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`The Physiological Basis of Glottal Electromagnetic Micropower
`
`Sensors (GEMS) and Their Use in Defining an Excitation Function
`
`for the Human Vocal Tract
`
`By
`
`Gregory Clell Bumett
`
`B.S. Physics (Southwest Missouri State University) 1991
`M.A. Physics (Rice University) 1994
`
`DISSERTATION
`Submitted in partial satisfaction o f the requirements for the degree of
`
`DOCTOR OF PHILOSOPHY
`in
`Applied Science
`in the
`OFFICE OF GRADUATE STUDIES
`at the
`UNIVERSITY OF CALIFORNIA
`DAVIS
`
`Approved^
`
`Committee in charge
`January, 1999
`
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`UMI Number: 9925723
`
`Copyright 1999 by
`Burnett, Gregory Clell
`All rights reserved.
`
`UMI Microform 9925723
`Copyright 1999, by UMI Company. All rights reserved.
`
`This microform edition is protected against unauthorized
`copying under Title 17, United States Code.
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`Copyright by
`
`Gregory Clell Burnett
`
`1999
`
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`

`

`Gregory Clell Burnett
`March 1999
`Department o f Applied Science
`
`The physiological basis of Glottal Electromagnetic Micropower
`
`Sensors (GEMS) and their use in defining an excitation function
`
`for the human vocal tract
`
`Abstract
`
`The definition, use. and physiological basis o f Glottal Electromagnetic Micropower
`
`Sensors (GEMS) is presented. These sensors are a new type o f low power (< 20
`
`milliwatts radiated) microwave regime (900 MHz to 2.5 GHz) multi-purpose motion
`
`sensor developed at the Lawrence Livermore National Laboratory. The GEMS are
`
`sensitive to movement in an adjustable field of view (FOV) surrounding the antennae. In
`
`this thesis, the GEMS has been utilized for speech research, targeted to receive motion
`
`signals from the subglottal region o f the trachea. The GEMS signal is analyzed to
`
`determine the physiological source o f the signal, and this information is used to calculate
`
`the subglottal pressure, effectively an excitation function for the human vocal tract. For
`
`the first time, an excitation function may be calculated in near real time using a
`
`noninvasive procedure.
`
`Several experiments and models are presented to demonstrate that the GEMS signal
`
`is representative o f the motion o f the subglottal posterior wall o f the trachea as it vibrates
`
`in response to the pressure changes caused by the folds as they modulate the airflow
`
`supplied by the lungs. The vibrational properties o f the tracheal wall are modeled using a
`
`lumped-element circuit model.
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`Taking the output o f the vocal tract to be the audio pressure captured by a
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`microphone and the input to be the subglottal pressure, the transfer function o f the vocal
`
`tract (including the nasal cavities) can be approximated every 10-30 milliseconds using
`
`an autoregressive moving-average model. Unlike the currently utilized method of
`
`transfer function approximation, this new method only involves noninvasive GEMS
`
`measurements and digital signal processing and does not demand the difficult task of
`
`obtaining precise physical measurements of the tract and subsequent estimation of the
`
`transfer function using its cross-sectional area.
`
`The ability to measure the physical motion o f the trachea enables a significant
`
`number of potential applications, ranging from very accurate pitch detection to speech
`
`synthesis, speaker verification, and speech recognition.
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`Acknowledgements
`
`This work was supported by the Lawrence Livermore National Laboratory, the
`
`National Science Foundation, and the UC Davis Department o f Applied Science at
`
`Livermore.
`
`This work would not have been possible without the efforts and enthusiasm o f John
`
`Holzrichter, an associate director here at LLNL. He has worked tirelessly to promote this
`
`new sensor and its possible applications, and has been o f invaluable assistance during the
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`writing o f this thesis. He has also suggested several experiments and has assisted with
`
`their implementation and analysis. He has done all this while continuing his work as a
`
`full-time AD and as a husband and father, and he is most appreciated.
`
`[ also owe a large debt to Larry Ng, my supervisor and group leader, who has spent
`
`much o f his sought-after time helping me learn the intricacies o f signal processing or just
`
`helping me solve problems, whatever they may be. Larry is a wonderful group leader,
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`who knows when and how to lead, but also when to let things run their course. I couldn’t
`
`have gotten through my four years here at the Lab without him and have been (and hope
`
`to be in the future) a proud member of his group.
`
`I would also like to thank my friend and colleague Todd Gable, for many hours o f
`
`useful (and not so useful, but always interesting) conversation and camaraderie. It would
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`not have been possible to implement many of the experiments I conducted without
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`Todd’s assistance.
`
`There are many people at LLNL that I would like to thank for their help: Greg
`
`Clark and Farid Dowla for invaluable assistance in the murky world of signal processing;
`
`Noel Sewall, for help with electronics and horses; Steve Patenaude, for being a good
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`Mend, hangar buddy, and patient CFI; Brian Kolner, one o f the smartest people I have
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`ever met (no, he didn’t see this before signing it!), for being on my committee and for
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`many stimulating conversations; Jeff Kallman for his help with the 2-D E&M
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`simulations; Rick Freeman, my thesis advisor and chair, for breathing new life into DAS
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`and giving me plenty of good advice; Jong An, for arranging for me to use the Kodak
`
`EktaPro; and Roger Perry, who helped me set up and run the shaker experiment.
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`I would also like to thank my parents, Tommy Bumett and Jo Belle Hopper. They
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`have always given me the love and support I have needed to get through this difficult
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`portion o f my life. My father instilled in me a love o f working with my hands, and
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`wouldn’t let me just sit around and read when I was a kid. By taking the time to play
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`with me and show me how to do things right the first time, he taught me the value o f a
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`well-rounded life. My mother was always there when I needed her and taught me the
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`true meaning of compassion and sacrifice. She also bought me all the books I wanted
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`and passed on to me her particular brand o f witty sarcasm, to the everlasting chagrin o f
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`those around me. I couldn’t ask for more loving or devoted parents.
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`M y brother Jeff is the best brother a guy could hope for, and I miss our football
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`games and camping trips together. He is a very talented athlete and a quiet man who
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`enjoys helping others and protecting the innocent. He will be a great cop. My sister Jeni
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`“Coach” Hopkins is a very successful athlete and coach, who has also excelled in her new
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`job as Mama. I am very proud of both o f them; they are both the best at what they do.
`
`I would also like to thank the Cessna Corporation for the solid construction of
`
`N3781V, a 1949 140A in which I have spent many an hour getting the best therapy I
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`could ever buy. Also, I thank Bjom Anderson for helping me keep 8 IV in the air and for
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`teaching me to fly in clouds. A more patient and calm man the skies have never seen.
`
`Finally, I would like to thank my partner for the last six years, Melinda Sue Bass.
`
`She is my first and only love, and has inspired me to do more and go farther. She is
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`confident without being egotistical, and has a strength of mind and character few can
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`equal. She is smarter than me in more than one area, but always makes me feel like I am
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`the best. She wili be one hell of a medical doctor, and I am proud o f her intelligence,
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`patience, and perseverance. I am honored that in six months she will take my name and I
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`hope she will continue to put up with me for a very long time.
`
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`Table of Contents
`
`Title page
`.................................................................................................................... i
`........................................................................................................... ii
`Copyright page
`Abstract
`........................................................................................................................iii-iv
`Acknowledgements
`...................................................................................................v-vii
`...................................................................................................... viii-x
`Table o f Contents
`List o f Tables
`............................................................................................................. xi
`............................................................................................................xii-xxi
`List o f Figures
`
`1. Introduction to the thesis
`Foreword
`................................................................................................................xxii-xxiv
`Introduction
`..........................................................................................................xxv-xxvii
`Overview of accomplishments
`..........................................................................xxviii-xxx
`
`2. Introduction to the players
`2.1. The Glottal Electromagnetic Micropower Sensor
`2.1.1. Radar technology and the GEMS ..................................................... 1-13
`
`• Homodyne detection and field disturbance mode
`• Physical configuration of the GEMS
`• Time and frequency analysis o f the GEMS EM wave
`
`• Transmission antenna pattern for simple rectangular antenna
`...................................14-27
`2.1.2. Removing filter response from radar signal
`
`• Determining filter response
`• Building inverse noncausai filter
`• Differentiating the inverse filtered radar to get position
`2.1.3. Shaker experiment
`...............................................................................28-36
`• Description of experimental setup
`• Sensitivity envelope
`
`• Distortions observed
`• Min amplitude detected
`
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`...........................................................................................37-39
`2.1.4. Safety issues
`2.1.5. Previous work using microwaves
`...................................................... 40-43
`........................................................................ 44-53
`2.2. The tissues o f the vocal tract
`2.3. How we make and shape sound
`2.3.1. Cylinder theory
`......................................................................................54-66
`• Acoustic Impedance of tubes
`
`• Resonance properties of tubes
`• Approximation o f vocal tract
`• Present vocal tract area calculation methods
`2.3.2. Sources o f sound in the vocal tract
`................................................... 67-74
`2.4. Propagation o f sound through vocal tract and skin
`.................................75-78
`2.4.1. Lumped-element circuit models
`........................................................78-80
`2.4.2. Signal processing methods
`.................................................................81-89
`
`• ARMA, LPC, Cepstral
`
`.................................90-93
`
`3. What is being detected by the radar?
`3.1. Theories proposed for the basis o f the radar signal
`3.2. Electromagnetic calculations and simulations
`...............................................94-97
`3.2.1. Dielectric properties of human tissue
`..................................97-101
`3.2.2. Plane-wave scattering from a planar surface
`3.2.3. 2D finite-element electromagnetic simulations
`............................. 101-112
`3.3. High Speed video experiments
`.................................................................... 113-124
`• Abnormal physiology study
`
`• Normal physiology study
`.................................................................. 125-126
`3.4. University o f Iowa experiments
`3.4.1. Comparison o f GEMS and EEGG
`..................................................... 126-130
`3.4.2. GEMS position experiment analysis
`.................................................130-139
`3.5. Anterior vs. posterior tracheal wall
`............................................................. 140-146
`.................................147-148
`3.6. Conclusions about physiology and the radar signal
`
`4. Calculating a Voiced Excitation Function
`
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`4.1. Electrical circuit model o f the vocal tract
`................................................... 149-165
`• Converting velocity of the subglottal wall to subglottal pressure
`..................................................... 166-173
`4.2. Phonetic transfer function calculations
`
`5. Conclusions
`............................................................................................................... 174-175
`5.1. Suggestions for further work
`....................................................................... 176
`5.2. Possible applications of the GEMS signal and excitation function
`.... 177-180
`
`6. Appendices
`A. Inverting a stable filter that is not minimum phase
`....................................181-193
`B. Use o f Kodak EktaPro high-speed digital cameras in laryngoscopy
`... 194-213
`C. Accurate and noise-robust pitch extraction using low power
`...................................................................................214-232
`electromagnetic sensors
`D. Phonemes in American English
`..................................................................... 233-234
`............................................................................................................... 235-242
`E. Glossary
`F. References
`........................................................................................................... 243-251
`
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`List of Tables
`
`Table
`
`Page
`
`2.1 Continuous exposure limits for 2.5 GHz electromagnetic radiation for the
`general public................................................................................................................. 38
`
`2.2 Measured electric field intensities for common devices (Faber & Rybinski).
`
`39
`
`3.1. Dielectric constant and conductivity for biological tissues at approximately
`1 and 2.5 GHz (Duck (1990), Lin (1986), Haddad et al. (1997)). er is
`
`relative dielectric constant, a is conductivity in S/m, and d is the skin depth
`in cm ................................................................................................................................. 97
`
`3.2. Reflectivities o f various configurations modeled in TSARLlTh.......................
`
`107
`
`3.3. The measured thickness o f the tissue layers that are between the anterior
`tracheal wall and the outside o f the neck and their estimated indices of
`refraction......................................................................................................................... 142
`
`C. I. Number of kflops required to determine the pitch for a 100 ms synthetic
`signal in Matlab 5.1, the average error in pitch, and the average standard
`deviation from the synthetic pitch (80 to 300 Hz) for the three methods
`
`
`
`221
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`Figure
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`Page
`
`List of Figures
`
`2.1. Classification o f the spectrum based on wavelength
`
`........................................... 2
`
`2.2. Theoretical magnitude response vs. phase difference (j> in the transmitted and
`reflected waves for a homodyne system. The same change in position
`results in two different values for the change in magnitude depending on the
`phase difference between the transmitted and reflected waves (or distance to
`the reflecting interface)................................................................................................. 6
`
`2.3. Theoretical sensitivity envelope for the radar as a function o f distance away
`from the antennae assuming m > ni reflection and a 15 cm wavelength.... 6
`
`2.4 Overview of the GEMS’s physical configuration.................................................... 11
`
`2.5. Plots o f the GEMS pulse and frequency spectrum........................................... 13
`
`2.6. Measured antenna patterns for the GEMS antennae at 30.5 cm in Volts.
`
`...
`
`13
`
`2.7. Example demonstrating how a low frequency signal can cause voltage
`amplitude resolution for a high frequency signal to degrade............................... 15
`
`2.8. Measured GEMS filter response (red) and model response (black)
`
`................ 19
`
`2.9. Magnitude and phase response for the GEMS, its stable inverse, and its
`noncausual inverse.................................................................................................. 21
`
`2.10. Magnitude and phase response for a 64 tap FIR noncausal differentiator.
`
`... 26
`
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`2.11. Plot o f GEMS signal (blue), inverse filtered GEMS (position, red), and the
`derivative o f the position (velocity, black) for a normal chest phonation.
`... 27
`
`2.12. Shaker experimental setup........................................................................................... 29
`
`2.13. Relative amplitude (GEMS/accel) and phase lead o f the GEMS vs. distance
`from the GEMS to the shaker block. The arrows denote points where the
`GEMS changed phase with respect to the inverted accelerometer signal.
`
`... 32
`
`2.14. Sensitivity envelope o f GEMS. A positive sensitivity denotes a positive
`signal for a reflecting surface moving toward the GEMS. The calculated
`positions o f the null points for the anterior and posterior wall are shown in
`blue. They are discussed in Section 3.5.1................................................................ 33
`
`2.15. Posterior and right lateral view of laryngeal structures (Copyright 1997.
`Novartis. Reprinted with permission from the Atlas o f Human Anatomy,
`illustrated by Frank H. Netter, M.D. All rights reserved)
`................................ 45
`
`2.16. Superior and lateral dissection view of laryngeal structures (Copyright 1997.
`Novartis. Reprinted with permission from the Atlas o f Human Anatomy,
`................................ 46
`illustrated by Frank H. Netter, M.D. All rights reserved)
`
`2.17. Median section o f neck. (Copyright 1997. Novartis. Reprinted with
`permission from the Atlas o f Human Anatomy, illustrated by Frank H.
`Netter, M.D. All rights reserved)
`........................................................................... 52
`
`2.18. Cross-section of trachea. (Copyright 1997. Novartis. Reprinted with
`permission from the A tlas o f Human Anatomy, illustrated by Frank H.
`........................................................................... 53
`Netter, M.D. All rights reserved)
`
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`2.19. Standing pressure waves for the lowest resonances in an open-ended tube
`(top) and close-ended tube (bottom)
`...................................................................... 58
`
`2.20. Cylindrical-tube approximation o f the vocal tract for a simulated /u/ vowel
`(from Titze, Principles o f Voice Production, 1994. All rights reserved.
`Reprinted by permission o f Allyn & Bacon)........................................................... 62
`
`2.21. Vowel chart showing regions o f F| and F2 for 10 English vowels (from
`Titze, Principles of Voice Production, 1994. All rights reserved. Reprinted
`by permission o f Allyn & Bacon).............................................................................. 64
`
`2.22. Sagittal (front to back) cross section o f a vocal fold............................................ 68
`
`2.23. A one-mass model of the vocal folds, including airflow through the glottis,
`pressure against the tissue wall, and a supraglottal air column (from Titze ,
`Principles of Voice Production. 1994. All rights reserved. Reprinted by
`permission of Allyn & Bacon).................................................................................... 70
`
`2.24. Glottal resistance for moist, warm, viscous air vs. glottal width (assuming
`................................................................................................... 76
`glottis is rectangular)
`
`2.25. Normalized audio traces for /a/ “ah*’ (top) and IV “ee” (bottom). The
`duration of both are 22 msec. Note how the “ee”, although longer in period,
`has more amplitude than the “ah”, which loses energy more quickly............... 76
`
`2.26. Equivalent circuit for plane acoustic wave propagation in an incremental
`yielding tube (from Ishizaka, French, and Flanagan (1975))............................... 79
`
`2.27. Schematic representation o f an LTI system............................................................ 82
`
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`2.28. Comparison of a synthetic transfer function with 4 poies and two zeros (top)
`to three models: 4 pole/2 zero ARMA, 4 pole LPC, and 16 coefficient
`cepstral............................................................................................................................ 89
`
`3.1. Use of the GEMS and other EM sensors to detect human vocal articulator
`movement........................................................................................................................91
`
`3.2.
`
`Simple planar calculation of the neck tissue layers’ reflectivity, neglecting
`geometrical factors, multiple reflections, and conductivity.................................. 99
`
`3.3. Demonstration of the geometrical effects on EM wave scattering from the
`folds. As viewed front the anterior side, the folds have little scattering
`cross-section. Most o f the energy is simply diffracted around the folds.
`Where scattering does occur it is not reflected back to the transmitting
`antenna but rather to the sides..................................................................................... 100
`
`3.4. Frame from tracheal reflectivity simulation with 2.3 GHz wave. The frame
`is slightly stretched in the x direction due to machine graphics
`incompatibilities............................................................................................................ 103
`
`3.5. Energy vs. time for the calibration experiment. Positive values are energy
`moving to the right (incident), negative values are energy moving to the left
`(reflected). The two peaks are the positive and negative fields peaks shown
`in 3.4. In this example, R = 57.7%, very close to the theoretical value of
`57.2%.............................................................................................................................. 110
`
`3.6. Energy vs. time for the trachea experiment. R = 15.3%....................................... I ll
`
`3.7. Energy vs. time for the fully open folds experiment. R = 0.8%......................... 112
`
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`3.8. One cycle o f a GEMS signal with some o f the corresponding video frames.
`The vertical bars superimposed on the GEMS signal denote the exposure
`time. The GEMS signal has not been inverse filtered. The horizontal bars
`on the video frames are caused by a camera defect................................................ 114
`
`3.9. Plot o f inverse filtered GEMS (blue), first derivative o f GEMS (green), and
`integral o f GEMS (black) along with the frame markers (red) for the
`abnormal physiology subject. The width o f the frame markers denotes the
`exposure time o f the frame. Observations for the dataset are included. The
`time scale is in samples, at 10000 samples/second................................................ 116
`
`3.10. Approximate locations on the GEMS return for the frames analysis............... 117
`
`3.11. Example o f “fully closed” folds in falsetto mode
`
`............................................... 120
`
`3.12. Summary o f observations for the falsetto portion o f the normal physiology.
`The time scale is in samples, at 10000 samples/second......................................... 122
`
`3.13. Audio, GEMS, and inverted EGG (IEGG) for /a/................................................. 127
`
`3.14. Plot of audio, GEMS, and IEGG for breathy cessation o f speech. Note the
`total lack o f EGG signal as contact is lost, and also the similarity o f the
`audio and GEMS near the end o f the speech........................................................... 128
`
`3.15. Data from position experiments when GEMS is moved from the center o f
`the trachea (the laryngeal prominence) to 5 cm to the left o f the prominence.
`Note the phase change at 4 cm..................................................................................... 131
`
`3.16. Data from position experiments when GEMS is moved from the center o f
`the trachea (the laryngeal prominence) to 5 cm to the right o f the
`prominence. Note the phase change at 3 cm and again at 5 cm.......................... 132
`
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`3.17. Slice 1250 o f the visible human (available at
`http://www.npac.syr.edu/projects/vishuman/VisibleHuman.html).................... 133
`
`3.18. The visible human slice and the GEMS, moved 1 cm at a time to the left.
`
`... 134
`
`3.19. Data from position experiments when the GEMS is moved from 2 cm above
`the laryngeal prominence to 2 cm below it. Note the phase change from the
`positions above to the center........................................................................................ 137
`
`3.20. Slice from a series o f CT scans performed on the author at the UC Davis
`Medical Center on October 21, 1998. Note the scale in centimeters to the
`right and below............................................................................................................... 145
`
`3.21. Expanded view o f the region o f interest from 3.20............................................... 146
`
`4.1.
`
`Side view o f the trachea............................................................................................... 150
`
`4.2.
`
`Electrical circuit model o f the tracheal wall........................................................... 153
`
`4.3. Magnitude and phase lead o f the impedance Z* o f the lumped-element
`circuit model o f the vocal tract.................................................................................... 156
`
`4.4.
`
`Plot o f modeled tracheal wall frequency response vs. L............................. 157
`
`4.5.
`
`Plot o f modeled tracheal wall frequency response vs. C.............................. 158
`
`4.6.
`
`Tracheal wall impedance modeled digitally........................................................... 159
`
`4.7. GEMS, position, velocity, and pressure for subject GB....................................... 160
`
`Reproduced with permission of the copyright owner. Further reproduction prohibited without permission.
`
`-xvii-
`
`Exhibit 1007
`Page 022 of 287
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`

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`4.8. GEMS and inverted derived pressure from subject GB....................................... 162
`
`4.9.
`
`The breathy audio and the GEMS-derived pressure from Figure 3.14............. 165
`
`4.10. Calculated transfer function for /a/, subject GB. The first two formant
`locations are at 673 and 1162 Hz, normal locations are 600-1300 and 1000-
`1500................................................................................................................................... 168
`
`4.11. Calculated transfer function for /i/, subject GB. The first two formant
`locations are at 332 and 2227 Hz, normal locations are 200-400 and 2000-
`4000................................................................................................................................... 169
`
`4.12. Calculated transfer function for /u/, subject GB. The first two formant
`locations are at 390 and 1338 Hz, normal locations are 400-600 and 900-
`1400................................................................................................................................... 170
`
`4.13. Formant location trend for/a/for subjects GB and TG. Note the relative
`differences between formant locations, which are individualistic...................... 171
`
`4.14. Formant location trend for/i/ for subjects GB and TG......................................... 172
`
`4.15. Formant location trend for/u/for subjects GB and TG....................................... 173
`
`A. 1. Normalized frequency response for the example highpass filter........................ 183
`
`A.2. An unstable filter in the z plane, and the method used to calculate the phase
`(9p and 0Z) and magnitude (z and p) contribution from each pole and zero. .. 184
`
`A.3. An unstable filter (black) with a stabilizing AP filter (blue).............................. 186
`
`Reproduced with permission of the copyright owner. Fu