http://www.sciencenews.org/20031220/bob8.asp

Bookish Math
Statistical tests are unraveling knotty literary mysteries
Erica Klarreich


"The very thing!" exclaimed Professor Wogglebug, bounding into the air and
upsetting his gold inkwell. "The very next idea!"
Devotees of Frank L. Baum's classic children's books would quickly recognize
the above excerpt as the opening of the 15th book in the Oz series, The
Royal Book of Oz. They might be harder pressed to say whether these lines
were actually written by Baum. The book appeared with Baum's name on the
cover in 1921, which was 2 years after Baum's death, and it was billed as
the final work of the Royal Historian of Oz. For decades, however, fans and
scholars have speculated that Ruth Plumly Thompson, who took over the series
after Baum died, was the true author.


AUTHOR SWITCH. The modern cover of The Royal Book of Oz lists Ruth Plumly
Thompson, not Frank L. Baum, as the author. A new mathematical analysis
supports that attribution.
Dover Publications


A few decades ago, literary detectives might have pinned their hopes of
solving this mystery on finding the proverbial dusty manuscript in the attic
trunk. Today, some scholars are tackling such problems with untraditional
but more widely available tools: math formulas and computer programs.

Earlier this year, statistician José Binongo of the Collegiate School and
Virginia Commonwealth University in Richmond published the results of
statistical tests making a compelling case that Thompson wrote The Royal
Book of Oz. Binongo's paper appeared in the spring Chance, in a special
issue on stylometry-the science of measuring literary style.

Stylometry is now entering a golden era. In the past 15 years, researchers
have developed an arsenal of mathematical tools, from statistical tests to
artificial intelligence techniques, for use in determining authorship. They
have started applying these tools to texts from a wide range of literary
genres and time periods, including the Federalist Papers, Civil War letters,
and Shakespeare's plays.

"We can now pretty accurately identify authorship-under the right
conditions," says John Burrows, an emeritus English professor of the
University of Newcastle in Australia.

What's more, the tremendous growth of computer power and electronic archives
of literary texts is allowing stylometrists to carry out mathematical
analyses on a scale previously unimaginable.

"Stylometry has a tremendous untapped potential," says Bernard Frischer, a
classicist at the University of California, Los Angeles. He has used
mathematical methods to study ancient Greek and Latin texts. "There are
hundreds of insights waiting to be discovered by scholars who will take the
time to learn statistics and computer programming," he says.

Literary fingerprints

At first glance, it might appear that the way to pinpoint a writer's style
is to study the rarest, most striking features of his or her writing. After
all, it's the unexpected words and the unusual rhetorical flourishes that
seem to mark a work as uniquely Shakespearean or Dickensian.

Yet the most venerable, commonly used approach of stylometrists does the
opposite: It examines how writers use bread-and-butter words such as "to"
and "with." Although this approach seems counterintuitive, it's based on
sound logic.

"People's unconscious use of everyday words comes out with a certain stamp,"
says David Holmes, a stylometrist at the College of New Jersey in Ewing.
Precisely because writers use these function words without thinking about
them, they may offer more-reliable fingerprints of a writer's style than
unusual words do.

"Rare words are noticeable words, which someone else might pick up or echo
unconsciously," Burrows says. "It's much harder for someone to imitate my
frequency pattern of 'but' and 'in'."

In the early 1960s, statisticians Frederick Mosteller and David Wallace
launched the use of function words to determine authorship. They analyzed
the Federalist Papers, 85 essays published anonymously in 1787 and 1788 to
persuade New Yorkers to adopt the new Constitution of the United States.
Scholars have long known that Alexander Hamilton, James Madison, and John
Jay wrote the essays, but both Hamilton and Madison claimed authorship of 12
of the papers.

To determine who wrote the disputed papers, Mosteller and Wallace compared
word usage in other writings by Hamilton and by Madison. They found, for
instance, that Hamilton used the word "upon" about 10 times as often as
Madison did. Armed with 30 such distinguishing words, Mosteller and Wallace
considered each disputed paper.

Mosteller and Wallace started out by assuming that for each paper, the
probability was equal that Madison or Hamilton was the author. They then
used the frequencies of the 30 words, one word at a time, to improve this
probability estimate. They ultimately assigned all 12 disputed papers to
Madison, a conclusion that dovetails with the historians' prevailing view.

Mosteller and Wallace's landmark study was the first convincing
demonstration that stylometry can ferret out the authorship of a text,
Holmes says. Since that time, the Federalist Papers has been a favorite
testing ground for researchers trying out new stylometric methods.

Many dimensions

Although Mosteller and Wallace's study made a big splash, their techniques
were not widely picked up, largely because of the shortage of computing
power and machine-readable text at the time. By the late 1980s, that was
changing. About this time, Burrows found a way to apply a statistical
technique that has become, Holmes says, the "first port of call" for
stylometrists.

Like Mosteller and Wallace, Burrows examined the frequency of function
words. However, whereas Mosteller and Wallace incorporated information one
word at a time, Burrows' analyzed the information from all the words in one
fell swoop. Researchers have now widely adopted Burrows' technique, making
various modifications along the way.

Binongo's work on The Royal Book of Oz is a good example. He started by
collecting other samples of Baum's and Thompson's writings and breaking the
samples into 5,000-word chunks. He then found the 50 most frequently used
words in the body of texts and counted how often each word appeared in each
chunk. This process distilled each chunk to 50 numbers.

Just as two numbers specify a point in two-dimensional space, and three
numbers a point in three-dimensional space, the 50 numbers associated with
each chunk of text specify a point in 50-dimensional space. Any differences
in the scatter of Baum's and Thompson's points could be potential clues to
the writers' different styles.

The problem is, people aren't good at visualizing spaces with more than
three dimensions. So, Binongo employed a tool called principal-components
analysis (PCA) to squash all the different dimensions onto a flat plane. PCA
finds the plane that captures as much as possible of the original variation
in the scattered points.


DISTINCT STYLES. Points representing texts by Frank L. Baum (black dots) are
far separated from those of texts by Ruth Plumly Thompson (open circles). A
statistical analysis places the disputed volume, The Royal Book of Oz
(hearts), in Thompson's half of the plane. It correctly classifies Glinda of
Oz (clubs), the last book indisputably written by Baum, in his half.
Binongo, Chance


There's no guarantee that a pattern will show up in this plane. In the case
of the Oz books, however, a pattern leaps out. The Baum texts cluster in one
half of the plane, while the Thompson texts sit in the other half, showing
what Binongo calls a clear "stylistic gulf."

When chunks of The Royal Book of Oz are plotted in the same plane, they all
land squarely in Thompson's half.

"With this unerring consistency, we have confidence in our identification of
Thompson as the author of the 15th book," Binongo said in the spring issue
of Chance.

In the same issue, Holmes reported using PCA and other function-word
techniques to resolve another historical mystery, the authorship of the
"Pickett letters." This collection was supposedly written during the Civil
War by Confederate General George Pickett to his fiancée, but she actually
wrote the letters herself, Holmes concludes.

Artificial smarts

For decades, computers have supported the work of experts in stylometry.
Now, computers are becoming experts in their own right, as some researchers
apply artificial intelligence techniques to the question of authorship.

In 1993, Robert Matthews of Aston University in England and Thomas Merriam,
an independent Shakespearean scholar in England, created a neural network
that could distinguish between the plays of Shakespeare and of his
contemporary Christopher Marlowe. A neural network is a computer
architecture modeled on the human brain, consisting of nodes connected to
each other by links of differing strengths.

Matthews and Merriam built such a network in which the links initially had
random strengths. They then trained the network by presenting it with
examples of undisputed texts by Shakespeare or Marlowe. Any time the network
guessed the wrong author for one of the training texts, it adjusted the
strength of its links. By the end of the training period, the network could
accurately distinguish between the known Shakespeare and Marlowe texts.

When the technique was applied to the entire canon of Shakespeare plays,
Henry VI, Part 3 was the only text that the network classified as written by
Marlowe. This result lent support to the controversial view of some scholars
that Shakespeare adapted the play from an earlier work of Marlowe. Several
other early Shakespeare plays also showed strong Marlowe traits, although
the network ultimately attributed them to Shakespeare.

The results support the idea that "in the early 1590s, Shakespeare made the
transition from actor to the most accomplished playwright of his or anyone
else's era-by amending preexisting scripts by Marlowe," Matthews says.

A couple of years later, Holmes and Richard Forsyth of the University of
Luton in England used the Federalist Papers to test another artificial
intelligence technique. They applied genetic algorithms, which use Darwinian
principles of natural selection. The idea is to create a set of rules for
determining authorship and then let the most useful, or fit, rules survive.

Holmes and Forsyth began by creating 100 rules. An example of a rule might
be, "If but appears more than 1.7 times in every thousand words, then the
text is by Madison." Of course, that particular rule might do a terrible
job.

Holmes and Forsyth tested each rule against known texts of Madison and
Hamilton and gave it a fitness score on the basis of how many texts it
assigned correctly. They then killed the 50 least-fit rules, introduced
small mutations into the surviving rules to mimic evolution, and added 50
new rules.

They repeated this process again and again until, after 256 generations, the
evolved rules attributed the texts correctly. When tested on the disputed
papers, the rules attributed them all to Madison, in keeping with Mosteller
and Wallace's findings.

In contrast to Mosteller and Wallace's work, the genetic algorithm's final
rules used only eight words. "It worked extremely well, and very
efficiently," Holmes says.

Yet another analysis of the Federalist Papers was presented at a computer
science conference in October. Glenn Fung of Siemens Medical Solutions in
Malvern, Pa., used one of artificial intelligence's newest tools, a
pattern-recognition technique called support-vector machines.

As does PCA, the new technique plots each chunk of text as a point in a
high-dimensional space. It then searches for the best-fitting surface that
divides the points belonging to one author from those of the other author.
Fung's analysis used only three characteristic words-to, upon, and would-to
successfully attribute the disputed papers to Madison.

Habitual phrases

Although it's risky to determine authorship using rare words, they can
strengthen evidence of a match. "We shouldn't dismiss the rare words, since
they have as interesting a story to tell as the high-frequency words do,"
Holmes says. "Ideally, these two things should work in harmony."

For instance, in Shakespeare, Co-Author (Oxford University Press, 2003),
Brian Vickers of the Swiss Federal Institute of Technology in Zurich uses
common-word results, rare-word results, and historical information to argue
that five of the plays usually included in the Shakespeare canon are in fact
collaborations between Shakespeare and other dramatists.

Hugh Craig, a stylometrist at the University of Newcastle, has been pursuing
an idea, which he calls "rare pairs." He attributes it to MacDonald Jackson
of the University of Auckland in New Zealand. Rare pairs are two words that,
taken separately, are nothing special but which are seldom seen in close
proximity.

Craig hopes that these pairs, by capturing something of an author's favorite
phrases, might provide a stronger clue to authorship than individual words
do. "The idea is that authors have certain habits, maybe even laid down as
neural pathways, that predispose them to pair one word with another," he
says. "Once one word comes into their mind, they're primed to use a second
word."

As a test case, Craig has been studying a collection of scenes that were
added by an anonymous author in 1602 to a play called The Spanish Tragedy,
after its author, Thomas Kyd, was already dead. The added scenes are of high
quality, Craig says, and some critics have speculated that Shakespeare wrote
them.

Craig culled from an online database all the works by dramatists of the
period-a collection containing nearly 17 million words. He defined a pair to
be rare if it turns up at most 10 times in the database.

One example in The Spanish Tragedy additions is paint and wound, which
appear in the line "Canst paint me a tear or a wound,/ A groan or a sigh?"
In the entire database, Craig found only two other uses of this pair, one by
an obscure author named Sir David Murray, and the other in Shakespeare's
1594 poem "The Rape of Lucrece": "And drop sweet balm in Priam's painted
wound."

Of course, a single such congruence is evidence of nothing. The idea, Craig
says, is to look at many examples and see whether they point towards a
particular author. Craig is currently working out how large a database is
necessary and how many rare-pair matches are needed to assert the authorship
of a text with confidence.

For The Spanish Tragedy, Craig says, the 78 rare pairs he has tested so far
put Shakespeare ahead of the other favored candidates. "More work needs to
be done before [the scenes] are accepted as part of future editions of
Shakespeare, but I think it's quite possible they will appear there
eventually," he said in a September lecture at the Massachusetts Center for
Renaissance Studies in Amherst.

Style limits

There will always be some authorship questions that stylometry can't touch.
For instance, most of the methods require the unknown text to contain at
least 1,000 words. "You can't do authorship attribution on one paragraph,"
says Joseph Rudman, a stylometrist at Carnegie Mellon University in
Pittsburgh.

It's also essential to work with clean text that hasn't been changed much
over the years. Rudman notes, so stylometry can't be applied to poems from
the oral tradition. "They're such a mishmash," he says.

Stylometrists dream of a technique they could use to settle any attribution
problem, regardless of genre, language, or time period. In the meantime,
though, the methods at hand can provide fresh insight into many literary
mysteries. "Stylometrics offers vast potential for new discoveries,"
Frischer says. "It has a very bright future."

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References:

Binongo, J.N.G. 2003. Who wrote the 15th Book of Oz? An application of
multivariate analysis to authorship attribution. Chance 16(No. 2):9-17.
Available at http://www.stat.duke.edu/chance/162.complete.pdf.

Fung, G. 2003. The disputed Federalist Papers: SVM feature selection via
concave minimization. Richard Tapia Celebration of Diversity in Computing
Conference. Oct. 15-18. Atlanta. Available at
http://www.cs.wisc.edu/~gfung/federalist.pdf.

Holmes, D.I. 2003. Stylometry and the Civil War: The case of the Pickett
letters. Chance 16(No. 2):18-25.

Holmes, D.I., and J. Kardos. 2003. Who was the author? An introduction to
stylometry. Chance 16(No. 2):5-8.

Rudman, J. 2003. Cherry picking in nontraditional authorship attribution
studies. Chance 16(No. 2):26-32.

Vickers, B. 2003. Shakespeare, Co-Author: A Historical Study of Five
Collaborative Plays. Oxford, Eng.: Oxford University Press. See
http://www.oup.co.uk/isbn/0-19-925653-5?view=rights.

Further Readings:

2003. New software uncovers Shakespeare's secrets. University of Newcastle
media release. Nov. 11. Available at http://www.newcastle.edu.au/news/
media-releases/2003/Shakespeare.html.

Craig, H. 2002. Common-words frequencies, Shakespeare's style, and the Elegy
by W. S. Early Modern Literary Studies 8(May):1-42. See
http://purl.oclc.org/emls/08-1/craistyl.htm.

Holmes, D.I., L.J. Gordon, and C. Wilson. 2001. A widow and her soldier:
Stylometry and the American Civil War. Literary and Linguistic Computing
16(No. 4):403-420. Abstract available at http://www3.oup.co.uk/litlin/hdb/
Volume_16/Issue_04/160403.sgm.abs.html. See also
http://www.nyu.edu/its/humanities/ach_allc2001/papers/holmes/.

Matthews, R.A.J., and Merriam, T.V.N. 1994. Neural computation in stylometry
II: An application to the works of Shakespeare and Marlowe. Literary and
Linguistic Computing 9(No. 1):1-6. Abstract available at
http://www3.oup.co.uk/litlin/hdb/
Volume_09/Issue_01/090001.sgm.abs.html.

______. 1993. Neural computation in stylometry I: An application to the
works of Shakespeare and Marlowe. Literary and Linguistic Computing 8(No.
4):203-209. Abstract available at http://www3.oup.co.uk/litlin/hdb/
Volume_08/Issue_04/080203.sgm.abs.html.

Merriam, T. 1998. Heterogeneous authorship in early Shakespeare and the
problem of Henry V. Literary and Linguistic Computing 13(No. 1):15-28.
Abstract available at http://www3.oup.co.uk/litlin/hdb/
Volume_13/Issue_01/130015.sgm.abs.html.

Mosteller, F., and D.L. Wallace. 1964. Inference and Disputed Authorship:
The Federalist. Reading, Mass.: Addison-Wesley.

Tweedie, F., S. Singh, and D. Holmes. 1996. Neural network applications in
stylometry: The Federalist Papers. Computers and the Humanities 30(No.
1):1-10.

The full text of The Royal Book of Oz by Ruth Plumly Thompson is available
at http://www.welcometooz.net/synopsis-15.html.

The full text of the Federalist Papers can be found at
http://memory.loc.gov/const/fed/fedpapers.html.

Sources:

José N.G. Binongo
Collegiate School
North Mooreland Road
Richmond, VA 23229

John F. Burrows
School of Language and Media
McMullin Building
University of Newcastle
Callaghan Campus 2308
New South Wales
Australia

Hugh Craig
School of Language and Media
McMullin Building
University of Newcastle
Callaghan Campus 2308
New South Wales
Australia

Bernard Frischer
Department of Classics
University of California, Los Angeles
405 Hilgard Avenue
Los Angeles, CA 90095-1417

Glenn Fung
Computer Aided Diagnosis and Therapy Solutions
Siemens Medical Solutions
51 Valley Stream Parkway
Malvern, PA 19355

David Holmes
Department of Mathematics and Statistics
The College of New Jersey
P.O. Box 7718
Ewing, NJ 08628-0718

Robert Matthews
Department of Information Engineering
Aston University
Aston Triangle
Birmingham B4 5HT
England

Joseph Rudman
Department of English
Carnegie Mellon University
Pittsburgh, PA 15213


From Science News, Vol. 164, No. 25, Dec. 20, 2003, p. 392.
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