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HEARING
An Introduction to Psychological and
Physiological Acoustics
HEARING
An Introduction to Psychological and
Physiological Acoustics
SIXTH EDITION
This book contains information obtained from authentic and highly regarded sources. While all reasonable efforts have been
made to publish reliable data and information, neither the author[s] nor the publisher can accept any legal responsibility or
liability for any errors or omissions that may be made. The publishers wish to make clear that any views or opinions expressed
in this book by individual editors, authors or contributors are personal to them and do not necessarily reflect the views/
opinions of the publishers. The information or guidance contained in this book is intended for use by medical, scientific or
health-care professionals and is provided strictly as a supplement to the medical or other professional’s own judgement, their
knowledge of the patient’s medical history, relevant manufacturer’s instructions and the appropriate best practice guidelines.
Because of the rapid advances in medical science, any information or advice on dosages, procedures or diagnoses should be
independently verified. The reader is strongly urged to consult the relevant national drug formulary and the drug companies’
and device or material manufacturers’ printed instructions, and their websites, before administering or utilizing any of the
drugs, devices or materials mentioned in this book. This book does not indicate whether a particular treatment is appropriate
or suitable for a particular individual. Ultimately it is the sole responsibility of the medical professional to make his or her
own professional judgements, so as to advise and treat patients appropriately. The authors and publishers have also attempted
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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
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
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,
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):
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
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
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
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
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
r r θ
θ θ r
r′ θ = 315° r′ θ = 270° r′ θ = 225°
sin θ = –.707 sin θ = –.1 sin θ = –.707
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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dit, mais duc della città di Penna, titre donné par le pape Clément
VII, comme un acheminement au titre de grand-duc de Toscane.
De Laurent sont descendus le Brutus florentin, Lorenzino qui tua
le duc Alexandre; Cosme, le premier grand-duc, et tous les
souverains de la Toscane jusqu’en 1737, époque à laquelle s’éteignit
la maison.
Mais aucune de ces deux branches, la branche Cosme et la
branche Laurent, ne règnent en ligne droite, jusqu’au moment où la
Toscane, asservie par le père de Marie de Médicis, a vu ses grands-
ducs se succédant naturellement. Ainsi, Alexandre de Médicis, celui
qui eut le titre de duc della città di Penna, et qui fut assassiné par
Lorenzino, était fils du duc d’Urbin, père de Catherine, et d’une
esclave mauresque. Aussi Lorenzino, fils légitime de Laurent, avait-il
doublement le droit de tuer Alexandre, et comme usurpateur dans sa
maison, et comme oppresseur de la ville. Quelques historiens
croient même qu’Alexandre était fils de Clément VII. Ce qui fit
reconnaître ce bâtard pour chef de la république et de la famille
Médicis, fut son mariage avec Marguerite d’Autriche, fille naturelle
de Charles-Quint.
François Médicis, l’époux de Bianca Capello, accepta pour son
fils, un enfant du peuple acheté par cette célèbre Vénitienne, et,
chose étrange, Ferdinand en succédant à François, maintint cet
enfant supposé dans ses droits. Cet enfant, nommé don Antoine de
Médicis, fut considéré pendant quatre règnes comme étant de la
famille, il se concilia l’affection de chacun, rendit d’importants
services à la famille, et fut universellement regretté.
Presque tous les premiers Médicis eurent des enfants naturels,
dont le sort a toujours été brillant. Ainsi, le cardinal Jules de Médicis,
qui fut pape sous le nom de Clément VII, était fils illégitime de Julien
Ier. Le cardinal Hippolyte de Médicis était également un bâtard, peu
s’en fallut qu’il ne devînt pape, et chef de la famille.
Quelques faiseurs d’anecdotes veulent que le duc d’Urbin, père
de Catherine, lui ait dit: A figlia d’inganno non manca mai figlioanza
(une fille d’esprit sait toujours avoir des enfants), à propos d’un
certain défaut de conformation dont était atteint Henri, second fils de
François Ier, son prétendu. Or, Laurent II de Médicis, père de
Catherine, qui avait épousé en 1518, en secondes noces, Madeleine
de la Tour-d’Auvergne, mourut le 28 avril 1519, quelques jours après
sa femme, dont la mort fut causée par l’accouchement de sa fille
Catherine. Catherine fut donc orpheline de père et de mère aussitôt
qu’elle vit le jour. De là, les étranges aventures de son enfance
mêlée aux débats sanglants des Florentins, qui voulaient reconquérir
leur liberté, contre les Médicis qui voulaient régner sur Florence et
se conduisaient avec tant de circonspection, que le père de
Catherine portait le titre de duc d’Urbin. A la mort de Laurent, père
de Catherine, le chef légitime de la maison de Médicis, était le pape
Léon X, qui fit gouverner Florence par ce fils illégitime de Julien,
Jules de Médicis, alors cardinal. Léon X était le grand-oncle de
Catherine, et ce cardinal Jules, qui fut Clément VII, n’était son oncle
que de la main gauche. C’est ce qui fit si plaisamment nommer ce
pape par Brantôme, un oncle en Notre-Dame. Ce fut pendant le
siége de Florence, entrepris par les Médicis pour y rentrer, que le
parti républicain, non content d’avoir enfermé Catherine, âgée de
neuf ans, dans un couvent après l’avoir dépouillée de tous ses
biens, voulut l’exposer entre deux créneaux au feu de l’artillerie, sur
la proposition d’un nommé Baptiste Cei. Bernard Castiglione alla
plus loin dans un conseil tenu pour aviser à terminer les affaires, il
fut d’avis que, loin de remettre Catherine au pape qui la
redemandait, il fallait la livrer aux soldats pour la déshonorer. On voit
que toutes les révolutions populaires se ressemblent. La politique de
Catherine qui favorisait tant le pouvoir royal, pouvait avoir été
conseillée par de telles scènes, qu’une Italienne de neuf ans ne
pouvait pas ignorer.
L’élévation d’Alexandre de Médicis, à laquelle le bâtard Clément
VII contribua tant, eut sans doute pour principe son illégitimité
même, et l’amour de Charles-Quint pour sa fameuse bâtarde
Marguerite. Ainsi le pape et l’empereur furent inspirés par le même
sentiment. A cette époque, Venise avait le commerce du monde,
Rome en avait le gouvernement moral; l’Italie régnait encore par les
poëtes, par les généraux, par les hommes d’État nés chez elle. Dans
aucun temps on ne vit dans un pays une si curieuse, une si
abondante réunion d’hommes de génie. Il y en eut tant alors, que les
moindres princes étaient des hommes supérieurs. L’Italie crevait de
talent, d’audace, de science, de poésie, de richesse, de galanterie,
quoique déchirée par de continuelles guerres intestines, et
quoiqu’elle fût le rendez-vous de tous les conquérants qui se
disputaient ses plus belles contrées. Quand les hommes sont si
forts, ils ne craignent pas d’avouer leur faiblesse. De là, sans doute
cet âge d’or des bâtards. Il faut d’ailleurs rendre cette justice aux
enfants illégitimes de la maison de Médicis, qu’ils étaient ardents
pour la gloire et l’augmentation de biens et de pouvoir de cette
famille. Aussi dès que le duc della città di Penna, le fils de la
Mauresque, fut installé comme tyran de Florence, épousa-t-il l’intérêt
du pape Clément VII, pour la fille de Laurent II, alors âgée de onze
ans.
Quand on étudie la marche des affaires et celle des hommes
dans ce curieux seizième siècle, on ne doit jamais oublier que la
politique eut alors pour élément une perpétuelle finesse qui
détruisait, chez tous les caractères, cette allure droite, cette carrure
que l’imagination exige des personnages éminents. Là, surtout, est
l’absolution de Catherine. Cette observation fait justice de toutes les
accusations banales et folles des écrivains de la Réformation. Ce fut
le plus bel âge de cette politique dont le code a été écrit par
Machiavel comme par Spinosa, par Hobbes comme par
Montesquieu, car le dialogue de Sylla et d’Eucrate contient la vraie
pensée de Montesquieu, que ses liaisons avec le parti
encyclopédique ne lui permettaient pas de développer autrement.
Ces principes sont aujourd’hui la morale secrète de tous les cabinets
où se trament les plans de quelque vaste domination. En France,
nous avons blâmé Napoléon quand il faisait usage de ce génie
italien qu’il avait in cute, et dont les combinaisons n’ont pas toujours
réussi; mais Charles-Quint, Catherine, Philippe II, Jules II, ne se
seraient pas conduits autrement que lui dans l’affaire d’Espagne.
Dans le temps où naquit Catherine, l’histoire, si elle était rapportée
au point de vue de la probité, paraîtrait un roman impossible.
Charles-Quint, obligé de soutenir le catholicisme en présence des
attaques de Luther, qui menaçait le Trône en menaçant la Tiare,
laisse faire le siége de Rome et tient le pape Clément VII en prison.
Ce même Clément VII, qui n’a pas d’ennemi plus cruel que Charles-
Quint, lui fait la cour pour pouvoir placer Alexandre de Médicis à
Florence, et Charles-Quint donne sa fille à ce bâtard. Aussitôt établi,
Alexandre, de concert avec Clément, essaye de nuire à Charles-
Quint, en s’alliant à François Ier, au moyen de Catherine de Médicis,
et tous deux lui promettent de l’aider à reconquérir l’Italie. Lorenzino
de Médicis se fait le compagnon de débauche et le complaisant du
duc Alexandre, pour pouvoir le tuer. Philippe Strozzi, l’une des plus
grandes âmes de ce temps, eut ce meurtre dans une telle estime,
qu’il jura que chacun de ses fils épouserait une des filles du
meurtrier, et chaque fils accomplit religieusement la promesse du
père, quand chacun d’eux, protégé par Catherine, pouvait faire de
brillantes alliances, car l’un fut l’émule de Doria, l’autre maréchal de
France. Cosme de Médicis, le successeur d’Alexandre, avec lequel il
n’avait aucune parenté, vengea la mort de ce tyran de la façon la
plus cruelle, et avec une persistance de douze années, pendant
lesquelles sa haine fut toujours aussi vivace contre des gens qui lui
avaient, en définitif, donné le pouvoir. Il avait dix-huit ans au moment
où il fut appelé à la souveraineté; son premier acte fut de faire
déclarer nuls les droits des fils légitimes d’Alexandre, tout en
vengeant Alexandre!... Charles-Quint confirma l’exhérédation de son
petit-fils, et reconnut Cosme à la place du fils d’Alexandre. Placé sur
le trône par le cardinal Cibo, Cosme l’exila sur-le-champ. Aussi le
cardinal Cibo accusa-t-il aussitôt sa créature, ce Cosme, qui fut le
premier grand-duc, d’avoir voulu faire empoisonner le fils
d’Alexandre. Ce grand-duc, jaloux de sa puissance autant que
Charles-Quint l’était de la sienne, de même que l’empereur, abdiqua
en faveur de son fils François, après avoir fait tuer son autre fils, don
Garcias, pour venger la mort du cardinal Jean de Médicis, que
Garcias avait assassiné. Cosme Ier et son fils François, qui auraient
dû être dévoués corps et âme à la maison de France, la seule
puissance qui pût les appuyer, furent les valets de Charles-Quint et
de Philippe II, et par conséquent les ennemis secrets, lâches et
perfides de Catherine de Médicis, l’une des gloires de leur maison.
Tels sont les principaux traits contradictoires et illogiques, les
fourberies, les noires intrigues de la seule maison de Médicis. Par
cette esquisse, on peut juger des autres princes de l’Italie et de
l’Europe? Tous les envoyés de Cosme Ier à la cour de France eurent
dans leurs instructions secrètes l’ordre d’empoisonner Strozzi, le
parent de la reine Catherine, quand il s’y trouvait. Charles-Quint fit
assassiner trois ambassadeurs de François Ier.
Ce fut au commencement du mois d’octobre 1533, que le duc
della città di Penna partit de Florence pour Livourne, accompagné
de l’unique héritière de Laurent II, Catherine de Médicis. Le duc et la
princesse de Florence, car tel était le titre sous lequel cette jeune
fille, alors âgée de quatorze ans, fut désignée, quittèrent la ville,
entourés par une troupe considérable de serviteurs, d’officiers, de
secrétaires, précédés de gens d’armes et suivis d’une escorte de
cavaliers. La jeune princesse ne savait encore rien de sa destinée, si
ce n’est que le pape allait avoir à Livourne une entrevue avec le duc
Alexandre; mais son oncle, Philippe Strozzi, lui révéla bientôt l’avenir
auquel elle était promise.
Philippe Strozzi avait épousé Clarisse de Médicis, sœur
consanguine de Laurent de Médicis, duc d’Urbin, père de Catherine;
mais ce mariage, fait autant pour convertir à la cause des Médicis un
des plus fermes appuis du parti populaire que pour ménager le
rappel des Médicis, alors bannis, ne fit jamais varier ce rude
champion, qui fut persécuté par son parti pour l’avoir conclu. Malgré
les apparents changements de sa conduite, un peu dominée par
cette alliance, il resta fidèle au parti populaire, et se déclara contre
les Médicis dès qu’il eut pressenti leur dessein d’asservir Florence.
Ce grand homme résista même à l’offre d’une principauté que lui fit
Léon X. Philippe Strozzi se trouvait en ce moment victime de la
politique des Médicis, si vacillante dans les moyens, mais si fixe
dans son but. Après avoir partagé les malheurs de la captivité de
Clément VII, quand, surpris par les Colonne, il s’était réfugié dans le
château Saint-Ange, il fut livré par Clément comme otage et
emmené à Naples. Comme le pape, une fois libre, tomba rudement
sur ses ennemis, Strozzi faillit perdre la vie, et fut obligé de donner
une somme énorme pour sortir de la prison où il était étroitement
gardé. Quand il se vit libre, il eut, par une inspiration de la bonhomie
naturelle à l’honnête homme, la simplicité de se présenter à Clément
VII, qui s’était peut-être flatté de s’en être débarrassé. Le pape
devait tellement rougir de sa conduite, qu’il fit à Strozzi le plus
mauvais accueil. Strozzi avait ainsi commencé très-jeune
l’apprentissage de la vie malheureuse de l’homme probe en
politique, dont la conscience ne se prête point aux caprices des
événements; dont les actions ne plaisent qu’à la vertu, qui se trouve
alors persécuté par tous: par le peuple, en s’opposant à ses
passions aveugles, par le pouvoir, en s’opposant à ses usurpations.
La vie de ces grands citoyens est un martyre dans lequel ils ne sont
soutenus que par la forte voix de leur conscience et par un héroïque
sentiment du devoir social, qui leur dicte en toutes choses leur
conduite. Il y eut beaucoup de ces hommes dans la république de
Florence, tous aussi grands que Strozzi, et aussi complets que leurs
adversaires du parti Médicis, quoique vaincus par leur ruse
florentine. Qu’y a-t-il de plus digne d’admiration dans la conjuration
des Pazzi, que la conduite du chef de cette maison, dont le
commerce était immense, et qui règle tous ses comptes avec l’Asie,
le Levant et l’Europe avant d’exécuter ce vaste dessein, afin que s’il
succombait, ses correspondants n’eussent rien à perdre. Aussi
l’histoire de l’établissement de la maison de Médicis du quatorzième
au quinzième siècle est-elle une des plus belles qui restent à écrire,
encore que de grands génies y aient mis les mains. Ce n’est pas
l’histoire d’une république, ni d’une société, ni d’une civilisation
particulière, c’est l’histoire de l’homme politique, et l’histoire éternelle
de la Politique, celle des usurpateurs et des conquérants. Revenu à
Florence, Philippe Strozzi y rétablit l’ancienne forme de
gouvernement, et en fit sortir Hippolyte de Médicis, autre bâtard, et
cet Alexandre avec lequel il marchait en ce moment. Il fut alors
effrayé de l’inconstance du peuple; et comme il redoutait la
vengeance de Clément VII, il alla surveiller une immense maison de
commerce qu’il avait à Lyon, et qui correspondait avec des
banquiers à lui à Venise, à Rome, en France et en Espagne. Chose
étrange! ces hommes qui supportaient le poids des affaires
publiques et celui d’une lutte constante avec les Médicis, sans
compter leurs débats avec leur propre parti, soutenaient aussi le
fardeau du commerce et de ses spéculations, celui de la banque et
de ses complications, que l’excessive multiplicité des monnaies et
leurs falsifications rendaient bien plus difficile alors qu’aujourd’hui.
(Le nom de banquier vient du banc sur lequel ils siégeaient, et qui
leur servait à faire sonner les pièces d’or et d’argent.) Philippe trouva
dans la mort de sa femme, qu’il adorait, le prétexte à donner aux
exigences du parti républicain, dont la police devient dans toutes les
républiques d’autant plus terrible, que tout le monde se fait espion
au nom de la liberté qui justifie tout. Philippe n’était revenu dans
Florence qu’au moment où Florence fut obligée d’accepter le joug
d’Alexandre; mais il était allé voir auparavant le pape Clément VII,
dont les affaires étaient en assez bon état pour que ses dispositions
à son égard fussent changées. Au moment de triompher, les Médicis
avaient tant besoin d’un homme tel que Strozzi, ne fût-ce que pour
ménager l’avénement d’Alexandre, que Clément sut le décider à
siéger dans les conseils du bâtard qui allait commencer l’oppression
de la ville, et Philippe avait accepté le diplôme de sénateur. Mais
depuis deux ans et demi, de même que Sénèque et Burrhus auprès
de Néron, il avait observé les commencements de la tyrannie. Il se
voyait en ce moment en butte à tant de méfiance de la part du
peuple, et si suspect aux Médicis auxquels il résistait, qu’il prévoyait
en ce moment une catastrophe. Aussi, dès qu’il apprit du duc
Alexandre la négociation du mariage de Catherine avec un fils de
France, dont la conclusion allait peut-être avoir lieu à Livourne, où
les négociateurs s’étaient donné rendez-vous, forma-t-il le projet de
passer en France et de s’attacher à la fortune de sa nièce, à laquelle
il fallait un tuteur. Alexandre, enchanté de se débarrasser d’un
homme si peu conciliant dans les affaires de Florence, appuya cette
résolution qui lui épargnait un meurtre, et donna le conseil à Strozzi
de se mettre à la tête de la maison de Catherine. En effet, pour
éblouir la cour de France, les Médicis avaient composé brillamment
la suite de celle qu’ils nommaient fort indûment la princesse de
Florence, et qui s’appelait aussi la petite duchesse d’Urbin. Le
cortége, à la tête duquel marchaient le duc Alexandre, Catherine et
Strozzi, se composait de plus de mille personnes, sans compter
l’escorte et les serviteurs; et quand la queue était à la porte de
Florence, la tête dépassait déjà le premier village, hors la ville, où se
tresse aujourd’hui la paille des chapeaux. On commençait à savoir
dans le peuple que Catherine allait épouser un fils de François Ier;
mais ce n’était encore qu’une rumeur qui prit de la consistance aux
yeux de la Toscane par cette marche triomphale de Florence à
Livourne. D’après les préparatifs qu’elle nécessitait, Catherine se
doutait qu’il était question de son mariage, et son oncle lui révéla les
projets avortés de son ambitieuse maison, qui avait voulu pour elle
la main du Dauphin. Le duc Alexandre espérait encore que le duc
d’Albany réussirait à faire changer la résolution du roi de France, qui,
tout en voulant acheter l’appui des Médicis en Italie, ne voulait leur
abandonner que le duc d’Orléans. Cette petitesse fit perdre l’Italie à
la France et n’empêcha point que Catherine fût reine.
Ce duc d’Albany, fils d’Alexandre Stuart, frère de Jacques III, roi
d’Écosse, avait épousé Anne de la Tour-de-Boulogne, sœur de
Madeleine de la Tour-de-Boulogne, mère de Catherine; il se trouvait
ainsi son oncle maternel. C’est par sa mère que Catherine était si
riche et alliée à tant de familles; car, chose étrange! Diane de
Poitiers, sa rivale, était aussi sa cousine. Jean de Poitiers, père de
Diane, avait pour mère Jeanne de la Tour-de-Boulogne, tante de la
duchesse d’Urbin. Catherine fut également parente de Marie Stuart,
sa belle-fille.
Catherine sut alors que sa dot en argent serait de cent mille
ducats. Le ducat était une pièce d’or de la dimension d’un de nos
anciens louis, mais moitié moins épaisse. Ainsi cent mille ducats de
ce temps représentent environ, en tenant compte de la haute valeur
de l’or, six millions d’aujourd’hui, le ducat actuel valant presque
douze francs. On peut juger de l’importance de la maison de banque
que Philippe Strozzi avait à Lyon, puisque ce fut son facteur en cette
ville qui délivra ces douze cent mille livres en or. Les comtés
d’Auvergne et de Lauraguais devaient en outre être apportés en dot
par Catherine, à qui le pape Clément faisait cadeau de cent mille
autres ducats en bijoux, pierres précieuses et autres cadeaux de
noces, auxquels le duc Alexandre contribuait.
En arrivant à Livourne, Catherine, encore si jeune, dut être flattée
de la magnificence excessive que le pape Clément, son oncle en
Notre-Dame, alors chef de la maison de Médicis, déploya pour
écraser la cour de France. Il était arrivé déjà dans une de ses
galères, entièrement tapissée de satin cramoisi, garnie de crépines
d’or, et couverte d’une tente en drap d’or. Cette galère, dont la
décoration coûta près de vingt mille ducats, contenait plusieurs
chambres destinées à la future de Henri de France, toutes meublées
des plus riches curiosités que les Médicis avaient pu rassembler.
Les rameurs vêtus magnifiquement et l’équipage avaient pour
capitaine un prieur de l’Ordre des Chevaliers de Rhodes. La maison
du pape était dans trois autres galères. Les galères du duc d’Albany,
à l’ancre auprès de celles de Clément VII, formaient avec elles une
flottille assez respectable. Le duc Alexandre présenta les officiers de
la maison de Catherine au pape, avec lequel il eut une conférence
secrète dans laquelle il lui présenta vraisemblablement le comte
Sébastien Montécuculli qui venait de quitter, un peu brusquement,
dit-on, le service de l’empereur et ses deux généraux Antoine de
Lèves et Ferdinand de Gonzague. Y eut-il entre les deux bâtards,
Jules et Alexandre, une préméditation de rendre le duc d’Orléans
Dauphin? Quelle fut la récompense promise au comte Sébastien
Montécuculli qui, avant de se mettre au service de Charles-Quint,
avait étudié la médecine? L’histoire est muette à ce sujet. Nous
allons voir d’ailleurs de quels nuages ce fait est enveloppé. Cette
obscurité est telle que récemment de graves et consciencieux
historiens ont admis l’innocence de Montécuculli.
Catherine apprit alors officiellement de la bouche du pape
l’alliance à laquelle elle était réservée. Le duc d’Albany n’avait pu
que maintenir, et à grand’peine, le roi de France dans sa promesse
de donner à Catherine la main de son second fils. Aussi l’impatience
de Clément fut-elle si grande, il eut une telle peur de trouver ses
projets renversés soit par quelque intrigue de l’empereur, soit par le
dédain de la France, où les grands du royaume voyaient ce mariage
de mauvais œil, qu’il s’embarqua sur-le-champ et se dirigea vers
Marseille. Il y arriva vers la fin de ce mois d’octobre 1533. Malgré
ses richesses, la maison de Médicis fut éclipsée par la maison de
France. Pour montrer jusqu’où ces banquiers poussèrent la
magnificence, le douzain mis dans la bourse de mariage par le pape,
fut composé de médailles d’or d’une importance historique
incalculable, car elles étaient alors uniques. Mais François Ier, qui
aimait l’éclat et les fêtes, se distingua dans cette circonstance. Les
noces de Henri de Valois et de Catherine durèrent trente-quatre
jours. Il est entièrement inutile de répéter les détails connus dans
toutes les histoires de Provence et de Marseille, à propos de cette
illustre entrevue du pape et du roi de France, qui fut signalée par la
plaisanterie du duc d’Albany sur l’obligation de faire maigre;
quiproquo comique dont a parlé Brantôme, dont se régala beaucoup
la cour et qui montre le ton des mœurs à cette époque. Quoique
Henri de Valois n’eût que vingt jours de plus que Catherine de
Médicis, le pape exigea que ces deux enfants consommassent le
mariage, le jour même de sa célébration, tant il craignit les
subterfuges de la politique et les ruses en usage à cette époque.
Clément, qui, dit l’histoire, voulut avoir des preuves de la
consommation, resta trente-quatre jours exprès à Marseille, en
espérant que sa jeune parente en offrirait des preuves visibles; car,
à quatorze ans, Catherine était nubile. Ce fut, sans doute, en
interrogeant la nouvelle mariée avant son départ, qu’il lui dit pour la
consoler ces fameuses paroles attribuées au père de Catherine: A
figlia d’inganno, non manca mai la figliuolanza. A fille d’esprit, jamais
la postérité ne manque.
Les plus étranges conjectures ont été faites sur la stérilité de
Catherine, qui dura dix ans. Peu de personnes savent aujourd’hui
que plusieurs traités de médecine contiennent, relativement à cette
particularité des suppositions tellement indécentes qu’elles ne
peuvent plus être racontées. On peut d’ailleurs lire Bayle, à l’article
Fernel. Ceci donne la mesure des étranges calomnies qui pèsent
encore sur cette reine dont toutes les actions ont été travesties. La
faute de sa stérilité venait uniquement de Henri II. Il eût suffi de
remarquer que par un temps où nul prince ne se gênait pour avoir
des bâtards, Diane de Poitiers, beaucoup plus favorisée que la
femme légitime, n’eut pas d’enfants. Il n’y a rien de plus connu, en
médecine chirurgicale, que le défaut de conformation de Henri II,
expliqué d’ailleurs par la plaisanterie des dames de la cour qui
pouvaient le faire abbé de Saint-Victor, dans un temps où la langue
française avait les mêmes priviléges que la langue latine. Dès que le
prince se fut soumis à l’opération, Catherine eut onze grossesses et
dix enfants. Il est heureux pour la France que Henri II ait tardé. S’il
avait eu des enfants de Diane, la politique se serait étrangement
compliquée. Quand cette opération se fit, la duchesse de Valentinois
était arrivée à la seconde jeunesse des femmes. Cette seule
remarque prouve que l’histoire de Catherine de Médicis est à faire
en entier; et que, selon un mot très-profond de Napoléon, l’histoire
de France doit n’avoir qu’un volume ou en avoir mille.
Le séjour à Marseille du pape Clément VII, quand on compare la
conduite de Charles-Quint à celle du roi de France, donne une
immense supériorité au Roi sur l’Empereur, comme en toute chose,
d’ailleurs. Voici le résumé succinct de cette entrevue dû à un
contemporain.
«Le roy fit assembler à Lion tous les princes de son sang
et tous les chevaliers de son ordre et austres gros
personnages de son royaume: les légat et nonce du pape, les
cardinaux qui se trouvèrent en sa cour, aussi les
ambassadeurs d’Angleterre, Escosse, Portugal, Venise,
Ferrare et austres; ensemble tous les princes et gros
seigneurs étrangers, tant d’Italie que d’Allemagne, qui pour ce
temps-là résidoient en sa cour, comme le duc d’Wittemberg,
Alleman; les ducs de Somme, d’Arianne, d’Atrie; prince de
Melphe (il avait voulu épouser Catherine), et de Stilliane
Napolitain; le seigneur dom Hippolyte d’Est; le marquis de
Vigeve de la maison Trivulce, Milanois; le seigneur Jean Paul
de Cere, Romain; le seigneur César Frégose, Génevoi,
(Génois de Genova), le seigneur Annibal de Gonzague,
Montouan, et autres en très-grand nombre. Lesquels
assemblés il fit lire en la présence de eux, depuis un bout
jusqu’à l’autre, le procès du malheureux homme qui avoit
empoisonné feu monsieur le Dauphin, avec les
interrogatoires, confessions, confrontations, et austres
solemnités accoutumés en procès criminel, ne voulant pas
que l’arrêt fût exécuté, sans que tous les assistants eussent
donné leur advis sur cest énorme et misérable cas.»