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PREFACE
ithin the last 35 years or so, we have been witness to an explosion of interest in the voice by
W clinicians, scientists, physicians, and singers. This multidisciplinary interest in the voice has
led to a remarkable sharing of knowledge through the establishment of voice clinic teams, the
publication of dedicated scholarly journals, electronic communication, and an abundance of conferences
spanning not only a broad range of topics but also spanning the globe.
We are indebted to those who pioneered and pursued an interest in phonation, in how the larynx
works, and in how to alter or correct its function. They persevered despite criticism by some who found
these early efforts lacking in scientific stringency. We, our students, and our patients, are the beneficiaries
of their persistence. Nevertheless, much remains to be done. Although heartened and encouraged by
the increasing numbers of scientists and clinicians, teachers, and singers interested in study of the larynx
and voice production, we are dismayed by its continuing “stepchild” status in training programs for
speech–language pathologists and otolaryngologists and in singing pedagogy programs.
That, in large measure, is the reason for this book. We have been fortunate in being part of an inter-
disciplinary team that has studied normal and disordered phonation both clinically and experimentally
for many years. Through this experience, we have evolved a philosophy and framework for the examina-
tion of laryngeal function and for clinical management of the voice-disordered patient that differed from
others in its emphasis. Over the years, we have presented our ideas in many lectures and courses and, if
we are to judge by feedback received, have found our approach to be well received and helpful. Indeed,
the team approach to voice disorders has become the norm and is practiced in many hospitals, clinics,
and other facilities where the diagnosis and treatment of voice disorders occurs. That approach was our
guide, which led to the first edition of this book. We intended it to be used by students and practitioners
alike in all of the specialty areas involved in the management of the voice, including otolaryngology,
speech–language pathology, and coaching of the singing and dramatic voice. We intended this book to
be used as a reference text by other medical specialists, such as pediatricians, family practitioners, and
internists, who might be the first to come in contact with the patient with a voice disorder. Indeed, with
the burgeoning of managed care, this may be increasingly the case and the primary source of referral for
examination and treatment.
The first three editions of the book have been well received and are used in many of the training
programs in the United States and in parts of the rest of the world. In previous editions, we updated
and expanded many sections to reflect current practice and new knowledge. That same aim is reflected
in this edition. We believe that understanding voice disorders must begin with an understanding of
normal phonatory physiology and acoustics. Based on such knowledge, the student, speech–language
pathologist, or otolaryngologist can better understand the pathophysiology that results from misuse,
abuse, pathology, or neurological involvement. Because there is not a one-to-one relationship between
physiology and acoustics, it is not always possible to predict specific pathology or alterations in physiology
on the basis of acoustics or perception alone. Thus, neither acoustic nor perceptual data are sufficient
for the diagnosis and treatment of voice disorders. Knowledge of the pathophysiology together with
understanding the acoustic and perceptual factors and individual psychodynamics must all be added to
the equation in determining diagnosis and planning treatment.
We are firm advocates of the differential diagnosis model and have attempted to emphasize that
throughout the text. A differential diagnosis can only be carried out if it is based on knowledge. Indeed,
one of the fascinations of the area of voice is the amalgamation of knowledge from various fields that
must be brought to bear on the diagnostic process. The team approach is thus an ideal mechanism to
support this need. The approach to management has at its core the normalization of physiology, which
vii
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we believe will bring with it normalized phonation. When normalization is not a realistic goal due to
structural or neuromotor constraints, then the approach builds on making the most of what remains
functional. The choice of therapy technique is predicated upon a knowledge-based problem-solving
approach, rather than on an uninformed gunshot approach. The “if it works, use it” approach may be
occasionally successful but may be totally inappropriate at other times. It is important to know when
to use a technique and to be able to at least speculate about why it works or fails to do so. We firmly
believe that wherever possible, a technique used in voice treatment should be based on a firm theoretical
basis, have solid scientific evident, and work clinically. The clinician must understand the nature of
the altered physiology, must take into account the psychological dynamics that may be operative, and
must then be able to select an appropriate approach to rehabilitation that will address these issues. The
intertwined relationship between the voice and the person is an essential component in both diagnosis
and management. However, even in the patient with a psychologically based voice disorder, the deviations
in the manner of voice production and voice use must be understood.
In writing this book, we have presumed that the reader will have been exposed to the study of
laryngeal anatomy, physiology, neuroanatomy, and neurophysiology. Therefore, the chapters dealing
with these topics appear at the end of the book and are designed to be reviews of essential concepts
rather than extensive teaching chapters. Some have commented to us that these chapters would be
better placed at the beginning of the book. But we prefer to emphasize the essential clinical nature of
the book right from the beginning and firmly believe that the student should come to the study of
voice disorders thoroughly grounded in the basic anatomy and physiology of the larynx and related
structures.
There is much written about the voice that has yet to be substantiated by experimental data. We
have made note of such gaps in our knowledge base in many parts of the book. We have also chosen
to put ourselves out on a limb by raising questions about some long-held beliefs. In doing so, we have
brought to bear whatever data are available to support our positions, and, where data have been lacking,
we have had to rely on theoretical constructs. Although differences exist in the types of voice problems
that occur at various points along the lifespan, we have chosen to embed that information wherever
appropriate in the text, rather than to devote entire chapters to specific age groupings. Similarly, we have
not set aside a chapter specific to the problems of the professional voice user; there is liberal mention
made of matters specific to that group throughout the chapters.
Since the publication of the third edition, there have been numerous studies about the effectiveness
of various treatment options for a variety of voice disorders. Many of these studies have followed the
evidence-based protocol that has been used in other branches of medicine for many years. We are
gratified to see this development as it means we now have or are gathering the evidence to support our
therapeutic approaches or programs. Evidence that a program works has been in our work with voice
patients even before the first edition of this book. We have conducted many studies designed to test
whether or not a therapy protocol actually works or not. We have tried to bring all of the resources of
science to bear on testing our notions about diagnosis and therapy. We will continue to do so in the
future.
We have confined ourselves to those problems having laryngeal integrity and function at their core.
Thus, there is little discussion of the difficulties with voice experienced by the deaf and by those with
severe hearing impairment. Although we have come to learn that there may be physiological differences
in phonation between the hearing and the (congenitally) deaf, the problem usually lies primarily in
the absence of acoustic input, not in abnormality of the larynx. For the same reason, we have excluded
discussion of the resonance problems of hyper- and hyponasality. The velopharyngeal mechanism and the
anatomical structures involved in that mechanism are at the core of most resonance problems, rather than
the phonatory mechanism. One of the major criticism of our book has been the lack of any information
on laryngectomy. That omission was not an oversight on our part because we have written another book
that was devoted solely to this topic. However, that edition is now seriously out of date and the time has
come to update the material and to include it in this volume.
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Preface ix
The structure and philosophy of this revised edition retains much of the organization of the previous
editions. However, we have attempted to update material, to include more information in certain areas
and, to respond to some of the requests of those who have used this book as a primary text.
Chapter 1 introduces the study of the larynx, beginning with its important biological functions.
The uniqueness of human ability to speak is dependent in part on the ability of the larynx to produce the
acoustic signal we call voice. The changes in that signal that accompany lifespan changes are reviewed,
as is voice production. Various models of the team approach to the diagnosis and management of voice
disorders are introduced. Chapter 2 is key to the philosophy of this book. We have approached the process
of differential diagnosis in the manner usually experienced in the real world when the patient presents
with certain symptoms. We follow the process through the steps that the practitioner must pursue in
narrowing the possibilities until a diagnosis and etiology are assigned. Case studies are presented as an
aid to understanding the process. Our scheme rests on nine primary symptoms of disorders of voice
and expands from there to the various signs—perceptual, acoustic, and physiological—that would be
consistent with the symptom.
In Chapter 3, Dr. Susan Thiebolt with her student, Marie E. Jette, discusses current information and
concepts about the microstructure of the larynx. Chapter 4 addresses misuse and abuse of the larynx, with
a focus on the physiological effects related to specific behaviors. Expanded information on stroboscopic
findings is a feature of this revised text. One of the unique aspects of this book is a lengthy section in this
chapter devoted to the effects of drugs on the voice. The use of over-the-counter as well as prescription
drugs is extensive. Their effects on the laryngeal mucosa have been largely overlooked. There is still a
paucity of experimental evidence about these effects. Voice problems associated with nervous system
involvement are discussed in Chapter 5. Although voice problems in this population are extensive, the
available data on the acoustic parameters of the voice or the physiological parameters of airflow and
laryngeal muscle action potentials are exceedingly limited.
Chapter 6 is devoted to the discussion of voice problems associated with organic disease and trauma.
These are areas about which the speech–language pathologist must be knowledgeable. Chapter 7 traces
the development and occurrence of voice disorders in children and concludes with a more extensive
treatment than was in the first two editions about aging. The section on geriatric voice addresses some
of the current problems and concerns of this growing segment of our population. An extensive section
on taking the voice history introduces Chapter 8, and its length emphasizes our concern about the
relatively minimal training speech–language pathologists and otolaryngologists usually receive in this
critical area of communication between patient and practitioner. The remainder of the chapter is given
over to descriptions and discussion of methods of laryngeal examination and testing procedures, both
instrumental and noninstrumental. The information that has been generated about the larynx and
its function through the use of stroboscopy has been updated and expanded. Dr. Richard Kelley, the
otolaryngologist member of our team, discusses phonosurgery and the surgical management of voice
problems in Chapter 9.
The focus of Chapter 10 is vocal rehabilitation, the primary method used to alter phonatory behavior.
The chapter begins with a discussion of some general concepts, principles, and guidelines that we feel are
critical to the undertaking of a vocal rehabilitation program. The role of voice therapy in the treatment of
disorders associated with voice misuse or abuse, pathology, neuromotor involvement, and some unusual
problems is discussed. A variety of specific treatment techniques are offered. Each is described, and a
rationale for its usefulness is provided. This section contains updated information on various therapy
techniques as well as patient outcomes. The outcome of our treatment for all kinds of communication
disorders has received much more attention since the publication of the second edition of this book.
Much more information is available to assess the effect of our treatment on a patient’s everyday function
and on the quality of life. Some controversial areas related to voice therapy and some unresolved issues are
discussed, and the final sections of this chapter briefly address the issues of prevention and malpractice.
Chapter 11 focuses, in part, on laryngectomy and the care of patients who must use some form
of alaryngeal speech. The chapter also includes a discussion of various types of partial laryngectomy
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x Preface
and their potential effects on voice. “Conservation” surgeries that permit resections of pathology while
leaving as much healthy tissue as possible are increasingly utilized and create a new set of problems for
voice restoration or implementation in this patient population.
Chapters 12 to 14 were described earlier as reference chapters. They deal with the anatomy, phys-
iology, and neuroanatomy and neurophysiology of the vocal mechanism, respectively. It is our intent
that these chapters be referred to frequently as a differential diagnosis is pursued. Chapter 15, the final
reference chapter, provides normative data against which patient data can be compared. By placing this
material in a separate chapter, we have made it readily accessible for reference use. And finally, the Ap-
pendix offers a variety of forms and protocols that we have found to be useful in our assessment and
examination procedures and includes a copy of the rating form proposed by the Consensus Conference
on Voice Perception for rating patient voices.
This edition of the book has a companion Web site at http://thepoint.com/Colton4e. The site
contains all of the color images of vocal pathologies that appear in the book plus a variety of images of
other pathologies. The stroboscopic video recordings of the patients presented in Chapter 2 may also be
found here. Individual patient clips referenced in various chapters are also included. The original word
files of the material in the appendices may be found in another section of the site and we have added
material on laryngectomy and updated many of the photographs of laryngeal pathologies. Finally, a list
of all the Web sites referenced in the book can be found on this site.
As much as possible, we have attempted to construct our sentences so as to avoid the use of sex-
specific pronouns. When this attempt resulted in convoluted language structure that became an obstacle
to understanding, we have chosen to use gender pronouns (i.e., his or her) interchangeably. The reader
should be aware that despite the particular pronoun used, we are speaking of both sexes unless it is clearly
stated otherwise. Furthermore, because this book is intended for a broad audience, we have adopted the
use of the English alphabet rather than phonetic symbols to describe vowel sounds (such as /ee/ for the
sound in “see”).
We are indebted to Susan Theibolt, Ph.D., and Marie E. Jette, M.S., for their excellent treatment
of vocal fold histology (Chapter 3) and to Richard Kelley, M.D., for his superb chapter on surgical
intervention (Chapter 9). We also wish to thank again Dr. Hirano; he has been a leader and innovator
in the study of vocal fold physiology who contributed to the earlier editions of the book.
Many others have helped in diverse ways with the preparation of this book. Dr. David W. Brewer
has, throughout the years, been a source of constant support and encouragement, and he has been so
for this project as well. We thank him for that and for his insightful reading and critique of much
of the text. We acknowledge the help of the late Samuel Mallov, Ph.D., Professor Emeritus of Phar-
macology, SUNY Health Science Center at Syracuse, New York, who checked the accuracy of our
comments about the effects of drugs on the voice. Martha Hefner, medical illustrator at the SUNY
Health Science Center at Syracuse, New York, along with Elinor Griep, Brian Harris, and Craig Palmer,
provided splendid illustrative material, and always with a smile. We are grateful for the generosity of
Eijii Yanagisawa, M.D., in sharing with us his superb photographic skills. Others have read various
sections of the manuscript in preparation and have given us valuable direction. We wish to thank
Peak Woo, M.D., Fran Lowry, Carol Friedenberg, the late Herbert N. Wright, Joanne Chilton, and
Soren Lowell. Ashley Paseman has also been invaluable in contributing to the work described in this
book and now caries on the tradition of voice care in Syracuse, NY. And, for this revised edition, we
want to thank the many colleagues who have offered support and encouragement by adopting this
textbook for use with their students and by providing us with such useful and positively reinforcing
feedback.
Sadly, one of the authors of this book has passed away. Janina Casper was the consummate clinician
with a strong research background and ability. She was a dynamic therapist who could quickly establish
rapport with her patients and motivate them to get better and do what she told them to do. She routinely
got excellent results but was never satisfied with her current skills or knowledge. She always sought new
ways to understand the voice and to treat her patients. She thirsted for new knowledge and understanding
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Preface xi
from whoever impressed her with their abilities and knowledge. And she was, throughout her career,
forever generous in sharing her own knowledge and skills with colleagues and students. Janina is sadly
missed by us but will never be forgotten by us or by her profession.
We each have families who have been supportive and patient throughout this process. They have
been deprived of attention, of our presence, and of the availability of the computer, but not of our
gratitude and love.
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CHAPTER
1
Introduction and Overview
Keywords
biology, sensory, overlaid, larynx, voice, cry, adult, aged, professional, team,
otolaryngology
The biological function of the larynx can never be ignored. The examiner who accidentally
touches the back wall of the pharynx when performing an indirect mirror examination or rigid
endoscopic or strobolaryngoscopic exam can attest to the rapid reflexive motions of the pharynx
and larynx that result from the “gag” reflex. But the reflex or biological functions of the larynx
can be subtle in their effects and may not be apparent to either the untrained observer or the
experienced eye. Many reflex endings are sensitive to small changes of movement or air pressure
that serve to inform the central nervous system about the normal operation of the airway. The
respiratory cycle itself and the activity of the nerve controlling the diaphragm may be affected
by these changes. They also affect the discharge pattern of the intrinsic laryngeal muscles. The
effects of these subtle changes are important to consider for an understanding of the physiology
of normal voice production.
We are still young in our understanding of the physiology of the human body. Our
fascination with modern instrumentation has produced a good deal of information about
human voice production (Baken & Orlikoff, 2000). Nevertheless, the fundamental mechanisms
of bodily function and regulation cannot be ignored. Reflexes are primitive neural control
subsystems. They operate at a very low level in the hierarchy of neural functioning and control
large muscle actions. But these mechanisms are always there, waiting in the wings, so to speak,
to alter body function. Our awareness and appreciation of their role should be apparent to us
and to our patients if we are truly to understand human voice function.
who wishes not to be disturbed. Markel and his colleagues (1964, 1973) have shown that the
pitch, loudness, and tempo of the voice can be used to reflect the personality of the individual
and correlate well with other standardized tests of personality measurement (Gawda, 2007).
The speaker’s voice is used to attract as well as to repel people. A soft, soothing voice is
more apt to calm an agitated person than a strident and loud voice. On the other hand, a
strident, loud voice may be used effectively to repel someone. We instantly use a loud, “firm”
voice to dispense with a pushy salesperson or avert a physically threatening situation.
The voice can reveal a person’s physical state, as well as the physical state of the larynx.
The weak or tremulous voice identified with illness is easily identified, and the voice altered by
laryngeal pathology is identified as abnormal.
Yes, the voice is a powerful tool that not only delivers the message but also adds to its
meaning. In learning to understand the voice, it is not enough to understand its mechanical
functioning. It is also necessary to recognize the important information the voice conveys about
the speaker.
sound, much of which is rather loud. As the infant grows, the ability to control vocal pitch and
loudness increases (Boone and McFarlane, 1988). This development is reflected in the longer
cries, which are lower in pitch and vary in loudness depending on the circumstances.
In summary, during infancy and childhood, the characteristics of the voice depend on the
physical, cognitive, and emotional maturation of the child. The physical size of the vocal folds
is a major determinant of the fundamental frequency of the child’s voice. The infant, with a
small larynx and short vocal folds, exhibits the highest vocal pitch, whereas the older child,
whose larynx has grown, possesses a lower vocal pitch. Adult vocal pitch is not attained until
puberty, when the larynx reaches its adult size.
Loudness variation is less affected by these growth changes and more affected by the level
of motor control exhibited by the child. Quality variation reflects physical growth changes of
the vocal folds, changes in the size and shape of the entire vocal tract, and finer control of
the neuromuscular system. Differentiation of appropriate voice use characteristics depends not
only on physical abilities but also on cognitive and social growth and awareness.
is usually accompanied by reduced demand on the system. That is not to say that the voice is
no longer important to the elderly. On the contrary, the voice is important, but in a different
way. It retains its importance in the communication process. It is used to maintain contact
with friends and relatives. For some individuals, verbal communication becomes the only way
to maintain human contact and control of the environment.
are able to use their voices in strenuous ways without encountering any vocal problems.
They are the exceptions. Most people who use the voice in chronically strenuous ways are
at risk for developing vocal difficulty.
Many professional voice users may have had vocal training, although it is rare for such
training to include more than a cursory understanding of phonatory physiology. Typically,
voice coaches have been taught by other voice coaches, and techniques are passed on that are
believed to produce the desired results. There is little objective evidence that these techniques do
what they are purported to do. Although some techniques appear to be spectacularly successful,
others have done unwitting damage to voices.
Professional voice users need to understand the workings of their instrument to use it
most effectively and maintain its health. In addition to professional singers and actors, the
category of professional voice users should be expanded to include teachers, coaches, ministers,
salespersons, cheerleaders, and others who use their voices extensively and perhaps strenuously
in the performance of their occupations.
The growth of interest in the voice and the recognition of the need for multidisci-
plinary involvement in its care have resulted in increased understanding of the science un-
derlying voice physiology among vocal coaches and singers as well. The many multidisci-
plinary voice conferences throughout the world attest to this and continue to disseminate
information.
had extensive training in singing, usually at the undergraduate level, that adds immeasurably
to their understanding of the professional voice.
Voice scientists have added to our knowledge and understanding of phonatory physiology
and acoustics through experimental verification of hypotheses. They are usually not directly
involved in either treating or teaching the voice user. However, the information available from
laboratory studies of the voice can be helpful in establishing a diagnosis, validating treatment
approaches (Verdolini & Titze, 1995), and in documenting change in vocal function as a result
of treatment. Furthermore, much can be learned about phonatory physiology from the study
of abnormal function.
Neurolaryngology, the specialized neurological approach to laryngeal function, is a fairly
new and developing area of knowledge, with far-reaching clinical implications. Many movement
disorders have laryngeal components that have not been well documented and are not well
understood. Indeed, it is not unusual for a phonatory problem to be the first symptom of a
motor disorder. A neurolaryngologist could be a valuable member of any team concerned with
voice disorders.
Imaging techniques are powerful tools assisting in the diagnosis of pathologic condi-
tions. Laryngologists whose special area of expertise focuses on head and neck problems
are frequently involved in initial and subsequent assessments of laryngeal abnormality. Ra-
diologists provide further information relative to the size, location, and extent of a lesion,
through a variety of imaging techniques. Such information is frequently critical to diagnos-
tic and management decisions, especially those that involve surgery. Imaging techniques such
as magnetic resonance imaging or computed tomography (Baer et al., 1987; Brooks, 1993;
Leboldus et al., 1986; Piekarski, 1992; Stark et al., 1984; Wippold, 2000) scan can provide
additional information about the state of the larynx and the vocal tract during speaking and
singing.
Patients whose voice problems are an expression of deep-rooted emotional problems may
require psychotherapy (Aronson, 1990; Aronson, Peterson, & Litin, 1966; Diehl, 1960). Re-
ferral to a psychotherapist is indicated when it has been determined that the vocal problem
exhibited by the patient may be an expression or symptom of significant psychiatric disabil-
ity. Our understanding of the bond between voice and personality has been enhanced by the
contributions of the fields of psychiatry and psychology.
Teachers and coaches of the singing and the speaking voice are interested in maximizing
the individual potential of each of their students while maintaining the health and structural
integrity of the vocal mechanism. Their unique knowledge of the professional voice and their
deep interest in its correct use necessitate a good knowledge of vocal anatomy and physiology.
This is especially true because the vocal demands on singers and actors are frequently much
greater than for the average speaker. Furthermore, even subtle changes in vocal production may
be critical to a performance.
The number and variety of disciplines involved in the understanding and management of
the voice give testimony to the complexity of the process of phonation. Our experience in the
“team approach” to understanding the voice and its disorders has led us to an appreciation of
the active involvement of a variety of disciplines working together in the assessment process.
The benefits of this interactive interdisciplinary team approach accrue not only to the patient
but also to the professionals involved. Each team member brings a particular perspective and
knowledge base to the diagnostic process, extending by far the single examiner expertise. For
example, the otolaryngologist is highly skilled in assessment of the health or disease state of the
larynx, the speech–language pathologist specializes in the phonatory function of the mechanism
and the manner in which that may be disturbed by various conditions, and the singing coach
recognizes problems in vocal technique that are specific to the singing voice.
The team approach may take various forms, each with its own set of advantages and
disadvantages. A description of several models follows.
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