## Abstract

Head-related transfer functions (HRTFs) describe the spatial filtering of acoustic signals by a listener’s anatomy. With the increase of computational power, HRTFs are nowadays more and more used for the spatialised headphone playback of 3D sounds, thus enabling personalised binaural audio playback. HRTFs are traditionally measured acoustically and various measurement systems have been set up worldwide. Despite the trend to develop more user-friendly systems and as an alternative to the most expensive and rather elaborate measurements, HRTFs can also be numerically calculated, provided an accurate representation of the 3D geometry of head and ears exists. While under optimal conditions, it is possible to generate said 3D geometries even from 2D photos of a listener, the geometry acquisition is still a subject of research. In this chapter, we review the requirements and state-of-the-art methods for obtaining personalised HRTFs, focusing on the recent advances in numerical HRTF calculation.

### Keywords

- head-related transfer functions
- spatial hearing
- acoustic measurement
- numerical calculation
- localisation

## 1. Introduction

Head-related transfer functions (HRTFs) describe the filtering of the acoustic field produced by a sound source arriving at the listener’s ear. The filtering is the effect of the interaction of the sound field with the listener’s anatomy and has various properties. First, the incoming sound wave arrives at the ipsilateral pinna, i.e., the ear closer to the sound source, and then at the contralateral ear, i.e., the ear away from the sound source. This time difference between ipsilateral and contralateral ear is usually described as the interaural time difference (ITD). Second, larger anatomical structures, i.e., torso, shoulders and head, affect frequencies up to 3 kHz in a comparatively trivial way. As the listener’s torso and head shadow the sound wave arriving at the contralateral ear, interaural level differences (ILDs) arise. Third, the incoming sound is filtered in a complex way by the shape of the listener’s pinnae. These monaural time-frequency-filtering effects become especially important for higher frequency regions (above approximately 4 kHz) and sound directions inducing the same ITDs and ILDs [1, 2, 3, 4, 5, 6]. Humans have learned to interpret this acoustic filtering to span an auditory space as an internal model of their natural environment [7]. Because the pinna shape is unique for every person, HRTFs are considered listener-specific [8, 9, 10], similar to a fingerprint [1, 2, 3, 4, 5, 6]. With an individually fitted HRTF dataset, it is possible for a person to perceive sounds (in a virtual environment) via headphones as if the sounds would originate from their (physical) position around the listener.

Both interaural and monaural features for a single sound direction can be represented by a binaural HRTF pair [11]. In signal processing terms, a binaural HRTF pair can be described as

where * without* the head being present.

There are several options to set a specific coordinate system to systematically describe directions for HRTFs. From the physical perspective, the * spherical* coordinate system is a natural choice; in that case, the origin of the system is placed inside the listener’s head at the midpoint between left and right ear and the direction is described by azimuth and elevation angles, see Figure 1a. In this system, one can intuitively define the two main planes: The eye-level horizontal plane, i.e., all directions with the elevation angle of zero, and the median plane, i.e., all directions with the azimuth angle of zero. The eye-level horizontal plane is also called Frankfurt plane and can be anatomically defined as the plane connecting the lowest part of the listener’s orbital cavity and the highest part of the bony ear canal (meatus acusticus externus osseus). This spherical coordinate system resembles a

*representation widely used in physics, with the poles located at the top and bottom. An alternative system that is more relevant from the auditory perspective is given by the*geodesic

*coordinate system. This system is shown in Figure 1b and can be constructed by rotating the poles of the spherical system to the interaural axis, i.e., the axis connecting the two ears. A sound direction is then described by the lateral angles (along the horizontal plane) and polar angles (along the median plane). The poles are then located on the left and right sides of the listener. This simple interaural-polar coordinate system was used in various psychoacoustic studies, e.g., [12, 13], and has the disadvantage that the lateral angle does not correspond to the azimuth angle. Figure 1c shows the*interaural-polar

*version of the interaural-polar coordinate system, which does not have this disadvantage. Here, the sign of the lateral angle is flipped, i.e., in the coordinate system, the positive lateral angles are used for sounds located on the left side of the listener. This transformation to a left-handed coordinate system has the advantage of having the lateral angle corresponding to the azimuth angle for all sources placed in the horizontal plane, and the polar angle corresponding to the elevation angle for all sources placed in the median plane. Thus, the modified interaural-polar coordinate system offers a better link between the psychoacoustic research and audio engineering. In that system, the lateral angle ranges from*modified

The understanding of these coordinate systems is important because state-of-the-art acquisitions and representations of HRTFs utilise those systems. For example, Figure 2 shows HRTFs along the Frankfurt and the median plane. These various coordinate systems are used in HRTF visualisation, in various HRTF-related software packages such as the SOFA toolbox [15], and in auditory modelling, e.g., the Auditory Modelling Toolbox (AMT) [16, 17].

HRTF acquisition can be classified into three categories: acoustic measurement, numerical calculation, and personalisation [18].

The acoustic measurement is traditionally designed as the measurement of the impulse response between source and receiver in an anechoic or semianechoic chamber, describing the transmission path from a sound source to the ear [11, 19]. A comprehensive review of the established state-of-the-art acoustic techniques to measure HRTFs can be found in [20]. Thus, in this chapter, Section 3, we only briefly provide an overview of the traditional acoustic HRTF measurement approaches, highlight some of their differences and new trends and focus on the requirements for the acoustic measurement.

Numerical HRTF calculation simulates the acoustic measurement by considering a 3D representation of the listener’s geometry and the positions of multiple external sound sources, for which the generated sound pressure at the entrance of the ear canal is calculated. This technique has become more popular and is the main focus of this chapter. To this end, in Section 4, we provide an overview of the principles of various numerical calculation approaches including a comparison of the mentioned methods.

Personalisation of HRTFs describes the process of adapting an existing set of generic data guided by listener-specific information, either with the help of objective or subjective personalisation method. The objective personalisation has been approached from two different domains: the geometric domain, in which listener-specific anthropometric data are measured and used to personalise a generic geometric model from which HRTFs are then simulated; or the spectral domain, in which a generic HRTF set is directly personalised based on listener-specific information. Examples for personalisation approaches include utilising frequency scaling [21], parametric modelling of peaks and notches [22], active shape modelling (ASM) [23], principal component analysis (PCA) in both geometric [24] and spectral domains [25, 26, 27, 28, 29], multiple regression analysis [30], independent component analysis (ICA) [31], large deformation diffeomorphic metric mapping (LDDMM) [25, 32], local neighbourhood mapping [33], neural networks [34, 35, 36, 37, 38, 39, 40, 41] and linear combination of HRTFs [42]. Despite many efforts worldwide [43, 44, 45, 46], the link between the morphology and HRTFs is not fully understood yet, mostly because of the high dimensionality of the problem. Most recent tools for studying that link are rooted in aligning high-resolution pinna representations to target representations facilitated with parametric pinna models [47, 48].

In the subjective personalisation, listeners are confronted with several sets of HRTFs and an algorithm (usually based on the evaluation of localisation errors, i.e., the difference between perceived and actual sound-source location) adapts the HRTF sets aiming at converging at listener-specific HRTFs [9, 49]. For an educated guess for the initial sets, anthropometric data can be used to pre-scale the HRTF sets, or the HRTF sets can be pre-selected via psychoacoustic models [50]. Clustering of the HRTF sets can further improve the relevance and reduce the duration of the personalisation procedure [49, 51].

All these methods aim at providing a specific quality in terms of acoustic and psychoacoustic properties. In the following section, we describe the acoustic properties and psychoacoustic requirements for human HRTFs, both of which lay the base for HRTF acquisition. Then, we briefly describe the most important requirements for the acoustic HRTF measurement, complementing the work of Li and Peissig [20]. Finally, we describe approaches for numeric HRTF calculation in greater detail.

## 2. Head-related transfer functions: acoustic properties and psychoacoustic requirements

In this section, we describe the acoustic properties of HRTFs and relate them to psychophysical properties of human hearing with the goal to derive the minimum requirements for sufficiently accurate HRTF acquisition by means of perception. We analyse spectral, temporal and spatial aspects of HRTFs and consider contributions of distinct parts of the human body to these aspects.

Humans can hear frequencies roughly between 20 Hz and 20 kHz, with frequencies at the lower end being perceived as vibrations or creaks, and with the upper end decreasing with age and duration of noise exposure [52]. From the psychoacoustic perspective, frequencies down to 90 Hz contribute to sound lateralisation, i.e., localisation on the interaural axis within the head [53], and up to 16 kHz to sound localisation, i.e., localisation outside the head [54], defining the smallest frequency range for the HRTF acquisition. Figure 2 shows the amplitude spectra of a binaural HRTF pair of two listeners. For each listener, the left and right columns show HRTFs of the left and right ear, respectively. The top row shows the HRTFs along the median, i.e., for the lateral angle of zero, from the front, via up, to the back. The bottom row shows the HRTFs along the Frankfurt plane, i.e., the horizontal plane located at the eye level. Figure 2 demonstrates that HRTFs vary across ears, frequency, sound-source positions and listeners. The bottom panels emphasise the difference between ipsilateral and contralateral ear, showing the dynamic range, especially for frequencies higher than 6 kHz.

Assuming the propagation medium is air and a sonic speed of 340 m/s, the human hearing frequency range translates to wavelengths approximately between 1.7 cm and 17 m, resulting in different body parts affecting HRTFs in different frequency regions. The reflections of the torso create spatial-frequency modulations in the range of up to 3 kHz [1]. This effect can be observed in the top row of Figure 2, in the form of elevation-dependent spectral modulations along the median plane [55, 56]. Another contribution comes from the head, which shadows frequencies above 1 kHz. This effect can be observed in both rows of Figure 2, with large changes in the spectra beginning at around 1 kHz [57]. A large contribution is that of the pinna: The resonances and reflections within the pinna geometry create spectral peaks and notches, respectively, in frequencies above 4 kHz [54]. This effect can be observed in the bottom row of Figure 2.

From the perceptual perspective, the quality of these HRTF spectral profiles is important in many processes involved in spatial hearing. For example, sound-localisation performance deteriorates when these spectral profiles are disturbed by means of introducing spectral ripples [58], reducing the number of frequency channels [59] or spectral smoothing [60]. From the acoustic perspective, these spectral profiles show modulation depths of up to 50 dB [11], defining the required dynamic range in the process of HRTF acquisition.

The temporal aspects of HRTF acquisition are shown in Figure 3 as the head-related impulse responses (HRIRs), i.e., HRTFs in the time domain, of the same listeners as in Figure 2. There are a few things to consider. First, the minimum length of the measurement is bounded by the length of the HRIRs. Their amplitude decays within the first 5 ms, setting the requirement for the room impulse response during the measurements [61]. After the 5 ms, the HRIRs decay below 50 dB, setting the requirement on the broadband signal-to-noise ratio (SNR) of the measurements. Further, because of the human sensitivity to interaural disparities, HRTF acquisition also requires an interaural temporal synchronisation. While sound sources placed in the median plane cause an ITD of zero (theoretically, reached only for identical path lengths to the two ears), just small deviations from the median plane cause potentially perceivable non-zero ITDs. Human listeners can detect ITDs being as small as 10 μs [53, 62], defining the interaural temporal precision required in the HRTF acquisition process. The ITD increases with the lateral angle of the sound source, reaching its extreme values for sources placed near the interaural axis [63, 64]. The largest ITD depends on the distance between the listener’s two ears, mostly being defined by the listener’s head width and depth [65], reaching ITDs of up to ±800 μs. That ITD range translates to the sound’s time of arrival (TOA) at an ear varying in the range of 1.6 ms, which needs to be considered in HRTF measurement by providing sufficient temporal space in the resulting impulse response.

HRTFs are continuous functions in space, even though, they are traditionally acquired for a finite set of spatial positions. From the * acoustic* perspective, assuming an HRTF bandwidth of 20 kHz, at least 2209 spatial directions are required to capture all spectro-spatial HRTF variations [66]. While this quite large number of spatial directions increases even further when considering multiple sound distances, it is in discrepancy with a smaller number of directions usually used in HRTF acquisition [11, 67, 68, 69]. One reason is the much smaller

*spatial resolution. From that perspective, the spatial resolution is limited by the ability to evaluate ITDs and changes in HRTF spectral profiles, both of which converge in the so-called minimum audible angles (MAAs). The MAA indicates the smallest detectable angle between two sound sources [70]. It depends on signal type [71, 72] and is minimal for broadband sounds [54, 73, 74, 75]. The MAA further depends on the direction of the source movement. Along the horizontal plane, the MAA can be as small as 1° for frontal sounds [76], increasing up to 10° for lateral sounds [77, 78, 79]. This translates to a high spatial-resolution requirement for frontal directions that can be relaxed with increasing lateral angle. Along the vertical planes, the MAA can be as low as 4° for frontal and rear sounds [76], increasing up to 20° for other sound directions [80]. Note that further relaxation of the requirement for spatial resolution can be achieved by using interpolation algorithms in the sound reproduction. For example, when using amplitude panning between the vertical directions [81], a resolution better than 30° does not seem to provide further advantages for localisation of sounds in the median plane [82]. Finally, when it comes to dynamic listening situations (involving listener or source movements), the MAAs further increase [83]. In order to account for sufficient spatial resolution when applying HRTFs in dynamic listening scenarios, the movement of the listener has to be monitored additionally to the modelling of sound source movement [84, 85, 86]. The minimum amount of directions and specific measurement points for a sufficiently sparse HRTF set are still current topics of research [87].*perceptual

HRTFs are listener-specific, i.e., they vary among the listeners [21]. The reasons for that inter-individual variation are usually rooted in listener-specific morphology of the head and ears. For example, the variation in the head width of approximately ±2 cm across the population causes variation in the largest ITD in the range of ±80 μs [88]. Figure 4 shows HRTF-relevant parts of the human body, where Figure 4a shows rough measures of the body and Figure 4b shows areas of the pinna responsible for the distinct spectral features in higher frequencies. The width and depth of head and torso have a large effect on HRTFs in the lower frequencies. The inter-individual variation in the pinnae geometry causes variations in HRTFs in frequencies above 4 kHz, with listener-specific differences of up to 20 dB [11]. The inter-individual variation in the HRTFs is rather complex because the pinna is a complex biological structure—small variations in geometry (in the range of millimetres) may cause drastic changes in HRTFs [90] along the vertical planes in high frequencies [11], see Figure 2. However, not all pinna regions affect HRTFs equally [91]. Basically, the convex curvatures of the pinnae contribute to focusing the incoming sound waves towards the entry of the ear canals, comparable to a satellite dish. Figure 4b shows the anatomical areas important for localisation of sounds [48, 56, 89, 92, 93]. Currently, the description of the pinna geometry is not a trivial task. Pinnae have been described by means of anthropometric data stored in various data collections, e.g., [67, 69, 88, 94, 95, 96]. While the parameters used in these data collections do not seem to completely describe a pinna geometry from scratch, recent efforts aim at parametric pinna models able to generate non-pathological pinna geometries for arbitrary listeners [47, 48]. Such models describe the pinna geometry by means of various control points placed on the surface of a template pinna geometry. Figure 5 shows two examples of the implementation of such models. In Figure 5a, the pinna geometry is parametrised with the help of Beziér curves, i.e., polynomials within a spatial boundary [47]. Figure 5b shows a different approach; here, the parameterisation of the pinna is utilised with control points that move proximal local areas [48]. These parametric pinna models represent a step towards understanding the link between HRTFs and specific anatomical regions of the pinnae, and provide potential to synthesise large datasets of pinnae, e.g., in order to provide data for machine-learning algorithms.

In addition to the geometry, skin and hair may have an impact on HRTFs [97, 98] because of their direction-dependent absorption of the acoustic energy, especially at high frequencies. However, recent studies have shown that hair does not influence the localisation performance, but rather the perception of timbre instead [95, 99, 100, 101].

## 3. Acoustic measurement

The principle of an acoustic HRTF measurement relies on the system identification of the HRTF considered as a linear and time-invariant system. Here, an HRTF describes the propagation path between a microphone and a loudspeaker. Because of the binaural synchronisation, HRTFs are measured simultaneously at the two ears. The measurements are commonly performed for many source positions because of the required high spatial resolution. Recently, the details of the acoustic measurements, including a comprehensive list of HRTF measurement sites has been reviewed [20]. Thus, we only briefly introduce the basics and focus on the most recent advances in the acoustic HRTF measurement.

Typically, two omnidirectional microphones are placed in both ear canals, and the loudspeakers are arranged around the listener, ideally, with the number of loudspeakers corresponding to the number of HRTF positions to be measured. Figure 6 shows two examples of measurement setups of various complexity: In Figure 6a, the listener is located on a turntable and moves within a fixed near-complete circular loudspeaker array. Figure 6b shows a similar approach with a near-complete spherical loudspeaker array, and Figure 6c shows the placement of a microphone in the ear canal so that it is membrane lines up with the entrance of the ear canal. Actually, it does not matter whether the microphones or loudspeakers are placed in the ear canal—this approach of ‘reciprocity’ is usually facilitated in numeric HRTF calculations (Section 4.4). However, setups with loudspeakers in the ears [102] lack signal-to-noise ratio (SNR) as the amplitude of the source signal needs to be low enough to not harm the listener, making the setup impractical for experiments. With the microphones in the ears, the most simple setups consist of a single loudspeaker moved around the listener [103]. Unfortunately, such setups lead to a long measurement duration for a dense set of HRTF positions. With the increasing availability of multichannel sound interfaces and adequate electroacoustic equipment, over the decades, the number of actually used loudspeakers increased. Setups with only a single loudspeaker moving around the listener have been replaced by setups with loudspeaker arcs surrounding the listener. In those setups, the listener sits on a turntable and either the listener (e.g., Figure 6a) or the loudspeaker arc is rotated [88, 104].

Recent approaches follow one of two different directions; On the one hand, generic and individual HRTFs are measured with a growing number of loudspeakers used in specialised facilities [67, 95]. Some even with such a large amount of loudspeakers that the listener is rotated for a few discrete positions, and post-processing algorithms interpolate between HRTF directions, e.g., the setup in Figure 6b. On the other hand, user-friendly individual HRTF measurement approaches are suggested, showing a trend towards decreasing the complexity of the measurement setup and using widely available equipment. In these approaches, only a single speaker is used and the listener is asked to move the head until a dense setup of HRTF directions can be obtained. These measurements enable simple systems to be used at home [105, 106], in which a head-tracking system records the listener’s head movements in real time and adapts the measured spatial HRTF grid. Head-above-torso orientations have to be considered additionally [100], but they reduce the complexity of the measurement setup and enable using widely available equipment, e.g., a commercially available VR headset and one arbitrary loudspeaker, in regular rooms, thus increasing the user-friendliness for setups [105].

Most of those recent approaches consider spatially discrete positions of the listener and/or the loudspeakers. In order to tackle the trade-off between high spatial resolution and long measurement duration, other recent advances have been made towards spatially continuous measurement approaches [107, 108, 109]. These approaches enable the measuring of all directions around the listener for a single elevation within less than 4 minutes [110]. Certainly, an advantage of such an approach is the access to the spatially continuous information, which is important especially for frontal HRTF directions. With more and more silent turntables and swivelled chairs, achieving a high SNR is not a big issue. Most recent approaches related to the spatially continuous measurement utilise Kalman filters to acquire system parameters representing HRTFs, and thus speed up the HRTF measurement in a multi-channel setup [111]. Compared to spatially discrete approaches, the spatially continuous method can achieve accuracy within a spectral error of 2 dB [109].

The requirements of the room are not rigorous: In principle, the measurement room does not have to be perfectly anechoic, but it has to fulfil some requirements regarding size and reverberation time. Room modes may exist below 500 Hz as they can be neglected in that frequency range [1]. Acceptable measurement results can be obtained as long as the first room reflection arises after 5 ms such that the measured room impulse responses can be truncated without truncating the HRIRs. Medium and large surfaces, i.e., the mount of the loudspeakers, the loudspeaker arc, the turntable, listener seat, etc., can potentially cause acoustical reflections overlapping with the direct sound path within the first 5 ms of the HRTF. These reflections are usually damped, e.g., by covering the speakers in absorption material. Before the measurement, the listener’s head has to be aligned in the measurement setup, adjusting the ears to the interaural axis of the system and the head to the Frankfurt plane. This alignment can be supported by, e.g., a laser system. The orientation and position of the listener’s head should be monitored throughout the measurement procedure in order to detect listener’s unwanted movements or position drifts. This helps when having to repeat potentially corrupted measurements.

The loudspeakers used for the measurements need to show a fast impulse response decay; fast enough to not interfere with the temporal characteristics of the HRTFs. This can be achieved by using loudspeaker drivers with light membranes, simple electric processing and no acoustic feedback such as a bass-reflex system. The acoustic short-circuit usually limits the lower frequency range of the loudspeakers, and multidriver systems are a common solution to that problem. In order to achieve a spatially compact acoustic source in a multidriver system, it is common to use coaxial loudspeaker drivers with an omnidirectional directivity pattern in HRTF measurement systems [112].

The placement of the microphones can also be an issue. Early setups used an open ear canal where the microphones were positioned close to the eardrum [11]. However, the effect of the ear canal does not seem to be direction-dependent, and its consideration in the measurement introduces technical difficulties and a large measurement variance [19, 113, 114]. Nowadays, the microphones are usually placed at the entrance of the ear canal which is acoustically blocked [11, 20]. Blocking the ear canal can be achieved by using microphones enclosed in earplugs made from foam or silicone or by wrapping the microphone in skin-friendly tape before inserting it. Note that such a measurement captures all directional-dependent features of the acoustic filtering by the outer ear, however, the directional-independent filtering by the ear canal is not captured. All cables from the microphone have to be flexible enough to minimise their effect on the acoustics within the pinna—one way is to lead the cable through the incisura intertragica and secure it with tape on the cheek, see Figure 6c.

In general, system identification can be performed with a variety of excitation signals. While previously Golay codes or other broadband signals have been used [115], more recently, the multiple exponential sweep method (MESM) [112] has been established and further improved [116], enabling fast HRTF measurement at high SNRs, reducing the discomfort for the listener. Still because of the imperfections in the electro-acoustic setup, a reference measurement is required to estimate the basis of the measurement without the effect of the listener, i.e., to estimate

Figure 7 shows measurement grids of three exemplary setups and one measurement grid of a simulation setup. Figure 7a and b correspond to the measurement setups in Figure 6a and b. In these setups, not every loudspeaker plays a stimulus at every position around the listener. An extreme case is a loudspeaker positioned at

The repeatability of the measurement is an important issue. Within a single laboratory, changes in the room conditions such as temperature and humidity, as well as changes in the setup such as the ageing of the equipment may compromise the repeatability of the HRTF measurement [11, 20]. When comparing the HRTFs measurement across the labs, differences in the setups play also a role. In inter-laboratory and inter-method HRTF measurement comparison obtained for the same artificial head, severe ITD variations of up to 200

Once the HRTFs have been measured for all source positions, post-processing needs to be done before the HRTFs are ready to be used. First, in order to account for acoustic artefacts caused by the measurement room, a frequency-dependent windowing function is usually applied truncating the HRIRs [100, 117, 118]. Second, the measured HRIRs are equalised by the impulse response obtained from the reference measurements, i.e., with the microphone placed at the centre of the coordinate system with the listener absent. This equalisation can be either free-field or diffuse-field. For the free-field equalisation, the reference measurement is required only for the frontal direction (0° azimuth, 0° elevation) [54], whereas for the diffuse-field equalisation, the reference measurement is the root mean square (RMS) impulse response of all directions [75], and the results are commonly denoted as directional transfer functions (DFT) [119]. Third, in most common rooms and even in (semi)anechoic rooms, reflections (or room modes) cause artefacts below 400 Hz, confounding the free-field property of HRTFs. Additionally, most loudspeakers used in the measurement are not able to reproduce low frequencies with sufficient power. Since the listener’s anthropometry has a small effect on HRTFs in the low-frequency range, HRTFs can be extrapolated towards lower frequencies with a constant magnitude and linear phase [20, 117]. Further post-processing steps may include spectral smoothing to account for listener position inaccuracies [60, 120] or adding a fractional delay to account for temperature changes followed by onset changes of the time signals [100].

The availability of acoustical HRTF measurements was a big step towards personalised binaural audio and virtual reality experience. However, even a fast or continuous measurement method requires the listener to sit still for a few minutes [104, 110, 112] in a specialised lab facility. Recent advances have been made towards both large-scale high-resolution and small-scale at-home easy-to-use solutions, providing HRTF acquisition to a large audience. Still, the imperfections in the electro-acoustic equipment set drawbacks of the acoustic measurement. Here, recent advances in the numeric calculations of the HRTFs can provide an interesting alternative.

## 4. Numerical calculation of HRTFs

Generally, the calculation of HRTFs simulates the effects of the pinna, head and torso on the sound field at the eardrum. The goal is to numerically obtain the sound pressure at the two ears for a given set of frequencies and spatial positions. There are many methods to simulate wave propagation [121]. When applied to the HRTF calculation, all of the methods require a geometric representation of head and pinnae as input. For an accurate set of HRTFs, an exact 3D representation of the geometry, especially that of the pinnae with all their crests and folds, is of utmost importance [90]. The 3D geometry is represented using a discrete and finite set of elements, further denoted as ‘mesh’. A mesh is a representation of the region of interest (ROI), i.e., the object’s volume and surface, with the help of simple geometric elements. In most applications, the faces of these elements are assumed to be flat, which in turn explains the preference for triangular faces because they are always flat and therefore have one unique normal vector. This is not always the case for other shapes, e.g., quadrilaterals.

The requirements on the mesh have to consider geometrical as well as acoustical aspects. From the acoustic perspective, a typical rule of thumb for numerical calculation requires the average edge length (AEL) of elements to be at least a sixth of the smallest wavelength [122], which corresponds to an AEL of 3.5 mm for frequencies up to 16 kHz. However, in order to describe the pinna geometry sufficiently accurate, the average edge length (AEL) of the elements in the mesh needs to be around 1 mm, independently of the calculation method [90]. Some numerical calculation algorithms are, in general, more efficient and stable if the geometries are represented locally with elements of similar sizes and as regular as possible, e.g., almost equilateral triangles. To this end, the mesh may undergo a so-called * remeshing* [123], which inserts additional elements and resizes all elements to a similar size. Figure 8 shows the same pinna in all panels, represented by meshes with increasing AELs from left to right.

Interestingly, only the pinna regions contributing to the HRTF (compare Figure 4b) require to be accurately represented [56] and the remainder of the geometry can be more roughly modelled. This applies especially to the head, torso and neck, which can be represented by larger elements. These anatomical parts can additionally be approximated by simple geometric shapes, e.g., a sphere for the head, a cylinder for the neck and a rectangular cuboid or an ellipsoid representing the torso [65], see e.g., Figure 4a. To emphasise the sophisticated direction dependency of the pinna, Figure 9 shows the calculated sound pressure distribution over the surface of the pinna. This simulation is calculated by defining one element in the centre of the ear canal as a sound source and evaluating the resulting sound pressure field at the vertices of the rest of the geometry; the procedure is explained thoroughly in Section 4.4.

The geometry can be captured via numerous approaches [124]: a laser scan [125], medical imaging techniques such as magnetic resonance imaging (MRI) [69, 126] and computer tomography (CT) [90], or photogrammetric reconstruction [127]. Laser, MRI and CT scans yield high-resolution meshes offering a small geometric error, but in turn, they need a special equipment. The laser scans are based on line-of-sight propagation and are able to measure short distances with an accuracy of up to 0.01 mm. The downside of line-of-sight propagation is that the manifolds of the pinnae are not easy to capture. In the medical imaging approaches, different downsides arise; acquiring the pinnae geometry via MRI is not a trivial process because they are flattened by the head support. This leads to two separate MRI measurements of each ear. The anatomy is then captured in ‘slices’ that can be stitched together in the postprocessing rather easily. The CT captures the anatomy in a similar way, but due to the high radiation exposure, such scans are usually not done with human subjects but with (silicone) mouldings of the listener’s ear. The overall procedure may take more time than an acoustic HRTF measurement and require the listener to either manufacture a moulding or meeting rather specific criteria for the scanning equipment (e.g., no tattoos, piercings, or implants). As an alternative, recent advances have been made for more widely applicable approaches such as photogrammetry [23, 128]. Photogrammetry is not only non-invasive but also can be done with widely available equipment, e.g., a smartphone or digital camera, without having the listener to travel to a specialised facility. In a nutshell, the photogrammetrical approach works as follows: a set of photographs from different directions is made for each ear [127, 129], the so-called * structure from motion* [130] approach estimates the camera positions by analysing the mutual features across the photographs; a 3D point cloud is constructed; and a 3D mesh is created by connecting the points in the cloud. Note, that currently, manual corrections (e.g., smoothing to reduce noise, filling holes) are still required to reach the high quality of the meshes required for accurate HRTF calculations.

Simulations of acoustics require the information about the acoustic properties of the simulated objects. The HRTFs can be simulated with the 3D geometry represented as fully reflective, i.e., all surfaces having infinite acoustic impedance. With respect to localisation performance, only a small * perceptual* difference was found between acoustically measured and HRTFs calculated for acoustically reflective surfaces [101]. However, the impedance of various regions such as skin and hair may influence the direction-independent HRTF properties and cause changes in the perceived timbre [95, 99, 100].

In order to calculate HRTFs with sufficient spectral accuracy, the number of elements needs to be in the range of several tens of thousands, which might be important for the requirements of the computational power. Such large numerical problems usually require large amount of memory being in the range of Gigabytes. Nevertheless, the calculation time may reach a few days, especially when calculating HRTFs for many frequencies with high-resolution meshes. Note that if the used algorithm calculates HRTFs for each frequency independently, the calculations can be performed in parallel, and computer clusters can be used. This reduces the calculation time to a few hours for HRTFs the full hearing range and a mesh of several tens of thousands of elements.

All the algorithms for numerical HRTF calculation are based on the propagation of sound waves in the free field around a scattering object (also “scatterer”), usually described by the Helmholtz equation

where

In order to solve the Helmholtz equation for a given scatterer, boundary conditions are necessary. The * Neumann* boundary condition assumes the object to be acoustically hard, and the (scaled) particle velocity at the boundary can be set to zero,

where * Sommerfeld* radiation condition can be applied,

with

For the calculation of HRTFs, the Helmholtz equation can be solved numerically by means of various approaches, which are based on a discretisation of the exterior domain

### 4.1 The finite-element method

The finite-element method (FEM) solves the Helmholtz equation, Eq. (2), considering the scattering object or the domain around it as a volume [132]. Figure 10 shows an example of a finite (domain) volume

Secondly, the unknown pressure

of so-called ansatz functions

where

and

In general, the unknown coefficients

When calculating HRTFs, the space around the scatterer is assumed to be continuous and infinite; in practice, this space has to be discretised and truncated to a finite domain by inserting a virtual boundary. When applied to the calculation of HRTFs, a virtual boundary of the (now finite) domain

The FEM has been widely used in HRTF calculations [137, 138, 139, 140, 141] and yields similar results to acoustical HRTF measurements with spectral magnitude errors of approximately 1 dB [137, 141]. The downside, however, is the need to model 3D volumes around the head, resulting in models of a high number of elements, having a strong impact on the calculation duration.

### 4.2 The finite-difference time-domain method

A similar approach as the FEM can also be followed in the time domain. By using a short sound burst in the time domain as an input signal, the HRTFs within a wide frequency range can be calculated at once. This approach is called the finite-difference time-domain (FDTD) method [142] and can be derived by solving the wave equation in the time domain

where

defining the number of cells the sound propagates per time step. Typically, in order to obtain stable HRTF calculations, the Courant number is

Figure 11 shows a 2D representation of a mesh used in the FDTD method. Note that because the mesh needs to consist of evenly spaced elements, most of the objects cannot be represented accurately and a sampling error is introduced at the boundary surface

Because of the additional sampling errors for irregular domains, recent advances have been made towards using quasi-cartesian grids [148], dynamically choosing grid resolutions [149], or towards the finite-volume method (FVTD), which is based on energy conservation and dissipation of the system as a whole and uses the integral formulation of the FDTD [150]. One solution approach there is to adaptively sample the grid at the boundary and introduce unstructured or fitted cells [151, 152]. A thorough comparison between FEM, FDTD and FVTD methods is available in [153].

In fact, the FDTD method has been widely applied to HRTF calculations [145, 146, 154, 155], and it certainly offers the advantage of calculating broadband HRTFs while not introducing additional computational cost when multiple inputs or outputs are used. However, because of the complex geometry of the pinnae, a submillimetre sampling grid is required, resulting in the need for a delicate preprocessing.

### 4.3 The boundary-element method

The boundary element method (BEM) is based on a special set of test functions in the weak formulation of the Helmholtz equation Eq. (3), namely the Green’s function

where _{,} and * not* the volume

where

In comparison with the other two methods, the BEM has the advantage that only the * surface* of the object such as the head and the pinnae needs to be discretised, whereas in FEM and the FDTD method also a discretisation of the

*surrounding the head has to be considered, see Figures 10–12. Thus, in the boundary element method, all calculations can be reduced to a manifold described in 2D, in our case, the domain of interest is reduced to the surface of the head. A second advantage of the BEM is that by using the Green’s function, the Sommerfeld radiation condition is automatically fulfilled. Additionally, no domain boundary has to be introduced, such as the PML. This renders the BEM an attractive method for calculating sound propagation in infinite domains, i.e., in free-field, as is the assumption when calculating HRTFs [156].*volume

In order to solve a BEM problem, the BIE is discretized and solved by using methods such as the Galerkin, collocation or Nyström [157, 158, 159], all with the common goal of yielding a linear system of equations.

For the Galerkin method, the unknown pressure is approximated by a linear combination of ansatz functions as in Eq. (4). The BIE is again multiplied with a set of test functions (similar to the test functions

and

Another commonly used approach especially used in engineering is collocation with constant elements, i.e., the sound field is assumed to be constant on each element of the mesh, and the BIE is solved at the midpoints

The BIE is solved for a given set of frequencies and the solutions

The discretisation of just the surface introduces additional challenges. First, the Green’s function becomes singular at the boundary where

In order to efficiently deal with such large systems, the BEM can be coupled with methods speeding up matrix–vector multiplications, such as the fast-multipole method (FMM) [163] or

is found. This approximation has two advantages: the local expansions

Although the Helmholtz equation for external problems has a unique solution at all frequencies, the BIE has uniqueness problems at certain critical frequencies [159, 167]. Thus, to avoid numerical problems, the BEM needs to be stabilised at these frequencies, e.g., by using the Burton-Miller method [167]. BEM has been widely used to calculate HRTFs [165, 168, 169, 170, 171] analysing the process from various perspectives. When applied to an accurate and high-resolution representation of the pinna geometry, BEM can yield similar results to the acoustic HRTF measurements by means of sound localisation performance [101, 172].

### 4.4 Reciprocity

In principle, in order to calculate an HRTF set, the Helmholtz equation needs to be solved for every source position

Helmholtz’ reciprocity theorem states that switching source and receiver positions do not affect the observed sound pressure. When applied to HRTF calculations, virtual loudspeakers are placed in the entrance of the ear canal (replacing the virtual microphones) and the many simulated sound sources are represented by many virtual microphones (replacing the many virtual loudspeakers around the listener). By doing so, the computationally expensive part of the BEM, i.e., solving a linear system of equations to calculate the sound pressure at the surface, needs to be done only twice, namely once for each ear. Subsequently, the sound pressure at positions around the head can be calculated fairly easy and efficiently.

In more detail, assume that a point source with strength

The reciprocal sound source can be modelled by vibrating elements

where

Note that this equation is calculated after a discretisation, and because

Reciprocity, combined with FMM-coupled BEM has been applied to calculate HRTFs, enabling calculations for a large spatial HRTF set within a few hours even on a standard desktop computer [172].

## 5. Other issues related to HRTF acquisition

Over decades, HRTFs have been collected and stored in databases. Such databases are important for educational aspects, training of neural network algorithms [34, 37] and further research [23, 25, 26, 27, 28, 173]. While in the early HRTF research days, HRTFs have been stored by each lab in a different format, since 2015, the spatially oriented format for acoustics (SOFA) is available to store HRTFs in a flexible but well-described way facilitating an easy exchange between the labs and applications. SOFA is a standard of the Audio Engineering Society under the name AES69. SOFA provides a uniform description of spatially oriented acoustic data such as HRTFs, spatial room impulse responses, and directivities [15].

When it comes to anthropometric data, unfortunately, there is currently no common format to specify and exchange anthropometric data. This is partially because currently, it is not known, which data are important. Some laboratories use the CIPIC parameters [88], some have extended them [174], and others have created whole new sets of parameters [128, 175]. An overview of currently used anthropometric parameters can be found in [176]. The development of parametric pinna models may shed light on the relevance of parameters needed to be stored in the future. The listener’s geometry can also be stored in non-parametric representations such as meshes and point clouds of listener’s ears and head. To this end, typical 3D dataset formats are used, e.g., OBJ, PLY or STL. These formats are widely used in computer graphics and thus easily accessible by many corresponding applications. A large collection of HRTF databases stored in SOFA, with some of them combined with meshes stored in OBJ, PLY and STL files is available at the SOFA website.^{1}

When HRTFs are obtained, there is strong demand to evaluate their quality. This is especially interesting when comparing the results from numerical HRTF calculations. The evaluations can be performed at various levels: geometrical, acoustical and perceptive. The evaluation at the geometric level can be done by comparing the deviation between two meshes of the pinna and representing the deviation as the Hausdorff distance [177]. The evaluation at the acoustic level can be done by calculating the spectral distortion

where * perceptually valid*.

## 6. Conclusions

With a specialised measurement setup, acoustic HRTF measurements can be done within a few minutes. Still, such setups are expensive and require the listener to sit or stand still for the whole measurement duration. The requirement of specialised components has been limiting the popularity of the acoustic methods. Recent advances, however, have been made by integrating head-movement tracking in systems to be used at home, especially since the commercialisation of VR headsets. These advances provide an easy-to-use measurement setup, but still need investigation on how many and which measurement positions are crucial to acquire a sufficient measurement grid for perceptually valid HRTFs.

With the availability of numerical HRTF calculations, the acquisition of personalised HRTFs has undergone significant advances. While the acoustic HRTF measurement still remains the reference acquisition method, numerical HRTF calculation paves the road towards personalised HRTFs available for a wide audience. The most widely used approaches, FEM, FDTD, BEM and BEM coupled with the FMM, when applied under optimal conditions, can yield acoustically and perceptually valid results.

Machine learning and neural networks gain increasing popularity and, in the future, may even further push the usability of numerical HRTF calculations. For example, neural networks might be able to support the photogrammetric mesh acquisition or even estimate the HRTFs directly from listener-specific anthropometric data such as photographs. Further improvements in terms of efficiency, accuracy and precision are still ongoing subject of research.

Despite the clear definition when it comes to storing an HRTF data set by means of SOFA, a similar definition for the description of anthropometric data is still not available. This might be rooted in our poor understanding of the importance of parts of the pinna and its contribution to the HRTF. Here, a clear goal is to better understand the anthropometry and its relation with HRTFs. All this future work heads into the direction of expanding the access to personalised HRTFs enabling their availability for everyone.

## Acknowledgments

This work was supported by the Austrian Research Promotion Agency (FFG, project ‘softpinna’ 871263) and the European Union (EU, project ‘SONICOM’ 101017743, RIA action of Horizon 2020). We thank Harald Ziegelwanger for visualising the sound pressure in Figure 9.

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## Notes

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