Vos - Tonality Induction

Tonality Induction: Theoretical Problems and Dilemmas
Author(s): Piet G. Vos

Source: Music Perception: An Interdisciplinary Journal, Vol. 17, No. 4, Tonality Induction
(Summer, 2000), pp. 403-416
Published by: University of California Press
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Music Perception © 2000 by the regents of the university of California
Summer 2000, Vol. 17, No. 4, 403-416 all rights reserved.
Tonality Induction: Theoretical Problem
piet g. vos
University of Nijmegen, The Netherlan
Fundamental problems and dilemmas for the study of

are reviewed. I focus on two different, although related
impediments. The first is the fuzziness of the key notion
which leads to divergent conceptualizations of tonalit
as "key finding," "tonal induction," "tonal center perc
feeling." I argue that the fuzziness is largely due to
defined historical or otherwise categorical boundaries o
music." The second impediment arises from various
notably tone versus note representations, tonal versus
sentations, horizontal ("leading voice") cues for tonal
sus vertical ones ("fundamentals"), and tonal versus
induction cues. (Dis) advantages of various interpretati
duction and of solutions of the dualities in question
few recommendations for reconciliation between current
retical approaches to tonality induction are suggested.
According
tion (Aristotle,totransi.
a famous saying
1957), it is muchineasier
the tooldest treatise about
gain knowledge of human percep-
remote things like stars than about nearby ones, notably our own percep-
tion of things. This tenet seems to hold also for music perception in gen-
eral, and, more specifically, for tonality induction. A few tones of a tune
are usually enough for the average listener to establish a scale and deter-
mine whether succeeding tones belong to the scale. What tonality exactly
is, however, and how tonality induction takes place in a listener, is analyti-
cally quite complex or, to cite the pessimistic statement of Brown, Butler,
and Jones (1994) "remains a mystery" (p. 372). Not surprisingly, there-
fore, we are able to follow Western tonal music already for centuries, whereas
a scientific grip on it emerged only during the last quarter of the twentieth
century. It is well known that scientific progress takes place by fits and
starts and is marked by enormous diversity - if not divergence - of ap-
Address correspondence to Piet G. Vos, NICI, U. Nijmegen, Post Box 9104, 6500 HE
Nijmegen, Netherlands, (e-mail: vos@nici.kun.nl)
ISSN: 0730-7829. Send requests for permission to reprint to Rights and Permissions,
University of California Press, 2000 Center St., Ste. 303, Berkeley, CA 94704-1223.
403
404 Piet G. Vos
proaches. It would be nai

convergent evidence for a
features of the special th
Longuet-Higgins and St
In fact, we are saddled w
metaphor, dissonances am
The dissonances are partly
vances in modeling approa
1998; Rowe, 1993). Anothe
research, hence also of ton
specialized in music theory
and so on, most theoreti
ward one of the various
ments of insight in tonali
fuzzy state of the notion
persistent dualities in the
sorts of impediment are r
dilemmas and suggest that
developed. This contempla
understood more positively
per (1968), according to wh
ited theories that, in addit
put forward - in historica
Krumhansl and Schmuck
Brown et al. (1994), Brown
1995), Vos and Van Geen
satisfy Popper's criteria.
induction offers a survey
disadvantages, in terms of
well as for listeners' tonal
allows readers to compare
empirical studies of tonal
and Tillmann, Bigand, an
Here I shall sketch a nu
lated to the two last-me
provide a prelude to the
issue of Music Perceptio
the fuzzy nature of what
Research Dilemmas
The fuzzy state of "tonal

man Castil-Blaze in the e
Tonality Induction: Theoretical Problems and Dilemmas 405
authoritative article in the New Grove Dictionary of Music and Musi-

cians, in which seven definitions of tonality are listed. They range from "a
system of relations between pitches clustering around a central pitch" to
"the major-minor system of harmonic tonality." Consequently, we are
saddled with heterogeneous notions like "key finding," "tonal center per-
ception," "tonal awareness," and "tonal feeling." A recent musicological
study on tonality (Thomson, 1999) shows that the list can be extended
with several other categorizations of tonality. Why this fuzziness? I believe
the basic reason lies in the fact that Western tonal music has no clear-cut
historical or otherwise categorical boundaries. Thus, strong features of
tonality may be found in works as early as medieval folk songs and
Palestrina's "modal counterpoint" compositions. Similarly, it is possible to
argue that even some pieces by J. S. Bach can be interpreted as examples of
modal music (R. Rasch, personal communication, April 1999). On the
other hand, it is not difficult to find in the Classical period of Western
tonal music examples of compositions in which the progressive
"ambiguation" or, if you like, oversaturation of tonality is anticipated. In
the Romantic period, use of ambiguous tonality is ubiquitous.
A hitherto underexposed impetus for the rise of Western tonal music
may have been the final refinement of temperament in the 18th century,
associated with the influential work of Werckmeister. Its significance for
inventive tonal harmonization and versatile modulation is most impres-
sively demonstrated in the work of J. S. Bach. It is not surprising, therefore,
that key-finding models have been predominantly tested with examples
from his work (e.g., Cohen, 1991; Krumhansl, 1990; Longuet-Higgins &c
Steedman, 1971; Vos & Van Geenen, 1996).
Here we face the first dilemma. Is tonality induction to be studied in
terms of key finding - in which case the scope is narrowed down to the set
of all possible pieces of Western tonal music endowed with a key signa-
ture - or is it to be investigated as a listener's perception of a tonal center in
a piece of music, regardless of its tonal status? In the first case, the "strict"
interpretation, the success of a theory is largely measured in terms of its
ability to infer the key in a relatively small number of steps and to keep the
key unless modulation is signaled. In the second case, the "loose" interpre-
tation, a theory would have to account for consensus among listeners on a
tonal center for a tone sequence, regardless of its key signature. Auhagen
(1994) documented the latter fact, and his empirical data on listeners' tonal
centers in tonally odd stimuli like bitonal melodies are hard to account for
by current key-finding models. The dilemma is still more complex if we
think of contrapuntal "neo-classical" music by, for example, Paul
Hindemith, whose pieces in the opus Ludus Tonalis for piano have a no-
tated key that is virtually impossible to infer by current key-finding mod-
els, although it may also be seriously doubted whether a listener would be
able to infer the notated key (Figure 1).
406 Piet G. Vos
Fig. 1. Subject of "Fuga prima
Did Hindemith have tonal

how should a computationa
centers? And suppose tha
Higgins's harmonic mode
lating model, Huron and
Vos and Van Geenen's par
the Ludus Tonalis, may we
cation? It could be argued
those models, unlike Bhar
Leman's acoustic model, a
perception of Western to
of Western tonal music h
which pieces of music may
tion?
The consideration of the
status of "tonality" has b
associated with certain du
wish to emphasize that th
exhaustive overview of al
problems.
Research Dilemmas Associated With Dualities of Music
NOTES VERSUS TONES
A theory of tonality induction can be based either on the symbolic re

sentation of music (the score notation) or on the sound structure o
formed music. If one respects the claim that a model should be ecologic
valid, the second approach is certainly superior to the first. Perhaps
importantly, an acoustic model entails a much deeper understandi
music processing than do symbolic models based on note information
latter models may metaphorically be categorized as "molecular," wh
the acoustic models facilitate excursions in submolecular depths of m
fication (M. Leman, personal communication, November 1999). Lem
acoustic model (1994, 1995; see also Leman, 2000) is the most thorou
elaborated example of the latter approach. For monophonie pieces o
sic such as a single voice-line, however, one might believe that both types of
approaches are equivalent and will produce the same results. Paradoxically
enough, this appears not to be the case. Score-based key-finding models
like Krumhansl and Schmuckler's template correlation model (TCM), and
Vos and van Geenen's parallel-processing model (PPM) perform here bet-
ter than does the acoustic model (see Parncutt, 1998, for a discussion of
this issue). The reason is that the acoustic model requires harmonically rich
inputs in order to infer stable sequences of fundamentals, the basis for the
eventual tonal interpretation.
When we turn to harmonized homophonic music, another related di-
lemma comes into being, the selection of representative tones (notes) from
the successive chords that then may exclusively be used to serve as input
for a key-finding model. There are at least two options. One would be to
select the tones belonging to the soprano voice for the tonal interpretation
because it is this voice that is mostly used by a listener to follow the music.
Although such a selection may be fairly simple with church hymns like
chorales by J. S. Bach (see Cuddy and Thompson, 1992; Thompson &
Cuddy, 1989, 1992), the extraction of the "leading voice" is considerably
more difficult in many other instances. Another option, currently being
applied in the acoustic model, is to extract fundamentals from the succes-
sive chords and to base a tonal interpretation on those fundamentals. Clearly,
the two selection paths will often produce different tonal interpretations. It
is still unknown which of the two options will furnish perceptually more
valid results.
A third possibility, which seems particularly appropriate for models like
TCM and PPM, which only accept sequentially presented single notes as
input, would be to decompose each successive chord within a harmonized
piece into its components (in the order of bass voice tone to soprano voice
tone) in order to obtain an arpeggio version of the piece. A few tentative
explorations of this approach are promising, as illustrated here for PPM's
tonal interpretation of stimulus 12 from Thompson and Cuddy's (1989)
study, once based on the soprano voice notes only, and a second time on
the complete history of the (broken) chords, whereby the soprano voice
notes were given a duration three times the duration of the antecedent
notes of the lower voices (Figure 2). For the "Soprano" version, PPM ini-
Fig. 2. Chorale sequence no. 12 from Thompson and Cuddy (1989).
408 Piet G. Vos
tially infers melodic evi

equally likely candidates,
dence for the latter key
indicates A minor as the
finds melodic and harmon
the first chord onward, a
noticing, however, melodi
entrance of the bass not
point in time, the model
F major. Consequently, ke
and this fact is kept for t
Contrapuntal music can
models considered here (b
Managing contrapuntal m
a model endowed with th
ration for such an enterp
and Lee (1984) on rhythm
Schomaker, 1994) and fr
McCabe and Denham (19
benefit from empirical f
TONES VERSUS INTERVALS
We may describe a piece of music as a sequence of tones (fundamen

or notes that, when reduced to the categorical representation of th
pitch classes, yields the input for a key-finding model by means of whi
tonal interpretation of the piece is obtained. With the same right, we m
describe the piece as a sequence of signed intervals between adjacent
(the first derivative of the original tone sequence) and infer its tonal in
pretation from an analysis of the tonal implications of the intervals, un
the assumption that the order of tones in a melody rather than their re
tive frequencies entails crucial cues for a tonal interpretation (see,
Brown, 1988; Brown et al., 1994; Browne, 1981; Butler, 1990; Van Egm
& Butler, 1997).
I do not want to dwell here again on the well-known dispute on the pr
and cons of the two approaches, recently exposed again in Van Egm
and Butler (1997). It suffices to point out that, contrary to what has
suggested, models like TCM and PPM are, like listeners, sensitive to
nificant changes in tonal interpretation when the order of tones in a
lodic sequence is changed. This can be elegantly demonstrated with the k
interpretations of the mentioned models when one confronts them
permutations of the West and Fryer (1990) stimuli. Both models com
with C major for the stimulus C D E, ..., and with A minor for the relat
version ABC, ....Were the stimulus G B D C E A F, both models would

start to assume that G major or minor is the key, in order to switch defi-
nitely to G major from tone 2 to tone 6, in order to switch to C major or
minor (PPM) and C major (TCM) with the entrance of the last tone.
Intriguingly enough, intervallic cues for tonality are predominantly found
in cadences: the overwhelming majority of music pieces belonging to the
Western tonal tradition mandatorily end on the tonic. Musical endings have
very few degrees of freedom in comparison with musical openings. In fact,
the historical development of Western tonality runs largely parallel to the
development of cadences (cf. Anderson, 1992; Dahlhaus, 1980; Eberlein,
1994; Eberlein & Fricke, 1992). Within this context, the well-known phe-
nomenon that pieces written in a minor key often end on the Picardy (ma-
jor) third seems music-theoretically underexposed,1 although I know of no
single perceptual study of the two different possible cadence solutions.
Structural cues, in terms of tonally important scale degrees and chords,
on the other hand, are typically found in the opening of pieces (Vos, 1999;
Vos & Van Geenen, 1996). It is therefore not surprising that "structural"
models, in particular PPM, have been used to handle openings. PPM would
certainly produce invalid predictions when fed with arbitrary segments, let
alone cadences. Interestingly enough, there exists a strong intervallic cue
for tonality at the very beginning of a piece of music: Recently (Vos, 1999)
it was established that, if the first interval is a raising fourth or, equiva-
lently, a descending fifth, then the second tone of the piece is almost always
the tonic and, consequently, the first one its dominant.
Within this context, it is intriguing that phrase endings and openings, in
that order, often overlap in music, a phenomenon known as
"Verschrànkung" or "overlapping" (dealt with in the New Grove Dictio-
nary of Music and Musicians but not in the New Harvard Dictionary of
Music; see also Lerdahl &c Jackendoff, 1983; Figure 3). Overlapping is but
one manifestation of pattern ambiguity in music. Except for one study
(Thomson, 1983), the compositional and perceptual significance of musi-
cal ambiguities in music has largely been underestimated. In an informal
investigation of overlapping examples, I observed that the tone most often
used for overlapping is the tonic. This hitherto underexposed fact is easy to
understand because the tonic can serve better than any other degree both
musical functions, ending and opening. Rather than considering overlap-
ping as a marginal phenomenon, difficult to cope with in structural tree
representations of music, I consider it to be of central importance for the
appreciation of tonal music because it evokes tense and a feeling of uninter-
1. Helmholtz (1863/1954) suggested that the application of a Picardy third ending may
stem from the fact that minor triads are more ambiguous than major triads; major triads -
here the Picardy third - contribute to a more convincing "final" closure. See also Parncutt
(1988) for a similar suggestion.
410 Piet G. Vos
Fig. 3. An example of overlap

Major, KV 279. Overlap positi
rupted continuity of mu
perceptual study has bee
lapping.
TONAL VERSUS TEMPORAL CUES FOR TONALITY INDUCTION
Intuitively, it seems correct to theorize on tonality induction exclusiv

in terms of the melodic and the harmonic aspects of music. In other wo
nontonal information, notably the temporal structure of music, not
tone durations, meter and rhythm, may be considered irrelevant. In
minimal attention has been paid in music-theoretical studies of tonali
the role of temporal factors beyond the factor of tone duration. The dis
gard of temporal factors in tonality induction issues fits in the traditio
separate treatment of tonal and temporal issues in treatises of both mus
theory and music psychology.2 Also, one must admit that the key-fi
model of Longuet-Higgins and Steedman was already a powerful one
though it disregards note durations. The idea that a theory of tonalit
duction can benefit from the inclusion of temporal factors, specifically
durations, was for the first time incorporated in Krumhansl and Schmuck
model. We know that it meant a substantial improvement. Contempl
unsolved tonality induction problems, Krumhansl (1990) rightly poin
to the poorly understood role of temporal factors other than note/
durations. Nearly 10 years later, we still have insufficient grip on them
me illustrate this with two examples, namely the tonal implications of u
beats and of gaps in tone sequences.
Upbeats
Many pieces of music, notably national anthems, open with an upbeat

(see Vos, 1999). In the simplest case, the upbeat consists of a single tone,
2. An explicit justification of the separate treatment is found in the old, but still inspiring
book on music psychology by Mursell (1937/1971, chapter 4, p. 149 ff.)
followed by the downbeat. Often, this metrical figure is tonally embedded

in an ascending fourth interval, as in the Dutch national anthem (Figure
4A). It means that the downbeat is not only the metrically important event
but also the tonally crucial one.
The upbeat can also be embodied in more complex variants, the simplest
version of which is a repetition of the upbeat tone, with the interval be-
tween the last upbeat tone and the downbeat being again a rising fourth
interval, as in the French national hymn (Marseillaise, Figure 4B). Although
these relatively simple upbeat openings are computationally easy to handle
by a slight modification of a key-finding model like PPM (see Vos, 1999),
various other and more complex delays of downbeats have the same tonal
implications, which cannot yet be handled by such models because of blind-
ness for metrical constraints. The opening of the national anthems of Nica-
ragua (Figure 4C) and of the United States of America (Figure 4D) are
more complex examples where the downbeat, also in a perceptually salient
fashion, coincides with the tonic. A model like PPM cannot yet adequately
deal with them unless the tonal structure entails enough information to
infer the prescribed key, as is the case with the USA anthem. (Mind that the
national anthem of the United States of America - but also the Portuguese one
and a few others - embodies the descending fifth intervallic opening variant.)
Gaps
Although upbeat implications for tonality induction can still to some

degree be incorporated in models like the PPM, tonal implications of gaps
Fig. 4. Four examples of melodies that start with an upbeat that is totally encapsulated in a
rising fourth or, equivalently, a rising fifth, implying that the interval-terminating note is the
tonic of the corresponding composition. A, Dutch national anthem; B, French national
anthem; C, national anthem of Nicaragua; D, national anthem of the United States.
412 Piet G. Vos
are completely impossib

guide the listener's tonal
give just one striking ex
Well-Tempered Klavier
first and second notes (Fig
fashion to listeners, start
followed by progressively
lus. Following a variant
the study of inductive r
after each step the mode
major"). The fugue subje
melodically and harmon
quence, at least according
both experts and nonexpe
tation (see Figure 5B).
The gap provided a post h
the work of Woodrow (1
Gottwald (1970), and V
large gaps in tone sequen
the left and to the right
of Wertheimer's (1923) g
Applied to the stimulus
major key on the basis o
note (A4-C5) is suppressed
reckoned from the second
that case A major is sup
minor, decreasing in am
fourth tone. From the fif
back to the prescribed key
tone, from which onwar
listeners honor it!
Many more dualities cont
induction but space limit
tail. Think of the dual l
"backward" or in "forw
dominantly reconstruct
the "forward" mode, we
it might run further (see
"primacy" (the first eve
leged processing status) v
3. The example is drawn from

dies (Vos & Verkaart, 1999).
Fig. 5. A, First 10 notes of the subject of Fugue 19 in A Major, Well-Tempered Clavier I, a

stimulus used in a study on the inference of mode (Vos & Verkaart, in press). B, Strength of
"major" impression (y-axis) with unfolding length of the stimulus (x-axis). Different curves
for two groups of subjects differing in expertise.
recently processed auditory events have a similar privileged status that pro-
gressively may overrule the primacy effects). Finally, think of the dual con-
tributions to tonality induction in the form of physical-acoustical determi-
nants of consonance versus its cultural, if not subcultural determinants.
Conclusions
The contemplation of the fuzzy state of the most important key notion
in tonality induction research, "tonality," and of the many dualities of music
and music processing, could easily seduce one principally to distrust any
hypothesis or theory about it. Paradoxically enough, most if not all theo-
ries of tonality induction put forward during the past decades did contrib-
ute to its understanding by virtue of their limited claims and demonstrable
falsifiability. The various theories are not mutually exclusive. Each of them
is powerful only for certain aspects of tonality induction and is weak or
even invalid for other aspects. The acceptance of this fact is the first step
toward a bending of the divergent developments in tonality induction re-
414 Piet G. Vos
search. The next step ma

different theories. An ex
tural tonality induction t
and durations of notes (
vallic rivalry type (see Br
type are particularly ada
ings of musical composit
relatively strong in expl
ings (cadences) of musical
the fact that the stronges
ending, of a piece of mu
tations differ drastically
parts he or she is listenin
exist two different type
different extremes (C. L.
Accordingly, the two typ
further to diverge but c
long term from two opp
In a similar fashion, no
with tone-based approac
understanding the comp
tion in a listener hearing
tic to assume that both
argued previously, it is ev
tively: to use the outpu
based model.
Finally, the relevant but still poorly understood role of rhythm and meter
in tonality induction forms another stimulant to bridge the gap creatively
between two seemingly very different musical research domains, the tonal
domain and the time domain. A promising starting point for a joint re-
search enterprise by tonality specialists and specialists in meter and rhythm
is the previously reflected nature of musical openings where downbeat de-
lay ("upbeat" opening) is tonally embedded in powerful intervallic infor-
mation for the key ("ascending fourth/descending fifth").
We may therefore be cautiously optimistic regarding the prospects for a
better understanding of tonality induction. The optimism is furthermore
fed by the fascination for music, the ongoing discoveries of structural and
functional regularities in its processing, and the conviction that, in the long
run, steady progress in scientific insights will be obtained, however un-
stable the short-term steps may look. I am willing to believe that the vari-
ous dissonances between the current approaches to tonality induction will
eventually appear to be contributions to a polyphonic masterpiece of inter-
disciplinary signature.
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Tonality Induction: Theoretical Problems and Dilemmas

Author(s): Piet G. Vos

Tonality Induction: Theoretical Problem

University of Nijmegen, The Netherlan

Fundamental problems and dilemmas for the study of

proaches. It would be nai

The fuzzy state of "tonal

authoritative article in the New Grove Dictionary of Music and Musi-

Fig. 1. Subject of "Fuga prima

Did Hindemith have tonal

Research Dilemmas Associated With Dualities of Music

NOTES VERSUS TONES

A theory of tonality induction can be based either on the symbolic re

Fig. 2. Chorale sequence no. 12 from Thompson and Cuddy (1989).

tially infers melodic evi

TONES VERSUS INTERVALS

We may describe a piece of music as a sequence of tones (fundamen

version ABC, ....Were the stimulus G B D C E A F, both models would

Fig. 3. An example of overlap

TONAL VERSUS TEMPORAL CUES FOR TONALITY INDUCTION

Intuitively, it seems correct to theorize on tonality induction exclusiv

Many pieces of music, notably national anthems, open with an upbeat

followed by the downbeat. Often, this metrical figure is tonally embedded

Although upbeat implications for tonality induction can still to some

are completely impossib

3. The example is drawn from

Fig. 5. A, First 10 notes of the subject of Fugue 19 in A Major, Well-Tempered Clavier I, a

search. The next step ma

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