INSTRUMENTAL DIFFERENCES IN CHARACTERISTICS OF EXPRESSIVE MUSICAL PERFORMANCE DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Timothy M. Walker, M.A. ***** The Ohio State University 2004 Dissertation Committee: Approved by Professor Mari Jones, Adviser Professor Neal Johnson ______________________________ Adviser Professor Jay Myung Psychology Graduate Program ABSTRACT Performed music contains systematic deviations from the notated values of timing, dynamics, and articulation, which can communicate expressive content to a listener. The choice of musical instrument can be an important factor in shaping a performance, and may be a significant component in the communicative process. However, the differences in expressive variability across instruments have not been adequately studied, largely due to the practical difficulties of obtaining quantitative performance data from non-keyboard instruments. A methodology is proposed in which performances are recorded as digital audio and later transcribed into MIDI data for analysis. This methodology allows an arbi- trary number and type of instrument to be studied. Details of the MIDI transcription pro- cess are provided, along with some algorithmic tools for comparing a performance file to a notated score. An empirical study was conducted of performances of two different pieces of music by performers of four different types of instruments (clarinet, guitar, piano, and trumpet). Each performer played each piece twice; once with normal expression and once with no intended expressive variability. Performances were analyzed as functions of instrument and expressive level, with dependent measures of note error frequencies, timing devia- ii tions, articulation, and dynamics. Significant effects were obtained for all dependent mea- sures, indicating that performance variability is affected both by the physical instrument and by the performer’s expressive intent. In addition, a perceptual study was conducted in which listeners were asked to iden- tify the original performance instrument from the MIDI transcriptions of the perfor- mances, presented in a neutral timbre. Participants were not able to identify the instruments at a better-than-chance level, but there are indications that some of the instru- ment-specific features of the performances were in fact perceptually salient. The results indicate that listeners may be sensitive to specific cues contained in expressive variability, but that they may lack the explicit instrumental knowledge necessary to categorize perfor- mances accurately. The studies are discussed together within the context of a process of musical com- munication between performers and listeners. The importance of instrumental effects and the technical considerations of representational formats for musical data are emphasized. These factors tend to interact with respect to the pragmatics of performing quantitative studies of performance and have numerous implications for future research opportunities. iii Dedicated to the memory of my mother, Diane Walker iv ACKNOWLEDGMENTS I would like to thank Caroline Palmer, both for her help with this document and for the years of research experience in the Music Cognition Lab which prepared me for this dissertation. I am also very grateful to my committee: Mari Jones, who has graciously accepted me as her advisee and provided me with expert guidance; Jay Myung, who has helped me with the analyses and who has always been a source of inspiration; and Neal Johnson, who has been continually supportive throughout my graduate career. Thank you to Davy Temperley for rewriting the mftext code and posting his changes. Thank you to all my family and friends who have provided encouragement and help throughout the years of working on and thinking about this research. Finally, a very special thanks to my wife, Debbie, for her invaluable help on this project and with whom anything seems possible. v VITA July 8, 1968. Born - Pittsburgh, PA 1990 . B.S. Physics & Psychology, Carnegie Mellon University 1994 . M.A. Psychology, The Ohio State University 1992 - 1994: . Research Assistant, The Ohio State University 1994 - 1997: . Teaching Assistant, The Ohio State University 1997 - 1998. Full-Time Instructor, Capital University 1998 - 2001. Assistant Professor, Capital University 2001 - Present . Assistant Professor, Ohio Dominican University PUBLICATIONS Research Publication 1. Walker, T.M., & Butler, D. (1996). Metrical constraints on implied harmony in music. Proceedings of the 4th International Conference on Music Perception and Cogni- tion, 377-381. 2. Walker, T.M. (1996). Instrument-specific influences on musical communication. Journal of the Acoustical Society of America., 99 (4), 2481-2482. 3. Walker, T.M. (1994). The effects of meter on detection of words and musical tones. Masters Thesis, The Ohio State University, Columbus, OH. FIELDS OF STUDY Major Field: Psychology vi TABLE OF CONTENTS Page Abstract. ii Dedication. iv Acknowledgments . .v Vita . vi List of Tables . .x List of Figures. xii Chapters: 1. Introduction. .1 Expressive Musical Performance . .1 Methodology. .3 Overview. .4 2. Theoretical Motivation . .6 Communication. .7 Instrument Characteristics . .10 Semiological Interpretations. .15 The Motor Theory of Speech Perception . .18 Empirical Studies of Perception and Performance . .20 Previous Work . .26 Summary. .28 vii 3. Musical Performances . .30 Performance Experiment . .34 Method . .37 Participants . .37 Materials . .37 Equipment. .38 Procedure . .39 Data Transformation. .40 Algorithmic Identification of Errors. .43 Summary. .54 4. Performance Results and Discussion . .56 Error Analyses . .58 Melody 1. .61 Ständchen . .61 Timing Analyses. .62 Melody 1. .62 Ständchen . .66 Articulation Analyses . .68 Melody 1. .69 Ständchen . .70 Dynamics Analyses . .71 Melody 1. .72 Ständchen . .75 Discussion. .77 Summary. .80 5. Perceptual Data. .81 Perception Experiment . .83 Method . .84 Participants . .84 Materials . .85 Procedure . .86 Results. .87 Melody 1. .87 Ständchen . .93 Discussion. ..