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Acoustics of cross fingerings in the shakuhachi

Conference Paper · September 2014

DOI: 10.13140/2.1.2118.0168

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 Acoustics of cross fingerings in the shakuhachi

Shigeru Yoshikawa and Kazue Kajiwara

Graduate School of Design, Kyushu University, Fukuoka, Japan

Summary
The Japanese longitudinal bamboo flute, shakuhachi, has only five tone holes. Cross fingerings are
thus very important to play it. Conventionally, cross fingerings are considered to yield pitch
flattening because tone hole(s) below the top open tone hole are closed and the resulting pressure
recovery, which gives a longer end correction, is brought about. Conversely, cross fingerings in
the shakuhachi produce pitch sharpening in many cases, particularly in the second register. This
pitch sharpening by cross fingerings is called intonation anomaly, whose phenomena are measured
and analyzed. In general, cross fingerings yield inharmonic spectra of the input admittance.
However, the input admittance spectra on cross fingerings are significantly affected by the lower
bore below the top open tone hole. Therefore, it is essential to identify and discriminate the
spectra between the upper and lower bores. This bore-mode spectrum identification is effectively
carried out by measuring or calculating the pressure standing-wave patterns along the whole bore.
A spectrum switching between the upper and lower bores is a clue to cause the intonation anomaly.
This is illustrated by considering stepwise shifts of tone holes while keeping the hole-to-hole
distance and by comparing the resulting changes in input admittance spectra. When the spectrum
switching occurs, a docking of the upper and lower bores makes up a higher resonance mode
throughout the whole bore and then leads the intonation anomaly.
PACS no. 43.75.Qr, 43.75.Ef, 43.20.Ks

1. Introduction1 are successively opened from the bottom, the

shakuhachi of one shaku and eight sun (about 54
Cross fingerings in woodwind instruments are very cm) long gives D – F – G – A – C – D. Cross
significant in musical expressions created by fingerings are used for Ab, Bb, etc.
instrument players [1]. Tonal pitch, volume, and
By the way, a Japanese physicist Torahiko Terada
timbre are appreciably changed by cross (or fork)
(1878–1935) first carried out an accurate measure-
fingerings from those given by normal fingerings
ment of the intonation of the shakuhachi [6]. He
made of a lattice of open tone holes. However, as
carefully measured pitch frequencies in the first
modern Western instruments have many tone holes
and second registers for 32 fingerings, and paid his
(the number of tone holes in modern clarinet, oboe,
attention to the octave balance. If his intonation
and flute is about 24, 23, and 13, respectively), the
table is extensively examined, it is known that
attraction of cross fingerings seems to be getting
there are many cases where cross fingerings cause
lost. As the result, good opportunities to explore
pitch sharpening instead of pitch flattening. The
the acoustics of cross fingerings in woodwind
pitch sharpening due to cross fingerings is the
instruments have almost missed out unfortunately.
reverse of our conventional understanding. There-
Our conventional understandings on the acoustics
fore, it may be called intonation anomaly in the
of cross fingerings are based on Benade’s and
present paper.
Nederveen’s textbooks [2, 3], and developed by
Wolfe and Smith [4]. This intonation anomaly is found in the recorder
and the baroque flute, too. A familiar example in
On the other hand, Japanese longitudinal bamboo
the alto recorder is D#6, which is played with the
flute, shakuhachi has only five tone holes (four on
cross fingering (∅●●○●●●○) in the third register
the front and one on the rear). This means the
(symbol ∅ indicates the thumb hole that is slightly
decisive importance of cross fingerings in playing
opened). An example in the baroque flute is for the
the shakuhachi. See Ref. [5] for a concise
A#5 with the fingering (●●○●●●) in the second
explanation of this instrument. When tone holes
register, in which three holes are closed below the
1 one opened for sounding the A5.
(c) European Acoustics Association
The aim of this paper is to explore the mechanism
how the intonation anomaly occurs or does not
occur by cross fingering in the shakuhachi. The
situation where the intonation anomaly occurs is
first described by measuring the blown frequencies.
Although the internal standing-wave patterns when
the shakuhachi was externally driven by a loud-
speaker and an exponential horn were measured by
using a long probe tube [7], the result is not
reported here for page limitation. Instead,
numerical calculations of the input admittance and
the standing-wave patterns are performed to
confirm the measurement results. Moreover, the
dependence of the intonation anomaly on the tone-
hole position is discussed. The associated spectrum Figure 1. Fingerings A to G of the shakuhachi.
(or mode) switching on the cross fingering is
generalized as the non-adiabatic transition (the Table 1. Playing frequencies of fingerings A to G. The
Landau-Zener effect) in physics and chemistry. underlined frequencies denote the intonation anomaly.
Fingering Resonance mode (Register)
2. Intonation anomalies in play Name 1st 2nd 3rd 4th
A (Chi) 444 Hz 898 Hz 1322 Hz 1903 Hz
In this paper fingerings A, B, and C where the top (A4) (A5) (E6) (A#6)
open hole is the third and fingerings D, E, F, and G B (Wu13) 433 Hz 853 Hz 1475 Hz 1856 Hz
where the top open hole is the fifth are considered (Ab4) (Ab5) (Gb6) (A#6)
(see Fig. 1). Fingerings A, B, and C are called Chi, C (Wu) 426 Hz 920 Hz 1273 Hz 1834 Hz
Wu13, and Wu3 in Japanese notation, respectively. (Ab4) (A#5) (Eb6) (A#6)
Also, fingerings D, E, F, and G are called Ha, Ha4, 1472 Hz
(Gb6)
Ha245, and Ha5, respectively. It should be noted
D (Ha) 587 Hz 1170 Hz ― ―
that the third and fifth tone holes are almost in
(D5) (D6) (A6)
symmetrical position about the bore middle: The E (Ha4) 569 Hz 1318 Hz 1928 Hz ―
length from the embouchure to the fifth hole is (Db5) (E6) (B6)
mostly the same as that from the bore bottom to F (Ha245) 591 Hz 1244 Hz 1852 Hz ―
the third hole (about 22 cm when the total bore (D5) (D#6) (A#6)
length is about 54 cm). Therefore, the upper bore G (Ha5) 600 Hz 1207 Hz 1828 Hz ―
(from the embouchure to the third hole) in (D5) (D6) (A#6)
fingering C has the same length (about 32 cm) as
the lower bore (from the bore bottom to the fifth
The intonation anomaly was observed in the third
hole) in fingering G. Also, fingerings B and F are
register as well as in the second register when
opposite each other in relation of tone-hole
cross fingering C was used. However, at the same
opening and closing.
time fingering C gave a flat third register tone
Long tones of a note were played (without (Eb6) and the intonation anomaly yielded Gb6
changing the angle between the player’s head and instead of E#6. Intonation anomaly A#5 in the
the instrument) about 10 times and recorded with a second register on fingering C may be the same
linear PCM recorder (Sony PCM-D50). Stable type as an example in the baroque flute. Cross
waveforms were analyzed with FFT software, and fingering B gave the intonation anomaly in the
the most frequently appeared frequency was third register, while it gave normal pitch-lowering
selected as the playing frequency. Table 1 in the second register. The result on the first
summarizes the measurement result of the playing register of fingerings A, B, and C well reflected
frequencies when the fingerings shown in Fig. 1 conventional understanding of cross fingerings. In
were used. The underlined frequencies denote the the fourth register, normal fingering A gave A#6
intonation anomaly due to cross fingerings. and cross fingerings B and C gave same A#6 with
lower frequencies.
On fingerings D to G more anomalies were Table 2. Shakuhachi bore and tone-hole geometries.
observed. The intonation anomaly occurred even
in the first register, although it was very weak and Position x 2a Bore/Tone hole (inner dia., length)
gave tones of D5. The second register brought 0 mm 17.8 mm 1st element (divergent conical)
intonation anomaly to all cross fingerings E, F, and 60 15.6 2nd element (cylindrical)
G with difference in degree. It was difficult to play 119 15.6 1st tone hole (10 mm, 7.7 mm)
the third register on fingering D. However, it may 119 16.2 3rd element (cylindrical)
be assumed that the third register on normal 171 16.2 2nd tone hole (10 mm, 7.2 mm)
fingering D produces A6 of about 1760 Hz (this is 171 16.2 4th element (convergent conical)
the case as shown in Ref. [7]). Therefore, A#6 in 200 17.0 5th element (cylindrical)
the third register on cross fingerings F and G may 220 17.0 3rd tone hole (9.8 mm, 7.4 mm)
220 17.0 6th element (cylindrical)
be considered as the intonation anomaly (tone B6
284 17.0 4th tone hole (10 mm, 7.0 mm)
on fingering E is related with another third mode
284 17.0 7th element (cylindrical)
around 1950 Hz on fingering D, and the B6 is not
320 17.0 5th tone hole (10 mm, 9.4 mm)
an anomaly. See Ref. [7]). Interestingly enough,
320 17.6 8th element (cylindrical)
the frequency (1852 Hz) of this A#6 in the third 350 17.6
register on fingering F was very close to that (1856 350 18.4 9th element (cylindrical)
Hz) in the fourth register on fingering B, and the 390 18.4
same relation held between fingerings G (1828 Hz) 390 18.8 10th element (cylindrical)
and C (1834 Hz). Such an interrelation mainly 430 18.8 11th element (divergent conical)
comes from the specific positions of the third and 460 18.0 12th element (cylindrical)
fifth tone holes as explained in Sec. 1. 490 18.0 13th element (convergent conical)
540 20.3 14th element (cylindrical)
3. Numerical calculations of input admit- 540+∆E 20.3 (end correction at the embouchure)
tances and standing-wave patterns
given by the standing-wave measurement. Also,
The external drive of the instrument tends to bring the tone-hole central positions and geometries are
the modes which violate the resonance conditions. indicated in Table 2.
Numerical calculation of the input admittance can
help discriminate such violating modes from the The transmission matrix (TM) method has been
not-violating (satisfying) modes. Moreover, inter- applied to woodwind instrument bores with tone
nal pressure distributions (standing-wave patterns) holes for calculating the input impedance or
along the bore are essential to discriminate the admittance. A tone-hole matrix is inserted between
modes of the upper bore from those of the lower the transmission matrices relating the acoustic
bore. This discrimination (mode identification) is pressures and the acoustic volume velocities above
almost impossible only by the limited information and below the tone hole [8-10]. Moreover, if the
of the input admittances. radiated pressure is adequately assumed, the
relative distribution of the internal acoustic
3.1. Bore model and calculation method pressure can be calculated by taking the
The inner bore of the shakuhachi used for the calculation step as short as about 5 mm [11, 12].
standing-wave measurement is modeled as a tube 3.2. Results on input admittances
consisting of ten cylindrical elements, two diver-
gent conical elements, and two convergent conical The absolute magnitude of the input admittance
elements (see Table 2) based on the image from |YIN| on fingerings D, E, F, and G are shown in Fig.
the CT scan. The calculation starts with the length 2. In general, cross fingerings change the input
correction ∆B due to the acoustic radiation at the admittance spectra (almost harmonic) of normal
open end (radius a0) of the bore and works up the fingerings to inharmonic. This is due to acoustic
air column toward the embouchure. The end characteristics below the top open tone hole.
correction ∆E at the embouchure hole is incorpo-
rated in the 14th cylindrical element with bore Even in normal fingering D, two resonant modes
diameter 2a = 20.3 mm. The length ∆E of this 14th of the lower bore f’2 (1084 Hz) and f’2++ (1354 Hz)
element is determined as the first mode frequency appear in the input admittance spectra as shown in
f1 given by numerical calculation is matched to that Fig. 2 (a). In addition, a small peak f3+ (1884 Hz)
appears above the third mode of the upper bore. (c), and (d) on cross fingerings E, F, and G.
Such identification is carried out by comparing Interestingly, spectra of the lower and upper bores
with the standing-wave patterns measured or appear one after the other (f’1, f1, f’2, f2, f’3, and f3)
calculated. This situation is the same in Figs. 2 (b), in Fig. 2 (d) on cross fingering G.

Figure 2. Calculated input admittances (fingerings D-G). Figure 3. Standing-wave patterns (fingerings A-C).
3.3 Results on standing-wave patterns
The calculation results on internal standing-wave
patterns show a very good agreement with the
measurement results on fingerings A to G [7, 12].
In this subsection, results on fingerings A to C are
just displayed in Fig. 3.
As shown in Fig. 3 (a) on the first mode, the pres-
sure recovery along the lower bore below the open
third tone hole becomes stronger as the second and
first tone holes are closed in succession on
fingerings B and C. Also, a weak discontinuity of
the pressure magnitude is seen at the closed tone
hole. On the other hand, fingering C produces a
very deep trough near the closed second tone hole
as shown in Fig. 3 (b) on the second mode. At this
time the third mode is formed along the whole bore
and the intonation anomaly is caused. It may be
then understood that the lower bore is strongly
docking with the upper bore instead of being
separated at the top open tone hole.
Figure 4. Dependence of intonation anomaly on overall
Although the third modes form the fourth modes tone-hole shift in the shakuhachi. (a): 2nd mode fre-
along the whole bore as shown in Fig. 3 (c), into- quencies on fingerings D, F, and G. (b): changes in input
nation anomaly does not occur. In this case all admittance spectra on fingering G. Spectrum switches
patterns indicate the appreciable discontinuity are indicated by arrows.
(phase change) at the top open tone hole. However, change in the resonance frequency is followed by
cross fingerings B and C easily yields the higher the switching between the modes of the upper and
third mode f3++ as shown in Fig. 3 (d) (cf. Table 1). lower bores. For example, on fingering G the locus
This mode forms fifth mode along the whole bore of f2 switches to f’2 at x = 255 mm and to f’3 at x =
and the intonation anomaly occurs. Both patterns 190 mm. This mode switching is confirmed by
display the continuity (no phase change) at the top checking the internal standing-wave patterns
open tone hole. The docking between the upper and involved (not shown here). The mode switching
lower bores is then much stronger than that in the observed in Fig. 4 (a) is seen as the spectrum
second mode on fingering C. This is probably switching in the input admittance spectra shown in
because the open third tone hole does not function Fig. 4 (b). This spectrum switching on fingering G
as an open tone hole when the resonance frequency occurs in the first and third modes as well as in the
is higher than a kind of cutoff frequency [2, 4, 5] second mode. The spectrum order in the original
defined by a lattice of open tone holes. tone-hole configuration (x = 220 mm) is f’1, f1, f’2,
f2, f’3, and f3. However, when all tone holes are
4. Dependence of intonation anomaly on shifted by 50 mm toward the bore end (x = 270
tone-hole positioni mm), this order is switched to f1, f’1, f2, f’2, f3, and
f’3. At this configuration the second mode on cross
4.1 Overall tone-hole shift fingering G does not bring about the intonation
The correlation between the tone-hole position and anomaly as known from Fig. 4 (a).
the resulting intonation anomaly is discussed by
4.2 Non-adiabatic transition in physics
considering effects of overall tone-hole shift (while
keeping the hole-to-hole distances unchanged). Very interestingly, the spectrum switching demon-
Figure 4 (a) displays the frequency change of the strated in Fig. 4 seems to be an example of the non-
second mode when fingerings D, F, and G are used. adiabatic transition at the crossing of the energy
Positions of all tone holes are shifted upward and level in quantum mechanical systems [13]. A con-
downward in steps of 5 mm. The original position ceptual sketch is depicted in Fig. 5. The abscissa x
of the fifth tone hole is indicated by the dashed line. denotes the parameter controlling an interaction
between two energy states, e. g. molecular configu
It should be noted that a large (discontinuous)

Figure 5. A sketch of the diabatic transition [13-15].
ration in chemical reactions. The ordinate denotes
the energy of the two-level system. The dashed lines
indicate the unperturbed energies ω1 and ω2 in
frequency units, while the solid lines indicate the
perturbed energies ωA and ωB, where the de-
generacy at the crossing is broken by an interaction
which couples the levels.
The avoided crossing region is passed by staying
on the same branch when an adiabatic transition
takes place. However, a non-adiabatic (diabatic)
transition yields the jump to another branch across
the avoided crossing as shown by the arrow in Fig.
5. The transition probability is given by the famous
Landau-Zener formula in quantum mechanics. Fig.
4 (a) (e. g. the green line of fingering G) clearly
demonstrates the jump on the diabatic transition.
The embouchure-to-fifth tone hole distance x is
now interpreted as the parameter controlling the
interaction between the upper and lower bores.
The spectrum switching on the cross fingering
revealed in Fig. 4 reflects the diabatic transition.
5. Conclusions
The acoustics of cross fingerings has been ex-
plored in the shakuhachi. A particular interest is
focused on the intonation anomaly in the second
and third registers. The switching of the input
admittance spectra between an upper-bore mode
and a lower-bore mode is observed when the
associated tone hole positions are varied while
keeping the hole-to-hole distances unchanged.
This spectrum switching causes the intonation
anomaly by cross fingerings as shown in Fig. 4.
Also, when the intonation anomaly occurs, a
docking between the upper and lower bores is
established as if the top open tone hole does not
exist. As the result, a higher mode is formed along
the whole bore as illustrated in Fig. 3. Such a
strong bore docking is never expected for usual
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cross fingerings. The spectrum switching due to
cross fingering in the shakuhachi is a good
example of the diabatic transition widely observed
in quantum and classical physics and theorized as
the Landau-Zener-Stueckelberg formula in 1932.
Acknowledgement
This research has been supported by the Grants-in-
Aid for Science Research of the Japan Society for
the Promotion of Science (subj. no. 25560008).
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