ignorant; and, perhaps,
went on more steadily and eagerly to work out his own ideas, from
the persuasion that they were entirely his own. At a later period of
his life, he himself published an account of the views which had
animated him in his earlier progress. In this account 45 he dates his
attempts to discriminate and connect strata from the year 1790, at
which time he was twenty years old. In 1792, he “had considered
how he could best represent the order of superposition—continuity of
course—and general eastern declination of the strata.” Soon after,
doubts which had arisen were removed by the “discovery of a mode
of identifying the strata by the organized fossils respectively
imbedded therein.” And “thus stored with ideas,” as he expresses
himself, he began to communicate them to his friends. In all this, we
see great vividness 522 of thought and activity of mind, unfolding
itself exactly in proportion to the facts with which it had to deal. We
are reminded of that cyclopean architecture in which each stone, as
it occurs, is, with wonderful ingenuity, and with the least possible
alteration of its form, shaped so as to fit its place in a solid and
lasting edifice.
45 Phil. Mag. 1833, vol. i. p. 38.

Different yet again was the character (as a geological discoverer)

of the great naturalist of the beginning of the nineteenth century. In
that part of his labors of which we have now to speak, Cuvier’s
dominant ideas were rather physiological than geological. In his
views of past physical changes, he did not seek to include any
ranges of facts which lay much beyond the narrow field of the Paris
basin. But his sagacity in applying his own great principle of the
Conditions of Existence, gave him a peculiar and unparalleled power
in interpreting the most imperfect fossil records of extinct anatomy. In
the constitution of his mind, all philosophical endowments were so
admirably developed and disciplined, that it was difficult to say,
whether more of his power was due to genius or to culture. The
talent of classifying which he exercised in geology, was the result of
the most complete knowledge and skill in zoology; while his views
concerning the revolutions which had taken place in the organic and
inorganic world, were in no small degree aided by an extraordinary
command of historical and other literature. His guiding ideas had
been formed, his facts had been studied, by the assistance of all the
sciences which could be made to bear upon them. In his geological
labors we seem to see some beautiful temple, not only firm and fair
in itself, but decorated with sculpture and painting, and rich in all that
art and labor, memory and imagination, can contribute to its beauty.

[2nd Ed.] [Sir Charles Lyell (B. i. c. iv.) has quoted with approval
what I have elsewhere said, that the advancement of three of the
main divisions of geology in the beginning of the present century was
promoted principally by the three great nations of Europe,—the
German, the English, and the French:—Mineralogical Geology by
the German school of Werner:—Secondary Geology by Smith and
his English successors;—Tertiary Geology by Cuvier and his fellow-
laborers in France.] 523
 CHAPTER III.

Sequel to the Formation of Systematic Descriptive Geology.

Sect. 1.—Reception and Diffusion of Systematic Geology.

I Freferred,
our nearness to the time of the discoveries to which we have just
embarrasses us in speaking of their authors, it makes it
still more difficult to narrate the reception with which these
discoveries met. Yet here we may notice a few facts which may not
be without their interest.

The impression which Werner made upon his hearers was very
strong; and, as we have already said, disciples were gathered to his
school from every country, and then went forward into all parts of the
world, animated by the views which they had caught from him. We
may say of him, as has been so wisely said of a philosopher of a
very different kind, 46 “He owed his influence to various causes; at
the head of which may be placed that genius for system, which,
though it cramps the growth of knowledge, perhaps finally atones for
that mischief by the zeal and activity which it rouses among followers
and opponents, who discover truth by accident, when in pursuit of
weapons for their warfare.” The list of Werner’s pupils for a
considerable period included most of the principal geologists of
Europe; Freisleben, Mohs, Esmark, d’Andrada, Raumer, Engelhart,
Charpentier, Brocchi. Alexander von Humboldt and Leopold von
Buch went forth from his school to observe America and Siberia, the
Isles of the Atlantic, and the coast of Norway. Professor Jameson
established at Edinburgh a Wernerian Society; and his lecture-room
became a second centre of Wernerian doctrines, whence proceeded
many zealous geological observers; among these we may mention
as one of the most distinguished, M. Ami Boué, though, like several
others, he soon cast away the peculiar opinions of the Wernerian
school. The classifications of this school were, however, diffused
over the civilized world with 524 extraordinary success; and were
looked upon with great respect, till the study of organic fossils threw
them into the shade.
46 Mackintosh on Hobbes, Dissert. p. 177.

Smith, on the other hand, long pursued his own thoughts without
aid and without sympathy. About 1799 he became acquainted with a
few gentlemen (Dr. Anderson, Mr. Richardson, Mr. Townsend, and
Mr. Davies), who had already given some attention to organic fossils,
and who were astonished to find his knowledge so much more exact
and extensive than their own. From this time he conceived the
intention of publishing his discoveries; but the want of literary leisure
and habits long prevented him. His knowledge was orally
communicated without reserve to many persons; and thus gradually
and insensibly became part of the public stock. When this diffusion
of his views had gone on for some time, his friends began to
complain that the author of them was deprived of his well-merited
share of fame. His delay in publication made it difficult to remedy this
wrong; for soon after he published his Geological Map of England,
another appeared, founded upon separate observations; and though,
perhaps, not quite independent of his, yet in many respects much
more detailed and correct. Thus, though his general ideas obtained
universal currency, he did not assume his due prominence as a
geologist. In 1818, a generous attempt was made to direct a proper
degree of public gratitude to him, in an article in the Edinburgh
Review, the production of Dr. Fitton, a distinguished English
geologist. And when the eminent philosopher, Wollaston, had
bequeathed to the Geological Society of London a fund from which a
gold medal was to be awarded to geological services, the first of
such medals was, in 1831, “given to Mr. William Smith, in
consideration of his being a great original discoverer in English
geology; and especially for his having been the first in this country to
discover and to teach the identification of strata, and to determine
their succession by means of their imbedded fossils.”

Cuvier’s discoveries, on the other hand, both from the high

philosophic fame of their author, and from their intrinsic importance,
arrested at once the attention of scientific Europe; and,
notwithstanding the undoubted priority of Smith’s labors, for a long
time were looked upon as the starting-point of our knowledge of
organic fossils. And, in reality, although Cuvier’s memoirs derived the
greatest part of their value from his zoological conclusions, they
reflected back no small portion of interest on the classifications of
strata which were involved in his inferences. And the views which he
presented gave to geology an attractive and striking character, and a
connexion with 525 large physiological as well as physical principles,
which added incomparably to its dignity and charm.

In tracing the reception and diffusion of doctrines such as those of

Smith and Cuvier, we ought not to omit to notice more especially the
formation and history of the Geological Society of London, just
mentioned. It was established in 1807, with a view to multiply and
record observations, and patiently to await the result of some future
period; that is, its founders resolved to apply themselves to
Descriptive Geology, thinking the time not come for that theoretical
geology which had then long fired the controversial ardor of