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About the Authors

Lawrence D. Shriberg, Ph.D., is Professor Emeritus of Raymond D. Kent, Ph.D., is Professor Emeritus of Commu-
Communicative Disorders and a principal investigator nicative Disorders at the University of Wisconsin‐Madison.
in the Communicative and Cognitive Sciences Group, His research has been primarily in the acoustics and physiol-
Waisman Center, University of Wisconsin‐Madison. His ogy of speech, typical and atypical development of speech in
research is centered on genetic and other origins of pe- children, and neurogenic communication disorders in chil-
diatric speech sound disorders of known and unknown dren and adults with an emphasis on acoustic analysis and the
bases. assessment of intelligibility.

vii
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What’s New in
This Edition?
Every chapter has been updated and revised according to NEW! COURSESMART eTEXTBOOK
reviewer suggestions. AVAILABLE
The major changes are:
CourseSmart is an exciting new choice for students looking
1. Information on dialects, multicultural, and cross‐linguistic to save money. As an alternative to purchasing the printed
aspects of phonetics has been significantly expanded in a textbook, students can purchase an electronic version of the
new chapter, Chapter 10. In the last edition, dialects were same content. With a CourseSmart eTextbook, students can
discussed in an appendix. In addition, recordings for dialect search the text, make notes online, print out reading assign-
transcription are now included on the companion website. ments that incorporate lecture notes, and bookmark impor-
2. Acoustic properties of speech sounds are now discussed at tant passages for later review. For more information, or to
the end of relevant chapters. In the previous edition, mate- purchase access to the CourseSmart eTextbook, visit www
rials on acoustics were placed in the final chapter and were .coursesmart.com.
not well integrated with the earlier chapters. Several new
illustrations have been added to clarify acoustic aspects SUPPLEMENTARY MATERIALS:
of speech sounds. The discussion of speech acoustics RESOURCES FOR PROFESSORS
assumes minimal background in acoustics and is designed AND STUDENTS
to introduce students to this aspect of phonetics.
3. Boxes of supplementary information or items of special Companion Website
interest have been added to most chapters. Located at www.pearsonhigher.com/shriberg4e, the Com-
4. At the request of numerous instructors, the book has been panion Website for this text includes a wealth of resources
reformatted into two sections: a text section and a skills such as Learning Objectives, Practice Questions, Flash Cards,
practice section. The latter is distinguished by a stripe on and Useful Websites that will help ensure student mastery.
the page edges, so that readers can readily find the tran-
scription training materials.
5. Samples of childhood apraxia of speech have been placed
on the companion website. These samples give students
valuable transcription experience with this type of speech
disorder.
6. The glossaries that had been placed at the end of individ-
ual chapters are now consolidated at the end of the book
for easy reference and review.
7. Several of the appendices have been moved to the com-
panion website where they are easily accessible and can
be updated.

ix
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Contents

About the Authors vii

What’s New in This Edition? ix

Foreword xxi

Preface xxiii

Preface to the Third Edition xxv

Preface to the Second Edition xxvii

Preface to the First Edition xxix

Notes to Instructors xxxi

Contents of the Audio Samples xxxv

Chapter 1 Overview of Clinical Phonetics 1


Welcome 1
Clinical Phonetics 1
The Informational Domain of Clinical Phonetics 1
The Perceptual Domain of Clinical Phonetics 2
Competence in Clinical Phonetics 3
Exercises 3

Chapter 2 Linguistic Phonetics 5


Language, Speech, and Dialect 5
The Morpheme 6
The Phoneme 7
The International Phonetic Alphabet (IPA) 8
Phonology and Phonetics 9
The Allophone 9
The Morph and the Phone 10
The Alphabet and the Allograph 10

xi
xii CONTENTS

Positional and Contextual Terminology for Phonetic Descriptions 11


Syllabaries 12
Conclusion 13
Exercises 13

Chapter 3 The Three Systems of Speech Production 15


The Respiratory System 16
The Laryngeal System 16
The Supralaryngeal System 18
Velopharynx: Velum and Pharyngeal Walls 20
Jaw 20
Tongue 21
Lips 22
Conclusion 23
Exercises 23

Chapter 4 Vowels and Diphthongs 25


Vowel Articulation 26
Tongue Height (the High–Low Dimension of Tongue Position) 26
Tongue Advancement (the Front–Back Dimension of Tongue
Position) 27
Tenseness or Length 28
Lip Configuration (Rounding) 29
Vowel Description: Tongue Height, Tongue Advancement, Tenseness, and
Lip Rounding 29
The Front Series 29
Vowel /i/ (He) 29
Vowel /8/ (Hid) 32
Vowel /3/ (Chaos—First Syllable) 32
Vowel /2/ (Head) 33
Vowel /q/ (Had) 33
Vowel /0/ (path, Eastern dialect) 33
The Central Series 34
Vowel /6/ (Her) 34
Vowel /é/ (British or Southern Her) 35
Vowel /5/ (Further, Sometimes Called Schwar) 35
Vowel /4/ (Hub) 35
Vowel /1/ (Above, Sometimes Called Schwa) 36
The Back Series 37
Vowel /u/ (Who) 37
Vowel /7/ (Book) 37
Vowel /o/ (Hoe) 38
Vowel /9/ (Awl) 38
Vowel /e/ (Hop) 39
CONTENTS xiii

Diphthong Articulation 39
Diphthong /e]/ (Bye; Figure 4.21) 41
Diphthong /9]/ (Boy; Figure 4.22) 42
Diphthong /e[/ (Bough; Figure 4.23) 43
Diphthong /3]/ (Bay; Figure 4.24) 43
Diphthong /o[/ (Bow; Figure 4.25) 43
Special Notes on the Phonetic Properties of Vowels 44
Some Cautions about Vowel Features 44
Tongue and Jaw Interaction 44
Lip and Jaw Interaction 44
Some Common Articulatory Modifications of English Vowels
(See also Chapter 6) 46
Diphthongization 46
Monophthongization 46
Nasalization 46
Reduction 47
Rhotacization and Derhotacization 47
Other Modifications 47
Allographs of the Vowel Phonemes of English 47
Frequency of Occurrence for English Vowels 48
Vowels around the World 49
The Acoustic Properties of Vowels 50
The Vocal Tract as a Resonator 51
Primary Acoustic Properties of Vowels 53
Exercises 54

Chapter 5 Consonants 57
Manner of Articulation 58
Stops 58
Fricatives 59
Nasals 59
Liquids 59
Glides 60
Affricates 61
Place of Articulation 61
Bilabials /b/ /p/ /m/ /w/ /ñ/ 61
Labiodentals /f/ /v/ 63
Interdentals (or Dentals) /'/ /;/ 63
Alveolars /t/ /d/ /s/ /z/ /l/ /n/ 63
Palatals /c/ /x/ /./ /j/ /r/ /y/ 66
Velars /k/ /g/ /a/ /w/ /ñ/ 68
Glottals /h/ /=/ 69
Summary by Manner of Articulation 70
Summary by Place of Articulation 71
The Voicing Contrast 71
xiv CONTENTS

Allographs of the Consonant Phonemes of English 74


Frequency of Occurrence and Place of Articulation 74
Summary Classification of Consonants 76
Consonants around the World 76
Consonant Acoustics 77
Source of Energy 79
Manner or Degree of Vocal Tract Constriction 80
Place of Constriction 81
Articulatory–Acoustic Relations for Consonants 83
Acoustic Correlates of Suprasegmental Properties 87
Loudness and Vocal Effort 87
Boundary Cues 87
A Look Toward the Future 88
Exercises 89
Transcription Training 91

Chapter 6 Suprasegmentals and Narrow Transcription 93


Prosody 93
Intonation 93
Stress 94
Tempo 95
Rhythm 96
Timing 96
Loudness and Vocal Effort 96
The Prosodic Unit or International Unit 96
Examples of Prosodic Variations 97
Paralinguistics 97
The Bases of Prosody 98
Speech Production Correlates 98
Syllables and Prosody 98
Role of Prosody in Typical and Atypical Development of Speech and
Language 100
Clinical Assessment of Suprasegmentals 100
Crystal’s Prosody Profile (PROP) 101
Shriberg, Kwiatkowski, and Rasmussen’s Prosody‐Voice Screening
Profile (PVSP) 101
Profiling Elements of Prosodic Systems—Child Version
(PEPS‐C) 101
Selected Extensions to the International Phonetic Alphabet 104
Symbols for Conversational Analysis 105
Coarticulation 105
Diacritic Marks: An [q! ] Is Not an [qZ] Is Not an [qQ] 107
Onglide Symbols 109
Stress Symbols 109
Primary Stress [t uBb 1 ] 109
Secondary Stress [2Nm b e r k ] 109
Tertiary Stress [1Mb e[ t ] 109
CONTENTS xv

Nasal Symbols 109


Nasalized [b q! d ] 109
Nasal Emission [s@ m e] l ] 109
Denasalized [r q# n ] 109
Lip Symbols 109
Rounded (or Protruded) Vowel [sw i$ t ] 109
Unrounded (or Unprotruded) Vowel [ h u%] 110
Labialized Consonant [k^ w i n ] 110
Nonlabialized Consonant [w& i d ] 110
Inverted Lip [b*i n ] 110
Tongue Symbols 110
Dentalized [w 8 dI ' ] 110
Palatized [sO i l ] 111
Lateralized [sPl i p ] 111
Rhotacized (or Retroflexed) [h e r c{5 ] 111
Velarized [f i l}] 111
Centralized [w 8 n d oA ] 111
Retracted [b qS t ] 111
Advanced [p eD t ] 112
Raised [b 2F d ] 112
Lowered [h 2Gd ] 112
Fronted [sH n o[ ] 112
Backed [zJu ] 112
Derhotacized [rK2 d ] 112
Sound Source Symbols 112
Partially Voiced [q b sL1 n t ] 112
Partially Devoiced [d 9 g:] 112
Glottalized (or Creaky Voice) [b e"k s ] 112
Breathy (or Murmured) [p l 3Z] 8 a ] 112
Frictionalized (or Spirantized) [s tXe p ] 112
Whistled (or Hissed) [sC i ] 113
Trilled [t rV e] ] 113
Syllabic Symbol 113
Offglide Symbols 113
Stop Release Symbols 113
Aspirated [t ( e p ] 113
Unaspirated [s t) e p ] 113
Unreleased [l q p _ ] 113
Timing and Juncture Symbols 113
Lengthened [s i Q ] 114
J
Shortened [w 3 ] 114
Close Juncture [e ] d 8 d 8 t ] (I Did It) 114
Open Juncture [1 n e] s E mqn ] versus [1 n E e ] s mqn ] 114
Internal Open Juncture [l 2 t s h 2 l p R j 3] n ] 114
Falling Terminal Juncture [t 7 d 3] T ] 114
Rising Terminal Juncture [t 7 d 3] Y ] 115
Checked or Held Juncture [t 7 d 3] U ] 115
xvi CONTENTS

Other Symbols 115


Synchronic Tie [d +z u ] 115
Unintelligible Syllable [\] 115
Questionable Segment e or ? 115
Stress and Other Suprasegmental Features 115
Stress Marking in the IPA 115
Stress Marking by Number 115
Syllabification [ b 4 t n?] [b q t l?] [r 4 b m?] 116
Abbreviatory Devices in Phonetic Description 116
Some Guidelines for Using Diacritic Marks 117
Exercises 118
Transcription Training 119
Transcription List E 119
Transcription List F 119
Vowels and Diphthongs Quiz 119
Transcription Quiz 119
Diacritics Examples 119

Chapter 7 Clinical Scoring and Transcription 121


Factors That Influence Scoring and Transcription 121
Client Factors 121
Task Factors 122
Speech Sampling and Audio‐Video Recording 123
Preparation for Clinical Transcription 124
Selecting a System 124
Selecting a Set of Symbols 125
Selecting a Recording Form 125
Determining Response Definitions 131
Determining Transcription Conventions 134
Summary 135
The Process of Scoring or Transcription 135
Setting Up 135
Previewing the Recording 135
First Presentation of the Target Behavior 136
Second and Subsequent Presentations (Replays) 136
Strategies for Difficult Words 137
Four Parameters of Phonetic Transcription 137
Some Final Suggestions 137

Chapter 8 Transcription Training 141


Part A: Transcription of Vowel and Diphthong
Sound Changes 141
Background Information 141
The Problem of Transcribing Lip Rounding–Unrounding 141
Distribution and Frequency of Occurrence Data for Vowels and Diphthongs:
Implications for Clinical Transcription 142
CONTENTS xvii

Training Modules 142


Overview 142
Vowels and Diphthongs Module 1: Vowel and Diphthong
Substitutions 143
Vowels and Diphthongs Module 2: Vowel and Diphthong
Modifications 143
Vowels and Diphthongs Module 3: Central Vowels 143
Vowels and Diphthongs Module 4: Vowel–Diphthong Substitutions,
Modifications, and Central Vowels 144
Vowels and Diphthongs Module 5: Multiple Element Changes 144
Vowels and Diphthongs Module 6: Vowel and Diphthong
Lengthening 145
Vowels and Diphthongs Module 7: Vowel and Diphthong Nasalization 146
Vowels and Diphthongs Module 8: Summary Quiz 146

Part B: Transcription of Stop Sound Changes 146


Background Information 146
Description of Stops 146
Distribution and Frequency of Occurrence of Stops 147
Training Modules 147
Stops Module 1: Stop Substitutions 147
Stops Module 2: Voicing of Voiceless Stops 148
Stops Module 3: Devoicing of Voiced Stops 148
Stops Module 4: Glottal Stop Substitutions 149
Stops Module 5: Stop Deletions 149
Stops Module 6: Frictionalized Stops 150
Stops Module 7: Summary Quiz 150

Part C: Transcription of Fricatives and Affricate Sound


Changes 150
Background Information 151
Description of Fricatives 151
Distribution and Frequency of Occurrence of Fricatives 151
Training Modules 152
Overview 152
Fricatives and Affricates Module 1: / f / and / v / Changes 152
Fricatives and Affricates Module 2: / h / Deletions 152
Fricatives and Affricates Module 3: Voiceless and Voiced th Changes 153
Fricatives and Affricates Module 4: Fricative and Affricate Voicing
Changes 153
Fricatives and Affricates Module 5: Fricative and Affricate
Substitutions 153
Fricatives and Affricates Module 6: Dentalized Sibilants 154
Fricatives and Affricates Module 7: Lateralized Sibilants 155
Fricatives and Affricates Module 8: Retroflexed Sibilants 155
Fricatives and Affricates Module 9: Sibilants Quiz 156
Fricatives and Affricates Module 10: Summary Quiz 156
xviii CONTENTS

Part D: Transcription of Glide and Liquid Sound Changes 156


Background Information 156
Description of Glides and Liquids 156
Distribution 156
Training Modules 156
Glides and Liquids Module 1: Glide Changes 157
Glides and Liquids Module 2: / l / Substitutions 157
Glides and Liquids Module 3: Velarized / l / 157
Glides and Liquids Module 4: Derhotacized / r / , / 6 / , / 5 / 157
Glides and Liquids Module 5: / r / Quiz 158
Glides and Liquids Module 6: Velarized / r / 158
Glides and Liquids Module 7: Summary Quiz 159

Part E: Transcription of Nasal Sound Changes 159


Background Information 159
Description and Distribution of Nasals 159
Training Modules 159
Nasals Module 1: Nasal Deletions 159
Nasals Module 2: Summary Quiz 159
Grand Quiz 160

Chapter 9 Transcription and Scoring Practice 161


Practice Modules 161
Practice Module 1: Single‐Sound Articulation Test 161
Practice Module 2: Multiple‐Sound Articulation Test 162
Practice Module 3: / s / in Continuous Speech; Sample 1 162
Practice Module 4: / s / in Continuous Speech; Sample 2 162
Practice Module 5: / s / in Continuous Speech; Sample 3 163
Practice Module 6: / r / in Continuous Speech; Sample 1 163
Practice Module 7: / r / in Continuous Speech; Sample 2 164
Practice Module 8: / r / in Continuous Speech; Sample 3 164
Practice Module 9: All Sounds in Continuous Speech; Sample 1 164
Practice Module 10: All Sounds in Continuous Speech; Sample 2 164

Chapter 10 Phonetic Variation 165


(authored by Benjamin Munson)
Sources of Phonetic Variation 166
Dialects 166
Other Sources of Phonetic Variation 168
Regional U.S. Dialects 170
Vowels 170
Consonants 174
Beyond Regional Dialects 174
African American English 174
L1-Influenced English 176
An L2 Case Study 177
CONTENTS xix

World Englishes 178


Personal Consequences of Phonetic Variation 178
Conclusion 179
Further Reading 180
Other Resources 180

Transcription Exercises 181

Appendix A Phonetic Symbols and Terms 305

Appendix B Distributional, Structural, and Proportional Occurrence Data


for American English Sounds, Syllables, and Words 319

Glossary 335

Answers to Exercises 343

References 349

Index 355
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Foreword

For almost three decades the first three editions of Clini- With Tom Hixon’s untimely death, I was asked to carry on
cal Phonetics have provided exemplary materials for learn- the tradition of preparing a Foreword for the fourth edition. I
ing about phonetic transcriptions of normal and disordered am excited by the sensitivity the authors have devoted to pro-
speech. Quite remarkably, these texts have melded informa- viding accurate transcriptions of speech disorders. This com-
tion from the basic and applied sciences underlying the dis- mitment is accomplished through transcription practice on
cipline of Clinical Phonetics. The goal has been the practical vowels, diphthongs, and consonants using time‐tested clinical
application of phonetic transcriptions for evaluation, diagno- recordings of children’s responses to articulation tests and a
sis, and monitoring of progress in a wide range of commu- detailed system of diacritics to accurately transcribe disordered
nication disorders. The Forewords to the first three editions speech. A new excellent chapter by Benjamin Munson provides
were written by Thomas J. Hixon, an admired speech scien- clinically useful information on dialects and multicultural and
tist, editor, and former Dean of the Graduate School and Vice cross‐linguistic aspects of phonetics. The fourth edition now
President for Research at the University of Arizona. With includes acoustic information at the end of relevant chapters
each edition he accurately chronicled the thoughtful evolu- rather then at the end of the book. This change makes it easier
tion of the content of Clinical Phonetics and the continuing for students to understand the acoustic characteristics of vari-
enhancement of the stimulus materials and teaching exam- ous classes of sounds. I was pleased to see that the discussions
ples used in the book. Hixon extolled the impressive teach- of speech acoustics assume no technical background and are
ing skills of Shriberg and Kent as demonstrated through designed to introduce students to this aspect of phonetics.
their selection of material for coverage of linguistic pho- In summary, I share Tom Hixon’s enthusiasm for this
netics; speech physiology; speech acoustics; production of text. This new edition of Clinical Phonetics will continue
vowels, diphthongs, and consonants; phonetic transcription; to provide the requisite knowledge and skills in phonetics in
diacritics for narrow transcription; suprasegmental features; academic institutions educating students in Communication
and the rich array of audio examples used for transcription Sciences and Disorders and to speech‐language pathologists
training and practice. Hixon believed that the standard of in clinical practice. I am proud to have it on my desk. I only
excellence created by Clinical Phonetics through its first wish Clinical Phonetics was available when I taught phonet-
three editions deserved the applause of the discipline of ics in the 1960s and 1970s.
Communication Sciences and Disorders. Tom Hixon loved
this book and was “spot on” when he said that he couldn’t Fred D. Minifie
imagine teaching a course in Clinical Phonetics without Professor Emeritus
using this text. University of Washington

xxi
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Preface

When the first edition of Clinical Phonetics was published relevant chapters, as the discussion of acoustics appears
in 1982, we did not foresee that 30 years later we would mostly at the end of the chapters.
publish a fourth edition. We are gratified that our book has 2. Suprasegmental properties of speech are especially chal-
been adopted by many instructors as a vehicle to introduce lenging, owing in part to the lack of a generally accepted
students to the special problems in the clinical applica- transcription system. Moreover, there are disagreements
tion of phonetics. Each new edition—and this one is no in the literature about definitions of terms and the rela-
exception—has attempted to retain the strengths of previ- tionships among various suprasegmental features. The
ous editions while seeking to improve the work as a whole. fourth edition offers a completely revised discussion of
This fourth edition differs from its predecessors in several this intriguing but difficult topic. We have tried to make
ways, some of which are relatively minor, such as wording the discussion of this topic coherent and easy to follow.
changes to improve clarity, and some of which are major 3. In previous editions, information on dialects appeared in
and substantive, such as the addition or revision of major an appendix. In this new edition, this topic is given its
parts of the book. We are grateful to the reviewers of the own chapter, written by Benjamin Munson, who is highly
previous edition. Their suggestions and comments were regarded for his exceptional scholarship. The new chapter
most helpful to us as we developed a revision plan for this gives readers a thoughtful and contemporary coverage of
new edition. dialects.
New in this edition is a thoroughly reworked discussion 4. Beginning with its first edition, Clinical Phonetics was
of suprasegmentals, a different approach to the discussion designed to teach phonetics by the printed word and audi-
of acoustics, an expanded treatment of dialects, and a new tory samples for transcription practice. The fourth edition
set of materials available on a website. We also endeavored continues this pattern and makes available on the book
to make the text more streamlined, more efficient, and more website an additional set of recorded samples for dialects
friendly to the reader. But those who are familiar with the and childhood apraxia of speech. This expanded set of
earlier editions will quickly recognize that we have not transcription materials enriches the text and provides stu-
neglected the raison d’etre for this book—the conviction that dents with valuable skills training.
the clinical application of phonetics requires specialized dis- 5. The appendixes have been reduced to two, so as to keep
cussion and training and is not simply an uncritical extension the length (and cost) of the book to an effective minimum.
of ideas from conventional phonetics texts. We also retain The fourth edition retains Appendix A (Phonetic Symbols
the use of illustrations that are derived from imaging meth- and Terms) and Appendix B (Distributional, Structural,
ods such as cinefluorography and computed tomography. We and Proportional Occurrence Data for American English
believe that this approach grounds our book in anatomic and Sounds, Syllables, and Words). Instructors have told us that
physiologic reality. The specialty of clinical phonetics is no this information is a valuable complement to the text. Two
longer a neophyte. This text, like the field itself, has matured appendices in all prior editions—former Appendix D: Pro-
and advanced. Let’s take a closer look at seven of the major cedures to Calculate Transcription Reliability and Research
changes that led to the fourth edition: Findings, and Appendix E: Procedures for Audio Record-
ing and Speech Sampling—have been moved to the web-
1. In this edition, the acoustic properties of speech are inte- site for instructors who continue to find this information
grated with the discussion of major topics such as vowels useful, including an updated list of references for former
and diphthongs, consonants, and suprasegmentals. In the Appendix E.
third edition, acoustic information was presented in a final 6. We have added blocks of supplementary information to
chapter, nearly disconnected from the earlier information most chapters. These boxes, set off from the text, are
on phonetics. We believe that it is appropriate to consider intended to highlight topics and issues.
acoustic characteristics within the major chapters of the 7. In this new edition, the transcription training materials
book. But instructors who choose not to teach the acous- have been consolidated at the end of the book, rather than
tic information can simply assign the earlier pages of the appearing at the end of the chapters, as in earlier editions.

xxiii
xxiv PREFACE

Instructors have suggested that this arrangement would Peter Flipsen Jr., Idaho State University, for carefully
be more convenient. and insightfully preparing website quiz questions that help
students review each chapter.
Nurturing Clinical Phonetics through four editions has Jane McSweeny, Waisman Center, University of
been a privilege. We hope you find this text to be a reliable and Wisconsin–Madison, for expertly assembling the audio
useful guide through some admittedly difficult territory. Putting samples of persons with apraxia of speech that are placed on
sounds to paper is a challenging task, all the more so when the the book website.
sounds do not conform to the standard production of a speech Steve Dragin, Executive Editor and Publisher, Pearson
community. Accepting the challenge is a first step in overcom- Higher Education, for his constant support and sage advice.
ing it. We welcome you to the world of clinical phonetics. Linda Bayma, Jamie Bushell, and Mary Beth Finch, of
Pearson Higher Education, who oversaw the assembly of
various pieces of the book into a cohesive whole, solving
problems along the way.
ACKNOWLEDGMENTS Kathy Whittier, of Walsh & Associates, Inc., for refining
Every edition of Clinical Phonetics has included a grateful our words, tying up loose ends, and seeing both the forest
salute to many people who helped to bring the book to and the trees.
fruition. This fourth edition continues the tradition. We give The following reviewers of this edition for their time
our sincere thanks to: and insightful comments: Susan Abbott, Stephen F. Austin
Benjamin Munson, University of Minnesota, for crafting State University; Elizabeth Barnes, North Carolina State
a scholarly and lucid chapter on phonetic variation, and for University; Robert Hull, Valdosta State University; Thomas
developing an excellent dialect resource that has been placed Linares, Minot State University; and Deborah Weiss,
on the book’s companion website. Southern Connecticut State University.
Preface to the
Third Edition
Welcome to the third edition of Clinical Phonetics. Like the r Chapter 10, Acoustic Phonetics, provides a discussion
peripatetic pink bunny, CP seems to have kept on trucking of formant frequencies for vowels in different languages
into the next millennium. A special thanks to those instruc- (with implications for second‐language learning) and ex-
tors who have been with us since the second or perhaps even panded coverage of the suprasegmental features of loud-
the first edition! Thanks too, for your continued positive ness, vocal effort, and boundary effects.
comments and specific suggestions for this revision. r Appendix E, Procedures for Speech Sampling and Audio
The most frequent request during the past few years was to Recording, has been expanded to include technical infor-
try to expand the teaching examples and to make them readily mation on the selection and use of alternative micro-
accessible. We have tried to do both. Although the fundamen- phones and recorders for analog and digital recording.
tals of phonetic transcription have not changed since the first
r A new appendix, Appendix F, Dialect: Language Varia-
edition, media options for skills acquisition have increased
tions across Cultures, written by Linda Carpenter (Uni-
significantly. We hope the features described below enhance
versity of Wisconsin–Eau Claire), focuses on concepts
both the teaching and the learning experience for students
and skills needed for phonetic transcription of regional,
and instructors as you complete a course of study in clinical
social, and foreign dialects; it also includes new audio
phonetics.
examples.
WHAT’S NEW r A new appendix, Appendix G, Infant Vocalizations, de-
scribes contemporary systems for the transcription of
This third edition of Clinical Phonetics retains the ten chap- babbling and other vocalizations produced by infants.
ters designed for a semester‐length course. We have also r A new appendix, Appendix H, Anatomic Bases of Devel-
kept the appendixes that provide reference materials and opmental Phonetics, provides basic summaries of the
other information for additional reading and applied needs anatomic development of the respiratory, laryngeal, and
in the clinic and laboratory. The “What’s Old” section of the articulatory systems of speech production.
Preface to the Second Edition includes useful information
on the transcription system taught in this textbook. Instruc- r A new set of four CDs has been made available for the
tors using this book for the first time should also read Notes transcription skills modules, including the new Appendix F
to Instructors, which includes class‐tested suggestions for audio samples. Both the CDs and a comparable set of au-
alternative ways to use the book and the audio examples. diocassette tape recordings may be obtained by contacting
We have also updated references wherever possible through- a bookstore, your local Allyn & Bacon sales representative,
out the text. Clearly, however, many of the classic papers in or the Allyn & Bacon order department, (800) 852‐8024, for
phonetics stand as the best and, for many topics, as the only instructors, or (800) 278‐3525 for student purchases.
available sources of information or data. The following are r A Clinical Phonetics Web site (http://www.ablongman
the major text and media enhancements in Clinical Phonet- .com/shriberg) provides a number of instructional re-
ics, 2003: sources for instructors and students. The Web site in-
cludes instructions on how to download the PEPPER font,
r Chapter 4, Vowels and Diphthongs, has additional informa-
which is available at no cost at http://www.waisman.wisc
tion on vowels in languages other than American English,
.edu/phonology/. The PEPPER font includes all of the
including a section on the difficulties in learning vowels in
main character and diacritic symbols used in Clinical
a second language.
Phonetics. Instructors and students should find this font
r Chapter 5, Consonants, has new information on consonants useful for quizzes and for other manuscript needs requir-
that occur in other languages, with a section on trills, clicks, ing electronic entry of phonetic symbols. The Clinical
ejectives, and voiced implosives. Phonetics Web site also includes additional transcription
r Chapter 6, Diacritics and Sounds in Context, includes an practice samples from persons with a variety of speech
expanded discussion of coarticulation. disorders, sample quizzes for each of the ten chapters and

xxv
xxvi PREFACE TO THE THIRD EDITION

eight appendixes, technical support information for the Peter Flipsen, Jr., University of Tennessee, Knoxville, for
PEPPER font, and links to other sites that have interest- his significant contributions to the CD samples and author-
ing audio examples and other information on phonetics ship of supplementary practice material for the Clinic Pho-
transcription. netics Web site.
Martin Ball, John Esling, Ben Maassen, and Thomas
Powell for their gracious assistance in providing phonetics
ACKNOWLEDGMENTS materials and resources for the appendixes.
In addition to the dozens of people whom we have thanked for Connie Nadler and Steve Pittelko, Waisman Center, Uni-
their significant contributions to the prior editions of Clinical versity of Wisconsin–Madison, and Ron Holder, University
Phonetics, we are very grateful to the following colleagues of Tennessee, Knoxville, for their expert mastering of the
for their expert assistance and guidance with this revision. CDs and supplementary audiocassette samples.
Our sincere thanks to: We would also like to thank the following reviewers: Anna
Katherina Hauner, Waisman Center, University of Marie Schmidt of Kent State University and Alice T. Dyson
Wisconsin–Madison, for her thorough, thoughtful, and cheer- of the University of Florida.
ful editorial assistance with every aspect of this revision. Steve Dragin, Executive Editor and Publisher, Allyn &
Linda Carpenter, University of Wisconsin–Eau Claire, Bacon, for his consistent support of Clinical Phonetics over
for her well‐articulated discussion of dialects and the unique the years and his congenial guidance with all aspects of the
challenges they pose in contemporary clinical phonetics. current revision.
Jane McSweeny, Waisman Center, University of Wis- Barbara Strickland, Editorial Assistant, Allyn & Bacon,
consin–Madison, for her assistance with a variety of tasks for her valued editorial assistance and contributions at every
reflecting her expertise in phonetic transcription of child step of the publication process.
speech‐sound disorders, including selection and authorship
of supplementary audio examples for the Clinical Phonetics Larry Shriberg
Web site. Ray Kent
Preface to the
Second Edition
It has been over a decade since the first edition of Clinical Frequently used tables have been placed in the inside cover
Phonetics. Many words of encouragement from colleagues pages for ready reference. The index has been redone too.
who have used this text over the years suggested that it was
time for a revision. We have it on good authority that the most
important need was to “get a new binding—one that doesn’t Audiotapes and Clinical Phonetics Font
self-destruct!” Sorry about that. Many thanks to all instruc- The audiotapes that accompany the text may be obtained by
tors who developed ingenious ways to keep intact their well‐ contacting your local sales representative or bookstore.
annotated, but ever disintegrating, desk copies. A font that produces all of the symbols and diacritics in
Clinical Phonetics is available for several platforms. Instruc-
WHAT’S NEW? tors and researchers should find the font, termed the PEPPER
Font, useful to insert phonetic symbols in quizzes and manu-
Content scripts requiring broad and narrow phonetic transcription
Revisions in the content of this second edition focus primar- characters. Students and clinicians should find it useful for
ily on updating and expansion. Because each section of the papers and clinical reports.
book is used in one phonetics course or another, we have
not deleted any of the original chapters. Thus, instructors WHAT’S OLD?
will find everything pretty much in the same place. The only
deletion is the former Appendix F, which provided refer- A Note on the Clinical Phonetics
ences for phonological analysis—these procedures are now Transcription System
taught routinely in courses in developmental phonological Our primary motivation when we wrote the first edition of
disorders. Clinical Phonetics was to offer students in communicative
We hope we have added some nice treats throughout the disorders a phonetics book that was directly relevant to clini-
text. We have updated references throughout the book. Stu- cal application. This is not to say that traditional courses in
dents should know that many older references in phonetics phonetics are not worthwhile to students in communicative
remain the classic or perhaps only source of information on disorders, but simply to reflect our experience that students
some topics. Expansions in the text include information on who took traditional phonetics instruction were often at a loss
the assessment of prosody and an overview of microcomputer when faced with clients who had speech disorders. Surely not
systems for acoustic analysis. Expanded and new appendixes everyone believes as we do. However, our opinion is shared
include the following: by many; so many, in fact, that the International Phonetic
Appendix D: research findings on the reliability of pho- Alphabet (IPA) was revised in 1989 to include symbols for
netic transcription. the transcription of disordered speech. These additions were
termed the “Extensions to the International Phonetic Alphabet”
Appendix E: guidelines for speech sampling and audio-
and were sanctioned by the International Phonetic Association.
tape recording.
In describing the rationale for these additions, Duckworth,
Appendix F: multicultural and multilingual consider- Allen, Hardcastle, and Ball wrote, “People working with
ations in phonetic transcription. individuals who have speech which is not the same as that
Appendix G: systems to transcribe infant vocalizations. of the adult community in which they live, have long recog-
nized the limitations of the International Phonetic Alphabet
(IPA) for transcribing such speech” (Clinical Linguistics and
Format Phonetics, Volume 4, p. 273). We believe that the limitations
Revisions in the format of the text (e.g., two‐column text) are significant and therefore welcome the Extensions to the
should enhance readability and ease of use and reference. The IPA, which are included in Appendix A, Table A‐6 of this
graphics and subheadings now include color for emphasis. edition.

xxvii
xxviii PREFACE TO THE SECOND EDITION

Some readers may wonder why we did not simply accept The many friends and colleagues who have taken the time
the Extensions to the IPA as a solution to the transcription to express kind words about the value of Clinical Phonetics
of disordered speech. There were two reasons. The first was in their training programs. In the blur of professional activi-
a practical one—it was easier to retain the special symbols ties within one’s discipline, this positive feedback has really
introduced in the first edition. These symbols were used in meant a lot to us.
the text and in the answer keys for the transcription exercises. Mary Anne Reeves, a former student and later phonet-
The second—and major—reason was that we preferred the ics instructor at the University of Wisconsin–Madison, who
simplicity of the original system to the IPA Extensions. The provided a detailed list of typographic errors in the first
original system established conventions for the placement of edition and thoughtful suggestions for changes in form and
the special “diacritic” symbols. In our teaching experience, content.
the arbitrary placement of diacritic symbols was a stumbling Karen Carlson, a clinical instructor at the University of
point for students who not only had to remember the symbol Wisconsin–Madison. Drawing on her broad experience with
for a particular sound modification but also where to place nonnative‐English‐speaking persons, Karen has authored a
that special symbol in the transcription. We believed, and unique set of transcription guidelines for clinical transcrip-
continue to believe, that life could be easier. Therefore, we tion in multicultural and multilingual environments.
continue to use the original system with only minor modi- Jamie Murray‐Branch, a clinical instructor at the University
fication. The modification is designed to make things even of Wisconsin–Madison, and her lovely daughter Charmaine,
easier by enhancing the consistency of symbol location. for illustrating the process of speech sampling, transcription,
Another innovation in the first edition was a system of and analysis.
stress marking based on numbers rather than on the stress Shirley Hunsaker, photographer at the Waisman Center
symbols used in the IPA. We have retained the number sys- for Mental Retardation and Human Development, for the
tem because it has served us well in clinical transcription excellent photographs.
and because it overcomes some difficulties with the stress‐ Darlene Davies, San Diego State University; Michael
marking conventions of the IPA. One of these difficulties Moran, Auburn University; Susan Moss‐Logan, University
is that, in complex transcriptions, the stress marks of the of Central Arkansas; and Roberta Wacker‐Mundy, SUNY‐
IPA tend to be hard to distinguish from other phonetic sym- Plattsburgh, whose thoughtful reviews of the first edition of
bols. The IPA stress marks are easily lost in the symbol‐rich Clinical Phonetics helped us formulate our approach to this
world of clinical transcription. The number‐based system edition.
we favor separates stress marks from the other symbols used David Wilson, Senior Systems Programmer at the Uni-
in phonetic transcription. This physical separation makes it versity of Wisconsin–Madison, for creative collaboration in
much easier to scan a transcription for information on stress the design, coding, and documentation of the PEPPER Font.
because the stress marks are always located in the top line Jane McSweeney, Program Assistant at the University of
of the transcription. Of course, we teach our own students Wisconsin–Madison, for competent editorial assistance at
both the IPA system and our number‐based system. Ulti- many phases of this project.
mately, the students can select the system they prefer. And Diane Austin, Research Specialist at the University of
that is our advice to all readers of this book: Use the system Wisconsin–Madison, for remarkable excellence in coauthor-
that is most convenient and most useful to you. ing the PEPPER Font and associated graphics, and for thor-
ough and congenial copyediting of this busy manuscript.
Thomas Hixon, University of Arizona, a long‐time friend
ACKNOWLEDGMENTS
and colleague whose gracious and supportive Forewords
The Preface to the First Edition included a hefty list of per- have launched both editions of Clinical Phonetics.
sons whose efforts and talents made possible the first edition
of Clinical Phonetics. To each of you—these many years Larry Shriberg
later—thanks once again. Thanks also to: Ray Kent
Preface to the
First Edition
A preface allows authors an “up front” opportunity to express research assistance in culling, dubbing, and transcribing tape
their hopes, regrets, and thanks. Here are ours. segments for possible inclusion in the series.
We hope that this book does the job it was intended to do.
Shelly Bezack, Jill Brooks, Denise Dinan, Michele Goodman,
Several years ago we recognized that something was miss-
Constance Kemper, and Sylvia Thompson, who each volun-
ing in phonetics textbooks. The existing textbooks lacked
teered to participate in several pilot studies of phonetic tran-
materials that taught the specific information and percep-
scription in audio versus video modes.
tual skills needed by speech‐language clinicians. This book
and the companion audiotapes are our attempt to meet this The several classes of undergraduate students who provided
need. Our goal has been to assemble information and teach detailed feedback and suggestions for discrimination training.
the discrimination skills that are relevant for the use of pho- Frederick Baecker, Stanley Ewanowski, Robert Nellis, and
netics in the practice of clinical speech‐language pathology. Francesca Spinelli, who each lent time and expertise to pro-
We won’t retrace here our lengthy journey toward that end. vide audio and visual materials used throughout the text.
Moreover, we will spare the reader a list of the features that William Horne, for his tireless, thorough guidance in prepa-
we believe make our effort unique among available phonetics ration of the audiotapes.
texts. We hope that instructors will find these materials to be
Helen Goodluck, who provided expert counsel on source
as effective with their students as we have found them to be
materials for Appendix F.
with ours. And for students, clinicians, and others who will
progress through this series, we hope you will find it to be an Anne J. Smith, whose scholarly research assistance is reflected
efficient and enjoyable learning experience. throughout the text, particularly in the appendix materials
Regrets about what couldn’t be included in the scope of dealing with phonetics systems and statistical summaries.
this book would require another lengthy list—a list we also Thomas Klee and Christine Dollaghan for their thorough
will not present here. Instructors will quickly discern for and efficient assistance with final stages of manuscript prep-
themselves what could not be accommodated within our goals aration, including the Index.
for this text. Phonetics is taught in a variety of course struc- Mary Louise Edwards, Mary Elbert, and Elaine Paden, our
tures within programs that cover communication disorders. expert listeners, who provided phonetic transcriptions of all
We believe that this textbook has the flexibility to be used audio materials and extremely useful suggestions on pro-
successfully, with supplementary readings and assignments gram content.
provided as needed by course instructors.
John Bernthal, Raphael Haller, and David Kuehn, for their
One list we very much do want to present includes the
productive editorial reviews of the manuscript.
names of the many persons who assisted us in developing
both the text and the audio materials. Thomas Hixon, for his usual insightful review of the manu-
Our deepest thanks to: script and his assistance with other phases of the project.
Carole Dugan, for a remarkable effort and performance in
Wayne Swisher, for co‐authoring a 1972 paper on an articu-
typing the manuscript.
lation scoring system that was to become the prototype for
the audiotape modules used in this text. The administrative and secretarial staffs at the Department of
Communicative Disorders, University of Wisconsin–Madison,
Kathleen Gruenewald and Joan Kwiatkowski, who are the
and at the Boys Town Institute for Communication Disorders
excellent clinician‐examiners on several of the lengthier tape
in Children for their consistent support.
segments.
Carol Caldwell, Catherine Jackson, Julie Baran Peterson, and L. D. Shriberg
Linda Wurzman, who each provided effective and efficient R. D. Kent

xxix
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Notes to Instructors

We are mindful of the problems instructors face in becom- shapes for different sounds, and we recommend this exercise
ing familiar with a new textbook. These notes bring together as a useful part of phonetics education.
facts, impressions, and suggestions collected during field The diacritic system presented in Chapter 6 and used in
tests of this book with undergraduate students. Many of the transcription modules departs in some ways from other
these observations concern the audiotaped discrimination diacritic systems we have seen. The primary innovation in the
modules. We hope both new and experienced instructors will system used in this book is the spatial orientation or location
find these comments relevant to their teaching task. of the diacritic marks: All marks denoting a general class of
sound modification, such as tongue articulation, laryngeal
function, or velopharyngeal function, are placed in the same
TECHNICAL NOTES position relative to the phonetic symbol that is being modified.
The audio materials were selected from a library of over Thus, the various modifications of tongue articulation—such
350 tapes originally made in public schools and speech‐ as dentalization, lateralization, palatalization, and rhotaciza-
language clinics. Approximately 1500 individual sound and tion (a term we favor over retroflexion)—are all marked by
word segments were isolated for reproduction. The intensity placing the appropriate diacritic mark below the phonetic
of the most intense sound on each tape segment was bal- symbol that represents the sound segment. We have tried
anced to peak within ± 1 dB of the calibration tone setting. as much as possible to use the conventional characters for
The four compact discs that accompany the text were repro- the diacritic marks, but we have changed their transcrip-
duced from these master tapes and supplementary samples. tion positions. One benefit of this innovation is that it
Field tests have been conducted with first‐generation cas- becomes easier for the student to remember the diacritic
sette dubs to ensure that they contain sufficient signal infor- marks—because all marks of a particular class go in the
mation for discrimination purposes. Their quality and fidelity same place. Another benefit is that the spatial position of
have been endorsed by consultants and by the panel of five a diacritic can carry some clinical meaning. For example,
expert judges who contributed to the keys that accompany the because the diacritics pertaining to velopharyngeal function
tapes. We strongly discourage dubbing copies of the audio are placed above the phonetic symbol being modified, the
examples. Aside from violating copyright, important signal clinician can determine from a quick scan of a transcription
components might be lost from second‐generation dubs. the number and variety of modifications in velopharyngeal
function.
Instructors also should note the material in the appen-
CONTENT NOTES dixes. Appendix B, in particular, is a consolidation of data
Three particular content areas of this book warrant brief that is useful for many types of class assignments, including
comment here. preclinical exercises in the rationale for assembling stimu-
We have found that intuition and verbal descriptions do lus materials. Beginning students are especially motivated to
not always help students to understand how sounds are pro- learn statistical information about English linguistic forms if
duced. In writing this book, we have relied almost exclusively this information is made “relevant” for their upcoming clini-
on tracings from imaging films to illustrate the articulatory cal practice. The materials in each of the other appendixes
configurations of English sounds. Accordingly, the student are also designed for use in clinical transcription in com-
can learn how sounds are produced from factual illustrations municative disorders.
rather than contrived drawings. Only a few simplifications
have been made in adapting the original imaging tracings
to published illustrations. We intentionally have oriented
TRAINING NOTES
the imaging tracings to face both left and right, because we The key to the acquisition of discrimination skills is clearly
believe it is important that the student be able to imagine practice. Questionnaire‐discussion sessions with our stu-
vocal tract shapes no matter which way a speaker is facing. dents have yielded the following comments and suggestions
In our experience, students benefit from drawing vocal tract about discrimination practice.

xxxi
xxxii NOTES TO INSTRUCTORS

Time from the perspective of the consumer; that is, it will provide
information about students’ skill levels as they enter clinical
Students should not be asked to do “too much, too soon.” Of
practicum. However, a number of other grading practices are
all comments about the program, this one was made most
also defensible. Such matters are ultimately left to instructors
often by students. In the press of other coursework, students
to arrange within the context of their curricula in communica-
need to schedule time each day and each week to practice
tion disorders. However, three issues related to any grading
on the audio modules. Many students like to go over each
system are important to note here.
module several times, returning later to certain modules as
First, instructors will need to provide audio materials for
needed. Quizzes must be scheduled carefully to allow for
quizzes. We have found it useful to use a combination of
adequately spaced practice throughout the semester.
instructor stimuli (normal speech and error simulations) and
audio samples from children (normal speech and errored
Assistance speech) to test students’ acquisition of discrimination skills.
Such materials are initially challenging to construct. Over
Some form of assistance should be available on a regular basis
time, the instructor will accumulate a large pool of reliable
throughout the program, particularly for beginning students.
recorded items, much like the accumulation of a set of useful
Such help may be provided by the instructor, a teaching assis-
objective test questions.
tant, another student, or some other way to students when they
Second, the instructor needs to establish clearly the cri-
simply “don’t get it.” Some approaches to group and individu-
teria used for determining grades based on the percentage
ally guided assistance are listed as follows (see also Chapter 7).
of agreement between students’ responses and the keys for
r Classroom demonstrations using acoustic displays can be quizzes. The companion website describes three bases for
helpful in contrasting visually the target sound or sound calculating agreement—exact agreement, functional equiva-
errors with other sounds in question. lence, and near functional equivalence. We have used each
r Students can accomplish production‐perception practice in of these criteria, our choice depending on the difficulty level
pairs or in small groups. One person can produce (simu- of the discrimination task. What is important is that students
late) predetermined errors from a laboratory workshop, for know exactly which criteria will be used to convert their quiz
example, while others transcribe what they hear on paper performance into grades. When considering grading crite-
or at the blackboard. Differences in production and per- ria, the instructor should keep in mind that published studies
ception should then be discussed, with corrective feedback involving speech errors (for example, / r / , / s / distor-
provided by the instructor and other students as necessary. tions) routinely report interjudge agreement percentages no
higher than 75 to 80 percent (see also Chapter 7).
r The instructor can make recordings in which the same
Especially in the early stages of a phonetics course, we
word is used in contrast drills; for example, “see” [s i ],
have found it beneficial to use a rather lax criterion in grading
[sI i ], [sP i ], [s{ i ]. Students practice saying the same
transcription quizzes. One particular device that we have used
word with the different speech errors, gradually increas-
is to give students a second‐choice selection in transcription.
ing their rate of production. Word forms can proceed
That is, students are allowed to enter a second‐choice symbol
from simple (“see”) to more complex (“Mississippi”).
above their first‐choice symbol. For example, in transcribing
r Students can generate their own lists of helpful comments, the word dog, a student who is unsure whether the vowel is
in addition to those provided in the text, describing how / 9 / or / e / can write
they have learned to make a particular sound change. As
the text stresses, students must become able to produce e
each sound change readily before learning to discriminate /d9g/
it from other sound changes. Although this option runs a certain risk of abuse (such as
r Students can make their own recordings of particular sound second‐choice symbols for every element in a transcription),
changes. Students can trade recordings, score them, and dis- we never encounter such overuse. In fact, few students use
cuss differences in conjunction with the instructor or within the option as often as we might expect. However, students
their own student sessions. appreciate having a second choice, particularly for more
subtle auditory discriminations. Some phonetic decisions are
difficult to make, and not all errors in transcription are equal.
Grading As experiments have shown, not even the experts agree
Instructors have several alternatives in grading the skills exactly in their phonetic transcriptions of the same utterance.
development portion of any academic coursework. In the Third, as noted previously, it is important to gauge care-
ideal situation, instructors would use criterion‐referenced fully the frequency and timing of quizzes throughout a period
grading of phonetics skill acquisition, assigning each student of training. We have found frequent quizzes covering small
a grade based on the level of skill demonstrated at the conclu- amounts of material to work well. Students need time to
sion of a period of training. This approach seems most ethical assimilate and consolidate their developing phonetics skills.
NOTES TO INSTRUCTORS xxxiii

If they feel rushed, fears and frustrations develop. Ideally, competent clinicians talk to children who have severe in-
students should be allowed to schedule each quiz as they are telligibility deficits.
ready, rather than scheduling the perceptual quizzes in large r They profit from the exposure to several procedures for
groups. Students especially appreciate efforts to allow for obtaining speech samples from children, including stan-
individual differences in level of entrance skills and in rates dard articulation tests and continuous speech sampling
of learning throughout the training period. procedures.
r They learn to respect the variety of spoken forms of lan-
PROGRAM NOTES guages and individual differences across cultures and
among speakers.
Students have indicated that there are benefits from the expe-
r They develop the discipline needed for learning indepen-
rience of progressing through the text and the audio mod-
dently, including learning to arrange their own listening
ules beyond the informational content and skills acquisition.
schedule and study group sessions with other students.
Instructors may wish to include lecture or discussion materi-
als to augment the following observations made by students. r They experience the pride of accomplishment—with ref-
erence to the clinical phonetics component of speech pa-
r They enjoy the opportunity to hear examples of children thology, they feel prepared to meet the challenge of their
talking, an experience that for most beginning students is first clinical practicum assignment.
both educational and entertaining.
r They appreciate the opportunity to hear clinicians talking L. D. S.
to children with speech errors, particularly to learn how R. D. K.
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Another random document with
no related content on Scribd:
Mean of all numbers in last column = 61.138
Mean of first 23 numbers = 61.120

They represent a thirty-fold variation in (from .016, drop No. 1,


to .444, drop No. 58), a seventeen-fold variation in the pressure
(from 4.46 cm., drop No. 56, to 76.27 cm., drop No. 10), a twelvefold
variation in (from cm., drop No. 28, to
cm., drop No. 1), and a variation in the number of free electrons
carried by the drop from 1 on drop No. 28 to 136 on drop No. 56.

Fig. 7

The experimental arrangements are shown in Fig. 7. The brass


vessel was built for work at all pressures up to 15 atmospheres,
but since the present observations have to do only with pressures
from 76 cm. down, these were measured with a very carefully made
mercury manometer , which at atmospheric pressure gave
precisely the same reading as a standard barometer. Complete
stagnancy of the air between the condenser plates and was
attained, first, by absorbing all of the heat rays from the arc by
means of a water cell , 80 cm. long, and a cupric chloride cell ,
and, secondly, by immersing the whole vessel in a constant
temperature bath of gas-engine oil (40 liters), which permitted, in
general, fluctuations of not more than .02° C. during an observation.
This constant-temperature bath was found essential if such
consistency of measurement as is shown here was to be obtained. A
long search for causes of slight irregularity revealed nothing so
important as this, and after the bath was installed all of the
irregularities vanished. The atomizer was blown by means of a
puff of carefully dried and dust-free air introduced through cock .
The air about the drop was ionized when desired, or electrons
discharged directly from the drop, by means of Röntgen rays from X,
which readily passed through the glass window . To the three
windows (two only are shown) in the brass vessel correspond,
of course, three windows in the ebonite strip , which encircles the
condenser plates and . Through the third of these windows, set
at an angle of about 28° from the line and in the same
horizontal plane, the oil drop is observed through a short-focus
telescope having a scale in the eyepiece to make possible the exact
measurement of the speeds of the droplet-star.
In plotting the actual observations I have used the reciprocal of
the pressure in place of , for the reason that is a theoretical

quantity which is necessarily proportional to , while is the


quantity actually measured. This amounts to writing the correction-
term to Stokes’s Law in the form instead of in the form

and considering the undetermined constant which is to


be evaluated, as was before, by dividing the slope of our line by
its -intercept.
Nevertheless, in view of the greater ease of visualization of all

the values of this quantity corresponding to successive values of


are given in Table X. Fig. 5 shows the graph obtained by plotting the
values of , against for the first 51 drops of Table X, and Fig. 6

shows the extension of this graph to twice as large values of


and . It will be seen that there is not the slightest indication of a
departure from a linear relation between and up to the value

, which corresponds to a value of of .4439 (see


drop No. 58, Table X). Furthermore, the scale used in the plotting is
such that a point which is one division above or below the line in Fig.
5 represents in the mean an error of 2 in 700. It will be seen from
Figs. 5 and 6 that there is but one drop in the 58 whose departure
from the line amounts to as much as 0.3 per cent. It is to be
remarked, too, that this is not a selected group of drops, but
represents all of the drops experimented upon during 60 consecutive
days, during which time the apparatus was taken down several times
and set up anew. It is certain, then, that an equation of the form (15)
holds very accurately up to . The last drop of Fig. 6 seems to
indicate the beginning of a departure from this linear relationship.
Since such departure has no bearing upon the evaluation of ,
discussion of it will not be entered into here, although it is a matter of
great interest for the molecular theory.
Attention may also be called to the completeness of the answers
furnished by Figs. 5 and 6 to the question raised in chap. IV as to a
possible dependence of the drag which the medium exerts on the
drop upon the amount of the latter’s charge; also, as to a possible
variation of the density of the drop with its radius. Thus drops Nos.
27 and 28 have practically identical values of , but while No. 28
carries, during part of the time, but 1 unit of charge (see Table X),
drop No. 27 carries 29 times as much and it has about 7 times as
large a diameter. Now, if the small drop were denser than the large
one, or if the drag of the medium upon the heavily charged drop
were greater than its drag upon the one lightly charged, then for both
these reasons drop No. 27 would move more slowly relatively to
drop No. 28 than would otherwise be the case, and hence for
drop No. 27 would fall below for drop No. 28. Instead of this the
two fall so nearly together that it is impossible to represent them
on the present scale by two separate dots. Drops Nos. 52 and 56
furnish an even more striking confirmation of the same conclusion,
for both drops have about the same value for and both are
exactly on the line, though drop No. 56 carries at one time 68 times
as heavy a charge as drop No. 52 and has three times as large a
radius. In general, the fact that Figs. 5 and 6 show no tendency
whatever on the part of either the very small or the very large drops
to fall above or below the line is experimental proof of the joint
correctness of the assumptions of constancy of drop-density and
independence of drag of the medium on the charge on the drop.

The values of and obtained graphically from the -intercept

and the slope in Fig. 5 are and ,


being measured, for the purposes of Fig. 5 and of this computation
in centimeters of Hg at 23° C. and being measured in centimeters.
The value of in equations 15 and 16 (p. 101) corresponding to this
value of is .874.
Instead, however, of taking the result of this graphical evaluation
of , it is more accurate to reduce each of the observations on to
by means of the foregoing value of and the equation
The results of this reduction are contained in the last column of Table
X. These results illustrate very clearly the sort of consistency
obtained in these observations. The largest departure from the mean
value found anywhere in the table amounts to 0.5 per cent and “the
probable error” of the final mean value computed in the usual way is
16 in 61,000.
Instead, however, of using this final mean value as the most
reliable evaluation of , it was thought preferable to make a
considerable number of observations at atmospheric pressure on
drops small enough to make determinable with great accuracy
and yet large enough so that the whole correction term to Stokes’s
Law amounted to but a small percentage, since in this case, even
though there might be a considerable error in the correction-term
constant , such error would influence the final value of by an
inappreciable amount. The first 23 drops of Table X represent such
observations. It will be seen that they show slightly greater
consistency than do the remaining drops in the table and that the
correction-term reductions for these drops all lie between 1.3 per
cent (drop No. 1) and 5.6 per cent (drop No. 23), so that even though
were in error by as much as 3 per cent (its error is actually not
more than 1.5 per cent), would be influenced by that fact to the
extent of but 0.1 per cent. The mean value of obtained from the
first 23 drops is , a number which differs by 1 part in
3,400 from the mean obtained from all the drops.
When correction is made for the fact that the numbers in Table X
were obtained on the basis of the assumption ,
instead of (see Section II), which was the value of
chosen in 1913 when this work was first published, the final
mean value of obtained from the first 23 drops is
. This corresponds to
I have already indicated that as soon as is known it becomes
possible to find with the same precision which has been attained in
its determination the exact number of molecules in a given weight of
any substance, the absolute weight of any atom or molecule, the
average kinetic energy of agitation of an atom or molecule at any
temperature, and a considerable number of other important
molecular and radioactive constants. In addition, it has recently been
found that practically all of the important radiation constants like the
wave-lengths of X-rays, Planck’s , the Stefan-Boltzmann constant
, the Wien constant , etc., depend for their most reliable
evaluation upon the value of . In a word, is increasingly coming to
be regarded, not only as the most fundamental of physical or
chemical constants, but also the one of most supreme importance
for the solution of the numerical problems of modern physics. It
seemed worth while, therefore, to drive the method herewith
developed for its determination to the limit of its possible precision.
Accordingly, in 1914 I built a new condenser having surfaces which
were polished optically and made flat to within two wave-lengths of
sodium light. These were 22 cm. in diameter and were separated by
3 pieces of echelon plates, 14.9174 mm. thick, and all having
optically perfect plane-parallel surfaces. The dimensions of the
condenser, therefore, no longer introduced an uncertainty of more
than about 1 part in 10,000. The volts were determined after each
reading in terms of a Weston standard cell and are uncertain by no
more than 1 part in 3,000. The times were obtained from an
exceptionally fine printing chronograph built by William Gaertner &
Co. It is controlled by a standard astronomical clock and prints
directly the time to hundredths of a second. All the other elements of
the problem were looked to with a care which was the outgrowth of
five years of experience with measurements of this kind. The present
form of the apparatus is shown in diagram in Fig. 8, and in Fig. 9 is
shown a photograph taken before the enclosing oil tank had been
added.
Fig. 8— , atomizer through which the oil spray is blown into the cylindrical
vessel . oil tank to keep the temperature constant. and , circular brass
plates, electric field produced by throwing om 10.009-volt battery . Light from arc
lamp after heat rays are removed by passage through and , enters chamber
through glass window and illuminates droplet between plates and
through the pinhole in . Additional ions are produced above by X-rays from
the bulb .
Fig. 9

This work was concluded in August, 1916, and occupied the better
part of two years of time. The final table of results and the
corresponding graph are given in Table XI and in Fig. 10. The final
value of computed on the basis is seen to be
now instead of 61.085, or .07 per cent higher than
the value found in 1913. But Dr. Harrington’s new value of ,
namely, .00018226, is more reliable than the old value and is lower
than it by .07 per cent. Since appears in the first power in , it
will be seen that the new value[54] of , determined with new
apparatus and with a completely new determination of all the factors
involved, comes out to the fourth place exactly the same as the
value published in 1913, namely,
The corresponding values of and are now .000617 and .863,
respectively.
Since the value of the Faraday constant has now been fixed
virtually by international agreement[55] at 9,649.4 absolute
electromagnetic units, and since this is the number of molecules
in a gram molecule times the elementary electrical charge, we have

Although the probable error in this number computed by the method


of least squares from Table XI is but one part in 4,000, it would be
erroneous to infer that and are now known with that degree of
precision, for there are four constant factors entering into all of the
results in Table X and introducing uncertainties as follows: The
coefficient of viscosity which appears in the ³⁄₂ power introduces
into and a maximum possible uncertainty of less than 0.1 per
cent, say 0.07 per cent. The cross-hair distance which is uniformly
duplicatable to one part in two thousand appears in the ³⁄₂ power and
introduces an uncertainty of no more than 0.07 per cent. All the other
factors, such as the volts and the distance between the condenser
plates, introduce errors which are negligible in comparison. The
uncertainty in and is then that due to two factors, each of which
introduces a maximum possible uncertainty of about 0.07 per cent.
Following the usual procedure, we may estimate the uncertainty in
and as the square root of the sum of the squares of these two
uncertainties, that is, as about one part in 1000. We have then:

Perhaps these numbers have little significance to the general


reader who is familiar with no electrical units save those in which his
monthly light bills are rendered. If these latter seem excessive, it
may be cheering to reflect that the number of electrons contained in
the quantity of electricity which courses every second through a
common sixteen-candle-power electric-lamp filament, and for which
we pay ¹⁄₁₀₀₀₀₀ of 1 cent, is so large that if all the two and one-half
million inhabitants of Chicago were to begin to count out these
electrons and were to keep on counting them out each at the rate of
two a second, and if no one of them were ever to stop to eat, sleep,
or die, it would take them just twenty thousand years to finish the
task.
TABLE XI
P.D. (Sec.)
No. Tem. °C
(Volts cm./Sec.
1 23.07 6,650 16.50 .6194 7-13
2 23.00 6,100 16.76 .06099 8-11
3 23.05 5,308 19.73 .5180 7-15
4 23.08 4,132 37.82 .2703 4-6
5 23.06 4,661 40.09 .02521 3-6
6 23.12 4,111 51.53 .01983 3-4
7 23.08 5,299 51.48 .01985 2-5
8 23.01 6,661 56.06 .01823 2-3
9 23.00 6,082 59.14 .01728 1-4
10 23.10 4,077 57.46 .01779 3-8
11 23.13 4,663 16.58 .06165 10-12
12 23.21 4,661 29.18 .03502 5-7
13 22.98 4,687 18.81 .05432 8-10
14 23.12 4,651 47.65 .02145 2-7
15 23.10 4,658 32.72 .03129 4-6
16 23.15 3,393 18.34 .5572 12-16
17 23.12 4,669 46.82 .02294 2-4
18 23.12 4,691 26.62 .03819 5-7
19 23.10 3,339 14.10 .07249 15-19
20 23.14 4,682 39.24 .02605 3-5
P.D. (Sec.)
No. Tem. °C
(Volts cm./Sec.
21 23.14 3,350 18.30 .05585 10-13
22 23.00 3,370 43.88 .02329 3-6
23 23.00 3,370 43.88 .02329 3-6
24 23.09 3,345 19.65 .05201 9-12
25 23.15 3,344 26.76 .03819 6-9

p (cm.
No.
cm. Hg)

1 23.40 74.49 57.45 .04111 63.21 61.03


2 23.22 75.00 57.5 .04115 63.204 61.03
3 21.34 74.49 63.0 .04509 63.54 61.16
4 15.33 75.37 86.7 .06205 64.27 60.97
5 14.84 75.00 90.6 .06484 64.63 61.21
6 13.05 75.77 101.3 .06502 65.02 61.19
7 13.05 74.98 102.4 .07329 65.07 61.20
8 12.50 75.40 106.3 .07608 65.13 61.11
9 12.17 75.04 109.7 .07850 65.19 61.05
10 12.34 75.67 107.3 .07680 65.21 61.16
11 22.72 29.26 150.6 .1078 66.70 61.01
12 17.08 36.61 160.1 .1146 67.12 61.07
13 21.26 30.27 155.6 .1114 67.14 61.26
14 13.20 36.80 206.4 .1477 68.90 61.11
15 15.92 31.25 200.7 .1437 68.97 61.39
p (cm.
No.
cm. Hg)

16 21.11 20.58 227.8 .1630 69.88 61.27


17 13.12 29.10 262.4 .1878 70.85 60.94
18 17.32 20.54 281.4 .2014 71.60 60.98
19 23.00 13.24 321.4 .2297 73.34 61.20
20 14.00 20.72 345.4 .2472 74.27 61.22
21 20.47 13.62 359.1 .2570 74.54 60.97
22 13.17 20.47 371.5 .2659 75.00 60.97
23 12.69 20.74 380.6 .2724 75.62 61.24
24 19.65 13.12 388.5 .2781 75.92 61.24
25 16.57 13.80 438.3 .3137 77.94 61.18
Mean = 61.126.

Fig. 10
Let us now review, with Figs. 5 and 10 before us, the essential
elements in the measurement of . We discover, first, that electricity
is atomic, and we measure the electron in terms of a characteristic
speed for each droplet. To reduce these speed units to electrical
terms, and thus obtain an absolute value of , it is necessary to
know how in a given medium and in a given field the speed due to a
given charge on a drop is related to the size of the drop. This we
know accurately from Stokes’s theory and Arnold’s experiments
when the holes in the medium, that is, when the values of are

negligibly small, but when is large we know nothing about it.


Consequently there is but one possible way to evaluate e, namely, to
find experimentally how the apparent value of , namely, , varies
with or , and from the graph of this relation to find what value

, approaches as or approaches zero. So as to get a linear

relation we find by analysis that we must plot instead of


against or . We then get from the intercept of an
experimentally determined straight line on the -axis of our diagram.
This whole procedure amounts simply to reducing our drop-velocities
to what they would be if the pressure were so large or so small
that the holes in the medium were all closed up. For this case and for
this case alone we know both from Stokes’s and Arnold’s work
exactly the law of motion of the droplet.
CHAPTER VI
THE MECHANISM OF IONIZATION OF
GASES BY X-RAYS AND RADIUM
RAYS

I. EARLY EVIDENCE
Up to the year 1908 the only experiments which threw any light
whatever upon the question as to what the act of ionization of a gas
consists in were those performed by Townsend[56] in 1900. He had
concluded from the theory given on p. 34 and from his
measurements on the diffusion coefficients and the mobilities of
gaseous ions that both positive and negative ions in gases carry unit
charges. This conclusion was drawn from the fact that the value of
in the equation came out about
, as it does in the electrolysis of
hydrogen.
In 1908, however, Townsend[57] devised a method of measuring
directly the ratio and revised his original conclusions. His
method consisted essentially in driving ions by means of an electric
field from the region between two plates and (Fig. 11), where
they had been produced by the direct action of X-rays, through the
gauze in , and observing what fraction of these ions was driven by
a field established between the plates and to the central disk
and what fraction drifted by virtue of diffusion to the guard-ring .
By this method Townsend found that for the negative ions was
accurately , but for the positive ions it was .
From these results the conclusion was drawn that in X-ray ionization
all of the positive ions are bivalent, i.e., presumably, that the act of
ionization by X-rays consists in the detachment from a neutral
molecule of two elementary electrical charges.

Fig. 11

Townsend accounted for the fact that his early experiments had
not shown this high value of for the positive ions by the
assumption that by the time the doubly charged positive ions in
these experiments had reached the tubes in which was
measured, most of them had become singly charged through
drawing to themselves the singly charged negative ions with which
they were mixed. This hypothesis found some justification in the fact
that in the early experiments the mean value of for the positive
ions had indeed come out some 15 or 20 per cent higher than
—a discrepancy which had at first been regarded as
attributable to experimental errors, and which in fact might well be
attributed to such errors in view of the discordance between the
observations on different gases.
Franck and Westphal,[58] however, in 1909 redetermined by a
slight modification of Townsend’s original method, measuring both
and independently, and not only found, when the positive and
negative ions are separated by means of an electric field so as to
render impossible such recombination as Townsend suggested, that
was of exactly the same value as when they were not so
separated, but also that for the positive ions produced by X-rays
was but instead of . Since this was in fair
agreement with Townsend’s original mean, the authors concluded
that only a small fraction—about 9 per cent—of the positive ions
formed by X-rays are doubles, or other multiples, and the rest
singles. In their experiments on the ionization produced by -rays,
-rays, and -rays, they found no evidence for the existence of doubly
charged ions.
In summarizing, then, the work of these observers it could only
be said that, although both Townsend and Franck and Westphal
drew the conclusion that doubly charged ions exist in gases ionized
by X-rays, there were such contradictions and uncertainties in their
work as to leave the question unsettled. In gases ionized by other
agencies than X-rays no one had yet found any evidence for the
existence of ions carrying more than a single charge, except in the
case of spark discharges from condensers. The spectra of these
sparks revealed certain lines called enhanced lines which were
thought to be due to doubly ionized atoms. Whether, however, these
multiple charges were produced by a single ionizing act or by
successive acts was completely unknown.

II. OIL-DROP EXPERIMENTS ON VALENCY IN GASEOUS


IONIZATION
The oil-drop method is capable of furnishing a direct and
unmistakable answer to the question as to whether the act of
ionization of a gas by X-rays or other agencies consists in the
detachment of one, of several, or of many electrons from a single
neutral molecule. For it makes it possible to catch the residue of
such a molecule practically at the instant at which it is ionized and to
count directly the number of charges carried by that residue. The
initial evidence obtained from this method seemed to favor the view
that the act of ionization may consist in the detachment of quite a
number of electrons from a single molecule, for it was not
infrequently observed that a balanced oil drop would remain for
several seconds unchanged in charge while X-rays were passing
between the plates, and would then suddenly assume a speed which
corresponded to a change of quite a number of electrons in its
charge.
It was of course recognized from the first, however, that it is very
difficult to distinguish between the practically simultaneous advent
upon a drop of two or three separate ions and the advent of a doubly
or trebly charged ion, but a consideration of the frequency with which
ions were being caught in the experiments under consideration, a
change occurring only once in, say, 10 seconds, seemed at first to
render it improbable that the few double, or treble, or quadruple
catches observed when the field was on could represent the
simultaneous advent of separate ions. It was obvious, however, that
the question could be conclusively settled by working with smaller
and smaller drops. For the proportion of double or treble to single
catches made in a field of strength between 1,000 and 6,000 volts
per centimeter should be independent of the size of the drops if the
doubles are due to the advent of doubly charged ions, while this
proportion should decrease with the square of the radius of the drop
if the doubles are due to the simultaneous capture of separate ions.
Accordingly, Mr. Harvey Fletcher and the author,[59] suspended,
by the method detailed in the preceding chapter, a very small
positively charged drop, in the upper part of the field between and
(Fig. 12), adjusting either the charge upon the drop or the field
strength until the drop was nearly balanced. We then produced
beneath the drop a sheet of X-ray ionization.

Fig. 12
With the arrangement shown in the figure, in which and are
the plates of the condenser previously described, and and are
thick lead screens, the positive ions are thrown, practically at the
instant of formation, to the upper plate. When one of them strikes the
drop it increases the positive charge upon it, and the amount of the
charge added by the ion to the drop can be computed from the
observed change in the speed of the drop.
For the sake of convenience in the measurement of successive
speeds a scale containing 70 equal divisions was placed in the
eyepiece of the observing cathetometer telescope, which in these
experiments produced a magnification of about 15 diameters. The
method of procedure was, in general, first, to get the drop nearly
balanced by shaking off its initial charge by holding a little radium
near the observing chamber, then, with a switch, to throw on the X-
rays until a sudden start in the drop revealed the fact that an ion had
been caught, then to throw off the rays and take the time required for
it to move over 10 divisions, then to throw on the rays until another
sudden quickening in speed indicated the capture of another ion,
then to measure this speed and to proceed in this way without
throwing off the field at all until the drop got too close to the upper
plate, when the rays were thrown off and the drop allowed to fall
under gravity to the desired distance from the upper plate. In order to
remove the excess of positive charge which the drop now had
because of its recent captures, some radium was brought near the
chamber and the field thrown off for a small fraction of a second. As
explained in preceding chapters, ions are caught by the drop many
times more rapidly when the field is off than when it is on. Hence it
was in general an easy matter to bring the positively charged drop
back to its balanced condition, or indeed to any one of the small
number of working speeds which it was capable of having, and then
to repeat the series of catches described above. In this way we kept
the same drop under observation for hours at a time, and in one
instance we recorded 100 successive captures of ions by a given
drop, and determined in each case whether the ion captured carried
a single or a multiple charge.
The process of making this determination is exceedingly simple
and very reliable. For, since electricity is atomic in structure, there
are only, for example, three possible speeds which a drop can have
when it carries 1, 2, or 3 elementary charges, and it is a perfectly
simple matter to adjust conditions so that these speeds are of such
different values that each one can be recognized unfailingly even
without a stop-watch measurement. Indeed, the fact that electricity is
atomic is in no way more beautifully shown than by the way in which,
as reflected in Table XII, these relatively few possible working
speeds recur. After all the possible speeds have been located it is
only necessary to see whether one of them is ever skipped in the
capture of a new ion in order to know whether or not that ion was a
double. Table XII represents the results of experiments made with
very hard X-rays produced by means of a powerful 12-inch Scheidel
coil, a mercury-jet interrupter, and a Scheidel tube whose equivalent
spark-length was about 5 inches. No attempt was made in these
experiments to make precise determinations of speed, since a high
degree of accuracy of measurement was not necessary for the
purpose for which the investigation was undertaken. Table XII is a
good illustration of the character of the observations. The time of the
fall under gravity recorded in the column headed “ ” varies slightly,
both because of observational errors and because of Brownian
movements. Under the column headed “ ” are recorded the various
observed values of the times of rise through 10 divisions of the scale
in the eyepiece. A star (*) after an observation in this column
signifies that the drop was moving with gravity instead of against it.
The procedure was in general to start with the drop either altogether
neutral (so that it fell when the field was on with the same speed as
when the field was off), or having one single positive charge, and
then to throw on positive charges until its speed came to the 6.0
second value, then to make it neutral again with the aid of radium,
and to begin over again.

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