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77*27,346

ROTHWELL, James Austin, 1942*

THE PHI FACTOR: MATHEMATICAL PROPORTIONS
IN MUSICAL FORMS.

University of Missouri-Kansas City

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D.M.A,, 1977
Mdsic

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Xerox University Microfilms, Ann Arbor, Michigan 48106
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@ 1977

JAMES AUSTIN ROTHWELL

ALL RIGHTS RESERVED

 THE PHI FACTOR: MATHEMATICAL PROPORTIONS

IN MUSICAL FORMS

A DISSERTATION IN
Music

Presented to the Faculty of the University

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of Missouri - Kansas City in partial fulfillment of
the requirements for the degree
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DOCTOR OF MUSICAL ARTS
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by
JAMES A. ROTHWELL

B.S., University of Missouri - Columbia, 1964

M.M., University of Missouri - Kansas City, 1968

Kansas City, Missouri

1977
 THE PHI FACTOR: MATHEMATICAL PROPORTIONS

IN MUSICAL FORMS

James A. Rothwell, Doctor of Musical Arts

University of Missouri - Kansas City, 1977

ABSTRACT

This study documents the presence of the golden ratio as a

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structural element in the forms of selected works from five musical

periods— Renaissance to Twentieth-century. Detailed historical

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accounts of the golden ratio and Fibonacci series, and a mathematical

derivation of the golden ratio and its common approximations are in­
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cluded as background material. An overview is presented of previous

analytical work on the subject.

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A method of proportional analysis is suggested, based on

observed roles of mathematics in music. Ten premises are stated which

catagorize those observed roles and allow for other possibilities

of structural organization. Two computational aids— an analytical

program and a table of historically significant numbers— are included.

Suggestions are given for the application of proportional analysis

to matters of tempo and tirae-structure interpretation.

Examples of proportional analysis include the following works:

Bach, J. S.: Contrapunctus 2 , S, 1080. Inventio 3 , S. 774.

Inventio 8 , S. 779. Inventio 1 0 , S. 781. Kleines
harmonisches Labyrinth, S. 591. Wachet auf: ruft uns die
Stimme, S. 645.
 Barber, Samuel: Sonata for Piano.

Bartok, Bela: Sixth Quartet.

Binchois, Gilles: De plus en plus.

Brahms, Johannes: Acht Klavierstueeke, op. 76 no. 1.

Balladen fuer Pianoforte, op. 10 no. 3. Waltzer fuer
Pianoforte, op. 39 nos. 5, 6, 11, 12, 15.

Chopin, Fryderyk: Prelude, op. 28 no. 9.

Gibbons, Orlando: Fantasia.

Handel, George Frederic: Hallelujah chorus, Messiah.

Haydn, Joseph: Symphony 9 7 .

Hindemith, Paul: Interludium (Valse), Ludus Tonalis. Zweite

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Sonate fuer Klavier.

Janequin, Clement: Guillot ung jour.

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Maffoni, Hieronimo: Quam pulchri sunt gressus tui.

Mozart, W. A.: Quartet no. 2 3 , K. 590. Quintet fuer Piano­

forte, Oboe, Clarinette, Horn, und Fagott, K, 452. Sonate
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no. 15, K. 545.

Obrecht, Jacob: Tsat een meskin.

Prokofieff, Serge: Pensges, op. 62. Two pieces, op. 3.

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Rachmaninoff, Sergei: Symphony n o . 2 .

Saint-Saens, Camille: Vogue, vogue la Galere.

Schubert, Franz: Die Stadt. Liebesbotschaft.

de Sermisy, Claudin: Au ioly boy s .

Stravinsky, Igor: Octet for Wind Instruments.

Wolf, Hugo: Er i s t ^ .

Analyses of these works indicate that structural proportions

based on phi most frequently employed fractional values (5/8 and 8/13),

although a few instances were noted of proportions based on the accurate

reference value for phi, 0.618. Events frequently placed at significant

structural locations include melodic repetitions— such as recapitulation-

and disturbances to flow— such as meter changes or fermatas. Also high

in structural importance were musical events affecting the dynamic pro­

perties of a work: loudness, note density, register, rate of activity

and similar factors. The commonality of mathematically-based struc­

tural proportions to a wide range of musical periods suggests that,

as much as any other single factor, structural coherence is essential

in musical organization.

This abstract of approximately 440 words is approved as to

form and content.

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IE eRoy" Pogeifiiller
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 The undersigned, appointed by the Dean of the School of

Graduate Studies, have examined a dissertation entitled "The Phi

Factor: Mathematical Proportions in Musical Forms," presented by

James A. Rothwell, a candidate for the degree Doctor of Musical

Arts, and hereby certify that in their opinion it is worthy of

acceptance.

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LeRoy Pogemiller, D.M.A,
Conservatory of Music

Gerald E. Kemner, D.M.A.

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Conservatory of Music
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John Leisenring, D.M.A.

Conservatory of Music
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vi
 CONTENTS

A B S T R A C T .................. iii

ILLUSTRATIONS .............................................. viii

P R E F A C E .................................................. xi

CHAPTER 1 THE GOLDEN PROPORTION AND THEFIBONACCISERIES ... 1

CHAPTER 2 PROPORTIONAL A N A L Y S I S ......................... 24

CHAPTER 3 ANALYSES OF MUSIC FROM THE RENAISSANCE PERIOD . . . . 52

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CHAPTER 4 ANALYSES OF MUSIC FROM THE BAROQUE P E R I O D ........... 67

CHAPTER 5 ANALYSES OF MUSIC FROM THE CLASSICAL P E R I O D .........

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CHAPTER 6 ANALYSES OF MUSIC FROM THE ROMANTIC P E R I O D ......... 110

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CHAPTER 7 ANALYSES OF MUSIC FROM THE TWENTIETH CENTURY . . . . 134

CHAPTER 8 SUMMARY AND RECOMMENDATIONS.......................... 160

APPENDIX 1 SELECTED NUMBERS OF HISTORICALSIGNIFICANCE ........... 164

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APPENDIX 2 PROPORTIONAL ANALYSIS P R O G R A M ........................ 165

APPENDIX 3 MUSICAL SOURCES ....................................... 166

BIBLIOGRAPHY ....................................................... 169

V I T A ............................................................... 171
 ILLUSTRATIONS

Figure

1. Proportional Compass ................ 8

2. Root-five T r i a n g l e .......................................... 14

3. Golden-section T r i a n g l e ....................................... 15

4. Golden-section T r i a n g l e ....................................... 16

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5. Extension of golden T r i a n g l e ................................ 16

6. P e n t a g r a m ...................................................... 19

7.

8. Gibbons Fantasia
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Logarithmic S p i r a l ...........................

.............................................
20

36
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9. Structure of Gibbons F a n t a s i a ................................ 37

10. Bach Kleines harmonisches Labyrinth, S, 5 9 1 ................ 42

11. Bach Kleines harmonisches Labyrinth, S. 5 9 1 ................. 43

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12. Structure of B a c h Exitus, Labyrinth, S. 5 9 1 ................. 47

13. Structure of Gibbons F a n t a s i a ................................ 54

14. Structure of Binchois De plus en plus . . . . . . . . . . . . 57

15. Structure of de Sermisy Au ioly b o y s ....................... 59

16. Structure of Obrecht Tsat een m e s k i n .................... 61

- 17. Structure of Janequin Guillot ung jour ................. 64

18. Structure of Maffoni Quam pulchri sunt gressus t u i .......... 66

19. Structure of Bach Exitus, Labyrinth» S. 5 9 1 ................. 69

20. Structure of Bach Centrum, Labyrinth» S. 5 9 1 ............... 71

21. Structure of Bach Introitus, Labyrinth, S. 5 9 1 ............ 75

22. Structure of Bach Kleines harmonisches Labyrinth, S. 591 . . 76

viii
23. Structure of Bach Contrapunctus 2 t S. 1080 .......... 78

24. Structure of Bach Wachet auf:ruft uns die Stimme,S. 645 . . 80

25. Structure of Bach Invent io 3 , S. 77-4 . .......... 83

26. Structure of Bach Inventio 8 , S. 779 ....................... 85

27. Structure of Bach Inventio 10, S. 7 8 1 .................... . . 87

28. Structure of Handel Hallelujah chorus, Messiah . .......... 89

29. Structure of Mozart Allegro, Sonate no. 15, K. 545 ........ 92

30. Structure of Mozart Andante, Sonate no. 1 5 , K. 545 ........ 94

31. Structure of Mozart Rondo, Sonate no. 15, K. 545 .......... 99

32. Structure of Haydn Adagio-Vivace, Symphony no. 9 7 ........ 101

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33. Structure of Haydn Allegretto, Symphony no. 97 ............ 103

34. Structure of Mozart Larghetto, Quintet fuer Pianoforte,

Oboe, Clarinette, Horn, und Fagott, K. 452
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35. Structure of Mozart Allegro moderato, Quartet no. 2 3 , K. 590 . 107

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36. Structure of Mozart Andante, Quartet no. 23, K. 590........ 109

37. Structure of Brahms Walz,op.39 no. 5 ....................... 115

38. Structure of BrahmsWalz,op.39 no. 6 ....................... 116

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39. Structure of Brahms Walz,op.39 no, 11 117

40. Structure of BrahmsWalz,op.39 no. 12 . ................. 118

41. Structure of Brahms Walz,op.39 no. 1 5 ..................... 119

42. Structure of Brahms Capriccio, Acht Klavierstuecke,

op. 76 no. 1 .............................................. 121

43. Structure of Brahms Intermezzo, Balladen fuerPianoforte,

op« 10 no . 3 .............................................. 123

44. Structure of Chopin Prelude, op. 28 no. 9 ................... 125

45. Structure of Schubert Liebesbotschaft . . . . . 127

46. Structure of Schubert Die S t a d t ........................... 129

47. Structure of Saint-Saens Vogue, vogue la Galere .......... 131

48. Structure of Wolf Er i s t ' s ................................. 133

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49. Structure of Rachmaninoff Adagio, Symphony n o . 2, op. 27 . . 137

50. Structure of Hindemith Interludium (Valse), Ludus Tonalis . 139

51. Structure of Hindemith Maessig schnell, Zweite Sonate

fuer K l a v i e r ............................................ 142

52. Structure of Hindemith Leb^aft, Zweite Sonate fuer Klavier . 143

53. Structure of Hindemith Sehr langsam, Zweite Sonate fuer

K l a v i e r ................................................ 144

54. Structure of Hindemith Zweite Sonate fuer Klavier . . . . . 145

55. Structure of Stravinsky Sinfonia, Octet for Wind

Instruments ............................................ 148

56. Structure of Stravinsky Tema con Variazioni, Octet

for Wind I n s t r u m e n t s .............. 149

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57. Structure of Stravinsky Finale, Octet for Wind Instruments , 150

58. Structure of Prokofieff Pensees, op. 62 no, 1 . . . . . . . 152

59.
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Structure of Prokofieff Pensees, op. 62 no. 2 153

60. Structure of Prokofieff Story, Two Pieces, op. 3 . . . . . . 155

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61. Structure of Barber Allegro energico. Sonata for Piano . . . 157

62. Structure of Bartok Mesto— Piu mosso. Sixth Quartet .... 159
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 PREFACE

This study has been undertaken to document the presence of

the golden ratio as a structural element in the forms of selected works

representing the five musical periods from the Renaissance to the

■*»-
Twentieth Century. The results indicate several common factors in the

proportional structures of works from the five periods.

Only a portion of the works analyzed during a decade of inves­

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tigation are presented in this study; however, those examples provided

are representative of basic types of structural organization found in

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a wide sampling of musical works. The selected examples generally
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have distinct time structures which clearly depict various approaches

to structural organization. In a few special examples, though, works

were included whose time structure (and therefore proportional struc­

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ture) could not be determined without interpretation. Such examples

are included to suggest that proportional analysis may have impli­

cations for performance and interpretation.

It would be impossible to acknowledge all the help received

during this investigation, but in several instances the assistance

given cannot go unmentioned. In particular, many valuable suggestions

have been contributed by the members of the dissertation committee:

Dr. LeRoy Pogerailler (chairman), Dr. Paul J. Revitt, Dr. Gerald E.

Kemner, Dr. John Leisenring, and Dr. Earl F. English, Professor

Jack L. Ralston, Librarian of the Conservatory of Music, has kept a

vigil for information on this subject and has assisted with numerous

xi
matters of format and documentation. Dr. Milton Hehr suggested works

for analysis and has served as a soundingboard for many of the ideas

presented here. The task of preparing and editing this paper has been

performed on an electronic word processing system by a very special

friend, Jeri Hemm, whose skill made even that difficult task pleasant.

There is no adequate way to thank the three who gave under­

standing, patience, and moral support so necessary to the completion

of this project. To Carol, Danny, and Julie, this work is dedicated

with thanks.

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 CHAPTER 1

THE GOLDEN PROPORTION AND THE FIBONACCI SERIES

The Golden Proportion

The golden proportion is a unique ratio which may exist between

two unequal quantities. Various properties have been attributed to

this ratio; the best known of these is the production of visually-

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pleasing proportions. This special ratio is often represented by

the Greek letter phi. Another Greek letter3 pi, similarly represents
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the well-known relationship between the diameter and circumference of

a circle. Both pi and phi are irrational quantities and cannot be pre­
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cisely expressed as the ratio of two integers. There are historical

similarities in numerical expressions of these two quantities, perhaps

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due to their common irrational characteristic.

The ratio of golden proportion can be expressed not only

numerically, but algebraically and geometrically as well. It occurs

when two unequal quantities are arranged so the smaller is to the

larger as the larger is to the sum of the two quantities. This

ratio is expressed as a quotient less than 1. The golden relationship

may also be inverted so the sum of the two quantities is to the larger

as the larger is to the smaller quantity. This quotient is greater

than 1. Both relationships may bestated in algebraic form:

A/B = B/CA+B) where A is less than B

(A+B)/B = B/A where A is less than B ___

 2

Rearrangement of either equation reveals the familiar form of a

2 2
quadratic equation: A + AB - B =0. Derivation of specific values

for A and B, and a geometric solution to the quadratic equation, will

follow in a later part of this chapter.

Origins

The golden proportion and its properties have been a source of

interest to mathematicians and philosophers for several millenia.

Although it is uncertain when the ratio first made its appearance, it is

found in the earliest extant Greek mathematical sources. However, these

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sources credit knowledge of the ratio to earlier mathematicians whose

works have not been preserved. Accounts of early Greek mathematics

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contain much uncertainty, since virtually no fragments of mathematical

value are extant prior to the fourth century B.C. From the oldest frag­
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ments it is known that the phenomenon of extreme and mean section— today

called golden section, ratio, or proportion— was an important part of

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Greek mathematical thought, but the lack of earlier sources hampers def­

inite proof of its origin. However, there is reason for speculation that

the golden proportion may have been known considerably earlier than the

fourth century B.C., and may have originated outside Greece.

The Pythagoreans, a cult-like society of the followers of

Pythagoras, were an influential group of number-mysties who are believed

to have achieved important discoveries in mathematics during the fifth

century B.C. Unfortunately, no writings of this group survive. Proclus,

writing nearly ten centuries later— -although it is likely he was quoting

from a fourth-century B.C. historical account by Eudemus of Rhodes— cre­

dits the Pythagoreans with the discovery of two important concepts: the
 3

construction of the regular solids, and the theory of proportionals

(which included the extreme and mean section).^" The Pythagoreans

reportedly adopted as their insignia the regular pentagram; its

diagonals form a five-pointed star in the golden proportion. Accounts

also report that Pythagoras claimed to have learned from the Babylonians

in Mesopotamia the three means— arithmetic, geometric, and subcontrary

(later called harmonic)— and the golden proportion which exists between
2
the arithmetic and harmonic means. These three means were central to

the Greek theory of proportionals, and traditionally have been thought

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to originate with the Pythagoreans, Pythagoras' claim not withstanding.

It is now certain that these same proportional means were the essence
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of an earlier Babylonian algorith for finding square-roots (by a process

of successive approximations), thus the contention that the golden

3
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section was known prior to the fifth century B.C. is plausible. The

Mesopotamians flourished from:approximately 2000 B.C. until the fall

of Babylon to Cyrus of Persia in 530 B.C. It is possible that the means

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and golden section were known during an appreciable portion of this

time, particularly in light of the following recent theories.

Tradition acknowledges that pre-Christian mathematics and

science existed in Egypt on only the most elementary level; no indication

is given that these disciplines had achieved any degree of sophisti­

cation. Yet, the pyramids rise like monumental enigmas in the face of

such statements. It is unreasonable to attempt justification of the

Carl B. Boyer, A History of Mathematics (Hew York: John Wiley

and Sons, 1968), p. 61.

2 Ibid.

3 Ibid.
 4

engineering and technological feats performed in the construction of

the pyramids with the level of mathematics allowed in most historical

accounts. Clearly, something about the situation needs re-thinking. The

probability of such a technically-proficient society prior to Greece was

high for at least one scholar. Girolamo Cardano (1501-1596), a cele­

brated mathematician and physician, and a close friend of Leonardo da

Vinci, maintained there must have existed prior to the Greeks a body

of exacting science— implying by this, mathematics and astronomy.^"

Cardano's credentials are impressive; he was the leading alge­

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braist of the sixteenth century, and contributed heavily to the compre­

hension and solution of third- and fourth-order equations. He does not

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name this predecessor of Greek mathematics, but the choices are few.

Such accomplishments can hardly have existed outside Mesopotamia and

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Egypt. In his volume on the great pyramid, Peter Tompkins reports Pyth­

agoras' statement that the measures of antiquity were originally taken

from Egyptian sources, which were themselves copied from an invariable

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5
prototype taken from nature. Little significance could be attached

to this claim until recently, when evidence was deduced from modern mea­

surements and analyses of the pyramids— particularly the great pyramid

at Giza— for the early existence in Egypt of highly advanced mathemati­

cal and astronomical sciences. Among a host of startling claims, it is

suggested that the Egyptians knew not only the golden proportion, but pi

as well, and had worked out a relationship between the two.^ If there is

^Peter Tompkins, Secrets of the Great Pyramid (New York: Harper

and Row, 1971), p. 22.

^Ibid., p. 22.

^ Ibid., pp. 189-94.

merit in these findings, knowledge of the golden section in Egypt could

greatly pre-date its existence in Europe, since estimates place the con­

struction of the pyramids as early as 4000 B.C. A thorough treatment of

this subject is outside the scope of this work; however, the reader

interested in the pyramid problem is referred to Tompkins' volume on the

. . 7
subject, which contains a valuable and extensive bibliography.

History

The golden section, sometimes simply known as the section, was

often included in mathematical writings of the western world throughout

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the first six centuries A.D. Several sources are also noteworthy for

their emphasis on the application of mathematics to music and phil­

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osophy, rather than to pure mathematics alone. In particular, the con­

tributions of Nicomachus of Gerasa (circa 100 A.D.), Theon of Smyrna

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(circa 125 A.D.), and Boethius (circa 524 A.D.), reflect this interest
3
m the arts.
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Following this period, the section often was mentioned only in

compendiums and historical accounts of earlier works, especially those

which drew heavily upon geometries. The less frequent appearance of the

golden section in mathematial writings may have resulted because little

needed to be said if the section were common knowledge, and because the

increasing complexity of new mathematical frontiers required that atten­

tion be devoted to new discoveries. For those not already aware of the

golden section from earlier sources, fewer and fewer opportunities must

have existed to discover it. Undoubtedly, the shortage of vernacular

^Ibid., pp. 393-404,

®Boyer, Mathematics, pp. 198-200.

 6

translations of those earlier Greek and Latin classics further lessened

its exposure during the middle ages. The classic Greek works were

usually found only in the courts of royalty and were not accessible

to the people at large. Printing gradually helped make these works more

available5 but the effect came slowly because printed books remained

expensive. Two additional factors complicated the spread of knowledge.

First, many of those who could have used mathematics and science in

art, architecture, industry, and the trades were uneducated. The second

problem was language. Only the learned— theologians, professors, and

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scholars— were able to use the Greek and Latin texts. The common art­

isan, artist, and engineer knew only his own dialect— French, German, or
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Italian— and translations were virtually non-existent.

The golden section did, however, become the object of occasional

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re-discovery and analysis, and did receive the attention of several

influential artists, mathematicians, and scholars after the thirteenth

century. The first of these discoverers, about whom more will be said
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later in this chapter, was Leonardo of Pisa. Fibonacci, as he is more

commonly known, published the monumental mathematical work Liber Abaci

in 1202. This book of computation influenced mathematical thinking for

several centuries. In it, Fibonacci introduced an arithmetic additive

series which now bears his name, and which is an especially good approx-

imation of a series of golden sections. Nearly three centuries after

Fibonacci, the important fresco painter Piero della Francesca advanced

a new theory of visual perspective, published a treatise which, like

the Greek classics, demonstrated golden proportions in the regular

9Ibid., pp. 279-82.

pentagram and five-pointed star, and generally espoused a strong
10
relationship between art and mathematics.

Luca Pacioli, a friar who studied with Francesca, published a

number of mathematical works, including one considered to be the first

printed on the subject of algebra. In 1509, Pacioli published De divina

proportione, which describes the application of the golden section --

now called the divine proportion— to geometric figures and works of art.

The especially fine figures in the book are attributed to Leonardo da

Vinci, of whom Pacioli was a friend and teacher. Pacioli‘s important

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work Summa de arithmetics Geometria, Proportione, et Proportionalita

(1494) claimed application of the concepts of proportion to design in

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all phases of nature, and even to the universe itself. His works were

particularly important because they contained much that was not being
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taught at the universities, which were dominated by religious tradition
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and conservatism. Pacioli served as an intermediary between scholarly

works and the artists and technicians who could benefit from a knowledge
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of mathematics, by making available this body of practical mathematical,

proportional, and artistic knowledge.

Assistance for non-mathematicians evidently came in another form,

as well. Tompkins shows a plate of drawings analyzed for golden pro­

portions by Charles Funk-Hellet which includes an unusual three-legged

12
compass. The mechanism is contructed so the middle leg always divides

the span of the outer legs into golden sections. This compass may be

1 0 Ibid., p. 324.

11 Ibid., p. 307.

Tompkins, Pyramid, p. 193.

identical to a device manufactured independently in the late sixteenth

century by both Galileo and Jobst Burgi, a Swiss clockmaker. The two

were rival manufacturers of a device for calculation known as a propor­

tional compass, the description of which fits the object in Tompkins'

13
plate. The existence of such a device suggests more than passing in­

terest in proportions; having rival vendors implies that the device's

demand and use may have been somewhat widespread. A sketch of the mech­

anism depicted in Tompkins' plate is shown in Figure 1.

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Figure 1— Proportional compass

A further computational aid for the layperson was provided by

the Italian humanist Ignazio Danti (1537-1586) in a book which purported

to reduce the body of pure and applied mathematics to a series of tables.

The work proved influential in the teaching of mathematics in the six­

teenth century, and included the applications of mathematics to music,

astrology, geometry, and a host of applied sciences. ^

13
^ Boyer, Mathematics, p. 347.
1 L.
Morris Kline, Mathematical Thought from Ancient to Modern
Times (New York: Oxford University Press, 1972), p. 223.
 9

The sixteenth century was a period of rediscovery of classical

scientific and mathematical learning. It was during this century that

many of the classic works were translated into popular languages, and

revolutionary thinkers such as Galileo and Descartes abandoned tradition

and produced technical works in their native languages. The establish­

ment of public libraries such as the Medici-financed institutions in

Italy gave added impetus to the attempts to educate the public. Several

academies were founded to disseminate knowledge and to provide a place

for communication among liberal scholars. The most notable of these were

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the Florentine Academy of Design, founded in 1563— which became a center

for mathematical studies— and the Roman Accademia dei Lincei, founded

in 1603."^
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Through these institutions many Latin works were translated

into popular languages, lectures were given to the public, and the mem­
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bers of the academies broadened and deepened their own knowledge through

communication with colleagues. These academies were the forerunners of

the more famous ones founded later in France, Italy, England, and
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Germany which were instrumental in spreading knowledge.

The rediscovery of classical learning and the lowering of

barriers to knowledge for common people suggest that conditions were

ripening for the application of newly-acquired mathematical ideas by a

new segment of society. It should seem surprising, then, if this new

knowledge did not find its way into the creative works. The analysis of

Renaissance art works by Charles Funk-Hellet, in fact, does indicate a

high incidence of mathematical proportions in these works,

16

^ K l i n e , Mathematical Thought, p. 220,

1A
Tompkins, Pyramid, pp. 193-94 and p. 396.
 10

Broader and more recent investigations by Jay Hambidge have provided

similar evidence, and detected precedent for such mathematical organi-

17
zation in the art and architecture of Greece.

Analysis has also shown mathematical structures to exist in

Renaissance m u s i c T h i s topic was again discussed at a regional

meeting of the American Musicological Society, and will be treated

19
m some detail m another Chapter 3.

Developments in the western world do not seem to be paralleled

in the Far East, as emphasis on scholarly learning was less pronounced.

However, a good understanding of early conditions is severely handi­

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capped by a lack of surviving sources. Mikami reports the destruction
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of Chinese books and scholars in 213 B.C. by the despotic Emperor Shih

Hoang-ti, after whose death a slow revival of learning took place.

20
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While there is doubt about pre-Christian mathematical accomplishments,

fragments do indicate knowledge of a year of 365 1/4 days, and demonstrate

problems involving the famous 3-4-5 right triangle, as well as attempts

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21
to determine the dimensions of the Earth, From such incomplete early

sources, it is difficult to reach definite conclusions regarding early

17'See, for example: Jay Hambidge, Elements of Dynamic Symmetry

(New York: Dover Publications, Inc., 1926).
18
Newman Powell "Fibonacci and the Golden Mean: Rabbits, Rumbas,
and Rondeaux," paper presented at the Midwest Chapter Meeting, AMS,
October, 1970.
19 . . .
The author participated in a panel discussion chaired by Pro­
fessor Newman Powell entitled "Secret Structures in the Renaissance," at
the Dallas AMS meeting, November 4, 1972.
90
^ Y o s h i o Mikami, The Development of Mathematics in China and
Japan (New York: Chelsea Publishing "Company, 1974), p. 9.

^ I b i d . , pp. 4-8.
 11

Chinese mathematical thought. Although no direct evidence of the golden

section is provided by these fragments, its existence should not be

arbitrarily ruled out.

Following the Emperor Shih Hoang-ti's tragic third-century

purge of scholarly learning in China, the next half-dozen centuries were

a period of rediscovery. In the eight centuries following 400 A.D.

it is particularly unclear to what extent external affairs influenced

Chinese mathematical thinking. During this period a few problems, such

as the value of pi, were pursued with vigor, but the level of mathemati­

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cal inquiry was inconsistent. Both precise and inaccurate results often

coexisted in the applied sciences. Two indications of progess in compu­

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tation are provided by pi and the calendar. Not until the thirteenth-

century influx of European astronomers and mathematicians was an accurate

22 The value of pi— well into
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calendar known to exist in the Far East.

the first centuries A.D,, and long after its inadequacies were realized—

was often accepted as 3, a fact perhaps indicative of an Eastern prefer­

PR

ence for simplicity. Chinese mathematics appear to be marked, during

this period, by isolationism and a resulting lack of direction.

The height to which Chinese mathematicians could rise is seen in

the remarkable work of Tsu Ch-ung-chih (430-501), who derived two frac­

tional values for pi. The more inaccurate value, 22/7, was the same

value earlier derived by Archimedes. However, the accurate value,

355/113, was the most extraordinary fractional pi value ever devised,

and was not known in the western world until its rediscovery in the
23
sixteenth century by the Dutch mathematician Anthoniszoon.

22
Ibid., p. 112.
23
Ibid., p. 50; also Boyer, Mathematics, p. 224.
 12

Although the later, more complete sources likewise fail to reveal

any awareness of the golden section, they do reveal the mathematic and

geometric skills needed for the section's application— skills which were

known to the contemporary scholar in Europe. The question of the golden

proportion's existence in China must remain undecided for the moment;

there is little evidence to suggest that it appeared there spontaneously.

If it were known, the influences of European art, science, and mathema­

tics may have been responsible for its presence.

Even greater uncertainty surrounds the development of Japanese

W
mathematics. After the introduction of Buddhism in the sixth century,

basic elements of Chinese mathematics were imported, but proved to be

IE
of such difficulty that independent work was hardly possible for the

Japanese scholars.^*- The study of mathematics reportedly deteriorated

EV
until nothing of value remained. Not until the re-introduction of

Chinese mathematics in the seventeenth century did the Japanese accept

the system, and by that time the Chinese had been involved in such active
PR

European interchange that there is difficulty in determining the purity

of the imported Chinese mathematics. In view of this, it seems highly

unlikely that the golden section can be shown to have existed in Japanese

mathematics prior to strong external influences.

Derivation

Although the golden proportion may or may not have originated

outside Greece, and may or may not have been known before the fourth

century B.C., one thing is certain. At that time, the ability to

make practical use of the golden section depended almost entirely on

^Mikami, China and Japan, pp. 156-90, passim.