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Author(s): Leon Knopoff and William Hutchinson

Source: Journal of Music Theory, Vol. 27, No. 1 (Spring, 1983), pp. 75-97

Published by: Duke University Press on behalf of the Yale University Department of Music

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ENTROPYAS A MEASURE OF STYLE:

LeonKnopoffandWilliamHutchinson

elements from severalmusical parameters.For example, the composer

may choose more tonic than dominant harmonies,more quarternotes

than half notes, and create a preponderanceof conjunct ratherthan dis-

junct motions. These choices will bringabout distributionalcharacteris-

tics that may belong to a "style." Once made, these choices are, at any

rate, identifiablecharacteristicsof the music itself.

Elements in musicalparametersare not unlike charactersin common

speech alphabets. Communicativestructuresof substantialsize are the

end result of a complex seriesof choices that are selections from alpha-

betic pools in the case of written literatureand, in the case of music,

from the pools of elementsin the severalparametersthat together com-

prisemusicalexpression.

The study of the selection and distributionof alphabeticcharacters

is the domain of information theory. More than twenty years ago,

Youngblood proposed that the computation of information content,

the entropy of informationtheory, could serveas a "method to identify

musicalstyle."'

The entropy of information theory is a calculation of the freedom

with which availablealphabeticmaterialsare used. Stated conversely,it

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is an assessmentof the constraintsplaced on the selection of materials

in the process of forminga communication.Entropiesare often used in

comparisonwith the maximum entropy the alphabetwill allow: This

latter property is an evaluationof the maximum freedom with which

materials might be used; for music, the maximum entropy implies a

seeming anarchy of pitches, rhythms, and other musical elements. The

ratio of the entropy of a particularsample to the maximumentropy is

called the relativeentropy; the redundancyof a text is essentially the

same thing, but viewed from the inverse perspective in which a large

redundancyimplies a small relativeentropy and vice versa. The terms

entropy and redundancyare part of the ordinarylanguageof informa-

tion theory; they are defined in many references, including Young-

blood's "Style as Information."

Youngblood's early foray into possible utilizations of information

theory for the analysisof music showed that excerpts from Schumann's

Frauenliebe und Leben had slightly greater entropy than arias from

Mendelssohn'sSt. Paul.Theinterpretationof this quantitativedifference

in entropies was that, viewed as a whole, the availablepitch vocabulary

was used in a somewhat less constrained way by Schumann than by

Mendelssohn.And the examplesfrom both Schumannand Mendelssohn

were found to have smaller entropies than selections from Schubert's

Die sch6ne Millerin. Quantitativeestimates of entropy were taken to

be descriptive of musical style, and these entropies were also used for

comparativepurposes;that is, specific assessmentsof entropy were re-

lated, not only to a maximumpotential entropy, but also to assessments

of entropy from divergentstyles. It is the second of these relationships

that needs furtherscrutiny.

Youngblood's calculation of entropy for the melodic lines of eight

Schubert songs in major keys was 3.127; for melodies from Schumann

and Mendelssohn,the entropies were 3.05 and 3.03, respectively.Are

the values of entropy for the Schubert examplessignificantlydifferent

fromthose for Schumann?Do they representgenuinestylisticdifferences

between the two? Or does the closeness between the entropies for the

Schumann and Mendelssohnexamples imply that these musical styles

should be thought of as indistinguishable,at least on the basis of the

usage of individual pitches? In short, for the purposes of musical

analysis and musical comparison, are these entropies macroscopically

or microscopicallydissimilar?

Indeed, are they dissimilarat all? That is, do non-identicalentropies

reflect real stylistic differences or are the differing entropies merely

statistical fluctuations? Would a choice of other songs by the above

composers have yielded entropies that would be the same as those

above, or would a selection of other songs have yielded entropies that

might reduce the numerical differences among the entropies or even

change the ordering Schubert-Schumann-Mendelssohn given by the

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entropies above? How precise or how imprecise is an entropy value?

Can selected samples of music be used to distinguish one style from

another if these distinctions are based solely upon an information-

theoretic analysis?Does information theory indicate real stylistic vari-

ance, or does it, on occasion, merely reflect the presence of special

combinationsof the alphabeticingredientsthat happen to be found in

selected excerpts of finite length?

The years since Youngblood'sinitial venture into the calculationof

measuresof information content and their relation to musical analysis

have seen the publication of a number of calculationsof entropy and

redundancy. Some analysts continue to view these calculationsas one

way to describe musical style2 and as a basis for the synthesis and

theoretical description of music.3 But the relative precision of the

determinationof entropy with respect to the body of musicalliterature

it purportsto represent,andwith respectto its certaintyfor comparative

purposes, remains seemingly and surprisinglyunresolved. In addition,

the precision and comparativevalidity of entropies for both discrete

and continuous alphabetsmust be determined.The latter is of concern

because a calculationof maximumentropy for use of continuous alpha-

bets, such as loudness for example, is not obtainable. We know the

entropyfor an equal, randomusage of the 12 pitch classes(Appendix I).

But a similarcalculation for all the potentially usablelevels of loudness

would necessitate the establishmentof perceptualthresholdsand nota-

tional devicesnot now part of musicalknowledgeor theory.4

We will show that entropies can indeed be used for comparativepur-

poses, and for both discrete and continuous alphabets. If a value of

entropy is derived from a finite musicalsample,the analystmust, how-

ever, be preparedto calculate the likelihood that there may be a dif-

ference between the value calculated and that of the parent musical

style it purportsto represent.To the usual computationof entropy we

have therefore added a second calculation,which is the determination

of the extent to which the length of a given sample may be judged to

representsafely a homogeneousmusicalstyle. Below we discussthe cal-

culation of probable differences among entropies for finite excerpts

using discrete and continuous musical alphabets.In addition, we offer

as examplescalculationsof entropy and entropy differencesfor excerpts

from contrastingmusicalstyles.

evaluation of the probabilitiesfor a random choice of symbols from a

hypothetical, infinitely large reservoir consisting of symbols of the

alphabet. The reservoir is populated with symbols according to the

percentageof their common usage in the style. Since we neverhave an

infinitely large reservoiravailableto us for analysis,but are obliged to

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rely on finite samples for our computations, we try to estimate the

propertiesof the infinite reservoirby attributionfrom the propertiesof

a finite sample.Weassumethat the alphabeticalingredientsof the pieces

we select on an a prioribasis accuratelyrepresentthe full populationof

a style that we assume, for the purposesof our analysis,has an ergodic

and stationary distribution. We can determine the quality of this as-

sumptionby studyingthe influence on the end result of takinga number

of finite samplesof differinglengths.

To illustratehow the finite length of the sample influences the cal-

culation of entropy, let us suppose that we have an infinitely large

reservoirwith a biased population of symbols whose percentagesare

exactly equal to those in an originalfinite sample.Wenow select from

this infinite reservoira collection of symbols whose number is exactly

equal to the size of our originalfinite sample.We repeatthis processa

huge numberof times.Wecalculateprobabilitiesof occurrenceasthough

each finite sample is drawn from the same infinite reservoirand cal-

culatethe entropy of eachseparatefinite sample.We can now investigate

the statistical distributionof this hypothetical collection of entropies.

If the length of the originalsampleis made longer, the spreadin the en-

tropies becomes smaller,until we reach the limit where we have an in-

finitely long sample, and then the entropy has no uncertainty,that is,

no spreadat all. Thus, for infinitely long texts, differencesin entropies

must be indicatorsof real differencesin stylistic usage.

We bypass the tedious procedureof repeatedsamplingsby the use of

mathematicalmethods that are identified in statistics with the multi-

nomial nature of the selection process for a finite sample.To illustrate

this process, let us suppose that we have a languagecharacterizedby

only two alphabeticalsymbols, A and B. Wehave availableto us a text

consisting of only 100 characters.A count of the occurrencesof the

letters shows that A occurs 64 times and B occurs 36 times. According

to the prescription above, we imagine that there exists an infinitely

large reservoirof letters, 64% of which are A and 36%of which are B.

We extract many texts at random, each having exactly 100 characters.

Sometimes we will extract a text of 63 A's and 37 B's, sometimes

65 A's and 35 B's, and so forth. Under the assumptionthat the selec-

tion has been random, we can draw a histogram of the probabilities

that a particularcombination of A's and B's will arise (Fig. 1). As ex-

pected, the most frequent distribution is 64 A's and 36 B's, but this

occurs only 8.3% of the time. 95% of the texts selected have combina-

tions of letters lying between (55A, 45B) and (72A, 28B) inclusive.The

frequency distributionof usage of A's and B's amongthese texts is not

quite symmetricabout the most probablecombinationwhich is (64A,

36B). The central 95% of all combinationslies within about 8A or 9A

of the most likely combination.

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.08

.06

.04

.02-

40 50 60 70 80 90 100 A

60 50 40 30 20 10 0 B

Figure 1. Probabilitiesof selecting samples of length 100 and having

varying fractions of two symbols from two infinitely large

pools having64%A/36%B(solid) and 75%A/25%B(dashed).

.010-

.008

.006

.004

.002

3700 3600 3500 B

Figure2. Probabilitiesof selecting samplesof length 10,000 and having

varyingfractionsof two symbols from an infinitely largepool

having 64%A/36%B.The step interval,visible in the graphsin

Fig. 1, is now so small that the graph appears to be con-

tinuous.

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We suppose that we have another sample text also of length 100

charactersfrom a different style, and that the new single sample has a

distributionof characterswhich is (75A, 25B). The question at issue is

whether the two texts are sufficientlylong to discriminatebetween the

two styles on the basis of the usageof the charactersA and B. The his-

togram of many texts of length 100 from an infinite reservoirof com-

position 75%A,25%Bis also shown in Figure 1; the most likely text has

the composition (75A, 25B), of course, and this appearsin 9.2%of the

textual samples.This time the central95%of the sampleshas composi-

tions between (66A, 34B) and (83A, 17B), that is, also within about

?8A of the central value of 75A. We see that, at the 95%level of prob-

ability of each style, there was a chance that a text with, for instance

(70A, 30B) could have been selected from either reservoir.Because of

the overlap of the two populations at the 95%level of each, we state

that they cannot be distinguished,one from the other.

In Figure 2, we consider the same two reservoirs,but this time the

selection process involves texts having 10,000 symbols each, again

drawnat random.In the case of the originalreservoir,the most frequent

distributionremainsthe same,namely (64%A,36%B)which is (6400A,

3600B); 95% of the samples are found between (6305A, 3695B) and

(6495A, 3505B). Whereasthe most likely case (64A, 36B) arose 8.3%

of the time for texts with length 100, in the case of texts of length

10,000, the most likely case (6400A) arises0.83%of the time. For the

shorter texts, 95% of the texts will have A valueswithin ?8 or 9 of the

most likely value of 64; for the longertexts, 95%of the texts will have

A values within ?95 of the most likely value. But in terms of percent-

ages, texts of length 100 will have 95% of their samplesin the central

?8 or 9% of all the possible combinationsof A's and B's; for the longer

texts, 95% of all texts will have A values in the central ?0.95% of all

possible responses.By increasingthe textual length by a factor of 100,

the probability of occurrence of the most likely case is reducedby a

factor of 100, and the percentagespreadof the most frequent occur-

rences is reduced by a factor of roughly 10. If we had increasedthe

length of text of a factor of N, the percentagesof spreadwould have

been decreasedby V9. Withthe largersample,we can state with greater

precision that the spreadof distributions-and thus, after computation,

that the spreadof entropies-will be smaller;our singlebut largersample

gives us a firmerknowledgeof the propertiesof the reservoiritself. The

mathematicaldetails of the calculationof the influence of the size of

the sampleon the entropy are givenin AppendixI.

We can put the above remarksin anotherway, using as our example

the commonplace experience of political poll-taking. If in a poll of

opinion, one sample of 100 voters yields a response of 64%yes and

36% no, 95% of other samplings of 100 voters might have yielded

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responsesbetween 55% and 72%yes. If, however, our pre-electionpoll

were increased to a sample of 10,000 voters and candidate A were

found to receive 64% of the votes cast in the poll, the final election, in

which many more votes would be cast, could be anticipatedto show a

vote favoring A from 63.05% to 64.95% with a 95% probability. In

other words, a poll sample of only 100 voters should not give over-

whelming confidence to the candidate,but a sample of length 10,000

would provide that confidence, unless the results of the advancepoll

were very close to 50%.

We assume that there exists a relationshipbetween sample size and

the accuracy of estimation, based on that sample, of the propertiesof

the infinite pool; we presumethe sample was drawn from the infinite

pool by a randomprocess.We call the infinite pool a musical style.5 Be-

cause of the influence of the sample size upon the uncertainty of the

estimation of entropy in the infinite reservoir,our confidence in identi-

fying the propertiesof the pool increasesas the size of our sample of

the style increases. We state that two styles differ from one another

when the estimates of the entropies for the two styles differ from one

anotherby more than their uncertaintiesat the 95%confidence level.

We may call "stylistic entropy" the distributionof probabilitiesfor

usage of elements within the infinite pool that we conceive as embody-

ing the style. We try to assess the stylistic entropy by using finite

samplesas guides. A measureof stylistic entropy is in direct relationto

what we recognizemusically as style and is potentially valuableto the

formal analysis of music and our general, theoretical structuringof

music. Thus the calculation of equation (A.2) is relevantto a central

problem in the study of music: the identificationof stylistic properties

and our capacity, through objective analysis, to distinguish these

propertiesfor comparativepurposes.

Also pertinent to discussionsof musicalstyle is the interrelationship

among redundancy,maximum entropy and relativeentropy mentioned

above. Relative entropy, as the ratio of the entropy of a style to maxi-

mum entropy, is an indicatorof where a style or work is situatedwithin

a hypothetical continuum running between the extremes of complete

redundancy and the absence of constraint. A referentialbasis of this

type appears to parallel our instinctive ordering and recognition of

styles as points alonga line (often historicallyconceived,as for example,

in aspects of dissonance)from the most constrained,or most redundant,

to the most free usage of materials.(We do not believe the reporting

of redundancyvalues contributes additional informationbeyond that

already imparted by the entropy values, at least if the maximum en-

tropies are identical. Thus in the following discussion,we comment on

entropiesand omit considerationsof redundancies.)

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Entropy differencesamong selected vocal styles. To illustratethe use

of entropy to describemusical style and to investigatethe use of such

descriptions for comparativepurposes,we have expanded the size and

diversity of data discussedin Youngblood's originalstudy. Ourtabula-

tions of pitches in vocal melodic lines are from the following:

(A) The complete song cycle Die sch6neMillerin by Schubert;

(B) The complete song cycle Die Winterreiseby Schubert;

(C) The complete song cycle Schwanengesangby Schubert;

(D) Mozart arias and songs, K. V. 152, 307, 308, 349, 351, 390,

391, 392, 418, 433, 472, 476, 517, 518, 519, 520, 523, 524,

530, 531, 539, 579, 596, 597, 598;

(E) Johann Adolf Hasse (1699-1783): "Scrivo in te l'amatonome"

and "Per te d'amico"from IlNome, "Bei labbriche amore"and

"Giurail nocchier che al mare" from La Gelosia;"Esicuroil di

vicino" from L 'Aurora;

(F) RichardStrauss:opus 10, no. 8 (abbreviatedhereafteras 10-8),

15-5, 19-2, 21-1, 21-2, 27-2, 27-3, 27-4, 29-3, 32-1, 37-1,

37-4.

As in Youngblood's original study, we have performed a zero order

Markovchain analysis, that is, we have determinedthe distributionof

usage of pitches without referenceto pitch interrelationships,such as

intervalleaps, relative durations,and so forth. All pitches were reduced

to a single octave andto C majoror A minor, dependingon the mode of

the sample.Transpositionto these keys was alwaysfrom the written key

signatureand thereforeno account was taken of transitionsand internal

modulations.Explicit changesin key signature,however,weretreatedin

the tabulations as new keys and these were then reducedseparatelyto

C major or A minor. All repetitions were included in the samples;a

strophic song with four verses, for example, had each of its pitches in-

cluded in the data count four times. Items (D), (E), and(F) in the above

list include compositionsin majorkeys only. In the tabulationsfor (A),

(B), and (C), we have separatedthe examples in major from those in

minor keys in orderto investigatepotential stylistic differencesin usage

between the two modes for one composer,Schubert.The restrictionto

major key examples in (D), (E), and (F) permits the identification of

variationsin stylistic usagein the same mode among four composers.

Our raw data for the various song categoriesare given in Appendix

II, where they may serve as a data base for readerswho wish to treat

these numbersin other ways.

One reason for expanding the size of the Schubert sample was to

illustrate the effect of the length of the textual sample upon our cer-

tainty or uncertainty in the determinationof entropy in a comparative

stylistic context.

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In Table I we have listed the number of notes, the entropy and the

95% confidence level deviations from the entropy values; these devia-

tions are calculated according to formula (A3). We have included in

Table I the entropy values given by Youngblood in his originalpaper,

and for reasons discussedbelow, the entropy for the melodic line from

a single Mozartsong, "Das Veilchen" (K. V. 476).

One might expect that there would be a strong dependence of the

spread of the entropy on the historicalperiod of the composer.On the

contrary, we find that the intervalbetween the 95% confidence limits

depends only upon the number of pitch samples and to a very high

accuracyis independentof historicalperiod. The 95%confidence limits

are givenby the approximateformula

H+3.65/PT-

where N is the number of pitches in the excerpt. The expressionis ac-

curate to within 8 or 9% as an indicator of the 95% confidence limits

for those cases that are likely to arise in the Westernliteraturefor the

period spanningMozartor Hasse to R. Strauss.The spreadin entropy

of pitch usage does not seem to depend on the historicalperiod, at least

for the musicalepochs spannedby the above composers.

We may apply these formulas in the following sense: Let us con-

sider the case of two styles that, based upon samplesof a certainlength,

have entropies that differ by 0.082. We ask how long samplesof equal

length of the two styles should be in orderthat the two estimatesof H

do not overlap at the 95% level. We find that if the two styles are each

sampled by about 7900 characters,the entropies are probably signifi-

cantly differentat the 95%confidence level. We have chosen the entropy

difference0.082 because of the result obtained by Youngblood,namely

the entropies of 3.130 and 3.048 which were derivedfrom about 1000

sampleseach for the Schubertand the Mendelssohnworks. We can assert

that these sampleswere too small-by almost a factor of 8-for us to be

certain that the entropies of the two styles of these composerswere

significantly different. Put another way, if we had longer samples of

each composer's style, we might have had a shift in the values of the

entropies so that the style with the greaterentropy might have become

the one with the smallerentropy; then again, the entropiesmight have

shifted the other way. We cannot make definitive statements about

stylistic differences with these small samples.In generalthe ability to

define the entropy of a style improvesas the length of the sample in-

creases,but the improvementis ratherslow, being only inverselyas the

squareroot of the length of the sample.

If we enlarge the length of our text to span the compositions de-

scribed in collections (A) through (F), can we then state anything

definite about stylistic differences or similaritieson the basis of the

83

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Table 1

Deviation

Number at 95%

of Confidence

Notes Entropy Level

Hasse All arias 3150 3.039 0.060

Mozart All songs 5057 3.009 0.048

Mozart "DasVeilchen" 176 3.308 0.286

Schubert Die schOneMllerin Major 4326 3.103 0.055

Schubert Schwanengesang Major 1783 3.207 0.089

Schubert Die Winterreise Major 1639 3.162 0.091

Schubert Die sch6neMllerin Minor 1122 3.103 0.109

Schubert Schwanengesang Minor 1305 3.143 0.106

Schubert Die Winterreise Minor 2383 3.222 0.078

Schubert All cycles Major 7748 3.163 0.042

Schubert All cycles Minor 4810 3.198 0.055

Schubert All cycles Maj+ Min(1) 12558 3.270 0.034

Schubert All cycles Maj+ Min(2) 12558 3.234 0.033

Schubert All cycles Maj+ Min(3) 12558 3.187 0.033

Strauss All songs 1220 3.397 0.104

Schubert (Youngblood) 1025 3.130 0.114

Mendelssohn(Youngblood) 577 3.039 0.144

Schumann (Youngblood) 1066 3.048 0.108

(1) Songsin majorkeys transposedto C majorand in minorkeytsto C minor.

(2) Songsin majorkeys transposedto C majorand in minorkeys to A minor.

(3) Pitchesorderedby frequencyof usage.

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frequency of pitch usage?The six Schubert collections have entropies

rangingfrom 3.103 to 3.222. The highest and lowest entropies among

the six are from the minor key examples in Die schbne Miillerinand

Winterreise,respectively. We return to the question posed above. Are

numbers 3.103 and 3.222 near to each other or far apart?And if they

are far apart, what are the stylistic ingredientsthat set apart the songs

in minor keys from Die sch6neMillerin and Die Winterreise?The same

questions can be asked regardingthe comparisonamongother entries in

Table 1.

Suppose that we take a historical question as our first test of the

significance of the numericaldifferences in the values of entropy. Are

our samples from Hasse, Mozart, Schubert and Strauss indicative of

separableand, in some sense, sequential styles? Are these samples,at

the level of note-by-note use, indicative of identifiably separablestylis-

tic "reservoirs"from which the sampleswere drawn,at least at the 95%

level of confidence?

In Figure 3, the entropies for the songs in majorkeys by these four

composers are plotted as central valueson a bar extendingbetween the

95% confidence level estimates of the entropies, a result based on the

length of the sampleand the measuredprobabilitiesof usage.The styles

of Mozartand Hasse,judging from the pitch distributionsof the songs,

are not distinguishable.But the styles of Straussand Schubert are dis-

tinct from each other and both are individuallyisolated from the region

of entropies occupied by the Hasse and Mozart samples. Since the en-

tropies of the three distinguishablestyles increasewith historicaltime,

the stylistic distinctions indicate a lessening of the constraintsin the

usage of pitch, certainly in keeping with our knowledgeof the increas-

ing chromaticismof the nineteenth century. Such a conclusion, obvious

though it may be to the musician, could not have been statistically

stated had the examples of the various composers been shorter in

length.

We turn to another illustrationof the effect of increasedsamplesize

on the accuracy with which entropies can be calculated. Figure 4 de-

picts, againwith the centralentropy value occupyinga position amid its

own 95% confidence level estimates, first the songs in the majormode

from the three song cycles of Schubert and then those in the major

mode from all three song cycles taken together. They are listed in order

from the song cycle with the smallest samplesize to the largest.In these

cases, the examples cannot be distinguishedby entropy, but one sees

that the greatestprecisionresultsfrom the longest sample.

If we use only those examplesfrom these same Schubertcollections

in the minor mode, we find that the range of entropies between the

95% confidence limits again does not permitus to identify stylistic dif-

ferences(Figure5). Onceagain,we see that the effect of reducedsample

85

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; ; , Hasse

Mozart

Schubert(Major)

S

I I Strauss

I I I I I I I I I I

2.8 2.9 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7

ENTROPY

Figure3. Entropies of notes in song collections in major keys of four

composers.In this figureand succeedingfigures,barsindicate

span of 95% confidence limits. All songs are transposedto a

common key.

SWinterreise

I I I Schwanengesang

,I I Schone Mullerin

AllMajor

I I I I I I I I I I

2.8 2.9 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7

ENTROPY

song cycles.

II I Sch6ne Millerin

I Schwanengesang

SWinterreise

1 I I- AllMinor

I I 1 I I I I I I I

2.8 2.9 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7

ENTROPY

song cycles.

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size is to increase the size of the intervalbetween the 95% confidence

limit extremes.

Perhapsthe most dramaticillustrationof the effect of increasingthe

length of the sample is given in Figure 6. Here we have plotted the en-

tropy for the pitch distributiongiven by the melodic line from a single

song, "Das Veilchen" by Mozart (K.V. 476) and comparedit with the

entropy for all the Mozartsongs in collection (D), which includes "Das

Veilchen" itself. The entropy for "Das Veilchen" is 3.31; the entropy

for the full Mozartcollection is 3.01. At first glance the difference in

entropies is so substantial that we might be persuadedthat the chro-

matism of "Das Veilchen" identifies it as arisingfrom a different genre

than the other pieces of Mozart.Such a conclusionis not justified. "Das

Veilchen" is so short that the certaintyabout the entropy of the stylis-

tic pool from which "Das Veilchen" might have been derivedis poor.

The intervalbetween the 95%confidence levels is so broadthat it over-

laps the narrowerinterval between the correspondinglimits for the

much longer sample of the full Mozartcollection. In brief, we cannot

say with certainty that "Das Veilchen" was selected from a different

stylistic pool than the full collection of Mozart songs; by the same

token, neither can we say that they were selected from the same pool.

The enormous difference between the two sets of entropy intervalsat

the 95% confidence level graphicallyemphasizes the importance of

sample size and makes it apparentthat an aspect of a composer'sstyle

is not likely to be establishedstatistically through an analysis of short

samples.

areusedin the majorand minor modes in stylistically differentmanners,

we have compared the entropies for (1) all the Schubert examples in

major keys, (2) all the Schubertexamples in minor keys, and (3) the

combination of the two. These entropies, again with bars drawnto in-

dicate certainty of the entropy estimatesat the 95%level of confidence,

are givenin Figure7. At a glance, one can observethat the collections of

songs in major and minor keys are not statistically distinguishableon

the basis of their pitch entropies. A second glance seems to imply that

there is a statisticallysignificantdifferencebetween the entropiesof the

songs in major keys and the full collection of works in both majorand

minor keys. This is, however, an artifact of juxtaposingtwo subtleties

in our analytic procedure: key transposition and the ordering of the

separatemajorand minor tabulations.

To obtain the entropy value 3.27 for the full collection of majorand

minor pieces, we have made the assumption that the two scales are

transposed so that they have the same tonic; for instance, we may

imagine that the minor scale is transposed to C minor and that the

87

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I ?IDas Veilchen

AllMozart

1 I I I I I I I I

2.8 2.9 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7

ENTROPY

tropy of notes of 25 songs in major keys (including "Das

Veilchen")by Mozart.

AllMajor

I i AllMinor

AllSchubert (1)

S' ? (2)

S"- ' (3)

I I I I I I I I I I

2.8 2.9 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7

ENTROPY

bert song cycles, in comparisonwith entropies of the full

collection. All songs in major keys are transposedto the key

of C and in (1) all songs in minorkeys have been transposed

to C minor, in (2) songs in minor keys have been transposed

to A minor. In (3) songs in major and minorkeys have been

transposedto their respectiveordersof usage.

88

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population entries for the minor pieces are then addedto those for the

major pieces transposedto C major.In this case the arrangementof the

principaltones of the diatonic majorand the harmonicminor scales (we

use the harmonicminor for illustrativepurposes)is

Major C D E F G A B

Minor C D Eb F G Ab B

Sum C D Eb E F G Ab A B

with the "accidentals" inserted in the appropriategaps. Since these

seven tones in each mode have greatest percentageof usage, it follows

that the composite formed by addingthe two populationstogether will

show larger populations at the nine sites indicated, than it will at the

three remainingsites (C#, F#, Bb). Hence the entropy of the sum of

the two populations, thus arranged,must be greaterthan the entropy

of each collection separately,which has only seven sites with largepop-

ulations.

Our original assumption was that the pieces in major and minor

modes were selected from independent pools, and there is thus no

a priorireasonto align the two scalesas above. Other assumptionscould

be made; for example, since the key of A minor is the relativeminor to

the key of C, we might align the two scales so that the third of the

minor scale correspondsto the tonic of the major scale. This arrange-

ment is

Major C D E F G A B

Minor C D E F G1 A B

Sum C D E F G G# A B

With only eight strongly populated entries in the sum, the entropy for

this particularfusion of the two collections should be less than that of

the first transpositionand greaterthan either the major or minor col-

lections separately.The entropy in this case is 3.24 (Figure7).

These illustrationssuggest that any attempt to fuse two or more in-

dependent collections of works into a single libraryfor the purposeof

evaluatingthe information content of a large collection, must have a

rational basis for the fusion. The end results of the above attempts to

fuse the two librariesdepend on a priori assumptions;there is no ra-

tional basisfor their fusion.

We have presentedtwo possible bases for fusion; there are far more

than twelve. In the two fusions we have outlined above, we have as-

sumed that the orderof the pitches in the two chromaticscalesfor each

mode is preserved.The orderingof the discretetones in the convention-

al twelve tone scale rangingfrom C to B, as above, is a convenience

89

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dictated by the convention of musical notation and by instrumental

performancetechniques. We might prefer the not implausiblebut still

a priori assumption that the orderingof a discrete alphabet may be

made on the basis of frequency of usage ratherthan on common prac-

tice. Under this assumption, we might argue that the conventional

arrangementof the letters of the alphabet

ABCDE...

is convenient for library cardcatalogsand telephone directoriesin view

of our present historical antecedents,but that this orderinghas no rela-

tionship to usage. If the arrangementwere based on frequencyof usage,

we should use the familiar

ET AO IN S H RD LU...

sequence of the alphabet.(Thereappearsto be no reasonwhy this series

could not be taught to infants, except that certain nursery rhymes

would be meaninglessand that the aforementioneddirectorieswould

become inappropriate.)

A rearrangementof the order of the letters has no influence on the

information content of a messageor communication.We have already

remarkedthat the entropy of a populationwith 75%Aand 25%Bis the

same as that of another population with 25%Cand 75%D. But the

problems we have been discussingarise when we attempt to fuse the

two collections; should we combine the entriesin A and C together, or

should we put A and D together?Up to now, our musicalanalogiesare

that since C appearsbefore D in the alphabet, C should be combined

with A in the fusion process. But the consequences are significantly

different in the two cases. If we combine two equal collections, we find

the AC vs. BD fusion generates a 50%-50%partition, while the AD

versusBC fusion generatesa 75%-25%partition.

Let us assume therefore that we dissociate scale-sensitiveproperties

from the orderingof the pitches of the two Schubertsong collections,

and arrangethe scales in the order of frequency of usage. In this case

we would arrangethe notes of the two scales in different orders.The

arrangementsare

Major GEC D FA B Ab= Eb = Gb Bb Db

Minor G C Eb D F Ab B Bb E Gb Db = A.

Here we have transposedthe collections into the keys of C majorand C

minor, although, as we have argued,this particulararrangementis not

essential to our argument.This display illustratesthe strong similarity

in usage between the two modes with a common tonic, the principal

difference being the interchangein the order of usage of the thirdand

the tonic. But this difference is significant.If we now add two popula-

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tions, verticallyalignedas above, in orderto obtain a composite popula-

tion, we obtain the entropy 3.187, a value intermediateto the entropies

of the two collections separately,as is to be expected. The 95%confi-

dence bars are smallerin these cases of composite librariesthan for the

separatecollections, because of the greatersize of the composite.

The iconoclast might wish to carry our argumentregardingcareful

inspection of the assumptionsof common practice to the extreme and

inquire into the rationality of sorting the individualsongs into those in

major and minor keys separately.We admit that such sorting also has

attributes of a prioriassumptionsbuilt into it. But we assertthat the in-

formation content in any other sortinginto samplesof sufficient length

that stylistic resolution is possible can also be evaluated,as long as the

basis for the sortingis made clear.

bet of usual Westernnotation and its interval alphabet, most of the

ingredients of Westernmusic are defined and measuredby continuous

alphabets.We have in mind such ingredientsof style as dynamics, dis-

sonance, melodic activity, instrumentalquality, and others, all of which

are perceived and measured in a non-discrete, that is, non-digitized

sense. Elsewhere we have outlined a definition and interpretation of

entropy for such systems.6The principalconjecturein that analysiswas

that the sample population has a continuous distributionof values;the

principal conceptual result is that, although no absolute entropy for

such systems can be defined, a relative entropy useful for comparative

purposescan neverthelessbe established.Whenthe scheme was applied

to the calculation of the entropy for dissonance in four-part Bach

chorales, among other results it was found that the dissonanceshad a

log-normaldistribution. The occurrenceof a recognizabledistribution

function permits us to approach more nearly one of our goals dis-

cussed above, namely to obtain a direct estimate of the source pool of

the alphabeticelements of style. Because of the availabilityof a model

of a distribution, we can estimate how many dissonance values are

likely to occur in the source pool even at values of dissonance not

directly sampled. We do so by interpolation between neighboring,

directly sampled values. The entropy of a log-normal distribution is

directly related to two characteristicsof the distribution, the mean

value and the variance.The 95% confidence level estimates spanning

the quoted entropy value are directly relatedto the uncertaintiesin the

two propertiesof the distribution;our ability to estimate the mean and

the variancein the log-normaldistributionalso improvesas the square

root of the numberof sampleestimates(see Appendix III). The applica-

tion of the formula has led directly to the uncertaintyestimatesin the

entropies we have given in our preceding paper.7 We conclude that

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uncertaintiesin entropy estimates for continuous alphabetsare subject

to the sameinfluences of samplelength as are entropy estimatesfor dis-

crete alphabets.

analysisand comparativestudy of musicalstyle is wellfounded."Musical

style" is commonly taken to referto those fixed featureswhich recuras

part of the characteristicmusical languageof a composer, school, era,

or geographicarea.8With respect to our perceptualresponseto musical

style, these fixed featureshave been understood in recent years to be

conditioned probabilityresponses,that is, learned,culturalexpectations

that pertain to the music of a particularera, compositional school,

geographiclocale, or to separablemusicalentities, such as the collective

worksby an individualcomposer.9

Discussions of questions of musical style often stress the pervasive,

enduring and repetitive aspects that characterizeboth the collective

membershipof a musical style and our collective recognition of that

style. The individuality of each work is another matter. The separate-

ness of the single work, its own repetitivefeatures,and the probability

relationshipsthat evolve within the singlework, arenot defined by our

theoretical understandingsof musical style; those factors which lend

discreteness-the particularconfigurationswhich give a single work its

uniqueness-play no direct role in our common theoreticalcomprehen-

sion of a musicalstyle.

The manipulation of data in Shannon's formula (A.2) for entropy

takes into account the collective features-expressed as probabilities-

that characterizethe distribution of materialsin any alphabet chosen

for study. To be sure,those materialsappearingmore equably contribute

more to the entropy; hence whenever usage occurs with fewer con-

straints the entropy is higher. The important fact is that the formula

identifies as data the same information we model in our theories of

musical style, namely the distribution of musical elements viewed

collectively within a chosen body of literature.

There is of course the practical difficulty of assessingthe entropy

of the long-rangecorrelationsthat go to make up the more visibleand

form-relatedaspects of musical style; to date our successin the venture

of adaptinginformationtheory to style has been confined to the occur-

rence of individualalphabeticelements or, at most, to the occurrences

of pairedcombinationsof these elements.

Our study has shown that one of the first questions to be raised

regardingthe use of informationtheory in musicalanalysis,namely the

identification of the point at which numericaldifferencesin entropies

92

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are significantlydifferent, can be answered.We are able to predictwith

95% certainty (or with any other level of certainty for that matter)

when two texts have been drawnfrom different stylistic pools. The raw

selection of pitches, reduced to a common octave, may well be a primi-

tive measure on which to base stylistic comparison, but even at that

level, a sufficiently long sample of two texts, such as the Schubertand

Straussexamples,is capableof definingtwo contrastingmusical styles.

Entropy values that cannot be resolved by the procedureswe have

outlined above are indicative of neither the "sameness"or "otherness"

of two populations.Two overlappingestimatesmay be resolvableas dif-

ferent, if the sample sizes are increased.It is also possible that increase

of samplesize does not performthe resolutionexpected, merely because

the two texts are not chosen from different stylistic pools, at least on

the basis for analysischosen.

A further penetrationinto musicalstyle throughthe use of informa-

tion theory appearsto necessitate that ways be developed of choosing

those musicalparametersor alphabetswhich are better, or even the best,

discriminatorsof musical style. These better discriminatorswill allow a

reduction in the length of text needed to perform the discrimination

analysis. Undoubtedly these improvedmethods will include considera-

tion of the way in which the alphabeticelements are orderedand other-

wise interrelated in the sample texts; in the present examples, no

attention was given to the sequentialarrangementof the notes in the

songs.

There would seem to be much more efficient methods of pattern

recognition, that is, the identification of one piece or another or of a

groupof piecesas belongingto a given style, than those presentlyapplied

in information theory. Indeed the case can be made that present pro-

cedures could yield the same entropies for two different styles even

with large samples. A descriptionof more efficient methods for pattern

recognition has been begun. For the present,we only imply that if two

entropiesare different at a suitablelevel of discriminationsuch as at the

95%level of confidence, the two excerpts are taken from two different

master pools; if they are not resolvableat the givenlevel of discrimina-

tion, it does not follow that they are from the same pool. In the latter

case, other data with these methods, or other methods, will have to be

invoked to performthe discrimination.

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APPENDIX

I

Let the probability of observingthe ith symbol be Pi. Let us assume

that the ith symbol appearsni times randomlyin a text of greatlength

N. Then we estimate

Pi = ni/N.

The standarddeviation oi in the quantityPi is givenby the propertyof

the binomialdistributionwhich is

1 1/2

a ni(N-ni) (A.1)

N N N )

Since the entropy is defined as

12

H= Pi logePi (A.2)

-log2e.

we have

api

Then the standarddeviationof the entropy due to the independentvar-

iations of the 12 charactersis

12 ni(N-ni) 1 + logePi

U= N N

=oge

for small oH. At the 95%confidence level, we have

l 1.96 (12 ni(N-ni) 2 112

(A.3)

1.96H I [1 +logei]

By direct substitutionof (A.1) we have

1 [(1 +

H = log2e n=9 1/2 (A.4)

logPn)on]2

94

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APPENDIX

Ila

Tonal Frequenciesfor Pieces in MajorKey

All

Die sch6ne Die Winter- Schwanen- Schubert

Miillerin reise gesang Major

C 690 256 259 1205

C# 40 16 21 77

D 601 260 228 1089

Eb 64 75 51 190

E 682 268 317 1267

F 357 153 249 759

F$ 121 19 45 185

G 865 293 259 1417

Ab 61 70 59 190

A 421 120 171 712

Bb 73 31 56 160

B 351 78 68 497

Total Number

of Notes 4326 1639 1783 7748

'J

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APPENDIX

IIb

Tonal Frequenciesfor SchubertPieces in MinorKeys

All

Die sch6ne Die Winter- Schwanen- Schubert

Miillerin reise gesang Minor

A 150 485 271 906

Bb 8 67 28 103

B 154 278 118 550

C 128 304 132 564

C 34 39 51 124

D 116 206 108 430

Eb 11 73 33 117

E 291 426 325 1042

F 70 172 101 343

F# 21 46 33 100

G 82 117 60 259

G# 57 170 45 272

Total Number

of Notes 1122 2383 1305 4810

III

APPENDIX

The probabilitydensity for the log-normaldistributionis

1

w(x) = (cc/n)

W(X) exp I-cc[In(x/xo)12)

which is normalized;the mean is xo and the varianceis cc. We inte-

grate(w log w) dx from 0 to ooand get

H = logxo-%hlog(c/lr) + h.

Thus logxo- ?logrc is the relativeentropy of the continuous distribu-

tion. By inspection

J( 4 xo

OH=IXo

+4(-4

is the standarddeviationof the relative entropy.

96

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NOTES

24-35.

2. Cohen, J.E., "Information Theory and Music," Behavioral Science 7 (1962):

137-163.

3. The reader should be cautioned that knowledge of entropy in a musical style

is not, in itself, sufficient for the synthesis of that musical style. Below we

show, for example, that a given value of entropy is not unique to a style and

that several styles may have the same entropy. The converse is, however, not

true; that is, two bodies of musical literature with differing entropies cannot

be the same.

4. Knopoff, L., and Hutchinson, W., "Information Theory for Musical Continua,"

Journal ofMusic Theory 25 (1981): 17-44.

5. The "infinite pool" is, of course, an abstraction from a dynamic process; our

purview is a reduction from the panoply of musical parameters that is com-

monly held to be a musical style. The reduction is nevertheless sufficient for

purposes of identification and comparison.

6. Knopoff and Hutchinson, "Information Theory."

7. Ibid.

8. Apel, W., "Style," in Harvard Dictionary of Music (Cambridge: Harvard

University Press, 1972), pp. 811 ff.

9. Meyer, Leonard, Emotion and Meaning in Music (Chicago: University of

Chicago Press, 1956), pp. 45 ff.

97

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