Emotion and Meaning in Music
Emotion and Meaning in Music
By LEONARD
B. MEYER
1211
Library of Congress CatalogCard Number:56-9130 THE UNIVERSITY OF CHICAGO PRESS. CHICAGO 60637 The University of Chicago Press, Ltd., London © 1956 by The University of Chicago. All rights reserved. Published 1956. Printed in the United States of America 00 99 98 97 96 95 94 93 92 91
16 l7 I8 I9 20 21
ISBN: 0-226-52139-7 paperbound! Library of Congress Catalog Card Number: 56-9130
To the memory ofmy father ARTHUR S. MEYER
His life was gentle,and theelements So mixedin him that Naturemight standup And say to all the world, 'I`his was a man.
Preface
The diversity and complexity of twentieth-centurymodes of thought, togetherwith the clear and pressing needfor a more sensitive andcomprehensive understanding of how the exchange of attitudes, information, and ideas takesplace, has made the analvsis ofmeanings and an examination of the processes by which they are communicated animportant focusof interest for many nominally disparatefields of inquiry. Philosophy,psychology, sociology, andanthropology, toname some of thosemost directlyinvolved, haveall becomeconcerned withthe problemof meaning: the variety of meanings, their significanceand epistemological status, their interrelationships, and manner of communication.
Other fields,such aseconomics, political science, various branches of the
humanities, and
even the
natural sciences,
have likewise
directed attention to theseproblems. The problemof musical meaning andits communicationis of particular interestfor severalreasons. Not only doesmusic useno linguistic signsbut, on one levelat least,it operatesas a closed system, thatis, it employs nosigns or symbols referringto the non-musical world of objects, concepts, and human desires. Thus
the meaningswhich it imparts differ in important ways from those conveyedby literature, painting, biology,or physics. Unlike a closed, non-referential mathematical system, music issaid to communicate emotional and aestheticmeanings aswell as purely intellectual ones.This puzzling combination ofabstractness with concrete emotional and aesthetic experience can, if understood
correctly, perhapsyield useful insights into more generalprobvii
viii Preface
lems of meaning andcommunication, especially those involving aesthetic experience.
However, beforethe relationshipof music to other kinds of meaning andother modesof communicationcan be considered, a detailedexamination ofthe meanings of musicand theprocesses by which they are communicated must be made.Thus although it is hoped thatthe relevanceof this study to the largerproblems of meaningand communication will be apparent, these matters are not explicitlyconsidered. No attempt, forexample, ismade todeal with the general logicalphilosophical status of music-to decide whether musicis a language orwhether musicalstimuli aresigns or symbols.
The relationshipbetween musicand other realms of aesthetic experience is likewise left for the reader to determine. Where
reference has been madeto othermodes ofaesthetic experience, it has beendone in order to clarify or bring into sharper reliefsome point in connection withmusical processes rather thanto establish a general aesthetic system. On the other hand, one can hardly
fail to become awareof the striking similarityof someaspects of musical experience to other types ofaesthetic experience, particularly thoseevoked byliterature. The subjectof the present study,though perhapsof more than passing interestfrom the general viewpointsdiscussed above, is of vital and paramountimportance inthe field of musicitself. For if
the aesthetics
and criticism
of music
are ever
to move
out of the realmsof whim, fancy, andprejudice, andif the analysis of music is ever to go beyonddescription whichemploys a special jargon,then someaccount of the meaning,content, and communication ofmusic moreadequate thanat presentavailable must be given. As I. A. Richards putsit, The two pillars upon which a theory of criticism mustrest arean accountof valueand an account
of communication
1-and included
in an
account of
1. I. A. Richards,Principles ofLiterary Criticism New York: Harcourt Brace & Co., 1928!, p. 25. Although value judgments are un-
avoidably impliedthroughout, thepresent studyis primarily concerned with presentingan accountof meaningand communication.
Preface ix
communication isobviously an account of t_he meanings communicated.
Meaning andcommunication cannot be separatedfrom the cultural contextin which they arise.Apart from the socialsituation there can be neither meaning nor communication. An understand-
ing of the culturaland stylisticpresuppositions of a pieceof music is absolutelyessential tothe analysisof its meaning. It should, however, benoted that the converseof this proposition is also true: namely,that an understanding of the generalnature ofmusical meaningand its communication isessential toan adequate analysis ofstyle andhence tothe studyof music history andthe investigations of comparative musicology as well. The arguments and debatesof aestheticians, the experiments and theories of psychologists, andthe speculationsof musicologists and composersstill continue and are ample indicationthat the problems ofmusical meaningand communication are with us today. In fact, the inclusion of music aspart of liberal education, the unpatronizingand seriousconsideration given to non-Western music, andthe attemptsto includet_he art of musicin studiesdealing with cultural historyhave madethe problemseven morepressing. It is becauseof theseneeds, aswell as the more speciiically musical onesmentioned earlier,that the author hasthe temerity to attemptanother study in thisfield. The book is divided into three main parts. Chapter i considers, Hrst, the nature of emotional and intellectual meanings, their in-
terrelationship, andthe conditionswhich give rise to them, and, second, howin general these conditionsare fulfilled in the response tomusical stimuli.Chapters ii-v are devotedto a fairly detailed examination of the social and psychological conditions
under which meaning arisesand communicationtakes placein response to music. Andchapters vi-viipresent evidence of various kinds, taken
from several
cultures and
several cultural
levels, to
support thecentral hypothesisof the study.
Because thisstudy drawsso freelyupon work in many diverse fields, itis perhapsimportant toemphasize that the basictheoreti-
x Preface
cal formulationsadvanced in it were derived from a study of music ratherthan, for instance, froma study of aestheticsor psychology. Otherfields often furnished excitingand encouraging confirmation forconclusions originally reached througha careful consideration of music andmusical processes. Fields outsidemusic have alsoserved to refine conceptsor have led to more general formulations. Butmusic wasthroughout thecontrolling guidein the formulationof the theory presented here. The debt
which this
book owes
to other
scholars is
both so
manifest andso vastthat only a few of the most importantones can bementioned. Inthe fieldof philosophythe workof HenryD. Aiken, ]ohn Dewey, SusanneLanger, and George Mead has been a source ofinsight and understanding. Inthe field of psychology have I obviously leaned heavily upon theworks ofK. Koffka, ]. T. MacCurdy, and ]ames Mursell. Though contributing little or nothing to the theoretical formulations made,the work of musicians and musicologists,particularly those working in comparative musi-
cology, has been animportant source for mostof the evidence presented inthe later portions of this book.
Throughout thepreparation andwriting of this book, I have received valuableadvice andencouragement from my colleagues and students. In particular I am indebted to Grosvenor Cooper
for his sympathetic understanding of the viewpoint of this study and his many excellentsuggestions; toCharles Morris for his cogent criticisms and his precise analysisof many of the problems discussed inthe course of this work; to Knox C. Hill, who helped
me to edit and cut the text; and to Otto Gombosi, whogave so freely ofhis wisdomand erudition. Last but as tradition hath it! by no means least, I wish to acknowledge thedebt I owe to my wife. For it was shewho encouraged me when I was depressed; prodded me when I was lazy; ran the household so that I had a maximum of peace and
quiet; and at the same timemanaged toput up with my many moods andperversities.
Table of
Contents
I. THEORY . II. EXPECTATION AND LEARNING _ III.
PRINCIPLES OF PATTERN PERCEPTION: THE LAW CONTINUATION
OF Coon
IV. PRINCIPLES OF PATTERN PERCEPTION: COMPLETION AND CLOSURE . V. PRINCIPLES OF PATTERN PERCEPTION: THE WEAIIENING OF SHAPE _ VI. THE EVIDENCE: DEVIATION IN ORGANIZATION VII. VIII.
PERFORMANCE AND TONAL
THE EVIDENCE: SIMULTANEOUS ANDSUCCESSIVE DEVIATION NOTE ON IMAGE PROCESSES,CONNOTATIONS, ANDMOODS .
NOTES _ INDEX
xi
I
Theory Past Positionsas to the Nature of Musical Experience Composers and performers of all cultures, theorists of diverse
schools andstyles, aestheticians and criticsof many different persuasions areall agreed that music has meaningand that t_his meaning is somehow communicatedto both participants and listeners. This much, at least, we may take for granted. But what constitutes
musical meaningand by what processes it is communicated has been thesubject ofnumerous and often heateddebates. The Hrst main difference of opinion exists between those who insist that musical meaning lies exclusively within the context of
the work itself, in the perceptionof the relationships setforth within the
musical work
of art,
and those who contend
that, in
addition to these abstract, intellectual meanings, music also communicates meaningswhich in some way refer to the extramusical world of concepts, actions,emotional states,and character. Let us
call the former group the absolutists and the latter group the referentialists.
In spite of the persistent wrangling of these two groups, it seems
obvious thatabsolute meanings and referentialmeanings arenot mutually exclusive: that they can and do coexist in one and the same piece of music, just as they do in a poem or a painting. In short, the arguments are the result of a tendency toward philosophical monism rather than a product of any logical opposition between types of meaning. Because this study deals primarily with those meanings which 1
2 Emotion lie within
and Meaning in Music
the closed context of the musical work itself,
it is neces-
sary to emphasize that the prominence given to this aspectof musical meaning does notimply thatother kindsof meaningdo not exist or are not important.
On thecontrary, themusical theoryand practiceof manydifferent culturesin many different epochs indicates thatmusic canand does conveyreferential meaning. The musicalcosmologies of the Orient in which tempi,pitches, rhythms, and modesare linkedto and expressconcepts, emotions, and moral qualities; themusical symbolisms depicting actions, character and emotion,utilized by many VVestern composers since the Middle Ages; and evidence furnished bytesting listeners who havelearned tounderstand Western music-all
these indicate
that music
can communicate
refer-
ential meanings. Some of those who have doubted that referential meanings are
real have based theirskepticism uponthe fact that suchmeanings are not natural and universal.Of course, such meanings depend uponlearning. Butso, too,do purely musical meaningsa fact that will become veryclear inthe courseof this study. Others have found the fact that referential meanings are not
specific intheir denotationa great difliculty in granting statusto such meanings. Yet such precision isnot a characteristic ofthe non-musical arts either. Themany levelsof connotationplay avital role in our understandingof the meanings communicated by the literary and plastic arts.
Both the importance ofsuch referentialmusical meanings and the difficulties encountered in attempting to base an adequate aesthetic upon them are discussed in chapter viii. For the present we must set them aside and simply state that it is not this aspect
of meaningwhich will primarily concernus in the courseof this study. For an adequate analysis of the problems involved in the meaning and communication of the referential content of music would require a separate study of its own.
Let us now make a secondpoint clear, namely, that the distinction just drawn between absolute and referential meanings is not the same as the distinction between the aesthetic positions
which are commonly calledformalist and expressionist. Both
Theory 3 the formalist and the expressionist maybe absolutists; that is, both
may seethe meaningof music as being essentially intramusical non-referential!; but the formalist would contend that the mean-
ing ofmusic liesin the perception and understanding of the musical relationships set forth in the workof art and thatmeaning inmusic is primarily intellectual, whilethe expressionist would arguethat these same relationships are in somesense capable of excitingfeelings and emotions in the listener. This point is important because t_heexpressionist position has
often beenconfused withthat of the referentialist.For although ahnost all referentialists areexpressionists, believing that music communicates emotional meanings, not all expressionists are refer-
entialists. Thus when formalists, such as Hanslick or Stravinsky, reacting against what they feel to be an overemphasis upon referential meaning,have deniedthe possibility or relevanceof any emotional responseto music, they have adopted an untenable position
partly because they haveconfused expressionism and referentialism. One might, in other words, divide expressionists intotwo groups:
absolute expressionists and referentialexpressionists. The former group believethat expressive emotional meanings arise inresponse to music
and that
these exist
without reference
to the
extramusical
world of concepts, actions, and humanemotional states, while the latter group would assert that emotional expression is dependent
upon anunderstanding of the referentialcontent ofmusic. THE PRESENT
POSITION AND
CRITICISM OF
PAST ASSUMPTIONS
The presentstudy isconcerned with an examination and analysis of thoseaspects of meaning whichresult fromt.he understanding of and response to relationships inherent inthe musicalprogress rather than with any relationships between themusical organization and t_he extramusical world of concepts, actions, characters, and situations. The position adoptedadmits both formalist and absolute expressionist viewpoints. For though the referentialexpressionists and theformalists are concerned with genuinely different aspects of musical experience, t.he absolute expressionists and the formalists are actually considering the samemusical processes and similarhuman
4 Emotion
and Meaning in Music
experiences from different, but not incompatible,viewpoints see p. 39!.
Broadly speaking, then, thepresent investigation seeks topresent an analysisof musicalmeaning andexperience inwhich both the expressionist and the formalistpositions willbe accountedfor and in which the relationshipbetween themwill becomeclear. Past accounts given bythe proponents of eachof thesepositions have sufferedfrom certain important weaknesses. The chief diiliculty of those whohave adoptedthe absolutistexpressionist position
is thatthey havebeen unableto accountfor the processes by which perceived sound patterns become experienced as feelings andemotions. Infact, strangeas it may seem, they havegenerally avoided any discussionof emotional responses whatsoever. These shortcomings have led to a generallack ofprecision bothin their account of musicalexperience and in their discussions of musical perception. But, at least, theexpressionists have recognized theexistence of problems intheir position.The formalists,on the other hand,have either foundno problemsto recognizeor have simply turnedthe other way, seeking to divert attention from their difficulties by attacking referentialism whenever possible. Yet the formalists are faced witha problemvery similarto thatconfronting theexpressionists: namely,the difficulty and necessity of explainingthe manner in which
an abstract, non-referential succession
of tones becomes
meaningful. Infailing toexplain inwhat sense such musical patterns can be said to have meaning,they have also found themselves unable to show the relation of musical meaningto meaning in general.
Finally, thisfailure toexplain theprocesses by which feelingsare aroused andmeanings communicated has preventedboth groups from seeing that theirpositions should make themallies ratherthan opponents. Forthe samemusical processes and similar psychological
behavior giverise to both types of meaning; and both must be analyzed ifthe varietymade possible by this aspect ofmusical experience isto be understood.
Readers familiar with paststudies inthe aesthetics and psychology of musicwill perhapsnote thatmuch of the earlierwork in these fields isnot discussed in this study andthat manytraditional prob-
Theory 5 lems are ignored. This neglect stemsfrom the conviction that the
assumptions and orientation ofthis literaturehave provedsterile and are today untenable.Since thisliterature hasbeen explicitly and cogentlycriticized by such writersas Cazden, F arnsworth,2 and Langer, only a brief commenton theseearlier assumptions seems necessary here, inthe hopethat theposition ofthis bookwill thereby be clarijied.
The psychology of musichas, sinceits beginnings,been plagued by threeinterrelated errors:hedonism, atomism, and universalism. Hedonism isthe confusionof aestheticexperience withthe sensuously pleasing.As SusanneLanger writes: Helmholtz, Wundt, Stumpf, and other psychologists. . . based their inquiries onthe assumptionthat musicwas aform of pleasurable sensation .... This gaverise to an aestheticbased onliking and disliking, a huntfor a sensationist definition of beauty.... But beyond adescription of tested pleasure-displeasure reactions tosimple soundsor elementary soundcomplexes .. . this approachhas nottaken us. . . .* The attempt to explain and understand music as a successionof separable, discretesounds andsound complexesis the error of atomism. Even the meager achievement which Mrs. Langer allows to
studies ofthis kindmust bestill furtherdepreciated. For the tested pleasure-displeasure reactions are notwhat mostof thepsychologists tacitly assumed them to be: they are notuniversals goodfor all times and all places! but products of learning and experience. This is the third
error, the error of universalism: the
belief that
the responses obtained by experiment orotherwise areuniversal, natural, andnecessary. This universalist approach is alsorelated to the time-honored search fora physical,quasi-acoustical explanation of musicalexperience-the attempt, that is, to accountfor musical communication in
terms of vibrations, ratios
of intervals,
and the
like.
These sameerrors have also plagued music theory. Attempts to explain the effect of the minor mode of Western music, to cite but
One example, in termsof consonance and dissonance or in terms of the harmonicseries have resulted inuncontrolled speculations and untenable theories. Even those not thus haunted by the ghost of
Pythagoras have contributed littleto our understanding ofmusical
6 Emotion
and Meaning in Music
meaning and its communication. For, onthe whole,music theorists have concerned themselves with the grammarand syntaxof music rather thanwith its meaning orthe affectiveexperiences to which it gives rise.
Today weare, I think, able to take a somewhatmore enlightened viewof thesematters. Theeasy access which almostall individuals have to greatmusic makes it quite apparent thata Beethoven symphony isnot a kind of musical banana split, a matter ofpurely sensuous enjoyment. The work of the Gestalt psychologists has shown beyonda doubt that understanding is not a matterof perceiving singlestimuli, or simple soundcombinations inisolation, but israther amatter ofgrouping stimuliinto patternsand relating these patterns to oneanother. And Hnally, thestudies ofcomparative musicologists, bringing to our attention themusic ofother cultures, have madeus increasinglyaware thatthe particular organization developed in Western musicis not universal, natural, or God-given.
Evidence as to the Nature and Existence of the Emotional Response to Music Any discussion of the emotional response to musicis facedat the very outsetwith the fact that very little is known about this response and its relation to
the stimulus.
Evidence that
it exists
at all is based
largely uponthe introspective reports oflisteners andthe testimony of composers, performers, andcritics. Otherevidence ofthe existence ofemotional responses to musicis basedupon thebehavior of performers and audiences and upon thephysiological changes that accompany musicalperception. Although the volume and intercul-
tural characterof this evidence compels us to believe thatan emotional response to musicdoes takeplace, it tells us almost nothing about thenature of the responseor about the causalconnection between themusical stimulusand the affective response it evokes in listeners. SUBJECTIVE EVIDENCE From Plato
down to
the most
recent discussions
of aesthetics
and
the meaningof music,philosophers and critics have,with few ex-
Theory 7 ceptions, affirmedtheir belief in the ability of music to evoke emotional responses in listeners. Most of the treatiseson musical composition and perfonnance stress the importance ofthe communication of feeling and emotion. Composershave demonstrated in their writings and by the expressionmarks used in their musicalscores theirfaith in the affectivepower ofmusic. And finally, listeners,past and present, havereported with remarkable consistency that music does arouse feelings andemotions in them.
The first di$culty with this evidenceis that, taken at its face value, withoutbenefit ofa generaltheory ofemotions as a basisfor interpretation, ityields noprecise knowledge of the stimulus which created theemotional response. Because music flows throughtime, listeners and critics have generally been unable to pinpoint the
particular musical process which evoked the affective response which they describe.They havebeen prone,therefore, tocharacterize a whole passage, section, orcomposition. Insuch cases the response must havebeen madeto those elements ofthe musical organization which tend to be constant, e.g.,tempo, generalrange, dynamiclevel, instrumentation, and
texture. What
these elements characterize are
those aspects of mental life which are alsorelatively stableand persistent, namely,moods andassociations, ratherthan the changing
and developingaffective responses with which this study is concerned.
Much confusion has resulted from the failure to distinguish between emotionfelt or affect! and mood. Fewpsychologists dealing with music have beenas accurateon this point as Weld, who notes
that: The emotional experiences which ourobservers reported are to be characterized ratheras moodsthan asemotions in the ordinary
Sense of the term.... The emotion istemporary andevanescent; the moodis relativelypermanent and stable. °As a matter offact, most of the supposedstudies of emotion in music are actually concerned with
mood and
association.
Taken at face value the introspective data under consideration
not onlyfail to provide accurate knowledge ofthe stimulus music!
but theycannot even furnish clearand unequivocal information about theresponses reported. For severalreasons the verbalizations
8 Emotion
and Meaning in Music
of emotions, particularly thoseevoked bymusic, areusually deceptive and misleading.
Emotions arenamed anddistinguished from one anotherlargely in terms of the external circumstancesin which the responsetakes
place. Since, aside fromthe oftenfortuitous associations which may be aroused, music presents no externalcircumstances, descriptions of emotions felt while listening tomusic areusually apocryphal and misleading. Ifthey areto be used atall, theymust beanalyzed and considered in the light of a general theory of therelation ofmusical stimuli to emotional responses. Second, a clear distinction must be maintained between the
emotions feltby the composer, listener, or critic-the emotional response itself-andthe emotionalstates denoted by differentaspects ofthe musicalstimulus. Thedepiction of musical moods in conjunction withconventional melodic or harmonicformulas, perhaps specilied by the presence of a text, can become signs which
designate human emotional states see pp.267 f.!. Motivesof griefor joy, angeror despair,found in the worksof baroquecomposers or the affectiveand moral qualities attributed to special modes orrcigas in Arabian or Indian music are examples of such conventional denotative signs.And it may well be that when a listener reports that he felt this or that emotion, he is describing the emotion which he believesthe passageis supposedto indicate, not anything which he himself has experienced. Finally, even where the report given is of a genuine emotional experience, it is liable to become garbled and perverted in the process ofverbalization. For emotional statesare much more subtle and varied
than are
we use to denote
the few
crude and
standardized words
which
them.
In this connection it would seem that many of the introspections
supplied bysubjects inthe studies made byVernon Lee,C. S.Myers, Max Schoen,and otherscontain alarge amountof what psychiatrists calldistortion. For example, when a subjectin anexperiment by Myers reports that while listening to a particular musical selec-
tion shehad a restful feelingthroughout . . . like one of going downstream whileswimming, she is obviously translating unspeakable feelings into symbolicform. The interpretation ofsuch
Theory 9 symbols is the task of the psychiatrist, not the music critic. To the music critic such introspectionsshow only that some response, not necessarily aspecifically musical one, waspresent. For it is always possible that the thoughts and reveries thus revealed are without any relation to musical experience. The musical stimuli may have
functioned merely as akind of catalytic agent, enabling theresponse to take place butplaying nocontrolling partin shapingor determining the experience andfiguring nowhere in the end result, ex-
cept perhaps negatively see chap. viii!. OBJECTIVE EVIDENCE:
BEHAVIOR
The responsesof listeners can also be observed and studied objectively. Two general categories of observable responses canbe distinguished: a! those responseswhich take the form of overt
changes in behavior and9! those responses which take theform of less readily observable physiological changes. Suchobjective evi-
dence, though it undoubtedlyavoids thedifliculties ofthe verbalization of subjective feelings and emotions,presents otherdifliculties no lessperplexing. In the first place, emotional responsesneed not result in overt,
observable behavior. As HenryAiken pointsout," oneof the special characteristics of our responses to aestheticobjects isthe very fact that, dueto ourbeliefs asto the nature ofaesthetic experience, we tend to suppress overt behavior. Furthermore, as an important
adjunct tothis point,it should be notedthat emotion-feltor affect is most intense preciselyin those cases wherefeeling does not result in or take the form of overt behavior or mental fantasy see p. 14!.
This isclear assoon asone considers the tendencyof humanbeings to work off or relieve emotionaltension in physical effortand bodily behavior.In short,the absence of overtemotional behavior, particularly in response to aesthetic stimuli, is no indication as to
either thepresence or force ofemotional responses. However, evenwhere overt behavior is present, its interpretation
is difficult and problematical.When, on the one hand, overtbe-
havior isthe productof particularlypowerful emotional tensions, it tendsto be diffuse, generalized, or chaotic.Extreme conflict,for example, mayresult in either motionlessrigidity or frenzied activity;
10 Emotion
and Meaning in Music
weeping may be theproduct ofeither profoundgrief orextreme joy. Unless wehave accurateknowledge ofthe stimulus situation beforehand, suchbehavior cantell us little or nothing as to the significance
of theresponse or of its relation tothe stimulus. On the other hand, when emotional behavior does become differ-
entiated it tends to be standardized-to become part of more gen-
eral patternsof social behavior. Thusalthough thephilosophical aspect ofthe stimulussituation, thefact that an aestheticobject is being considered, tends towardthe suppression of overt behavior, the social aspect of the stimulus situation permitsand at times indeed encourages certain standardized types ofemotional behavior. This isapparent inthe conductof performersand audiences alike. The jazzperformer andhis audience, for example,have onemode of socially sanctioned emotional behavior; the concert performer and his
audience have
another. The
difference between
the two
is
more a matter of conventionally determinedbehavior patterns than it is a matter of musical differences seep. 21!.
Such behaviormust be regarded atleast in part as a meansof communication rather
than as a set of natural,
reflex reactions. It
indicates and designates not only appropriate mental sets but also the proper i.e., socially acceptable! modes of response.Once this
sort ofbehavior becomes habitual, andit doesso veryearly inlife, then it may beactivated bythe socialaspects ofthe stimulussituation alone, without regard for the stimulus itself. In short, given no
theory asto the relation of musical stimulito affectiveresponses, observed behavior can providelittle information as to either the nature ofthe stimulus,the significance of the response, or the relation betweenthem. Forconduct whichmight to an observer appear to indicatethe presence of an emotional response might in point of fact be the resultof the subjects day. dreams, hisobservation and imitation of
the behavior of others, or his beliefs as to the kind of
behavior appropriate and expected in the given socialsituation. OBJECTIVE EVIDENCE!
PHY SIOLOCICAL RESPONSES
On the physiological levelmusic evokes definite andimpressive responses. has It a marked effect on pulse,respiration andexternal
Theory 11 blood pressure .... [It] delays theonset ofmuscular fatigue. . . [and] has a markedeffect uponthe psychogalvanic reflex .... 8 In spite of the fact that these changes are the very oneswhich normally accompany emotional experience, the significance of these data is not completely clear. Two principal difliculties are involved.
To beginwith, norelation canbe foundbetween thecharacter or pattern ofthe musicalselection evoking the response and the particular physiological changes which take place.These changes appear to be completelyindependent ofany particularstyle, form, medium, orgeneral character. The sameresponses willtake place whether themusic isfast orslow, excitingor soothing,instrumental or vocal, classical orjazz. Because tonal
stimulation is
a constant
factor of
all musical
stimuli, Mursell is led to conclude that the power of tone as such
must bethe causeof the physiological changes observed. There is, however, another constant involved in the perception of music; namely, the mental attitude of the audience. The listener
brings tothe actof perceptiondefinite beliefs in the affective power of music. Even before the first sound is heard, these beliefs activate
dispositions to respond in an emotional way, bringing expectant ideo-motor setsinto play. And it seems morereasonable to suppose that the physiological changesobserved area responseto the listeners mental set rather than to assume that tone as such can, in some
mysterious and unexplained way, bring these changes about directly. For while the relationship between mental sets and physio-
logical changes has beendemonstrated beyond doubt, theeffect of tone as such hasnot seepp. 74f. !. This doesnot imply that the presence ofa physiological environ-
ment, whichis a necessary condition for the arousal ofemotion, is not a significant fact.The existenceof this necessary condition increases thelikelihood that emotional responsesdo take place-a
fact which some criticshave soughtto deny. W`hat thisanalysis indicates is that not only are these physiological adjustments pre-
emotional, as Mursell wouldadmit, butthey arealso pre-musical. Furthermore, even the conclusions just reachedabout thesignificance ofthe physiological data areprobably anexaggeration, not if
12 Emotion
and Meaningin Music
from apsychological point of view,at least,from a logical one.For such adjustments not only accompany affective responses, but they are alsoconcomitants of clearly non-emotional responses. In the light of present knowledge it seems clear that though physiological adjustments are probablynecessary adjuncts of affective responses they cannotbe shownto besufHcient causes for such responses and have, infact, beenable tothrow verylittle light upon the relationshipbetween affective responses and the stimuli which produce them. The situationis conciselysummarized byRapaport: a! On the basisof thematerial surveyed nothing canbe definitelystated as tothe relationto emotion felt" of physiological processes concomitant with emotions.Proof hasnot beenoffered toshow that the usually described physiological processes are always present when emotionis felt. b! Nothing is knownabout thephysiological processes underlying emotional experience.However, sufhcientproof has been adduced that neither thejames-Lange theory nor the hypothalmic theoryexplains the origin of emotion felt. c! The investigations intothe physiologyand the neural correlates of emotional expression are of importance; their
relation tothe psychicprocess designated as emotion felt is the crucial point of every theoryof emotions.However, theknowledge concerning this relationis so scant thatinvestigations into the influenceof emotions on otherphysiological processes will have to be based ratheron what is known aboutthe psychologyof emotions. There is one basicproblem with all the objective data discussed:
namely, thateven whenaffective experiences result in objective adjustments, whetherbehavioral or physiological, what can be ob-
served isnot the emotion-felt, theaffect, butonly its adjuncts and concomitants, which in the case of behavior tend to become stand-
ardized andin the case ofphysiological changes are not specific to emotion. What we wish to consider, however, is that which
is most
vital andessential inemotional experience: the feeling-toneaccompanying emotionalexperience, thatis, the affect.
Here weface a dilemma. Onthe one hand, the response with which weare concerned is profoundlyand permanentlysubjective and hence of necessity concealed from the scrutinyof eventhe most scrupulous observers;and, on the other hand, we have found that
the subjective data available,taken bythemselves, provide no definite and unequivocal information about the musical stimulus, the
Theory 18 affective response, or therelation between them. ThisdifHculty can be resolved only if the subjective data available, including the re-
sponses ofthe readers and the authorof thisstudy, canbe examined, sifted, andstudied in the light of a general hypothesis as to the nature ofaffective experience and theprocesses by which musical stimuli mightarouse such experience. Such a hypothesis isprovided by the psychologicaltheory of emotions. Foralthough muchwork undoubtedly remains to be done
in the Held ofemotional theory, there appears to be general agreement amongpsychologists and psychiatrists atleast asto the conditions under which emotional responses arise and asto the relation-
ship betweenthe affectivestimulus andthe affectiveresponse.
The PsychologicalTheory of Emotions Since the physiological changeswhich accompany emotional ex-
perience, whatevertheir importance,do not provide a basis for differentiating affectivefrom non-affectivestates, the differentia must besought inthe realmof mentalactivity. However, notall mental responses are affective. We speak of dispassionate observation, calm deliberation,and cool calculation. These are non-emotional states
of mind.
If we then askwhat distinguishes non-emotional states from emotional ones, it is clear that the difference does not lie in the stimulus
alone. The same stimulusmay excite emotion in one personbut not
in another.Nor doesthe diiierencelie in the responding individual. The sameindividual mayrespond emotionally to a given stimulus in one
situation but
not in
another. The
difference lies
in the
rela-
tionship between the stimulusand theresponding individual. This relationship must iirst of all be such that the stimulus pro-
duces atendency inthe organism to think.or actin a particular way. An object or situation which evokesno tendency,to which the organism isindifferent, canonly resultin a non-emotional state of mind.
But evenwhen atendency isaroused, emotion may notresult. If, for example,a habitualsmoker wants a cigaretteand, reachinginto his pocket,finds one,there will be no affective response. If the
14 Emotion
and Meaning in Music
tendency issatisEed without delay, noemotional response will take
place. If, however, the man finds no cigarette in hispocket, discovers that there are none in the house, and then remembers that the
stores areclosed andhe cannotpurchase any, he will very likely begin torespond inan emotionalway. Hewill feel restless, excited, then irritated, and Bnally angry.
This bringsus tothe centralthesis ofthe psychological theory of emotions. Namely: Emotion oraffect isaroused when a tendencyto respond isarrested orinhibited. SUPPORTING THEORIES
In 1894]ohn Deweyset forth what hassince become known as the conflict theory of emotions.
In an article entitledThe Conflict Theory ofEmotion, 1 Angier shows thatthis generalposition hasbeen adopted, in more or less modified form,by many psychologists ofwidely differentviewpoints. Forinstance, the behaviorists, who emphasize the excitement and confusionwhich disruptbehavior asimportant characteristics of emotionalconduct, wouldseem tobe describing objectively what others view as the result of inner conflict. But the diiiiculty with
examining emotions from the point of view of behaviorism isthat, as wehave seen, emotion maybe feltwithout becoming manifest as overt behavior.
MacCurdy, whoseown attitude is psychoanalytical, points out that it is preciselywhen instinctivereactions are stimulated thatdo not gain expression eitherin conduct, emotional expression,or fan-
tasy, thataffect ismost intense. It is the prevention of theexpression of instinct either in behavior or conscious thought that leads to intense affect. In otherwords theenergy ofthe organism, activating an instinctprocess, must be blockedby repression before poignant feeling is excited. 13MacCurdys analysis involves threeseparate phases: a! the arousalof nervousenergy inconnection withthe instinct ortendency; 14 b! the propensity for this energyto become manifest asbehavior or conscious thought once the tendency is blocked; and o! the manifestation ofthe energyas emotion-felt or affectif behavior and conscious thought arealso inhibited.Of
Theory 15 course, ifthe stimulation is sopowerful that the total'energy cannot be absorbed by eitherbehavior oraffect alone,both will result. It is obvious thata shift of emphasishas takenplace inthe statement ofthe theoryof emotions.Dewey andhis followerstended to stress theconflict oropposition oftendencies as being thecause of emotional response. MacCurdy andmost ofthe morerecent workers in the field believethat it is theblocking orinhibiting of a tendency which arousesaffect. Actuallythe conceptof conflict through the
opposition of simultaneously aroused conflicting tendencies may be regarded as a specialand morecomplicated case of the arrest of tendency.
This pointwas madein Paulhansbrilliant work, which in 1887, almost tenyears beforeDeweys formulation,set forth a highly sophisticated theory of emotions.If we ascend inthe hierarchyof human needs and dealwith desiresof a higher order,we still find
that theyonly giverise toaffective phenomena when thetendency awakened undergoes inhibition. 1° However, more complex phenomena are possibleas theresult of the simultaneousor almostsimultaneous coming into play of systems which tend toward opposite or different actions and which
cannot bothculminate inaction atthe sametime; alwaysprovided that thepsychical systems brought intoplay donot differtoo widely in intensity.... 17 Such a situationresults, according to Paulhan, in anemotion or affect characterized by confusionand lackof clarity. In otherwords, inone case a tendencyis inhibitednot by another
opposed tendency but simplyby the fact that for somereason, whether physical or mental,it cannotreach completion. This is the situation ofthe inveteratesmoker inthe examplegiven earlier.In the other case two tendencies which
cannot both reach fruition
at
the sametime arebrought intoplay almostsimultaneously. Ifthey are aboutequal instrength, each tendency willblock thecompletion of the other. Theresult isnot onlyaffect, asa productof inhibition, but doubt, confusion, anduncertainty as well.
These latterconcomitants ofconflict areof importancebecause they maythemselves become the basisfor further tendencies. For to the human mind such states of doubt and confusion are abhorrent;
16 Emotion
and Meaning in Music
and, whenconfronted with them, the mind attemptsto resolve them
into clarity and certainty,even if this meansabandoning allother previously activatedtendencies. Thus confusion and lack of clarity, growing out of conflicting
tendencies, may themselves become stimuli producingfurther tendencies-tendencies toward clarification-which may become inde-
pendent of the originally conflicting tendencies. Such tendencies need not
be definite
in the
sense that
the ultimate
resolution of
the
doubt andconfusion isspecified. Some resolution ofthe confusion may bemore importantthan thisor thatparticular solution, assuming that the final result is not in conflict withother aspects of the stimulus situation
or other
mental sets.
Furthermore, it should be noted that uncertainty and lack of clarity may be products not only of conflicting tendencies but also of a situation which itself is structurally confused and ambiguous. This is of capital importance becauseit indicates that a situation which is structurally weak and doubtful in organization may directly create tendenciestoward clarification. Delay in such a generalized tendency toward clarification may also give rise to affect. Although the main tenets of the psychological theoryof emotions have been widely accepted, there have, needless tosay, been criticisms of the theory. In the main these have come from those who have sought, as yet without success, to account for, describe, and distinguish emotions in purely physiological terms. The theory of emotions, it is objected, does not tell us what an emotion is; it does
not tell us precisely what takesplace inthe bodyto makeus feel. This objection, though valid, is irrelevant for our purposes. For
just asthe physicistlong definedmagnetism in terms ofthe lawsof its operation and was able to deal with the phenomena without
knowing thenature ofthe magneticstates so, too, thepsychologist can defineemotion in terms of the laws governing itsoperation, without stipulatingprecisely what,in physiologicalterms, constitutes feeling-what makes affectfelt. THE DIFFERENTIATION
OF AFFECT
Thus farwe haveconsidered emotion as thoughit were a general, undifferentiated response, a feeling whose characterand quality
Theory 17 were always more or less the same. While there is a good deal of
evidence for this view,it is nevertheless clear that incommon speech and everyday experience we do recognize a variety of emotional
states-love, fear,anger, jealousy, and thelike. The whole problem of whether undifferentiated feelings, affects perse, exist,of their relation todifferentiated emotional experience, and of the basis for such differentiation is of importance inthe presentstudy. Forwhile music theorists and aestheticianshave found it difficult to explain
how musicdesignates particular emotions, they have foundit almost impossible toaccount for the existenceof less specific affective experience. Were the evidence to show that each affector type of affect had
its ownpeculiar physiological composition, then obviously undifferentiated feelingwould be out of the question.However, Woodworths summaryof the work in this Heldmakes itclear that this is not the case.
The evidencein the case ofemotional affective! behavior the term which will henceforth be used to designate the overt and observable aspects of emotional conduct! is more complex. Much emotional behavior,though habitual and henceseemingly automatic and natural, is actually learned. Becausethis aspect of behavior serves in the main as a means of communication, it
will be
called
designative denotative! behavior. To this category belong most
of the postural sets, facial expressions, and motorresponses accompanying emotional behavior. Thoughdesignative behavior is definitely and clearly differentiated,the differentiation is not a necessary
one andindicates nothingas to the possibledifferentiation ofthe affect itself.
Other aspectsof affective behavior, suchas skeletaland muscular adjustments, havebeen said to be automatic, natural concomitants
of theaffective response. These willbe calledemotional reactions. Supposing that such automatic reactions do exist, a fact that has
been debated, it has not beendefinitely shown that they are differentiated asbetween typesof affective experience. However, even if it were demonstrated that emotional
reactions
were differentiated, this wouldnot necessarily prove oreven indicate that the affects whichthey accompany are alsodifferentiated. For
18 Emotion
and Meaningin Music
the reactionis aresponse made to the total emotion-provoking situation andnot necessarily a productof affectitself. In other words, it may well be that such automatic behavioris called forth by the peculiarnature of the objectivesituation ratherthan by the operation ofthe law of affectitself. Werethis the case, sucha reaction would be independentof affect and might indeed take place, asdoes designative emotional behavior, in the absence of affect.
The suppositions that behaviorreactions are essentially undifferentiated, becoming characteristic only in certainstimulus situations, and that affect itselfis basicallyundifferentiated aregiven added plausibility whenone considers the following: a! The more intense emotional behavior is, andpresumably therefore the more intense the affective stimulation, the
less the control
exerted bythe egoover behaviorand the greater theprobability that the
behavior is
automatic and
natural.
19! The more intenseaffective behavior is, the less differentiated
such behavior tends tobe. In general, the total inhibitionof powerful tendenciesproduces diffuse and characterless activity. For example, extreme conflict mayresult ineither complete immobility or in frenziedactivity, whileweeping mayaccompany deepest grief, tremendous joy, or probablyany particularlyintense emotion. c! Thus the more automatic affective behavior is, the less differentiated it It seems
tends to be. reasonable then
to conclude
that automatic
reflex reac-
tions notonly failto providereasons for believing thataffect itselfis differentiated butthe evidenceseems topoint to just the opposite conclusion.
Finally, ourown introspectiveexperience and the reportsof the experiences of others testify to the existence of undifferentiated
emotions. Itis affectas suchwhich Cassireris discussingwhen he writes that Art gives us the motions of the human soul in all their
depth andvariety. Butthe form,the measure and rhythm,of these motions isnot comparable to any single stateof emotion.What we feel in art is not a simple orsingle emotional quality. It is the dynamic processof life itself. 2° The conclusion that affect itself is undifferentiated does not mean
Theory that affectiveexperience is a kind of disembodiedgenerality.+or the affectiveexperience, asdistinguished from affectperse,includes an awareness and cognitionof a stimulussituationwhich alma s involvesparticularrespondingindividualsandspecificstimuli. Not only do we becomeawareof andknowour own emotion
in this differentiation."
"
Thus while affectsand emotionsare in themselves undiffereut; ated,affectiveexperience is differentiatedbecause it involvesaware
ness andcognition ofa stimulus situation whichitselfisnecessarily differentiated.The affectivestatesfor which we have namesare groupedandnamedbecause of similaritiesof the stimulussituation not becausethe affectsof differentgroupsareper sedifferent,L>ve and fear are not differentaffects,but they are differentaffective experiences.
Awareness of thenatureof the stimulussituationalsoseems tq be the real basisfor thedistinctionwhich Hebb drawsbetween"pleas ant" and "unpleasant" emotions.Accordingto the presentanalysis there areno pleasantor unpleasantemotions.Thereareonlypl
ed They depend"on first arousingapprehension, then dispellingit" 22 But werethisactuallythecasewe couldonlyknowwhetheran ego tion were pleasantor unpleasantafter it was over.Yet, surely,we knowmorethanthiswhilewe areexperiencing affect.Thepleasant nessof an emotionseems to lie not somuchin the fact of resolutIon itself asin thebeliefin resolution the knowledge,whethertrut or false,that therewill be a resolution.It is not, as Hebb seem~ to assert when he cites as pleasurable the "mildly frustrating or g e
20 Emotion
and Meaning in Music
mildly fear-provoking,23 thecontrol actuallyexercised over a situation which distinguishes pleasant from unpleasantemotions. Itis the control
which is
believed to
exist over
the situation.
The sensationof falling through space,unconditioned byany belief or knowledge as to the ultimate outcome, will, for instance, arouse highlyunpleasant emotions. Yet a similar fall experienced as a parachute jumpin an amusement park may, becauseof our belief inthe presence of controland inthe natureof the resolution, prove most pleasurable.
The foregoinganalysis isof genuineimportance inthe present study because it explainsand accounts for the existence and nature of the intangible, non-referentialaffective statesexperienced in response tomusic. For in so far as the stimulus situation, the music, is non-referential in the sense that it pictures, describes, or sym-
bolizes noneof the actions, persons, passions, and concepts ordinarily associated with human experience!, there is no reason to
expect thatour emotional experience of it shouldbe referential.The affective experience made inresponse to music isspecific anddifferentiated, but it is so in terms of the musical stimulus situation rather than in terms of extramusical stimuli.
In the light of this discussionit is evident that, though it is wrong to assert, as some have done,
that emotions
exist which
are sui
generis musicalor aesthetic, it is possible to contend that there are
emotional experiences which areso. By the sametoken, however, any numberof emotionalexperiences can be groupedtogether so long astheir stimulus situations arein somerespects similar.Musical
affective experiences, for example, might be differentiated into operatic, orchestral, baroque, andso forth.But the most significant distinction would
still lie in the fact that musical stimuli,
and hence
musical affective experiences, arenon-referential. EMOTIONAL DESIGNATION
Although emotionalbehavior is frequently characterlessand diffuse, often it is differentiated andintelligible. Even without knowledge ofthe stimulussituation, motorbehavior, facialexpression, toneof voice, and mannerof speakingcan tell us not only that anindividual isresponding inan emotional way but also some-
Theory 21 thing of the characterof his feelings or,more accurately, of the character ofhis adectiveexperience. Differentiated behavior,
as we have seen, is not an automatic or a
necessary concomitant of affectitself oreven ofaffective experience. The more automatic behavior is, the less likely it is to be diHeren-
tiated. Differentiation involves control, and controlimplies purpose. The purpose of emotionallydifferentiated behavior is communication. The individual responding, having anaffective experience or simulating one, seeks to make others aware ofhis experience through a seriesof non-verbalbehavioral signs. Because the gestures and signs whichdifferentiate suchbehavior arepurposeful, thismode of behaviorwill be called emotionaldesignation ordesignative behavior. 2°
Such signsnot only act as cues forappropriate behavior in the social situationbut areprobably, atleast inpart, aimedat making other individuals respond inan empathetic way. Asthe sayinggoes: Misery lovescompany. Andso doother emotional states. Notonly do wedislike physical isolation, butwe wantto shareour emotional life with others. And,indeed, suchsharing does take place.For an observer, recalling a situationin his own experience similar to the one signiiied by the behavior of another, may respond to the re-
membered situation in an affective way.Though designative affective behaviormay, throughconstant use, become habitual and automatic sothat it is almostinvariably calledup aspart of the total emotional response, it is not basicallya necessary concomitant of the response but one broughtinto play as aresult ofa desireto communicate.
Designative behavioris differentiated largely by custom and tradition. It varies from culture to culture and among different groups within a single culture. 'This does not mean that there are no features of such behavior which are natural and widespread.In
all probabilitythere are.However, threepoints shouldbe kept in mind: ! There is no real evidence to show that there is only one Single naturalmode of behavior relevant to a given stimulus situation. When alternative modes of behavior are possible, cultural
Selection probably determines thecomposition ofany particular pattern of affective designation. ! Whatever natural tendencies
22 Emotion
and Meaning in Music
toward aparticular patternof behaviorexist maybe alteredor suppressed bythe demandsof the larger behaviorpatterns of the culture. !
Even where natural behavior is retained in the pattern
of emotionalbehavior, it inevitably becomes codilied and standardized for
the sake of more
eflicient communication.
Above all, we understand and make appropriate responses to
designative behavior as a total behaviorpattern, notjust to some features ofit, whethernatural orotherwise. As a totalpattern designative behavior is a cultural phenomenon, not a natural one. It is, in the Hnal analysis,learned. This is important as it takes most of the sting out of the criticism that music which attempts to designate emotional states depends
for its effect uponthe learningof conventionalsigns andsymbols. For this fact is not peculiar to music but is characteristic ofall emotional designation. If one excludes such designation as a legitimate means of musicalcommunication, one must bythe sametoken exclude itas ameans ofhuman communication in general.
The Theory of Emotions Related to Musical Experience AN ASSUMPTION
An examinationof the psychological theoryof emotionswas made because theevidence furnished by the introspections of musicians,
aestheticians, and listeners and the objectivedata gathered from the observation ofbehavior and the study of the physiological responses to musical stimuli did not yield reliable information about the musical stimulus or the affective responsesmade to it. Implicit in this examination wasan assumptionwhich must now be made explicit: Though the stimulus situation may vary indefinitely, the conditions which evoke affect are general and are, therefore, applicable to music. In other words, it was assumed that the law of affect, which
states that emotion is evoked when a tendency to respond is in-
hibited, is a generalproposition relevant to human psychology in all realms of experience.
This assumption does not,however, imply or stipulatethat musical
Theory 23 affective experiences are thesame as the affectiveexperiences made in responseto other stimulus situations. Musical experience differs from non-musical or, morespecifically, non-aesthetic experience in three important ways. First, as we haveseen, affectiveexperience includesan awareness
and knowledge of thestimulus situation. This beingso, theaffective experience of music will differ from other types of aEective ex-
perience, particularly in sofar asmusical stimuli are non-referential. Second, ineveryday experience the tensionscreated bythe inhibition of tendencies often go unresolved. They aremerely dissipated inthe press of irrelevantevents. Inthis sense daily experience is meaningless and accidental. In art inhibition oftendency becomes meaningful because the relationshipbetween thetendency andits necessary resolutionis made explicit and apparent. Tendenciesdo not simply cease toexist: they are resolved,they conclude.
Third, in life the factors whichkeep atendency fromreaching completion maybe different in kind from those which activated the
tendency inthe Hrstplace. Thestimulus activating a tendencymay, for example,be a physical orpsychic needof the organism, while the inhibiting factors maysimply be a seriesof external circumstances whichkeep the organism from satisfying the need. This is the situation
in the
case of
the habitual
smoker who
can End
no
cigarette. Or the situation may be reversed; that is, a tendency
activated byan externalstimulus maybe inhibitedby the psychic processes ofthe organism. Furthermore, in everyday experiencethe resolutions of the ten-
sions brought into playby inhibitionmay beirrelevant tothe tendencies themselves.Tensions arising from psychic needs may be
worked off in sheerphysical activitywhich iswithout meaningful relation tothe originalstimulus orto thetendency itself. In music, on the other hand, the same stimulus, the music, acti-
vates tendencies,inhibits them, and provides meaningful and relevant resolutions. TENDENCY AND
EXPECTATION IN
MUSIC
The assumption that the same basicpsychological processes underlie allaffective responses, whether thestimulus bemusical orof
24 Emotion
and Meaning in Music
some other kind, has been implicit in much musical theory and in
the speculations of many aestheticians. But this doesnot in itself increase our understanding of the natureof musicalexperience and of the musical processes which formit. It does notexplain thenature of the relationshipswhich exist between the stimulus, the listeners perceptions and mentalprocesses, and his responses. To do thisit is necessary to demonstrate precisely how musicalstimuli do, in fact, arouse and inhibit tendencies andthereby give rise to emotions.
What is meant by a tendencyto respond?A tendency or, as MacCurdy usesthe term, an instinct is a pattern reactionthat operates, or tends to operate, when activated, in an automatic
way. 2° A pattern reaction consists of a set or series ofregularly coincident mental or motorresponses which, once broughtinto play as part of the response toa given stimulus, followa previously ordered course,unless inhibited or blocked in some way. The order
established bya pattern reaction isboth temporaland structural; that is, the seriesinvolves notonly therelation ofthe partsof the total pattern to each other but also their timing. Thus a seriesmay be disturbed either becausethe successionof the parts of the pat-
tern isupset orbecause the timing of the seriesis upsetor both. The term tendency, as used in this study,comprises allautomatic responsepatterns, whether natural or learned. Sincehabit is
a mechanismof action,physiologically ingrained, which operates spontaneously andautomatically, 3° the term tendency also in-
cludes habitreactions and, inevitably, acquired concepts and meanings. 31
The tendency to respondmay beeither conscious or unconscious. If the pattern reactionruns its normal courseto completion,then the whole process maybe completelyunconscious. Countless reaction patterns, of which the responding individual isunaware, are initiated and completed each hour. The more automatic behavior
becomes, the less conscious it is. The tendencyto respondbecomes conscious where inhibition ofsome sort is present,when thenormal course ofthe reactionpattern is disturbed orits final completion is inhibited.
Such conscious
and self-conscious
thought ofand referredto asexpectations.
tendencies are
often
Theory 25 In a broader sense all tendencies, even those which never
reach
the levelof consciousness, are expectations. For sincea tendencyis a kindof chainreaction inwhich apresent stimulus leads througha series ofadjustments toa more or less specified consequent, the consequent isalways impliedin the tendency, once the tendency has beenbrought intoplay. Thuswhile ourconscious minds do not actively expecta consequentunless thepattern reactionis disturbed, our habits and tendenciesare expectantin the sense thateach seeks out or expects the consequents relevantand appropriate to itself. Though he may never become aware of his expectations as he reaches in his pocket for a pack of cigarettes, the behavior of the
habitual smokershows thathe doesexpect or,perhaps moreaccurately, his habits expectfor him. If tendencies are pattern reactions that are expectantin the broad sense, includingunconscious aswell as conscious anticipations,then it is not difficult
to see how music
is able
to evoke
tendencies. For
it hasbeen generally acknowledged that music arouses expectations, some consciousand others unconscious, whichmay or may not be
directly andimmediately satisfied. . . _ the pleasure .. . arises fromthe perceptionof the artists play with forms and conventions which are ingrained ashabits of perception both in the artist and his audience. Without would be no awareness whatever of the artists
such habits fulfillment of
. . . there and subtle
departures from established forms .... But the pleasure which we derive from style is not an intellectual interestin detecting similarities and differences, but an immediate aesthetic delight in perception which results from the arousaland suspensionor fulfillment of expectations which arethe productsof manyprevious encounters with works of art. EXPECTATION, SUSPENSE, AND THE
UNEXPECTED
Sometimes avery speciiicconsequent isexpected. InWestern music ofthe eighteenthcentury, forexample, weexpect aspecific
chord, namely, the tonic C major!, to follow this sequence of
-lr EXAMPLE 1
26 Emotion
and Meaning in Music
harmonies see Example 1!. Furthermore, t_heconsequent chordis
expected toarrive ata particulartime, i.e.,on theHrst beatof the next measure.
Cf course,the consequent which is actually forthcoming, though it must be possible within the style, neednot bethe onewhich was specifically expected. Nor is it necessary that theconsequent arrive at the expected time. It may arrive toosoon orit may be delayed. But no matter whichof theseforms theconsequent actually takes, the crucialpoint tobe notedis thatthe ultimateand particulareffect of the total patternis clearly conditioned bythe specificityof the original expectation.
At other times expectation is more general; thatis, though our expectations may be deHnite, in the sense of being marked, they are non-specific, inthat we are not sure preciselyhow they will be fulfilled. The antecedent stimulussituation maybe suchthat several
consequents may be almostequally probable. For instance,after a melodic fragmenthas beenrepeated several times, we begin to expect achange and also thecompletion ofthe fragment.A change is expectedbecause webelieve that the composeris not so illogical
as torepeat thefigure indefinitelyand because we lookforward to the completion of the incomplete figure. But precisely what the change will be or how the completion will be accomplishedcannot perhaps be anticipated. The introductions to many movements written in the eighteenth or nineteenth centuries createexpectation
in this way, e.g.,the openingmeasures of Beethovens NinthSymphony or the opening measures ofthe March to the Gallows from Berliozs SymphoniaF antastique. Expectation may also result because the stimulus situation is doubtful or ambiguous. If the musical patterns are less clear than
expected, ifthere isconfusion as to therelationship between melody and accompaniment, or if our expectations are continuallymistaken or inhibited, then doubtand uncertaintyas to the generalsignificance, function, and outcome of the passage will result. Aswe have already seensee pp. 15 ff.!, the mind rejects andreacts against such uncomfortable states and,if they are morethan momentary, looks forwardto and expects areturn tothe certaintyof regularity and clarity.This is particularly strikingin the responses made to
Theory 27 works of art where,because ofa firm belief in the purposefulness and integrity of the artist, we expect thatorder will in the end triumph, andprecision willreplace ambiguity. However, the
manner in
which clarification
and order
will be
restored maynot be predicted or envisaged. Expectation is not specific; thestate isone of suspense. In fact, if doubt anduncertainty arestrong enough, almost anyresolution, withinthe realmof probability, whichreturns usto certaintywill be acceptable, though no doubtsome resolutions will, given the style,seem morenatural than others.
The inclusionof suspense arising outof uncertaintymay, atfirst sight, appearto be an extensionand amplificationof the concept of arrestand inhibitionof a tendency. Butwhen thematter isconsidered more carefully, itwill be seen thatevery inhibitionor delay creates uncertainty or suspense, if only briefly, because in the moment of delay we become aware of the possibility of alternative modes of continuation. The difference is one of scale and duration,
not of kind. Both arouse uncertainties and anxietiesas to coming events.
Suspense is essentially aproduct of ignorance asto the future course ofevents. This ignorance may arise either because the present course ofevents, though in a sense understandable in itself,presents several alternativeand equallyprobable consequents or because the presentcourse ofevents isitself sounusual andupsetting that, since it cannot be understood, nopredictions as to the future can be made.
From the outset ignorancearouses strongmental tendencies to-
ward clarificationwhich are immediately affective. If ignorance persists inspite ofall, thenthe individualis throwninto a state of doubt and uncertainty see pp. 15-16!. He commencesto sensehis
lack of control overthe situation,his inabilityto act on the basis of the knowledge whichhe supposed that he possessed. In short, he beginsto feel apprehensive, even fearful, thoughthere is no object for his fear. Ignorance andits concomitantfeelings ofimpotence breed apprehension andanxiety, evenin music. But ignorance alsogives riseto more sanguine feelings; for since the outcome
cannot beenvisaged, itmay bepleasant. These feelings arethem-
28 Emotion
and Meaning in Music
selves tendencies the avoidanceof painful apprehension and the expectation of a propitiousconclusion! which become focused upon an expected resolution ofthe unpleasant stimulus situation. The longerdoubt anduncertainty persist, the greaterthe feeling of suspense will tend to be_.The stimulussituation creatingdoubt and uncertaintymust, of course, beprogressively intensified if suspense is to be maintained orincreased. Foras we become accustomed toa givenstimulus situation, even anunpleasant one, its effectiveness tendsto diminish. Moreover, without a change in the stimulus situation in the direction of complication and uncertainty,
those vitalanticipatory feelingsthat a break mustcome, thatdoubt and perplexitymust giveway to knowledge! whichmake usexpect both apprehensively and hopefully!would belost. The greaterthe buildup of suspense, of tension,the greaterthe emotional release upon resolution.This observationpoints up the fact that in aestheticexperience emotional pattern mustbe considered notonly in terms of tension itselfbut alsoin terms of the progression from tension torelease. And the experience of suspense is aesthetically valueless unless it is followed bya releasewhich is understandable inthe given context.
Musical experiences of suspense are verysimilar tothose experienced inreal life. Both in life and in music the emotionsthus arising
have essentially the samestimulus situation:the situationof ignorance, the awareness ofthe i.ndividuals impotence and inability to act where
the future
course of
events is
unknown. Because
these
musical experiences are so very similar to those existing in the
drama andin life itself, theyare oftenfelt to be particularlypowerful and
effective.
Musical suspense seems tohave directanalogies inexperience in general; itmakes us feel something of theinsignilicance and powerlessness of man in the faceof the inscrutable workings of destiny. The low, foreboding nimbleof distant thunder on an oppressive summer afternoon, its growing intensity asit approaches,the crescendo ofthe graduallyrising wind,the ominousdarkening ofthe sky, all give riseto an emotional experience in which expectation is fraughtwith powerfuluncertainty-the primordialand poignant uncertainty of human existencein the face of the inexorable forces
Theory 29 of nature. With mixed feelings of hope and apprehension in the
presence of the unknown, we anxiously await thebreaking ofthe storm, thediscovery ofwhat unrelentingfate hasdecreed. Similarly inmusic thestate ofsuspense involves an awareness of the powerlessness of manin the face ofthe unknown. What is expected in this state of suspensemay not be specified, but this does not mean that any consequent is possible. Our ex-
pectations areinevitably circumscribedby the possibilities and probabilities ofthe styleof the composition inquestion. Theconsequent must,given the circumstances, be possible within what Aiken hascalled an ordering system of beliefsand attitudes.33 Although the consequent in any musical sequence must,in this sense, bepossible, it may neverthelessbe unexpected. But the unexpected shouldnot be confused with the surprising. For when ex-
pectation isaroused, theunexpected isalways considered to be a possibility, and, though itremains theless expected of severalalternatives, it is not a complete surprise. Conditions of active expectation especially general expectation and suspense! are not the
most favorable to surprise.For thelistener ison guard,anticipating a new and possibly unexpected consequent.Surprise is most in-
tense where no special expectation is active, where, because there has been noinhibition ofa tendency,continuity isexpected. As soonas theunexpected, or for thatmatter thesurprising, isexperienced, thelistener attempts to fit it into the generalsystem of beliefs relevant to the style ofthe work.This requiresa very rapid re-evaluation of
either the
stimulus situation
itself or
its cause-
the eventsantecedent tothe stimulus.Or it may requirea review of thewhole system of beliefsthat thelistener supposed appropriate and relevant to the work. If this mental synthesis doesnot take
place immediately, three thingsmay happen:! The
mind may
suspend judgment,so to speak, trustingthat what follows will clarify
the meaningof the unexpected consequent. ! If no clarification takes place,the mindmay rejectthe wholestimulus andirritation will set in. ! The unexpectedconsequent maybe seenas a purposeful blunder. W'hether the listener respondsin the first or third manner will depend partly upon the character ofthe piece, its mood or designative content. The third response might well be made to
30 Emotion music whose
and Meaning in Music character was
comic or
satirical. Beckmessers
music
in Wagners Die Meistersingerwould probablyelicit this type of interpretive understanding.In a piece whosecharacter admitted no suchpurposeful blunders, the secondresponse would probably be elicited. CONSCIOUS AND UNCONSCIOUS EXPECTATIONS
In the light of these observations it is clear thatan expectation is not a blind, unthinkingconditioned reflex. Expectation frequently involves ahigh orderof mental activity. Thefulfilment of a habit response, in art aswell asin daily life, requiresjudgment andcognition both
of the
stimulus itself
and of
the situation
in which
it
acts. Thestimulus asa physicalthing becomesa stimulusin the world of behavior onlyin sofar asthe mindof theperceiver isable to relate it, on the one hand, to the habit responses whichthe per-
ceiver hasdeveloped and,on the other hand, to the particular stimulus situation.
This is
clear as
soon as
one considers
that the
same physical stimulus maycall forth different tendencies in different stylisticcontexts orin different situations withinone andthe same stylistic context. For example, a modal cadential progression
will arouseone setof expectationsin the musical styleof the sixteenth centuryand quite another in the style of the nineteenth century. Likewise the same musical progressionwill evoke one set of expectations at the beginning of a piece and another at the end.
Expectation then is a product of the habit responses developed in connection with particular musical styles and of the modes of
human perception, cognition, andresponse-the psychological laws of mental
life.
The mental activity involved in the perception of and response to music
need not, however, be
conscious. .
. . the intellectual
satisfaction whichthe listener derives fromcontinually following and anticipatingthe composersintentions-now, to see hisexpectations fulfilled,and now,to see himself agreeably mistaken .. . this intellectualflux andreflux, thisperpetual givingand receiving takes place unconsciously, andwith the rapidity of lightning flashes. 3'So long as expectations are satisBedwithout delay,so
Theory 31 long as tendencies areuninhibited, thoughintelligence isclearly and necessarily involved in the perceptionand understandingof the stimulussituation, theresponse willprobably remainunconscious.
Mental activitytends to become conscious when reflectionand deliberation are involved in the completion of the response pattern,
that is, when automaticbehavior isdisturbed because a tendency has beeninhibited. Impulsionforever boosted on its forward way would run its course thoughtless, and dead to emotion ....
The
only way it can become awareof its nature andits goal is by obstacles surmountedand means employed. 38 But even when a habit responseis inhibited, conscious awareness
of the mental activityinvolved in the perceptionof and response to the stimulus situationis by no meansinevitable. Intellectual experience the conscious awareness of ones own expectations or, objectively, of the tendencies of the music!, as distinguished from
intellectual activity, is largelya productof thelisteners ownattitude toward his responses and hence toward the stimuli and mental activities which bring them into existence. That is to say, some
listeners, whether because oftraining or natural psychological inclination, aredisposed to rationalize their responses, make to experience self-conscious; others arenot sodisposed. Ifintellectual activity is allowed to remain unconscious,then the mental tensions and
the deliberations involved whena tendencyis inhibitedare experienced asfeeling or affect ratherthan asconscious cognitionsee pp. 38 f. !.
Having shownthat musicarouses tendencies and thusfulfils the conditions necessary for the arousal ofaffect seep. 22! and having
demonstrated how this is accomplished, we can nowstate oneof the basichypotheses of this study.Namely: Affector emotion-felt is arousedwhen anexpectation-a tendency to respond-activated by the musical stimulus situation, istemporarily inhibitedor permanently blocked.
As notedearlier seepp. 22-23! in musicalexperience the same stimulus, the music, activates tendencies, inhibits them, and pro-
vides meaningful and relevantresolutions for them. Thisis of particular importance from a methodological standpoint. For it means
32 Emotion
and Meaning in Music
that grantedlisteners who have developed reaction patterns appropriate to the work in question,the structure of the affective response
to a piece ofmusic canbe studiedby examiningthe musicitself. Once those sound successions common to a culture, a style, or a
particular workhave beenascertained, then, if the customary succession ispresented andcompleted withoutdelay, it can be assumed that, since no tendency would have been inhibited, the listener would not respond in an affective way. If, on the other hand, the sound succession fails to follow its customary course,or if it involves obscurity or ambiguity, then it can be assumedthat the listeners tendencieswould be inhibited or otherwise upsetand that
the tensionsarising inthis processwould beexperienced as affect, provided that they were not rationalized as consciousintellectual experience.
In other words, thecustomary orexpected progression of sounds can be considered asa norm, which from a stylistic point of view it is; and alteration in the expected progressioncan be considered as a deviation. Hence deviations can be regarded as emotional or affective stimuli.
The importanceof this objective point of view of musicalexperience is clear. It means that once the norms of a style have been ascertained, the study and analysis of the affective content of a particular work in that style can be made without continual and explicit reference to the responses ofthe listener or critic. That is,
subjective content can bediscussed objectively.
The Meaningof Music THE PROBLEM
OF MEANING
IN MUSIC
The meaningof musichas oflate beenthe subjectof muchconfused argumentand controversy.The controversyhas stemmed largely from disagreements asto what music communicates,while
the confusionhas resultedfor the most partfrom a lack of clarity as to the natureand definitionof meaningitself. The debates
as to what music
communicates have
centered around
the questionof whethermusic candesignate, depict, or otherwise communicate referential concepts, images, experiences, and emo-
Theory 33 tional states.This isthe old argument between the absolutistsand the referentialistssee pp.1 f.!. Because ithas notappeared problematical to them, the referentialists havenot asa rule explicitly considered the problemof musical meaning. Musical meaning according tothe referentialists lies in the relationship between a musicalsymbol orsign andthe extramusical thing which it designates.
Since ourconcern inthis study is not primarily with the referential meaningof music, suffice it to say that the disagreement between thereferentialists andthe absolutistsis, as was pointed out atthe beginning of thischapter, theresult ofa tendencytoward philosophical monism rather thanthe resultof any logical inc0m_ patibility. Bothdesignative and non-designative meanings arise out of musicalexperience, just as they do in other typesof aesthetic experience.
The absolutistshave contendedthat the meaning ofmusic lies specifically, and some wouldassert exclusively, in the musical progesses themselves. For themmusical meaning is non-designative. But in what sense theseprocesses aremeaningful, in what sense a succession or sequence ofnon-referential musical stimuli can be said
to give rise tomeaning, they have beenunable tostate witheither clarity or precision. Theyhave alsofailed to relate musicalmeaning to other kindsof meaning-to meaning ingeneral. Thisfailure has ledsome critics to assertthat musicalmeaning isa thing apart,
different insome unexplained way fromall otherkinds ofmeaning. This is simply an evasion of the real issue. For it is obvious that if
the termmeaning is to haveany signification at all as appliedto music, thenit musthave thesame signihcation as whenapplied to other kinds of experience.
Without reviewingall the untenable positions to which writers have tenaciouslyadhered, it seems fairto say that much of the confusion and uncertainty as to the nature of non-referential mu-
sical meaninghas resultedfrom two fallacics. Onthe one hand, there hasbeen a tendency to locate meaningexclusively inone aspect of the communicative process; onthe other hand, there has
been a propensity toregard all meanings arising in human communication as designative, as involving symbolism of some sort.
34 Emotion
and Meaning in Music
Since these difficulties canbe bestresolved inthe light of a general delinition of meaning, let us begin with such a definition:
. . . anything acquires meaning if it is connectedwith, or indicates, orrefers to,something beyond itself, sothat its full nature points toand isrevealed inthat connection.4° Meaning isthus nota propertyof things.It cannotbe locatedin the stimulus alone. The same stimulus may have many different
meanings. To a geologista largerock mayindicate thatat onetime a glacierbegan torecede ata givenspot; toa farmerthe samerock may pointto the necessity ofhaving theHeld cleared for plowing; and to the sculptor the rock may indicate the possibility of artistic creation. A rock, a word, or motion in and of itself, merely as a stimulus, is meaningless.
Thus it is pointlessto askwhat the intrinsic meaningof a single tone or a seriesof tonesis. Purelyas physicalexistences they are meaningless. They become meaningful only in so far as theypoint to, indicate,or imply something beyond themselves. Nor can meaning be located exclusivelyin the objects, events,or experiences whichthe stimulus indicates, refersto, or implies. The
meaning ofthe rockis the product ofthe relationshipbetween the stimulus andthe thingit points to or indicates. Though theperception ofa relationshipcan only arise asthe result of some individualsmental behavior,the relationshipitself is not to be located in the mind of the perceiver. Themeanings observed are not subjective. Thus therelationships existing between the tones themselves or those existing between the tones and the
things theydesignate orconnote, though a productof cultural experience, are real connections existing objectively in culture. They are notarbitrary connections imposed bythe capricious mind ofthe particular listener.
Meaning, then, is not in either the stimulus,or what it points to, or the
observer. Rather
it arises
out of
what both
Cohen and
Mead
have called the triadic relationship between! an object or stimulus; ! that to which the stimulus points-thatwhich is its consequent; and! the
conscious observer.
Discussions of the meaningof musichave alsobeen muddledby the failureto stateexplicitly whatmusical stimuliindicate orpoint
Theory 35 to. A stimulus mayindicate eventsor consequences which are different fromitself in kind, as when a word designatesor points to an object oraction whichis not itself aword. Ora stimulusmay indicate or imply eventsor consequences which are of the same kind as the stimulusitself, as when a dim light on the eastern horizon heralds the comingof day. Here boththe antecedentstimulus andthe consequent event arenatural phenomena. The former type of meaning maybe calleddesignative, the latter embodied. Because mostof the meanings which arise in human communica-
tion are of the designative type,employing linguisticsigns or the iconic signsof the plastic arts, numerous criticshave failed to realize thatthis isnot necessarily or exclusivelythe case.This mistake hasled evenavowed absolutists to allow designation toslip in through thesecret doorof semanticchicanery. But evenmore importantthan designativemeaning iswhat we have called embodied meaning. From this point of view what a
musical stimulus or a series ofstimuli indicateand pointto are not extramusical conceptsand objects but other musical events which
are aboutto happen.That is, one musicalevent be it a tone, a phrase, ora wholesection! hasmeaning because it points to and makes us expect anothermusical event. This is what music means
from the viewpoint ofthe absolutist. MUSIC AND
MEANING
Embodied musical meaning is,in short,a productof expectation. If, on the basis of past experience, a present stimulus leads us to
expect amore orless definiteconsequent musical event, thenthat stimulus has meaning. From this it follows that a stimulus or gesture which does not
point to or arouseexpectations ofa subsequent musical eventor consequent is meaningless. Because expectation is largely aproduct of stylistic experience, music in a style with which we are totally unfamiliar is meaningless. However, oncethe aesthetic attitude has been brought into play,
very few gestures actuallyappear to be meaningless so long as the listener has someexperience with the style of the work in question. For so long as a stimulus is possible within any known style,
36 Emotion
and Meaning in Music
the listenerwill do his bestto relateit to the style,to understand its meaning. In and of themselves,for example, the opening chords of Bee-
thovens ThirdSymphony have no particularmusical stylistictendency. They establish nopattern of motion, arouseno tensions toward a particular fulfilment.Yet as part of the total aesthetic cultural act of attention they are meaningful. Forsince theyare the first chords ofa piece,we not only expectmore musicbut our expectations are circumscribed by the limitationsof the style which we believethe pieceto be in andby the psychological demand for a morepalpable patternsee chapsii-v!. Thus thephrase pastexperience, used in thedefinition ofmeaning givenabove, mustbe understoodin a broad sense. It includes the immediatepast ofthe particularstimulus orgesture; thatwhich has alreadytaken placein this particular work to condition the listeners opinionof the stimulus andhence hisexpectations as to the impending,consequent event. In the example given above, the past wassilence. Butthis fact of the past isjust aspotent in conditioning expectation as awhole section of pastevents. Thephrase past experiencealso refersto the more remote, but everpresent, past experience of similarmusical stimuliand similarmusical situations in other works. That is it refers to those past experiences
which constituteour sense and knowledge of style.The phrasealso comprehends the dispositions and beliefs whichthe listenerbrings to the musical experiencesee pp. 73 if.! as well as the laws of mental behavior which governhis organization of stimuli into patterns andthe expectations aroused onthe basisof thosepattems see chaps.and iv!. The words consequent musicalevent must be understoodto include: ! those consequents which are envisaged orexpected; ! the events which do, infact, follow thestimulus, whether they were the ones envisagedor not; and !
the more distant ramifica-
tions or events which,because thetotal seriesof gesturesis presumed tobe causallyconnected, are considered as being thelater consequences of the stimulusin question.Seen inthis light, the meaning ofthe stimulusis not confined toor limitedby the initial triadic relationship out of which it arises. As the laterstages ofthe
Theory 37
musical process establish new relationships with the stimulus, new meanings arise. These later meanings coexist in memorywith the
earlier ones and, combining with them, constitute the meaning of the work as a total experience.
In this development three stages ofmeaning maybe distinguished.
Hypothetical meanings are thosewhich arisedin-ing theact
of expectation. Since what is envisaged is aprodnot of the Probability relationships which existas partof style gee nn 45 Hi 54 ff.!, and sincethese probability relationships always involve the possibility of alternative consequences, given a stimnlns in-
variably givesrise to several alternative hypothetical 1'neaningS_ One consequent may, ofcourse, be so muchmore Probable than any otherthat thelistener, though aware ofthe possibility of less likely consequences, is reallyset andready only for themost Probable. Insuch acase hypothetical meaning iswithout ambiguity In othercases several consequents may be almost equally Probable and, since the listener is in doubt as to which alternative will
actually materialize, meaning is ambiguous, though not necessarily less forceful and markedsee pp.51 ff.!.°
Though theconsequent which is actuallyforthcoming must be possible withinthe style,it may or maynot be one of those which
was most probable. Or it mayarrive only after adelay ora deceptive diversion through alternative consequences. But Whether ont exPee_ tations areconfirmed ornot, a new stageof meaningis feaelied when the consequentbecomes actualizedas aconcrete musicalevent, Evident meanings are those which are attributed to the ante-
cedent gesture when theconsequent becomes a physico-psychic fact and when the relationship between the antecedentand oonsequent isperceived. Since the consequent of a stimulus itselfbe-
comes a stimulus with consequents, evident meaning also inolndes the laterstages of musical development which arepresumed to bg the products of achain ofcausality. Thus in thefollowing seqnenoe, where astimulus S! leads toa consequentC!, which is also a
stimulus that indicates and is actualized in furtheroonseqnents, S, ......
C,S2 ......
CZS3 ......
etc,
38 Emotion
and Meaningin Music
evident meaningarises notonly out of the relationship between S, andC, but also outof the relationships between S1 andall subsequent consequences, in so far as these areconsidered toissue from Sl.It is also importantto realizethat the motion S,...... C, may itselfbecome agesture thatgives riseto envisagedand actual consequents and hence becomes a termor gestureon anotherlevel of triadic relationships. Inother words,both evident and hypothetical meanings come intobeing andexist onseveral architectonic levels.
Evident meaningis colored and conditioned by hypothetical meaning. Forthe actualrelationship between the gestureand its consequent is always considered in the light of the expectedrelationship. Ina sensethe listenereven revises his opinionof the hypothetical meaningwhen the stimulus doesnot move to the expected consequent. Determinate meaningsare thosemeanings whicharise outof the relationshipsexisting betweenhypothetical meaning,evident meaning, and the laterstages ofthe musicaldevelopment. In other words, determinate meaning arises only after the experience of the work is timeless inmemory, onlywhen allthe meanings which the stimulus has had inthe particularexperience are realized andtheir relationships toone anothercomprehended as fully as possible. TI-IE OBIECTIFICATION
OF MEANING
A distinctionmust bedrawn betweenthe understandingof musical meaningwhich involvesthe awareness of the tendencies, resistances, tensions, and fuliilments
embodied in
a work
and the
self-conscious objectiflcation of that meaning in the mind of the individual listener. The formermay besaid toinvolve ameaningful experience, the latter involvesknowing whatthat meaningis, considering it as anobjective thingin consciousness. The operationof intelligencein listening to music need never become self-conscious. We are continually behavingin an intelligent way,comprehending meanings and acting upon our perceptions, cognitions, and evaluations without evermaking themeanings themselves the objects ofour scrutiny-without ever becoming selfconscious about what experience means. What Bertrand Russell says
Theory 39 about understanding language also applies tothe understanding of music: Understanding language is. . . like understanding cricket;
it is a matterof habitsacquired inoneself and rightly presumed in others.
47
Meanings becomeobjectiiied only under conditions of selfconsciousness and when reflectiontakes place,Une attains selfconsciousness only as hetakes, orEnds himselfstimulated totake, the attitudeof the other. B Though trainingmay makefor a gen_ erally self-conscious attitude, oneis stimulatedto takethe attitude of the other when the normal habits of response aredisturbed in
some way;when oneis driven to ask ones self;What doesthis mean, whatis the intention ofthis passage? Reflection islikewise brought intoplay wheresome tendency is delayed,some patternof habitual behaviordisturbed. Solong asbehavior isautomatic and habitual thereis no urge forit to become self~conscious, though it may become so. If meaning isto becomeobjectified atall, it will as a rule become so when difficulties
are encountered that make nor-
mal, automaticbehavior impossible. In other words, givena mind disposed toward objectification, meaning will becomethe focusof attention, anobject ofconscious consideration, when atendency or habit reaction is delayed or inhibited. MEANING AND
AFFECT
It thus appears thatthe sameprocesses which were saidto give
rise toaffect are now saidto giverise tothe objectification of embodied meaning.
But this is a dilemma onlyso longas thetraditional dichotomy between reason and emotionand theparent polaritybetween mind and bodyare adopted.Once it is recognizedthat affectiveexperience isjust as dependent uponintelligent Cognitionas conscious intellection, thatboth involve perception, takingaccount of, envisaging, andso forth, then thinking and feeling need not be viewed as polar oppositesbut as different manifestationsof a single psychological process.
There is no diametricopposition, noinseparable gulf,between the affectiveand theintellectual responses made tomusic. Though they are psychologically differentiated as responses, both depend
40 Emotion
and Meaning in Music
upon the same perceptive processes, the same stylistichabits, the same modes of mentalorganization; and the samemusical processes give riseto and shape bothtypes ofexperience. Seen in this light, the formalists conception ofmusical experience and the expressionists conception of it appear ascomplementary rather than contradictory positions.They are considering notdifferent processes but differentways ofexperiencing thesame process. VVhether a piece ofmusic givesrise toaffective experience or to intellectual experience depends uponthe dispositionand training of the listener. Tosome mindsthe disembodied feeling of affective experience is uncanny andunpleasant and a processof rationalization is undertaken inwhich themusical processes are objectifiedas conscious meaning. Belief alsoprobably playsan importantrole in determining thecharacter ofthe response. Those whohave been taught to believe that musical experience is primarily emotional and who are thereforedisposed torespond affectivelywill probably do so. Thoselisteners whohave learnedto understandmusic in technicalterms willtend tomake musical processes an object of conscious consideration.This probably accounts for the fact that
most trainedcritics andaestheticians favor the formalistposition. Thus whilethe trainedmusician consciously waits for the expected resolution ofa dominantseventh chord the untrained,but practiced, listener feelsthe delay as affect. MUSIC AND
COMMUNICATION
Meanings and affects may, however, arise without communication taking place. Individual A observesanother individual B wink
and interpretsthe wink as afriendly gesture.It has meaning forA who observes it. But if the wink was not intentional-if, for instance, B simply has a nervous tic-then no communication has
taken place,for to B the act had no meaning.Communication, as Mead haspointed out,takes placeonly wherethe gesturemade has thesame meaning for theindividual whomakes itthat it has for the individualwho responds to it. It is this internalizationof gestures, what Meadcalls taking the attitude of the other 5° the audience!, which enables the creative artist, the composer, tocommunicate withlisteners. It is becausethe
Theory 41 composer isalso alistener thathe is able tocontrol hisinspiration with reference to the listener." For instance, the composer knows how the listener will respond to a deceptive cadence and controls
the laterstages ofthe composition with referenceto that supposed response. The performer toois continuallytaking the attitude of the other-of
the listener.As Leopold Mozart puts it, the performer
must play everything insuch away thathe will himself bemoved by it. 52 It is precisely because he iscontinually takingthe attitudeof the listener thatthe composer becomes aware and conscious of his own self, hisego, inthe processof creation.In this process ofdifferentiation betweenhimself ascomposer andhimself asaudience, the composer becomes self-conscious and objective. But though the listenerparticipates inthe musicalprocess, assuming therole whichthe composer envisaged for him, andthough he must,in somesense, create his ownexperience, yet he neednot take the attitude of the composer in order to do so. He need not
ask: How will someoneelse respondto this stimulus? Noris he obliged toobjectify hisown responses, to ask,How am I responding? Unlike the composer,the listener may and frequently does lose himself in the music; and, in following and responding to
the soundgestures made by the composer, the listener maybecome oblivious ofhis ownego, whichhas literallybecome one with that of the
music.
We must,then, bewary of easy andhigh-sounding statements to the effect that we
cannot understand
a work of art without, to
a
certain degree, repeating and reconstructing the creative process by which it has come into being. 5* Certainly the listenermust respond to the work of art as the artist intended, and the listeners experience of the work must be similar to that which the composer en-
visaged forhim. Butthis is a differentthing fromexperiencing the creative process which broughtit into being. However, thelistener maytake theattitude ofthe composer. He may be self-conscious inthe act of listening. Those trainedin music,
and perhaps those trained in the other artsas well,tend, because of the criticalattitudes whichthey havedeveloped inconnection with their ownartistic efforts,to becomeself-conscious and objective in
42 Emotion
and Meaning in Music
all their aesthetic experiences. And it is no doubt partly for this reason that,as notedabove, trainedmusicians tendto objectify meaning, toconsider itas anobject ofconscious cognition see also p. 70n. 24! .
Finally, andperhaps most important ofall, this analysis ofcommunication emphasizes the absolutenecessity of a commonuniverse of discourse in art. For without a set of gestures common to the
social group, and withoutcommon habit responses those to gestures, no communication whatsoever would be possible. Communication
depends upon, presupposes, and arises outof the universe ofdiscourse whichin the aesthetics ofmusic iscalled style.
Il
Expectation and Learning In the preceding chapter the inhibitionof a tendency torespond or, on the consciouslevel, the frustration of expectation wasfound
to bethe basisof theaffective and the intellectualaesthetic response to music. If this hypothesis iscorrect, then an analysisof the process
of expectation is clearlya prerequisite for theunderstanding of how musical meaning, whether aflectiveor aesthetic,arises inany particular instance.Such ananalysis isalso necessary if the evidence used in support ofthe hypothesis,evidence whichrelates speciilc musical processes to stipulationsof affectivity and aestheticpleasure, isto be interpreted ina meaningfulway. A general distinction must be drawn at the outset betweenthose expectations thatarise out of the nature of human mental processes
-the modesin whichthe mindperceives, groups, and organizes the data presented by thesenses-and those expectations that are based upon learningin the broadest sense of the term. In the actualperception of music there is, of course, an intimate and subtle inter-
action betweenthe two types of expectation. Paradoxical though it may seem, theexpectations based upon
learning are, in a sense, prior to thenatural modes of thought.For We perceiveand think in terms of a specific musicallanguage just
as wethink in terms ofa speciHc vocabulary and grammar; andthe possibilities presented to usby a particular musical vocabulary and grammar condition the operation of our mental processes and
hence ofthe expectations which areentertained on the basisof 43
44 Emotion
and Meaning in Music
those processes. The mind,for example,expects structural gaps to be filled;but what constitutes such a gapdepends upon what constitutes completeness within a particular musicalstyle system.Musical language, like verballanguage, isheuristic inthe sensethat its forms predetermine forus certain modes of observation and interpretation. 1Thus theexpectations which result fromthe nature of humanmental processes are alwaysconditioned bythe possibilities andprobabilities inherent in the materials andtheir organization aspresented ina particularmusical style. In this chapter therelationship between expectation andlearning will be examined. The mannerin which the mind groups and organizes thedata presented to it by the senses, the structure of the thinking process asconditioned bythe learnedresponse sequences, and the manner in whichthis process gives riseto expectation will be thesubject ofchapters iii,iv, andv. The study of expectationwhich follows makes nopretense to completeness: Hrst, because a complete andsystematic study of the process ofexpectation would be aformidable task, requiring aseparate monograph of its own; 2second, because a detailed account of expectation would haveto bepreceded bya greatdeal ofexperimental workin the Held ofpattern andfigure perception in music; and third,because such a studywould entaila detaileddescription and sensitiveappreciation ofthe stylisticcontext withinwhich the process ofexpectation was being studied. This necessityfor stylistic understanding hasdetermined the choice of examples inthe following chapters. In order not to further
complicate thealready difHcultand delicatetask of discussing expectation, noattempt ismade inthis andthe followingthree chapters toprove thatthe processes examined do, in fact, have affective aesthetic meaning; that is, no commentaries from outsidesources, from composers,critics, theorists, and the like, as to the affective aesthetic nature of the various examplesare introduced. Since the general reader is more likely to have developed sensitive habit re-
sponses to the musicof WesternEurope ofthe pastthree hundred years thanto anyother partof the literature ofmusic, theexamples in thesechapters have been chosen from the music ofthis period. In chaptersvi andvii, wherecomments on the examples by com-
Expectation andLearning 45 posers, perfonners, theorists, and critics areintroduced inevidence, both the examples and the commentaries have beentaken from a wide varietyof cultures,styles, andepochs.
Style: Formal Considerations Musical stylesare moreor less complex systems of sound relationships understood and usedin commonby a group of individuals. The relationships obtaining within such a style system are such that: a! only some sounds or unitary sound combinations are possible;b! those sounds possible within the system maybe plurisituational withindened limits; c! the sounds possible within the system can becombined only in certainways toform compound terms; d! the conditions stated in a!, b!,
and !
are subject
to the probability relationships obtaining withinthe system;3 e! the probabilityrelationships prevailing within thesystem are a function of context withina particularwork aswell aswithin the style system generally. The occurrence of any sound orgroup ofsounds, simultaneously orin sequence,will be more or less probabledepending uponthe structureof the system and the contextin which the sounds
occur. SOUND TERMS AND SOUND STIMULI
A soundor group of sounds whether simultaneous, successive, or both! that indicate,imply, or lead thelistener toexpect amore or lessprobable consequent event area musicalgesture orsound term within a particularstyle system. The actualphysical stimulus which is the necessary but not suflicient conditionfor the sound term will
be called
the sound
stimulus. The
same sound
stimulus
may giverise to different soundterms in different stylesystems or within oneand thesame system. This is analogous tothe fact that the same word sound stimulus! may have different meanings may become different sound terms, implying different consequents! indifferent languages or within one andthe samelanguage. The word gauche, for example, hasdifferent, thoughrelated, meanings inEnglish and French, while words such as "cross," "ground," orinterest have diHerent meanings within one and the
46 Emotion and Meaning in Music same language. In other words, asound stimulus does notbecome a soundterm untilit becomes realized aspart of a systemof sound relationships and until its particular functionwithin that system is made apparent.
On theother hand,although itis clearthat asound stimulus cannot becomea soundterm apartfrom the context ofa particular style system, it must be remembered that, sincethe listeneris part of a culture that he takes for granted, a single isolated sound stimulus will tend to be interpretedas part of the prevalent style system ofthe culture,i.e., asa soundterm. Thusa dominantseventh chord, for example, even though not incorporated intoa specific context, is for the Western listener still a sound term, since the sound stimulus is heard within the prevalent style of Western music.
As we shall see,almost all studies in comparative musicology emphasize that the samesound stimulusoften hasdifferent meanings, is a different sound term,in different musical culturesand styles andthat seemingsimilarities areoften verydeceptive. Fox Strangways, forinstance, points out that a pieceof Indian music which sounds to Westernears asthough itwere inC majoractually has quite a different tonic and, consequently, quite a different group of tendencies andprobability relationshipsfor the knowledgeable Hindu listener#
Within a single cultureor even within one piece of music the same sound stimulus maygive riseto severaldifferent sound terms. This iseasily seen in the tonal system of Westernmusic ofthe past two hundredyears. Froma harmonicpoint of view, for example, a chord sound stimulus! mayhave differentfunctions in different keys. A chord which is a tonic in one key which bearscertain more or less definiteprobability relationshipsto other harmonic possibilities! maybe a dominant in another key,and so forth. Within one and thesame tonalitya particularsound stimulus may give riseto a sound termat onetime and not at another. Forwhether
a soundstimulus becomes a soundterm dependsupon itsfunction in theparticular passage. At onetime thesound stimulus may imply and indicate consequents and be consideredas being structural, as beinga soundterm; at another timethe samestimulus, though
Expectation andLearning 47 it is part of a soundterm which has implications,is not itself a sound term-doesnot in and ofitself giverise tomeaning. Since musical structures are architectonic, a particular sound
stimulus whichwas considered to be a soundterm or musical gesture on one architectonic level will, when considered as part of a larger moreextended sound term, nolonger functionor be understood asa soundterm in its own right. In other words,the sound stimulus whichwas formerlya soundterm canalso beviewed as a part of a larger structurein which it does not form independent probability relationswith other sound terms.In short, the same sound stimulus may bea soundterm onone architectonic level and not on another.
The various levels of architectonic signification are, of course,
interdependent. ]ust as therecan beno chapterswithout meaningful relationshipsbetween paragraphs, or paragraphs without meaningful relationshipsbetween sentences, so the significance ofthe longer partsof amusical workdepends upon the existence of meaningful relationshipsbetween theshorter ones.There couldbe no musical sections if one period didnot in some wayimply andlead to consequentperiods, andthere could be no periods if the phrases which form
them did
not follow
one another
in an
understandable
and meaningfulway. Theexistence and coherence of higher, more extensive architectoniclevels isdependent uponthe meaningfulrelationships established on lower architectonic levels. This is not to
say thatthe meaningof higher architectonic levels is merely the sum of the meaningsof the sound termsincluded in them, any more thana chapteris the sum of the paragraphs, sentences, and words contained
in it.
While the meaning ofa musicalwork as a whole, as a single sound term,is not simply the sum of the meaningsof its parts, neither isthe entiremeaning ofthe work solely thatof its highest architectonic level.
The lower
levels are
both means
to an end and
ends inthemselves. The entire meaning of a work, asdistinguished from themeaning ofthe workas asingle sound term, includes both the meanings of the several parts and themeaning ofthe work as a single sound term or gesture. Both must be considere_din any
analysis of meaning.
48 Emotion
and Meaning in Music
As observed in chapteri, meaningis notstatic andimmutable but an evolving,changing attributionof a gesture orsound term.The meaning ofsound terms on all architectonic levels, even thehighest one, exhibitsgrowth and change. Andthe entire comprehensive meaning ofa givenmusical workincludes thehypothetical, evident, and detenninate meanings of the multitudeof soundterms thatare contained in it as well as the relationships existing between these sound terms.
Often thehypothetical meaning of a sound termis verydifferent from its evident meaning, and its evident meaningis conditioned and modifiedby this difference. TheC-minor Fugue fromthe first book of the Well-tempered Claoier furnishes an excellent instance
of sucha changein the meaning ofa soundterm measures 9-11, Example 2!. In measure9 a sequence through the cycleof fifths anvil A171 :uri '§' l ` ._ ,Q1 F=I .ll
lg 111 Lit! YT ':-| l 1 -Y I
Ix i-1-;.; l- T- rl 1 !I
il; l..lY' ' ilrqni il-__-§.l _
*.
5
i3
_ll ii
_
U
l151il-il'lll1¢|$- riiiil: 11-4r-11-l¢921I!.| r "r1=F=:-_-nz _ 2 =_4 r ' |v92i§=; YTYI vA.92|1_11_-II; L14|.v'._ll!§,92`l-IJ Tl Ld r!l¢I_; --Q ri ;ll_lI-"$_II ;4»1 I'l1lZ*1_1l.A rnuzlginng
®» ®
`®
EXAMPLE 2
with imitationsbetween the soprano and alto isbegun. The sequence continues throughmeasure 10and apparentlyinto measure11, where the motive markedx is at first understood aspart of the sequence; that is, we suppose thatthe sopranowill move to D in the followingbar. However,once thewhole ofmeasure 11 and the beginning of measure 12have been heard, we realize that the hypothetical meaning attributed tox waswrong, thatit is not really part of the sequencebut the beginning of the fugue theme, in short, that its evident meaning is quite different from its hypothetical meaning. It is very clear that Bach intends us to make this
mistake. For he could easily havemade it clear that the fugue subject begins at this point by stopping thesequential progression in the left hand at the beginning of measure 11.Notice that om'
cognition of the evidentmeaning includesour conceptionof the hypothetical meaning; the sound term is not only evidently the
Expectation andLearning 49 beginning ofthe fuguesubject, butit is the beginningabout which we wereoriginally mistaken. Furthermore, itis notonly ouropinion of thesignificance of x thatis revisedin measure11 butour opinion as to the significance of the whole episode, which nowappears to have thismusical pun as oneof its meanings. The factthat aswe listento musicwe areconstantly revising our opinions ofwhat hashappened inthe pastin the light of present events isimportant because it meansthat weare continually altering our expectations. It means,furthermore, thatrepetition, thoughit may existphysically, neverexists psychologically. Thus, thoughit may seema truism, it is of some moment to recognize thatthe repetition, say, of theexposition section of a sonata-form movement or that of the first-theme groupin the recapitulation hasquite a different meaningfrom that communicated bythe original statement.
It is also importantto realize that the more completea series becomes, themore specificbecome the hypothetical meanings attributed toparts ofthe series. The relationships obtaining between two tonesprovide thelistener withless basisfor specificexpectation thanthe relationships between five,six, orten tones.Similarly the repetitionor seemingrepetition ofa part arouses more specilic expectations than the firststatement ofthe part.The lesscomplete the part,the moreprobable thatwe shallhave torevise ouropinion of someor all of its terms. Toput it another way,the lesscomplete the part,the weakerthe probabilityrelations between those terms already established and anyfuture parts. Here perhapsan illustrativeanalogy mightbe helpful. Suppose that weare presented with thenumber series 2. 3. 5
The continuationof the series isin doubt. It might continue with the number10 if the serieswere arrivedat throughover-all summation, orit might continue withthe number8. In the latter case the seriesmight continuein at least two ways, dependingupon whether thenumber 8was obtainedby progressivelyaugmenting the amount of increase between successivenumbers + 1 : 3, 3 -|- 2 : 5, 5 -|- 3 : 8!, in which case the next number would be
twelve 8+ 4 : 12!, or whetherthe serieswas obtained by adding
50 Emotion
and Meaning in Music
its two Bnal numbers -|- 3 : 5, 3 -}- 5 : 8!, in which case the next term would be 13 -1- 8: 13!. As the series unfolds, our
expectations as to subsequent terms become more andmore specifdc. This is exactly whathappens asa musicalsound termunfolds. It follows from thisthat, sincedepartures fromor delaysin the normally expected course ofmusical events will be most eHective where that course is most specificallyand preciselyenvisaged, deviations willbe mosteffective where the patternis mostcomplete. And presuming that suchaffective deviants would occurwhere they would bemost effective, we shouldexpect tofind themwhere the pattern ismost complete. This expectation is borneout bythe practice of musicians. Observe especially thatembellishments are best applied tothose places where amelody istaking shape, as itwere, or where its partial, if not complete,meaning orsense has been revealed. Hence with regardto the latter case,they arefound chiefly at half or full closes, caesurae, and formate. ° Sachsattributes the
fact that a new tone generally ventures toappear onlytoward the end of the phrase,when thenucleus hasbeen wellestablished, 7 to the power oftradition. Butthe explanationwould alsoseem to lie in the fact that suchnew tones,which arepalpably deviations, delaying thearrival ofexpected, traditional consequents, are probably introducedfor the sake of expression andaffect. Theyare brought in at the end of the phrase,when it has alreadytaken shape, because it is at this point, wherethe subsequent terms of the seriesare mostspecifically envisaged, that they will have the greatest effect.
Thus theeffect ofany particulardeviant isa functionof its position in the series. A deviantwhich mighthave onlya slighteffect at the beginningof a series, whereexpectation entertains a greater number of alternatives ofapproximately equalprobability, may have apowerful effecttoward theend ofthe series, where expectation is more particularand wherethe probabilityof expectationis liable tobe greater. Of course,if a series isbeing repeated, then any point in the serieswill arousedefinite expectations based uponthe earlier version of the series; and a variation in the series will be most effective.
Expectation andLearning 51 AMBIGUITY
A soundterm canhave differentmeanings atdifferent times,but this does not prove that the term, or the hypotheticalmeaning which it Hrst has,is ambiguous.For ambiguityis a state ofmind in the listener, notsimply a case ofdouble meanings. If we are certain in our mindsas to the meaningof a sound termwhen it first appears,then it is not ambiguous atthat time.And if we are not in
doubt when
the same
sound term
is understood
in a
new
way, whenwe knowits evidentmeaning, thenit is still not ambiguous. Thusin the Bach Fugue,discussed previously,we are at Hrst
quite surethat the motive soundedon E-flat is a continuation of the established sequence; but as soonas theexpected sequence is not forthcoming, we revise our opinion and are certain, as we hear
more music, that whatwe heardand arehearing isthe fuguesubject itself rather than a fragment of it.
But even a sound term which does imply several alternative modes ofcontinuation mayseem clearand unambiguous. For the expected consequents need notbe mutuallyexclusive. They may be realized successively. Often awell-shaped melody, for instance,implies several alternative goals.And the realization of one mode of
continuation doesnot precludethe subsequentrealization of another seep. 100!. VVhat isimportant is that the implications be definite and
clear.
There are, however, soundterms that are decidedly ambiguous?
Ambiguity arises either because the progressions involved ina passage areso consistently irregular andunexpected thatthe listener begins todoubt therelevance and efficacy ofhis ownexpectations or because the shapes of the sound termsare soweak anduniform that there is only a minimal basis for expectation. Thefeeling is one
of suspenseand ambiguity.Both theseaspects ofambiguity are more fully discussed inchapter v.
Ambiguity isimportant because it givesrise toparticularly strong tensions andpowerful expectations. For the human mind, ever searching for the certaintyand controlwhich comes with the ability to envisageand predict,avoids andabhors suchdoubtful andconfused states and expects subsequent clarification see Dp. 16, 26!.
52 Emotion
and Meaning in Music
There would seem to be various degrees of ambiguity. A sound stimulus becomesa sound term by entering into probability rela-
tionships withother soundterms withinthe style.These probability relationships are of differentdegrees. For example, itis quite probable that the tone which comesafter an upward skipof a minor sixth will descend, whilethe probabilityof which tone will come after a skip of a majorthird is more doubtful.The moreequal the probability ofdifferent alternative consequents, the more likelythat the musicalprogression willseem ambiguous. The factthat aswe listento musicwe not only interpretpresent stimuli on the basisof past events butalso viewpast eventsand expect futureones onthe basisof present stimuli meansthat a process atfirst felt to be ambiguous may later be seen asless so. Similarly processes at first considered unambiguous may later be seen asinvolving or leading toward ambiguity. In other words, ambiguity dependsupon the structural architectonicviewpoint taken towardthe stimulusseries inquestion. Apassage orsection which on the level of the phrase or period appearsto the mind as
ambiguous anddoubtful will, as a rule, seemunambiguous when considered fromthe viewpoint of the total section.To put the matter paradoxically: the unambiguous meaning ofthe wholemay be aproduct ofthe ambiguityof the part. STATIC VERSUS DYNAMIC CONCEPT IONS OF MUSICAL PROCESS
The precedingdiscussion points up the dangers ofconcentrating too much attention upon the structure of the musical work as a
single soundterm interpretedas a stable whole.The disciplesof Schenker have not beensu$ciently awareof thisdanger. Toomuch emphasis uponthe highestarchitectonic levelnot only tends to minimize theimportance ofmeanings asthey ariseand evolveon other architectonic levels butit also leads toa staticinterpretation of the musical process.
The very conception ofchord prolongation, so importantto their view of musical growth, is a semantic confession that the musical processis, in spite of their explicit statements to the con-
trary, basicallyseen asstatic. If what occursafter a given structural harmonyprolongs it, the implication is that the music is
Expectation andLearning 53 heard more in relation to the past than in relation to what is still
to come.And while the pastof any sound termis of great irnportance, it is of importance mainlybecause ourexpectations as to impending events are based upon ourexperience and remembrance of the past.
If, for example, theintroduction to the first movement ofBeethovens Piano Sonata, Op. 81a isregarded as an extended prolongation of the openingE-flat majorharmony, themain pointof the introduction is,it seemsto me,missed. Forthe passage is heardjust the otherway around:the openingprogression leads us to expect a cadence in E-flat, and the whole introduction
consists, in a sense,
in delayingthe arrivalof sucha cadenceuntil after the allegrohas already begun. The meaningof the passage and its affectivepower derives fromthis inhibited tendency towarda perfect cadence in E-Hat. Allthis is missed ifthe introductionis considered as a prolongation ofE-flat major.At best, we understandthe introduction as aprolongation onlyafter it is finished. Felix Salzers condemnation ofthe concept of modulation° is symptomatic ofthis essentially static viewof musicalmeaning. Itis true that,when weconsider theevident anddeterminate meaning of the whole work,modulations can be regardedas passingintensifications ofthe main key. But this view ignores thatthe entire meaning ofthe workincludes themeanings ofthe severalparts and the various
architectonic levels.
While we are experiencing music, we hear modulations and
changes of key; weexperience shifts in tonalcenter. Merely because some of these changescannot be directly and immediately related to the key of the work as a whole does not mean that they are not
felt and lack signification;nor doesit mean that they cannot be understood. Toextend ananalogy, borrowed from Salzerhimself, harmonic excursions can be understood injust the same wayas departures fromthe straightnarrative linein a novel-the complications of the plot-can be understood. Only when the piece of music is complete, when it is timeless in
memory, doesSalzers pictureof music exist. Andeven thenthe picture isincomplete, since it ignoresthe experience of the work in time, which is part of our picture of the work as a whole. Theories of music which imply that melodic similarity results in
54 Emotion
and Meaning in Music
musical unityof necessity adopt amore orless mechanistic conception of what constitutes aesthetic unity. Unity is not a matter of
employing asingle tonalityor a single melodickernel asthe basis of all the themes of a piece. What is required if the elementsof a work of art are to be compounded into an aesthetic wholeis the presence ofan orderingsystem ofbeliefs and attitudeswhich makethem mutuallyrelevant to one another;and, conversely, thematerials handled in a work of art and the emotionswhich
they express,may vary indehnitely without endangering theintegrity of the whole solong asthey areheld togetherby a controlling system of expectations.
The criticismsof thedisciples ofSchenker should by nomeans be understood asa wholesalecondemnation. Themethod and many of
the conceptswhich Schenkerand othershave developedcan be a greatvalue inthe analysis of music,and theirinfluence upon this study is obvious. Thecriticisms aredirected merelyagainst those aspects ofthe theorythat tendto treat a musicalcomposition as a thing insteadof as a process which givesrise to a dynamicexperience. PROBABILITY
We havestated thatstyles inmusic arebasically complex systems of probability relationships inwhich the meaning ofany term or series ofterms depends upon itsrelationships withall other terms possible withinthe stylesystem. Aglance atalmost anybook on the theory of music_ whether Zarlinos or Rameaus! or the exami-
nation of any discussion or descriptionof style whether oriental, occidental orprimitive! will indicate, eitherdirectly orby implication, tl1atthis is the case.For example,the followingtable only the beginning of whichis cited! given byWalter Piston 11 isactually nothing morethan a statement ofthe systemof probabilitywhich we knowas tonalharmony: TABLE OF
USUAL ROOT
PROCRESSIONS
I is followed byIV or V, sometimes by VI, less oftenII or III. II is followed byV, sometimes VI, lessoften I, III, or IV. III is followed byVI, sometimes IV, lessoften II or V. IV is followed byV, sometimes I or II, lessoften III or II. V isfollowed byI, sometimes VI or IV, lessoften III or II.
Expectation andLearning 55 Laws of melodic progression, such asthe Lipps-Meyerlaw, are essentially statements of probabilityrelationships stated in a quasimathematical formulation relevant to particular style systems.
Stylistic descriptions are alsoexpositions ofthe probabilityrelations thatprevail withinthe systemunder investigation. When, for example, FoxStrangways givesthe scale of Rag Pilu 12as in Example 3,he is indicating by his notation certain probability
EXAMPLE 3 °
relationships withinthe tonalmaterials available. He is telling us, for example,that C is likely to be the final tone, thatthe melody will tend
to center about the tone E-flat, that the tones D-flat, E,
F-sharp, A-flatand B-naturalwill be tones whichtend to move toward themore stabletones inthe system,and soforth. Therelationships obtainingwithin this particular part of the total style system arefurther speciHed by written exposition: . . Pilu, for instance, has an E and an E-flat with a D and an F on either side of
them; butin a given passage either E or E-flat will occur, but not both as a rule. 1 Notice, too, that certain temporalrelationships are alsoimplicit in this material;that is, that the tones writtenas underlined wholetones arelikely to be sustainedlonger thanthe tones notso markedand thatthose notunderlined arelikely to be held longerthan thosewritten asquarter notes,etc. Statistical style studies, such as those made by Frances Densmore in
her work
on American
Indian music,
also indicate
that
probability is one of the centralfacts of style. Tableslisting the number ofascending and descending intervals, the numberof accidentals, or the number of times a certain interval is employed in
ascent ordescent, forinstance, are all statements about probability. This conclusion is emphasized by the fact thatthe figuresare given in percentages.
The difficultywith statisticalstyle studies is threefold.First, there are, aswe shallsee inchapter iii,certain naturalprobabilities, such ° By permission ofThe ClarendonPress, Oxford.
56 Emotion
and Meaning in M usio
as the fact that a processonce establishedtends to continue in the
same manner, which need not becomemusically actualizedin a majority ofcases inorder tobecome probable within a style system. Although this might be overcome bypositing certain natural probabilities, itis alwayspossible thatwhat isnatural, evenin this psychological sense, may becomeculturally overlaid and hence inoperative. Statistics cannot tellus whetheror not this is the case. Second, instyles whichare not static theprobability relationsare constantly changing, albeit slowly and subtly.This is simply another wayof sayingthat, in a sense, each particularpiece isalso a particular stylesystem. Third,it is clear thatone stylesystem may presume aknowledge ofother styleswhich do not becomeovertly realized ina statisticalsense. Thus, although thefull cadenceand diatonic melodic motion arenot prevalent in thestyle ofWagner, for example, Wagnersstyle nevertheless presupposes these as basic norms. It seems tothis writer that in stylistic studyand analysis there is no substitute for a sensitive responseto the style. This
can beachieved onlythrough practicein listening and betterstill in performance.
Finally, wemay notethat in many theoretical systems the importance ofprobability relationships is madeclear inthe wayin which the tonesof the system arenamed. Thusthe normative tones, those
toward whichother toneswill probablymove, havebeen giventhe basic names, while the other toneshave beengiven namesrelated to these, often in terms of their probable motions. In Western
music, forexample, thestable tones are namedthe tonic,mediant, and dominant,while the subsidiary tones are namedin relationto these, forinstance, leading tone leadingto the tonic! and supertonic. In
the music
of China
non-structural tones
take the
name of
the structuraltone to which they move togetherwith the word pién, meaning on the way to or becoming Probability relationships arelikewise implicit in the names givento severalof the structural tones in the theory ofHindu music,e.g., amsa, samuadi, etc. FORM, PROBABILITY,
AND EXPECFATION
The architectonic nature of most larger musical structures has
been mentioned.Although the probability 'relationshipsof the
Expectation andLearning 57 smaller unitsare alsoappropriate tothe organization of larger structures, it is clear that the larger groups and sections exhibit
certain specialmodes of organization andcombination, certain
special probability relationships, which exist inaddition to,though not in conflict with, the probability relationships ofthe smaller
parts. Inother words, forms are special aspects of style,alternative probability groups, each of which exhibits its ownspecial probability relationships within the totalstylistic context. Like theperception of and response to the more generallycontinuous aspects of style,the understanding of fonn is learned, notinnate. The conceptof a form involvesabstraction andgeneralization. Our feelingof whata sonataform ora themeand variationsis does not derivefrom our experience ofthis or that particularsonata or theme andvariations butfrom ourexperience of a hostof worksin such forms. Out ofthis experience the classconcepts which we label as thisor thatform aredeveloped. The genesis ofclass concepts in which forms, under the influence of mental tendencies, become normalized will be further discussed inchapter iii. Here it is sufli-
cient topoint outthat oncea workis recognized as beinga typefor which an abstract, nonnative class concepthas been evolved, then
that ideal type becomesthe basisfor expectations. At Hrstglance theformation ofclass concepts seems to distinguish the probability relationships developed in connectionwith form from those
established in
connection with
the more
continuous
aspects of style discussed earlier. Inthe caseof styleit might seem as thoughhabit responses and probabilities are established by exact repetition, whilein the case ofform exactrepetition isunknown. However, thedevelopment ofall stylistic response sequences involves abstraction; and everyoccurrence of a giventonal sequence or rhythmicsuccession aisparticular,for it becomes significant and meaningful only in its context, whichis of necessity particular. Thus our conceptionof a plagal cadence is just as muchan abstraction as isour conception of, for instance, aconcerto grosso. We have,let ussay, aconcept ofwhat afugue is.The conceptis not ofthis orthat particularfugue butis basedupon ourexperience of amultitude offugues. Aswe listento a particular fuguewe compare itsspecial progress with the progress expected on thebasis of Our normalized concept ofa fugue.Those progressions which seem
58 Emotion
and Meaning in M usic
irregular andunexpected relative to the generalized fugue of our imagination are then thedeviants thedelays and resistances! which arouse the affective aesthetic response.
Such idealtypes are not, however,Bxed andrigid. They are flexible fromtwo separatepoints of view. Our class concept of a form isconstantly being modified bynew experiences of that form. Each time,for example,we heara new work that can berelated to our concept ofsonata formor perceivea work already heard from a new point of view, our generalizedconception ofsonata form ismodified, ifonly slightly.It is partly thiscontinual modification of formal conceptionsand, incidentally,general stylisticones as well! which enables us torehear awork manytimes. Foras the norm with which we compare theparticular haschanged since a previous hearing,the expectationswhich are entertained onthe basis ofthe normwill alsohave changed, and thenew hearingwill involve newperceptions andnew meanings.Norms, furthermore, are flexible,in the sense thateach ofthe variouspossible antecedents
usually hasseveral alternative consequents, some of whichmay be equally normative, i.e., equallyprobable. Ofcourse, as noted earlier, as thework progresses the alternativesbecome fewerand the sequence becomes more determined. Not only are thereclass concepts of forms in generalbut these concepts are always modified by a particular style.That is,we not only havean abstractconception offugue in general butwe also have anideal typefugue inthe styleof Bachas distinguished from one byBrahms orHindemith. Awhole hierarchyof formsis maintained inthe mind,from thegeneralizations resulting from several performances ofthe samework and those arisingfrom stylistic experience to those based on theconcept ofform in general. Thus itis notonly importantto know,in a general way, what the style ofa pieceof musicis sothat the responses brought into play will be the relevantones, butit is also importantto know what formal procedures are beingemployed. Forour opinionsas toform modify andcondition ourexpectations. We bring differentsets of expectations to a Schubert impromptu than to a sonata movement
by thesame composer. Moreover, as noted above, nominally similar forms whichdiffer in style areoften quitedifferent inform aswell.
Expectation andLearning 59 Hence formis alwaysspecified withreference tostyle, justas style should beparticularized withreference toform. The experienced listener will, for example,bring a very different set of habit responses intoplay if he is about to hear a sonata movement by Stravinsky from those which will be activated if he is about to hear
a sonataby Schubert.This doesnot meanthat the experience of the Schubertsonata does not play a part in the perception ofthe one by Stravinsky. Inso far as the general conceptof sonatais brought tobear onthe listenersexperience, itis clearthat having heard asonata bySchubert does influence ourperception ofStravinsky. Likewise our experience of sonatas by Stravinskyor another modern composer, by modifying our classconcept ofsonata, will influence, thoughto a lesser extent,our experienceof Schuberts sonatas.
Furthermore, information about theform and style of a work is important because, as weshall seelater inthis chapter,it conditions not only what we look for, and hencewhat we perceive, butalso the speedof our perceptions and our responses. Of course,we neednot be told what we are going to hear. An experienced listener can placea work as to form and style onthe basis ofmusical clues,such asharmony, melody,texture, instrumental style, and thelike. Noris it necessary that we shouldbe able to namethe composer or the style. Whatis vital is that we recognize, inthe sense of bringingappropriate habitresponses into play, the styleand form early enoughin the course oflistening sothat important initialrelationships are not missed. A distinction was drawn earlier between active and latent expec-
tation, andactive expectation was foundto be a productof a delay or deviationin the normal sequence of events.It would seem that the situationwith regard to form is somewhatmore complex.In fonn we are, ina sense,constantly expecting. Under certainconditions we expect change,under otherscontinuity, andunder still others repetition;until, finally, we expect the conclusionof the piece. Thus in a very general way expectation is always ahead of the music, creating a background of diffuse tension against which particular delays articulate the affective curve and create meaning.
Formal expectationis constantly active on several architectonic
60 Emotion
and Meaning in Music
levels asa sortof generalized aesthetic tension which isshaped and particularized in the course of listening.
Revision ofopinion, stressed earlier in the discussionof probability, is also importantin the perception ofform. Here,too, the listener oftenfinds it necessary to revise hisopinions ofthe significance ofwhat haspassed andhis expectations of what is still to comein the light of an unexpected present. Thusthe meaning and signiiicanceof the slow introductionto a sonata formmovement will depend inpart uponlater developments which maytake place in the allegro.The significanceof the slow introductionto Beethovens Piano Sonata, Op.111 is quite diiferentfrom that of the introductionto his String Quartet,Op. 130.The Sonatacreates strong tension and suspense relative tothe impendingallegro which, because ofwhat we know about sonata form in the classical style, is expected.The Quartet creates muchless tensionbut serves as a source for many later developments aswell as a factor in the artic-
ulation ofevents within the allegroproper. These differences become clearer andmore specific as eachwork unfolds.
Style and Social Process Musical meaningand significance, like other kinds of significant gestures and symbols, arise out of and presuppose the socialprocesses ofexperience which constitute themusical universes of discourse. Theperception ofand response to the probability relationships obtaining within anystyle system are notnaive reflex reactions. Nor are the probabilityrelationships universals having somekind of natural, physical meaning. The responseto music as well as its perception depend uponlearned habit responses. Thestyle systems to which theseresponses are made are,in the last analysis, artificial constructs developed by musicians within a specificculture. The veryfact thatthere aremany differentmusical stylesystems, both in different culturesand evenwithin a single culture,demonstrates thatstyles areconstructed by musicians ina particulartime and placeand thatthey arenot basedupon universal, natural relationships inherent in the tonal materialitself. Andif the experience
Expectation andLearning 61 of musicis not based uponnatural, universal responses, must it be based upon responses which are acquiredthrough leaming. LEARNING AND
STYLE
The normsand deviantsof a style uponwhich expectationand consequently meaning are basedare to be found in the habit responses of listeners whohave learnedto understandthese relationships alsosee p.83!. We speakof "traditions,"styles of art, meanings and soon, asif these things hada kind of independentreality of their ownwhich areeternally attached toworks ofart. But traditions andmeanings are kept aliveonly through thedispositions and habits whichform the subjective contexts of countless individuals .... There can beno aestheticresponse whatever apart fromthe responses of individualmen whichgives itmeaning.
These dispositions and habitsare learnedby constantpractice in listening andperforming, practice which should,and usuallydoes, begin in early childhood. Objective knowledgeand conceptual understanding do not providethe automatic,instinctive perceptions and responses which will enable the listener to understand the swift, subtle,changeable course of the musical stream.To paraphrase Bertrand Russell seep. 39!: Understanding music is not a matter ofdictionary definitions, of knowingthis, that,or the other rule of musical syntax and grammar,rather it is a matter ofhabits correctly acquiredin ones self andproperly presumed in the particular work.
It is not enough,for example,for the listener to know that in Western musicof the past threehundred yearsa particularsound term, the dominant seventh chord, creates an expectation that an-
other particularsound term,the tonic chord, will be forthcoming. The expectation must havethe statusof an instinctive mentaland motor response, a felt urgency, before its meaningcan betruly comprehended. The story ofthe youngcomposer who got outof hisbed and ran to the piano to resolve adominant seventhchord which someone else had left unresolved isa good instance ofthis power of felt urgency-of ingrainedhabit. I emphatically repeat, writesHugo Riemann, that practice and
62 Emotion
and Meaning in Music
good will are requiredfor the understanding ofa greatand complicated musicalwork of art. 17This practiceis both mental and motor. The relation between thinking and motor responseswill be
discussed insome detaillater in this chapter.The distinctionbetween mental habits and motor habits is a diflicult one;
however,
both playan importantpart in the learningof musicalstyles. There is probably a time in the development ofchildren whenmotor learning playsa particularlyimportant rolein the development of response patterns. And, hence,early instructionin musicalperformance isimportant, notonly because of the immediate pleasure in performance which it gives,but alsobecause itinstills intothe child the properhabit responses, which are the life stream ofmusical perception and communication. THE PLURALITY
OF STYLES
As Russell observes, not only musthabits beproperly acquired in us but they mustalso beproperly presumed in others;that is, our trained habits of discrimination and responsemust be relevant to
the particularstyle of music tobe heard.For the habits acquired are notuniversal butare acquiredin connectionwith a particular style andare relevantto thatparticular style. Music isnot a universal language.The languages and dialects of musicare many.They varyfrom cultureto culture,from epoch to epochwithin the same culture, and evenwithin a single epoch and culture.An Americanmust learnto understandjapanese music just ashe mustlearn to understand the spoken language of japan. An individualfamiliar withthe traditionof modernEuropean music must practice playing andlistening tothe musicof theMiddle Ages just as he must practice readingand speakingthe languageof Chaucer. Even within oneand thesame cultureand epochit is the exception rather than the rule whena musicalstyle isunderstood by all members of the culture. Witness the fact that in our own
culture the devotees ofserious music have great difliculty in understanding the meaning andsignificance ofjazz andvice versa. Yet, while recognizing thediversity of musical languages, we must alsoadmit thatthese languages have importantcharacteristics in common. The most important of these, and the one to which
Expectation and Learning 63 least attention has been paid, is the syntactical nature of different
musical styles.The organizationof sound terms into a systemof probability relationships,the limitations imposed uponthe combining of sounds, and so forth are all common characteristics of
musical language. It is to thesethat comparativemusicology must turn if it is to makefurther progress in studyingthe musicof different cultures.In this respect musical languages arelike spokenor written languages which alsoexhibit commonstructural principles. But differentmusical languages may alsohave certainsounds in common. Certain musical relationships appear tobe well-nighuniversal. Inalmost allcultures, forexample, theoctave andthe fifth or fourth
are treated
as stable, focal tones
toward which
other
terms ofthe systemtend tomove. Similarlymany systems have organized tonal progressions, scales, though therelationships between these sound stimuli will vary greatlyfrom systemto system. In so far as different styleshave traitsin common,the listener familiar with the musicof onecan perhapsget the gist of music to whichhe is not accustomed to respond;just asone canat times get the drift of a play or poemheard in a foreignlanguage that has some words incommon withones nativetongue. Itis important, however, tonote thatthe unpracticedlistener isalso verylikely to make mistakes by readinginto orientalor primitive music irnplications relevantonly to the stylesystem ofrecent Western music. Because harmonies are usedconstantly inour music, they havepermeated our
musical consciousness
to such
an extent
that the
Western
listener bynecessity experiences music asharmonic-whether harmonies are actuallypresent, aremerely implied as in the folk-songsof Western Europe fromthe last few centuries!,or are entirely missing,as in most Primitive music.Only by' prolonged trainingand familiarity is the investigator ableto acquire the ability to experiencemonolinear music as such. Harmonichabits condition not only our mode of experiencing music, butalso thenature ofour musicalconcepts.
In general it seemswise andprudent to treat all aspects ofa style system as learnedand culturallydetermined. First, because it seems likely that even the so-called natural stylistic
traits are
actually learned,just as certain phonemes are commonto a language familybut arenevertheless learned. And second, because the
64 Emotion distinction between
and Meaning in Music natural and
learned characteristics
is unneces-
sary. If the naturaltraits persistin a given stylesystem, theycan be studied as though they were learned, culturallydetermined elements just as easilyas theycan beas naturalones. Whileif natural traitsare notoperative withinthe givenstyle, thenthey need not be considered, except perhaps froma genetic point of view, i.e., wemay askwhy theyare notoperative." PATTERNS OF STYLE CHANGE
Thus far we have been dealinglargely with style systems,by which term something analogous to language has been meant. Where style systems are similar in important ways, we may say
that theybelong tothe samestyle-system family, just asthe IndoEuropean languages have certainbasic traitsin commonbecause they stemfrom acommon rootlanguage. By style, asdistinguished from stylesystem, ismeant themore particularvariants andmodiHcations of a stylesystem made at differentepochs withina culture or by different composers within the same epoch. Thus Bachand Beethoven represent diHerent styleswithin a single stylesystem, while Mozartand Machautemploy differentstyle systems. Styles and style systems are not permanent, Hxed, and rigid.
Within cultureswhich do not imposestrong socialsanctions upon art, changes in style have beenthe rule rather thanthe exception. One style gradually replaces another, attains its own particular
fruition, declinesand is replaced byanother style.The processis gradual and,since not all aspectsof the system arenecessarily changed, itis oftenimpossible tomark offthe historicallimits of a style. We must be content to point out its ultimate fruition and its
general limits.This hasalso beenthe case,though lessfrequently, with stylesystems. It has been customary to relatesuch changes to social,political, and cultural changes-to explain the history of styles and style systems interms of general, non-musical history. No doubt such extrastylistic events are of great importance as necessary causes in the historyof styleand stylesystems. This appears tobe particularly true in the caseof the radical changes which occurwhen onestyle system replaces another, e.g.,the stylisticcultural changeswhich
Expectation andLearning 65 took place during the period of Western historyknown as the Renaissance.
Yet the explanations furnished by referenceto political, social, and culturalhistory tellonly partof the story. Forstylistic changes and developments are continuallytaking plapewhich appearto be largely independent of suchextramusical events. Although animportant interaction takes place between the political, social, and intellectual forcesat work in a given epoch, on theone hand,and stylistic developments, on the other, there is also a strong tendencyfor a style todevelop inits own way. If this is the case,then thecauses of thesechanges must be lookedfor in the natureof aestheticexperience, sinceboth for the composerand listenerstyle is simply the vehicle for such an experience. A discussion of the causes of such purely aesthetic stylistic de-
velopment isimportant, notonly aspart of a generaldiscussion of style, but also because the hypothesisof this study derivesadditional weightand supportfrom the fact that it is able to account for processes which haveas a rule beendescribed ratherthan explained. Toput it in anotherway, oneof thelogical consequences of the presenthypothesis wouldbe that a tendency toward intraaesthetic change would bethe rule,a deductionwhich isconfirmed by the facts ofmusic history.For in any stylethe deviantsas well as thenorms areHnite innumber; andit is both possibleand likely that a deviant through constant employmentmay become so Hxed,
so common in its recurrence inparticular situations, that the probability relationshipsof the system become modified bythis recurrence. Consequently a soundterm whichwas oncea deBnitedeviant may become more orless normative within the style andthus lose its potentialfor expression. In other words, deviation, originating as expression, mayafter a time becomenormative, and when this occurs it is necessaryeither to invent new deviations for the sake of aesthetic effector to point up those already in use. This means thatonce a style is established there is a constant tendency toward the addition of new deviants and toward pointing up, through emphasis or exaggeration, those
deviants already present. Inshort, thenature ofaesthetic communication tends to makefor the eventual destruction of anygiven style.
66 Emotion
and Meaning in Music
This process of stylistic genesis can be seennot only in the history of Western music but alsoin muchoriental andprimitive music.
In Westernmusic wemay takeas anexample the changing use of the vibratoin stringplaying. Originally in theeighteenth century the vibrato wasan expressive device whose use wasconfined tospecific passages. Gradually it becamea fairly constant featurein string playing, thuslosing someof its expressive effect. At present the ordinary vibratois a norm of string playingfrom which there are two typesof deviation:first, theuse ofan unusually rapid, andsometimes wide,
vibrato and, second, the use of no vibrato at all. It is
particularly interesting to notethat thislatter alternativeis becoming more and more prevalent inthe rendition of expressivepassages. Several contemporary scores specifically stipulateno vibrato, e.g., Bart6ks String Quartet No. 4, third movement, or Bergs Violin Concerto. What was once an affective aesthetic deviant has, through constant employment, become normative, and what was once considerednormative hasbecome avaluable expressive device.
We cansee asimilar changeof function in the employment of modal cadenceswhich, though normative in the Middle Ages and Renaissance, become expressive deviantsin the style of some composers ofthe late nineteenth and twentieth centuries. Similarly the authentic cadence, a norm in classical and early romantic music, sometimes appears to be a deviant in the style of the late nineteenth
century. There is a striking example of this in Ein H eldenleben by Strauss. _lust before number77 Eulenberg,miniature score!there
is aperfectly regular cadential progression, II-I§ -V,in E-flatmajor, which in a piece written a hundred years earlier would lead us to expect the tonic chord. Here, however,it leads us to expect almost anything but the tonic; and when the tonic does come, it is definitely felt to be a deviant.
From Herzogsdescription ofthe developmentof Pueblo musical style,it seemsclear thatthe sameprocess takes place inprimitive music: the deviantsbecome normative within the style and provide the basis for further deviation.
Expectation andLearning 67 If oneof thetwo sectionsis apentachord-which oftenresults fromthe extension ofa tetrachord-this wider sectionis frequently found in the lower position.... On the fringes of such sections decorative tones appear; in time thesebecome standardized and strengthened,and this new growthfinally resultsin extendedforms .... Tonal growthhas progressed to such a degreeof saturationthat the original structure-probablypentatonic-often becomesgrown overand obscured. Sharp accentuation andother featuresof the singing technic give riseto a greater numberof secondarytones whichin turn provide material forfurther melodicgrowth.
A similar development seems to havetaken placein the case of Byzantine melodicstyle. At first deviationand expressionwas a matter of combining briefmelodic formulasin different and surprising ways,thus producingnew hymnmelodies. However, The immensenumber of hymns introducedinto the service madeit necessary for the ecclesiastical authorities toprohibit the addition ofnew hymns tothe repertory,and the artistic activityof the monks fromthat time onwardswas concentratedupon the embellishment ofthe music, which, in the followingcenturies, andeven afterthe fall of the Empire, became increasingly rich and elaborate, untilthe originally simple structure of Byzantine melodieswas transformedinto an ornamented style and thewords ofthe textmade unrecognizable by extendedcoloraturas. Here we have anexcellent exampleof the relation between socio-
political conditionsand stylistic development. Forthe pressure exerted bythe authoritiesof the Byzantine Church,though it influenced thecourse of stylistic development, did so largely in a negative way; certain possibilities of deviation were excluded, but there was no stipulation as to the future course of stylistic change.
This is particularly interesting because under rather similarconditions the composers ofthe WesternChurch eventuallyturned to other methods of deviation,e.g., thevertical embellishment called organum. The fact
that the
socio-cultural situation
in which
an art
flour-
ishes limits,at leastin a negative way,the modesof deviationis perhaps mostclearly seenin the case offolk music. Because the true tradition
of folk music is aural rather than written,
deviation
68 Emotion
and Meaning in Music
is a matter ofimprovisations made upon a learned basicstructure and shape.Sometimes this shape maybe purely melodic, whilein others it is harmonic as well:
Hot jazz melody isimprovisatory, butits structureis held to a coherent formal pattern which rest1'ainsit from complete chaos.This coherent pattern isprovided bythe harmonicsequences of the underlyingaccompaniment .... It is the simpleharmonic phrase. . . that provides the unifying principle in hot jazz improvisation .... This phrase is repeated overand over again, with occasional interpolations, perhaps, of other similarchordic sequences, forming asort of ostinato on which the melodic andrhythmic variationsare built. At each variation of the harmonic phrasea new melodic andrhythmic superstructure is improvised by thehot player.
In the case offolk music,including jazz,the basic,normative patterns arefixed bycustom andtradition, butthe degreeand manner of deviationmay change,bringing newstyles intoexistence. Thus, for example, Dixie Landjazz andBebop areboth basedupon essentially thesame basic pattern, buttheir mannerand styleof deviation differ.
Suppose that a devicewhich wasonce adeviant ina givenstyle becomes iixed in its relationships and constant in use. Does this
mean thatit necessarilyceases to be aestheticallyeffective, thatit becomes anorm? Theanswer appears to be negative. Thougha deviation mayno longeractually functionto inhibit a tendency,it may still function expressively as a sign. Whethera deviationbecomes anorm ora signof expression would seemto dependlargely upon the context in which it is employed.If it is associatedin practice withreal deviants,it will probably continueto functionin an affectiveway. If, on theother hand,it becomesassociated with clearly normativeprogressions, then it will tend to become normative within the style.
Even wherea deviantdoes notbecome anexpressive sign it need not necessarily become anorm. Ifthe expressive value ofa relationship becomes weakened through standardization, several alternatives present themselves: ! The degree ofdeviation canat timesbe increased as, for example, it was in the elaboration of coloratura
passages in late Byzantinemelodies. ! New deviantdevices can
Expectation andLearning 69 be introducedinto the style asalternatives, weakening the probability relationships between the former deviantand itsconsequents. That is, if A to D
a former deviant! is becoming a normative
probable! relationship,the introductionof D1, as an alternative, will of necessity weaken the probabilitythat Awill be followed byD and hencerenew, asit were, the deviantquality of D. ! New deviants canbe used to replacethose which are becomingnormalized. Theintroduction ofmodal relationships into the harmonic style ofthe latenineteenth century was aninstance ofthis. ! Old relationships canbe revitalizedthrough changesin other aspects of styleand throughnew anddifferent usesfor Hxedrelationships. Harmonic styleunderwent sucha revitalization in the second halfof
the eighteenthcentury. The essential structureof the harmonic scheme which flourished duringthe later baroque wasmaintained, but its use inthe organization of thetotal structureof thework was new. Several instances
in which
norms became
deviants have
been
noted. Actually,however, thisis neithera necessary nor a common occurrence. If norms do become deviants,the change of function
does notas a rule take place immediately but rather after a considerable lapse of time and theestablishment of a newstyle system. STYLE CHANGES AND THE
COMPOSER
Styles aremade, modified, and developed by composers and performers, bothas individualsand asgroups. Thetendency toward stylistic change results notonly fromthe musiciansconscious aesthetic intent but also from the fact that the composerand performer, by their very nature ascreators andmakers, regardthe traditions andstyles whichthey inheritfrom their predecessors as a challenge-as a more or lessfixed, recalcitrantmaterial, whose
resistance to change and modification the true artistdelights in overcoming andconquering. Stravinsky, for example,writes that as I am bynature alwaystempted byanything needing prolonged effort, andprone topersist inovercoming difficulties _ . . the prospect . . . greatly attracted me. 2°In his experimenting and playing with his inheritance theartist often taxes hisown ingenuityand imagination tothe utmostand, likea virtuosoon thehigh wire,tries
70 Emotion
and Meaning in Music
to seehow farhe cango in creating new aesthetic problems, or how he cansolve oldproblems innew andsignificant ways. How far,in short, hecan deviatewithout losinghis aesthetic balance. The creationand overcoming of difficulties,an apparentlyintellectual process, and themodification and remolding ofstyle forthe sake ofaffective aesthetic responses are but two facets ofa single process. And once againwe arereminded ofthe groundlessness of the traditional dichotomy betweenemotions andintellect.
This analysis of the relation between artistic creationand deviation explainsin part the process of stylisticchange. Italso enables us to introduce asevidence inthe ensuingchapters thestatements of composers, performers, andcritics referringto the creative experience ofthe artistrather thanto affectiveexperience itself. For if the conquest ofdifficulties andthe affectiveaesthetic processes can usually 2* beequated, then a passage designated by a writeras involving the delight in conquering difliculties can alsobe considered aspotentially affective or aesthetic. It must then beshown that thepassage in question does, in fact,involve delayin expectation or, in other words, deviation.
The relationof artisticcreation toplay mustbe mentioned. Many references aremade in the literature of music to the playfulness of
a particularpassage orto the delight takenby musiciansin play. It seemsvery probable that thistoo isa wayof referringto theconquest ofself-imposed difhculties. Karl Groosfrequently emphasizes that this is an essential feature of all play; that,in his own words, play leadsup from what is easy tomore difliculttasks, since only deliberate conquest can producethe feeling of pleasurein success. 2°
This delightin the conquest ofdifficulties, inaesthetic play with the recalcitrantmass oftraditional materials, is importantin performance as well ascomposition, particularly where theperformer is freeto, or supposed to, improvise upon either awritten score,as in theseventeenth and eighteenth centuries of theWestern tradition, or upon a tune handed down by oral tradition, as in much of the
music ofthe Orientand infolk music.But eventhe performerwith a fullynotated score, if he is trulycreative, is engaged in this process of deviationfor thesake ofexpressive play see p.199!.
72 Emotion
and Meaningin Music CYCLIC CHANGE
AND STYLE
Implicit in this wholediscussion the is conclusion t_hat the process of stylistic change isa cyclic one. Theremust first be a period during whichnorms andtheir relateddeviants become established. Tl1is cannotbe accomplishedby theoristsor by decree; thenew norms andtheir related deviants mustgradually becomepart of the habit responses ofcomposers, performers, and listenersalike. Such aperiod isusually markedby a plurality of styles. Thesituation will tend to be uncertainand ambiguous. There will be conservatives whoadhere to the old style and there will be avantgardists whoare attemptingto build the new style. Bothgroups will be very conscious of technique,and the partisans ofthe new style willbe especially conservative, in the sense that theywill tend to imposevery strict limitations uponthemselves. Cultural tension and conflictwill give rise to schools, pamphleteers, and apologists. The increasedconcern withmusic theory,with the grammar and syntax of style, will produce a host of theoretical andaesthetic treatises.
Following thisthere isa periodin which the new style becomes established and accepted. There is a tendency towardsingleness of style. In contrast tothe first period, whichwas largelyconcerned with the establishment of norms, wenow findan equalconcern for deviant andnorm. Themusical situation is relativelystable andall energy isturned tothe productionof music.Theoretical andpartisan writingsabout musicbecome infrequent. In the course oftime, however,some ofthe deviationsdeveloped become almost clichés, andcomposers search for new means ofexpression andnew difficulties to conquer..The whole system of probabilities graduallybreaks downunder the weight of an increased number and degreeof deviationsand theend of the style IS in view.
Such acyclical viewof theprocess of music historyseems, whether we like it or not, to be a part of the facts of aesthetic process. This process doesnot, of course, resultin any rigid determinism. For the
rate ofchange, the kind of change, and even thefact of change, all are conditionedby the social, political,and cultural climate in which
Expectation andLearning 73 the process must takeplace. Andthough theseextramusical factors may, andoften do,obscure thecyclical processes which markthe genesis of style systems and idiomsyet thetendency toward cyclical change seems to beconfirmed bythe factsof musichistory. The probabilitiesof style and form,the normsupon which expectations rest, differ fromculture toculture andstyle tostyle. What remains constant in the flux of music historyis not any particular organization ofthe materialsof sound.The patternsof style are fixed by neither Godnor naturebut are made, modified,and discarded bymusicians. What remains constant is thenature ofhuman responses and the principles of pattern perception, theways in which themind, operatingwithin theframework ofa learnedstyle, selects and organizes the sense data presented to it. But before these perceptual processes are broughtinto play,before themusic begins to sound,the listenerprepares toattend.
The Preparatory Set Like otherintentional activities listening tomusic ispreceded by a number of mental and physical adjustments, performed consciously orunconsciously, which serve tofacilitate and condition the subsequentresponses made to the expected stimulus.These adjustments are known asa preparatory set. The specific adjustments made are products of ! the listenersbeliefs aboutaesthetic experience in general andmusical experience in particular, ! the experience and knowledge previously acquired inlistening to and studying aboutmusic, and! information gathered onthe particular occasion in question. AESTHETIC BELIEF
The listenerbrings tomusic notonly specificallymusical experiences, associations, and dispositionsbut also important beliefs as to
the natureand significance of aestheticexperience ingeneral and the expected musical experience in particular. The beliefthat we are dealingwith an aesthetic object leads to what Henry Aiken has called the idea of framing, that is, the
74 Emotion
and Meaning in Music
belief thatan aesthetic object isa specialkind of stimulus towhich we do not respondby overt action. Thefact that the response to aesthetic experience is not overt has,as wehave alreadyseen, very important consequences in conditioningour responses; for the repression ofovert behavioris a vital factor in the development of affect.
The ideaof framingdoes not, however, detract from thefeeling of reality whichis so important in aesthetic experience. The mechanism ofdenial canoperate; afirm beliefin the reality of play can coexist witha certaintythat it is play only. Here lie the roots of aesthetic illusion.2' Furthermore,the ability of the mind to believe, to enter into the special nature of the aesthetic situation, in
part makespossible thefact that a singlework canbe heardmany times. Forhere, too,the mechanismof denial operates insuch away
that thelistener holdshis knowledgeof the final aestheticoutcome in suspense and believesin the reality of all the expectations, surprises, anddelays setforth in the work,even thoughhe mayhave experienced them in an earlier hearing. Nor shouldthe role played bythe beliefin the seriousness, significance, andpower of aesthetic experience be overlooked. For the attentiongiven toa workof art is a direct productof the belief in thesignificance and vitality of aesthetic experience. And attention not onlyfocuses our minds uponthe musicalwork but also modifies perception itself,since when the organismis active, at a high degree ofvigilance . . . it will produce goodarticulation; whenit is passive,in a low state of vigilance, it will produce uniformity. 29
It seemsquite probable,moreover, thatit is the belief in the power and importance of aesthetic experience,the belief that we are going to have such an experience, that is responsible for the
fact, notedearlier p. 11!, that tone as such hasa very powerful emotional influence. It setsup organicconditions which are involved in strongfeeling .... 3° It is very doubtfulwhether anindividual engaged inthe choresof everydaylife will respond inthis wayto the toneof a violin playedby a child practicinghis scalesor to the sound ofthe chimesof a particular radiostation. Thechanges in pulse, respiration,metabolism, andpsychogalvanic reflex, which Mursell attributesto tone as such, do not appear toaccompany
Expectation andLearning 75 all acts of attention, though attention is an important factor in their
arousal. Rather believing in the aestheticaffective significance of musical experience, we expectto havesuch anexperience, and our bodies, responding to this mental set,prepare themselves for the experience. This supposition issupported byevidence indicating that the act of attention, ofwhich listeningto music is a special type, isoften accompanied by physicaladjustments, including those of the central nervous system. There is alsoevidence thataffect is related to motor attitudes
which, as will be shown below, form an
important partof the total preparatoryset. The situationis further complicated bythe fact that the belief that we are aboutto have an experiencemay itself give rise to special tensions which arerelieved onlywhen themusic beginsto sound andthe morespecifically aesthetic tensions begin to prevail. The atmosphere of the concert hall,hushed andquiet beforethe music starts, is chargedwith thetension ofexpectancy. The behavior of the audience isusually anindication ofthis tension.They are not calm and relaxed but strained and excited, their mental tensions
often Endingrelief in bodily behavior,e.g., coughing,whispering, and so forth. BELIEF AND
THE PRESUMPTION
OF LOGIC
Related tothe belief in the power andsignificance ofaesthetic experience isthe belief in the seriousness, purposefulness, and logic of the creativeartist and the work he produces.The presumption thatnothing inart happens without areason and that any given cause should besufHcient and necessary for what takesplace is a fundamental condition for the experience of art. Thoughseeming accidentis a delight, webelieve thatreal accidentis foreignto good art.Without this basic belief the listener would have no reason
for suspendingjudgment, revisingopinion, andsearching forrelationships; thedivergent, theless probable, the ambiguouswould have no meaning. Therewould be no progression,only change. Without faithin the purposefulness and rationality of art, listeners would abandon their attempts to understand, to reconcile deviants to what has gonebefore, or to look for their raison détre in what is still to
come.
76 Emotion and Meaninzgin Music The termserious asapplied toart doesnot, then,mean heavy or world-shakingas opposed to comic or light but rather that the relationships set forth inthe artwork aresigniicant, logicalrelation-
ships andhence tobe takenseriously. To put it paradoxically, a rollicking rondoby Haydn is lesscapricious, ismore serious,than some ofthe statelysymphonies by Mahiler. Because ofthe tremendous importance ofbelief in the response to art, the mostdevastating criticism that can be leveledagainst a work isnot thatit is crude or g but that it is not aestheti-
cally purposeful and meaningful Statements that compositionsthe in twelve-tone technique are conceivedWithin an essentially mathematical framework,implying that they are not honestly felt or aesthetically conceived by the composer, have done moreto make the music of this school unpopular and hated than all the accusa-
tions of cacophony and ugliness puttogether. It seems probable that audiencesobject tothe dissonancein this music, notbecause it is unpleasant, but because they believe thatit is the productof calculation ratherthan an aesthetic azifective conception. These criticisms haveweakened belief in the logic and seriousness of the music, andlisteners haveconsequently abandoned their attempts to understand. The power of most journalistic criticism derives not somuch fromits abilityto influencefudgment asfrom its power to enhance or weaken belief.
Much of the informationsupplied in. the programnotes for a symphony concert, the popular biograp-hies ofcomposers, orthe run-of-the-mill music appreciation course is aimed, albeit uncon-
sciously, primarily at enhancingbelief. The story ofthe composers life and hard times, the circumstances under whicha particular composition waswritten, the testimonials tothe greatnessof the work to be heard,and soforth do not help us to appreciate to understand! thework directly,only ouro»wn proper habit responses can dothis, ratherthey aidappreciation bystrengthening belief and creating awilling attitude see pp.61-62! . ]ust ascriticism canenhance beliefand hencethe dispositionto respond! throughpraise or negate belief and the disposition to respond! throughblame, sotoo the composition ofthe audience and its attitude toward the performers and the compositions to be
Expectation andLearning 77 heard canplay an important partin coloringbelief. A half-empty concert hall
with an
unenthusiastic audience
or even a full
hall with
an inattentiveaudience willtend to minimize beliefand probably the responses of agood manymembers of the audience, while a full house with
a devoted
audience will
tend to
enhance belief.
Obviously fashions, right opinion, as setby the social group which constitutesa particular segment ofthe total audience, also influence beliefin important ways. Andit would seem thatsuch socially determinedbeliefs and tastes arebecoming increasingly effective inconditioning theresponses of what David Riesman has called theother directed man of our society.
Learned Habitsand the Preparatory Set T'he preparatory sets whicharise asa resultof our beliefs asto the natureof musicalexperience are not specificto any particular musical styleor form. The dispositionto respondis general,i.e., mental atdtudesand bodily tensions whicharise are relevant to musical experience per se. Together with these generalbeliefs aboutaesthetic experience the practicedlistener also brings withhim, aswe haveseen, awealth of more specific dispositions or ideo-motorsets basedupon past experience in listening and knowledge acquired either systematically or by chance. Once the listenerknows, eitherprecisely orin terms of generalstyle characteristics, what kind of musiche is going to hear, thisinformation conditions his perceptions, modifies hisopinion of what isheard, andqualifies hislater responses. The informationwhich bringsthe preparatory sets intoplay need not be verbal. It may consistof visual signs, suchas thepresence of a particular instrumentalgroup, or the gesturesof performers, the kind of audience, and so forth. THE INFLUENCE
OF KNOWLEDGE
AND EXPERIENCE
ON PERCEPTION
What we know and hence expect influences what we perceive,
that is, the wayin which the mind groups andorganizes thesense data presentedto it. Knowledge asto the style and form brings
78 Emotion
and Meaning in Music
about anincreased clearness and acuteness in perception;for attention, addingenergy tothe particularHeld part,will increaseits articulation, ifit is not articulatedas well as it might be. 3° This direction of attention toward a particular aspect of the musical structure and texture is also important because where the center
of ourinterest lies, there, ceteris paribus, afigure islikely to arise. 8'
Thus, for instance, aif piece were known to bebuilt upona ground bass, attention, focusing uponthis aspectof the musical structure,
would tend to bring the bass out, eventhough other voices might tend toobscure its progress. Similarly if we know thata particular movementaistheme and variations, we areintent onfollowing t_he theme, and hence those variations which in thequality ofthe Hgure has beenmuch weakenedwill seem better structuredthan they might seemotherwise. Froma negativepoint of view this search
attitude isimportant because small differences, which may be very important in the understanding of a work, may pass unnoticed if
one isnot setto perceive them. Itis oftenthe preparatory set which brings thisreadiness to perceive intoplay.
Knowledge and experience often color or modify ouropinion about whatis heard.If, for example, we see alarge orchestra on the concert stage, we immediately become aware of its potential sound.
Consequently opening an solo for asingle instrument, e.g., the flute solo atthe beginningof DebussysAfternoon ofa Faun,will have quite a different effect,will be heard differently,than it would be were it the openingmusic of a sonatafor unaccompaniedflute.
Furthermore, our expectations what of will follow, partlybased upon ourbelief thatthe musicians are notgathered upon the stage by chance, are colored by thepresence the of orchestra; the longer the solopassage continues, the strongeris the presumption that the orchestra will
enter.
To takeanother example, if oneis listeningto a bell tollingthe hour andknows, say, that it is tenoclock, thenthe tenthstroke will probably be perceived as accented andlonger than the others, al-
though, inpoint of fact, allstrokes were equal inintensity and duration. In like manner Ortmanns experimentsshow that what is
considered to be the end ofa melodyor rhythm depends notonly
upon certainnatural tendencies of closinginflection andupon
Expectation and Learning 79 cadential formulas learned byexperience but also uponwhich tone in the series-fourth, fifth, would be
the final
seventh, etc.-the subjects were told
one.
The practicedlistener canrecognize t.he style andoften theform of a composition without being giveninformation beforehand. But even forhim knowledgewhich bringsthe preparatoryset intoplay is sometimes important because it conditionsnot only what is perceived butalso thespeed ofperception and hence ofresponse. An expected stimulus will be perceived andunderstood more rapidly than would
otherwise be
the case.
Motor Attitudes and Motor Responses Like otheracts ofattention, listening to musicis accompanied by physiological and motor adjustments. The physiological changes, as we haveseen, appear to be products ofthe belief and expectation that weare goingto havean affective aesthetic experience. They are quite generaland areprobably notdifferentiated as between different kindsof aestheticobjects. Nor do theyundergo changes that can be tracedto changesin the stimulus conditions-themusic. Motor attitudes andresponses involve the voluntarymuscle systems, and, aside froma generaltensing ofthe muscles related toall feelingsof effort, ofwhich listeningto musicis aspecial kind,they aremore or less specific to particularstyles andforms andtend to change with changes in the stimulusconditions. Anticipatory motorattitudes formpart of the preparatoryset. They arebrought intoplay onthe basisof: a! information asto composer, style,or form which leads the listener to expect a repeti-
tion ofpast motorexperiences evoked by theparticular typeof work; b! program notes orother statements as totempo, volume, mode, mood, andso forth that supplyinformation asto the appropriate motor attitude;and c! visual cluesprovided byperformers inthe form of gestures and postures, which lead thelistener toassume a like attitude, though theseneed notbe manifestin the listeners overt behavior.Whether basedupon experienceor current clues, the listenersanticipatory motorbehavior willbe differentif he is about tohear aStrauss waltz from whatit will be if he expectsto
80 Emotion
and Meaning in Music
hear a Bach cantataor a Schoenberg string quartet. Suchadjustments may also bemade toa particularmovement of a workor even special partswithin a given movement. The motorpreparation for the hearingof a minuet or scherzo ofa classicalsymphony will usually bevery different,whether weknow theparticular workor not, fromthat assumed toward theplaying ofthe slowmovement or the finale.
Motor attitudesnot onlyform partof thepreparatory set but also play a part in the perceptionand response sequences made to the changing progress of the musical form.Changes inrhythm, dynamics, tempo, and thelike will bring aboutappropriate changes in motor attitude. For this reason thepresent discussion of motor attitudes isnot confinedto their function inthe preparatoryset. The importance of thelisteners motorbehavior hasbeen implied or directly stated bycomposers and psychologists alike. C. P. E. Bach, for example, tellsus that: A musician
cannot move others unless he too is moved
. . . for the re-
vealing ofhis humourwill stimulate a like humour in the listener.... Those whomaintain thatall of this canbe accomplished without gesture will retract their words when, owing to their own insensibility, they find themselves obliged tosit like a statuebefore theirinstrument. Ugly grimaces are, of course,inappropriate and harmful; butfitting expressions help thelistener tounderstand ourmeaning.
Although espousing a very different aestheticposition, Stravinsky also emphasizes t_he importance of motoradjustments int.he understanding ofmusic. Thesight ofthe gestures and movements of the various partsof the body producingthe music is fundamentally necessary itif is to begrasped inall its fullness. 1 At first sight there would appear to be a distinction between a response tothe gesture or motor behavior of a performer and a re-
sponse toones ownaural experience. In point of fact, however, the distinction is apparent rather than real. For the motor behavior of the performer, in so far as it is related to the musical continuum at all, arises out of his own musical perceptions and is therefore be-
havior thatthe listenermight haveperformed directly.That is,the empathetic response to anothersbehavior, which is itself a response to a stimulus perceivedby both persons, generallyserves to initiate
or enforcebehavior thatmight havetaken place as adirect response
Expectation andLearning 81 to the stimulus. Thatthe players gestures must be made only in response tothe music is also stressed byStravinsky, who observes
that only if the players movements are evokedsolely by the exigencies ofthe music will they facilitate ones auditory perceptions. 2
Although motorattitudes bothanticipate andaccompany the response tomusic, theprecise roleplayed bymotor behaviorin the perception andunderstanding ofmusic is both problematicand complex. On the one hand, it seems clear that almost all motor behavior
is
basically aproduct ofmental activityrather thana kind of direct response made to the stimulus assuch. Foraside fromthe obvious fact that muscles cannot perceive, thatthere seems to be no direct path from the receptorsto the voluntary musclesystems, motor responses arenot, as a rule, made to separate, discretesounds but
to patternsand groupings of sounds.The moreorder andregularity the mind is ableto imposeupon thestimuli presented to it by the senses, themore likely it is that motor behavior will arise. Such grouping andpatterning of sounds ispatently a result of mental activity.
In the Held ofrhythmic experience, where motorresponses have been mostsystematically studied and their importance mostemphatically stressed, ]ames Mursell, after a careful and thorough review of the literature, while admitting the importance of motor
behavior, decides that the ultimate foundationof rhythm is to be found in mental activity.4° CurtSachs, writing from a very different viewpoint,arrives atthe sameconclusion, quoting Brelet tothe effect that:Rhythm comesfrom themind notthe body. On the other hand, the facts
indicate that
somehow motor
be-
havior doesplay animportant partin facilitatingand enforcingthe musical aesthetic experience. How this takesplace neednot detain us here. However, it does seemsignificant to recognize that motor
behavior often plays animportant partin makingthe listeneraware, whether consciously or unconsciously, of the structure andprogress of the
music. Some
listeners become
aware of
the tendencies
of
music partly in terms of their own bodily behavior. Such listeners might be said to objectify and give concrete reference to music, to perceive it through their own motor responses. Andperhaps this in
82 Emotion
and Meaningin Music
part accounts for the emphasis which has beenplaced uponmotor responses.
What doesseem clear is thatsince motorbehavior isa productof and runsconcurrent withmental behavior,it requires no special, independent analysis; for the experience ofmotor attitudesis not structurally differentiatedin any way from the mental responses made inlistening butrather exhibitsa oneto one correspondence with them.
One point,however, remains. It has been fairly well established that a regular, periodicmotor pattern,once begunby and in congruence witha mentally perceived pattern,tends to continue, to perpetuate itself. Does thismean thatmotor behaviorcan become independent ofthe perceptionof new stimuli? In concrete terms: Will the motor responsemade to, say, a rhythm in triple meter continue andpersist afterthe meterhas changed to four-four?The answer would
seem to be that
it can and often
will.
Yet, evenhere, the separation between mental and motor responses, ifone exists,creates nogreat difliculties.For, aswe shall see in the following chapter, thetendency of a motor action to perpetuate itselfhas its mental counterpart in the Gestalt concepts ofthe lawsof continuityand completion,which recognize a similar tendency in the habits ofthe mind see pp.92 f.!. The question whichmight beraised, andone thatwe will not attemptto answer, is this: Towhat extentare thelaws ofcontinuity andcompletion themselves product a of the tendencyof voluntarymotor behavior to perpetuate itself and follow the line of least resistance?In other
words, isthe tendencyof the eye tocontinue itsmotion ina given way or the mental ear to continue its motions to some extenta product of the natural tendencies ofmotor behavior? In conclusion we may say that there appears to be nothing
autonomous and independent about the motor response tomusic. Everything whichoccurs asa motorresponse can be accounted for in termsof mentalactivity and,since theconverse of this isnot true, music isbest examined in termsof mentalbehavior. Wedo notby this statement intend tominimize theimportance of motor responses. Their ability to give force and urgency tomusical experience is evidently ofgreat importance.
III
Principles ofPattern Perception: The Law of Good
Continuation
General Considerations Our wholeintelligent process seems tolie in the attentionwhich isselective of certain typesof stimuli. Other stimuliwhich are bombarding the system are in somefashion shunted off .... Our attentionis an organizing processas well as a selective one .... The organism goes out and determines what it is going torespond to,and organizes that world.1
The organizationwhich the mind imposesupon the separate stimuli whichare constantlybombarding thesystem isnot anaccidental oran arbitraryone. Themind inits selectionand organization of discrete stimuliinto iiguresand groupingsappears toobey certain general laws. Thesenot only account, inpart, for the way in which the mind organizes musical stimuli but also explainhow some ofthe expectations which themind entertainson thebasis of such groupings arise. LEARNING AND
PERCEPTION
Many ofthese mental laws, formulated upon awealth ofempirical data, wereiirst discernedby a group of psychologists who later became known
as the
Gestalt school
and whose
theories were
in-
corporated into a system now known as Gestalt psychology. It is
important todistinguish between the experimental Endings made in connection withGestalt theoryand the theory itself, because the distinction makes clear that it is possible toaccept theempirical data, thelaws, discovered by Gestaltpsychologists without adopting thehypothetical explanations furnished bythe theory. 83
84 Emotion
and Meaning in Music
For Gestalttheory in reacting against the sensationist concept of perception and the association theory oflearning leaned too far in another direction.It attributed ahnost allgrouping tothe spontaneous organization of simpleshapes andtended tominimize or deny the role of learning in the perceptionand organizationof figures. Sincethe presentanalysis ofexpectation hascontinually stressed the importance oflearning inthe selectionand organization of sense data, it is necessary to emphasize that it is employing Gestalt terminology and utilizing the data supplied byits experiments but that it is not adopting its theoretical explanation of perception.
This isnot theplace fora critiqueof Gestalttheory. Inhis book, The Organizationof Behavior,Hebb examines the Gestalttheory of learningin somedetail andadvances convincing evidence ofits shortcomings. Heshows that animal experiments and human clinical dataalike indicatethat the perception ofsimple diagrams as distinctivewholes isnot immediatelygiven butslowly acquired through learning.2 Accordingto Hebb,the fundamentaldifliculty with configurationtheory, broadlyspeaking, isthat it leaves too little roomfor thefactor ofexperience. 3 It is possible that the lawsof themind mayin somecircumstances be independentof cultural conditioning. Wherehuman communica-
tion is involved, however, though thelaws stilloperate, theydo so within a socio-cultural context where attitude,belief, andlearning qualify theiroperation. Thatthis is so caneasily beseen fromthe following example. The symbols RS ET EL T
appear atfirst tobe discrete,individual stimuli.If so instructed, the mind cangroup thesesymbols, butit does so with difliculty and the resultis somewhatarbitrary. Ifthese stimuliare arranged thus: TT RL SE E
the similarity and symmetryof the grouping appearimmediately
LT,,RLS,92Q,!. The grouping could be changed if the factor of proximity were altered: T TR
L SE
E
though evenhere similaritywill play some partin the organization of the patterns sothat TR may beseen asa subgroupof TTR and
The Law of Good Continuation 85 SE asa subgroupof SEEwith L as anisolated middleterm. In all these cases the natural laws of grouping arefunctioning, though even herethe ability to discriminateeasily between the symbolsig probably aproduct oflearning. Notice, however, that these same LETTERS
immediately forma convincingand satisfactory Gestalt, whichhas as itsbasis oforganization nota naturalmode ofgrouping butone leamed throughexperience. Were it not for the fact that this is 3 word in our languageand ourbeliefs asto the nature ofletters in general, ourgrouping ofthese stimuliwould be quite different.In other words, though, aswe shallsee, themind organizes and groups the stimuliit perceivesinto thesimplest possible shapes or the most satisfactory and complete figures possible, what is, in fact, themost satisfactory organization in any given caseis a product ofcultural experience. DIFFICULTIES IN
THE APPLICATION
OF GESTALT
CONCEPTS
The vitalrole occupiedby learningin conditioningthe operation of Gestaltlaws andconcepts indicates at the outset thatany generalized Gestalt account ofmusical perception is out of the question, Each stylesystem andstyle will form figuresin a different way, depending upon the melodicmaterials drawn upon, theirinterrelationships, thenorms ofrhythmic organization, the attitudestoward texture, and so forth.
For instance, in a culture orstyle system where thetonal materials are arrangedin two disjunct tetrachords:
,E F ALB CE the fragmentin Example4 wouldbe groupeddiiferently fromwhat it wouldbe wereit interpretedwithin thecontext ofthe minormode of Westerntonal music#Furthermore, justas tonal relations will always bemodified byrhythmic structureso basicstructural tonal
re-gli EXAMPLE 4
86 Emotion
and Meaning in Music
groupings play an important part inrhythmic perception. The fact that wehear theopening notes of theFinale ofMozarts Symphony No. 40as aunitary, upbeatgroup ispartly a result of our having learned toregard thetriad asa singlefigure. Yeteven thisstatement must beconditional, forthe unity of the triad or any othertraditionally developed tonal setdepends for its unityupon otherfactors, such as rhythm, tempo, instrumentation, and so forth. Nor doesit seemthat, evenwithin the confined limitsof a particular style,a preciseand systematic account ofmusical perception solely inGestalt terms is possible.Even givenadditional empirical data aboutaural perception, certain basic difiiculties inthe application of Gestalt principles to any specific musical process would still remain.
'I`hese difliculties do notderive fromany basicweakness in Gestalt laws perse butfrom thefact thatthe number,interdependence, and subtlety ofthe variablesinvolved in musical perception make the establishment a ofsystemof analyticalrules ofthumb impossible. Although thereis ample reason forbelieving thatthe laws developed byGestalt psychologists, largely in connection withvisual experience, are applicable in a generalway to aural perception, they cannotbe madethe basisof a thoroughgoing system for the analysis ofmusical perception and experience. This perception,as we havealready afHrmed, must depend on thesensitive responses of experienced listeners. Nor isthe development of thepresent analysis contingent upon the discoveryof further laws of aural perception. The laws already establishedcan lead us to, and form the basisfor,
a generalunderstanding of the naturalmodes ofexpectation as they function within
the cultural
context.
Basic Concepts and Formulations THE LAW
OF PRAGNANZ
The fundamental axiom ofGestalt theory is the law of Pragnanz, which states that psychologicalorganization willalways beas good as theprevailing conditions allow. Inthis definitionthe termgood is undefined.It embracessuch properties as regularity,symmetry, simplicity and others which we shall meet in the course of our
The Law of Good Continuation 87 discussion. It° is of utmostimportance torealize thatthis lawdoes not meanthat psychological organization will always besatisfactory. On the contrary, in many instancesthe figures perceived, the rela-
tion of figure toground, orthe relationof figuresto eachother will be less than satisfactory, either in and of themselves or in relation
to thestylistic context in whichthey appear or both. It is this lackof satisfactionwith the psychological organization that givesrise towhat wehave referredto asthe naturalmodes of expectation. For the mindis constantly striving towardcompleteness and stabilityof shapes. This tendency of themind towardregularity and simplicityof organizationis shown,among otherthings, bythe fact thata systemleft to itself will, in its approach toa timeindependent state, lose asymmetries and becomemore regular.7 The mind whenleft to operate onits own, as it does in the caseof remembered patterns and organizations, will improve those figures which arenot as good as they mightbe. This tendency ofthe mind toimprove thepsychological organization, to discriminatebetween satisfactory patterns andthose whichrequire improvement, has beenconfirmed bystriking empiricalevidence. The converse of thisis alsotrue: Goodorganization, stable shapes, will resistchange and will tend to remainconstant even in changes of thestimulus conditions. For example, a themeor motivewhich is well formedwill be perceived as an identity,as thesame theme, in spite ofchanges in instrumentation, range, dynamics, orharmonization. A thing isa particularlywell integrated part of the totalfield. The strongerits integration,the strongerthe forceswhich hold it together, themore constantwill it be in changes ofstimulation. . . . ° The betterthe psychological organization, the less likelyis it that expectation will be aroused. THINKING, MEMORY,
AND EXPECTATION
Without thoughtand memorythere couldbe no musical experience. Because they are the foundationfor expectation,an understanding ofthe wayin which thought andmemory operate throws light both upon themechanism of expectation itselfand uponthe relation of prior experienceto expectation.
Max Wertheimer,one of the most important membersof the Gestalt school, describes the thinking process in the following way:
88 Emotion
and Meaning in M usio
Generally speaking, there isfirst a situation Sl, the situation inwhich the actual thoughtprocess starts, and then, after anumber ofsteps, S2, in which theprocess ends, the problemis solved. Let us consider thenature of situation 1 and situation2 by comparing them, andlet us consider whatgoes onbetween, howand why. Clearly the process is atransition, achange fromS1 intoS2. S1 as compared to S2, is structurallyincomplete, involves a gapor a st1'uctural trouble, whereas S2 isin theserespects structurally better, thegap isfilled adequately,the structural troublehad disappeared; it is sensibly complete as againstSl. When theproblem isrealized, S1 contains structural strains andstresses that areresolved inSz. Thethesis isthat the very characterof the steps, of the operations, ofthe changesbetween S1and S2springs fromthe nature of the vectorsset up in these structural troublesin the direction of helping the situation,of straighteningit out structurally. . . . often the process does notstart with S1 andend with S2, butthat in S1 already is partof a development; that, moreover, S2, the very solution, does notrepresent anend but that by its very nature leadsto further dynamic consequences.
The relationof this description ofthinking andproblem solvingto the aestheticprocess isself-evident. Problem solving andthe aesthetic process are essentially one andthe samething exceptfor this proviso: thatin aestheticthinking, therelationship between structural troubles and their resolutions are intelligible and resolvable. It is also evident that thinking, the overcoming of difficulties, and
expectation are one process. Finally, theplace ofaffect inthis process isnot diflicult to discover.If expectationresults from,say, a definite structuralgap, the delay in completion of the thought process will result in affect unlessthe processis rationalized on the
conscious level.Alternatively a confused anddoubtful situation, resulting ina generalized expectation ofclarification, willgive rise to feelingsof suspense and affectiveresponses. Expectation depends in very important waysupon memoryprocesses. Aswe listen to a particular musicalwork we organize our experience and hence ourexpectations both in termsof the past of that particularwork, whichbegins afterthe Hrststimulus hasbeen heard andis consequently past, and in termsof our memories of earlier relevant musical experiences.
The Law of Good Continuation 89 Memory isnot simplya recordingmachine inwhich pastevents and experiences are storedin an immutable way. The tracesleft in
the memory by experience are constantly changing. These changes may be grouped intothree classes: normalization, emphasizing or pointing, andautonomous changes. Normalizing occurswhen the reproductions [ofremembered figures made bya subject]approach successively a familiarform; pointing,when a particular feature of the pattern, which strikesthe observeras such when heperceives it,becomes more and moreexaggerated; autonomous changes, lastly, are suchas derivefrom neitherof the two other sources but are inherent in the trace pattern itself, a result of its own intrinsic stresses.
All such changes take place in the rememberingof music. Since, however, musicis an art which is essentiallywithout external referents, these processes occur within a more orless closed system, and memoryoperates either between different musical experiences or betweendifferent partsof the same experience. The fact, already noted,that a system leftto itself will, in its approach toa time independent state,lose asymmetriesand become
more regular12 applies alike to parts of a pieceand to the whole musical work.The law of Pragnanzfunctions withinthe memory process, which tends tocomplete what was incomplete, to regularize what wasirregular, andso forth.Moreover, those shapes which are not wellHgured and which thememory isunable tostraighten out, complete, or make symmetrical will tend to beforgotten. In other words, anunstable memory trace will Hrst tendtoward stability; and,if this is impossible,it will tend to disintegrate. This aspect of the memory process would seem to account for the fact
that thewell-organized processes of themesand melodies are better remembered than the moreor lessirregular partsof a musical work; e.g., themelodies ofthe Hrstor secondtheme groupof a sonata exposition arebetter rememberedthan the irregular and often quasi-chaotic processes of the development section. As wehave seen, even thoseHgures whichare remembered are changed inthe process.This meansthat we tend to remember themes as being simplerthan theyreally areand thatwe remember forms asideal types rather thanas particularthings. Foras rec-
90 Emotion
and Meaning in Music
ollections of similar types,whether of parts or wholes, become regularized inthe memory,they tend to be grouped intoclasses, t.hus formingthe normswhich are the basisof stylistic perception and expectation.In other words, tracesproduced by similar excitations donot remainindependent ofeach otherbut form larger trace systemswhich influence newly formed traces in definite ways. 1*This process of normalizationis connected to what Koffka has calledthe averagingeffect-an effect whereby similarfigure processes become formed intoa singleclass concept. Of course,such concepts ortrace systemsare not really averages;but . . we possess within our storeof tracesmany systems which, througha process ofcondensation and assimilation formthe basisfor 'class' perceptions, for the normal and unusualf1° Normalization plays an importantpart infacilitating therehearing of musicalcompositions. As noted earlier,the normsdeveloped in the memoryare notrigidly fixed but changewith the addition of each newmemory trace; to the extent thatthe normshave changed, a rehearingof awork isa newhearing, yielding new insights.Those factors which
are the
immediate cause
of affect
and aesthetic
re-
sponse, the deviations, are the veryones thateither become regularized andaveraged or forgotten. Forthis reason they tendto surprise us, to remain deviantseven after many hearingsof a work.
It may, at this point, beobjected thatafter all we do not really forget the asymmetrical partsof a piece of music. We can, for example, recognize a symphonyby hearinga few measures ofits development section, presumably theportion of the piece which will most likely be forgotten or changed inthe memoryprocess. The objectionis not cogent because there isa greatdifference between recognitionand recall. For instance,we may be able to recognize aportion of a musicalwork, evento the point of recognizing eachtone asit is presented, without recalling it,in the sense of beingable topredict thesuccession of tones correctly. But since the ability to envisageaccurately, topredict, is just what distinguishes normsfrom deviants, the deviants would still seem unusual.
The veryfact thatwhen thedeviants arepresented we say toourselves Oh, yes, nowI remember is a clear indicationthat they were notreally, oronly vaguely,expected.
The Law of Good Continuation 91 Memory tendsto improve shapes inthe directionof regularity, symmetry, and completion. Butthis doesnot meanthat completed tasks or shapes are better remembered than ones which are not
complete. Whereincomplete Hgures set up real tensionstoward completion, where shapes are well articulated so that the manner
of their completion isclear, theyare betterremembered than complete ones."
Finally, memory,activated byknowledge andinformation, isa force inorganizing musical experience, for it bringssearch attitudes into play: . . . a true search attitude does much more than estab-
lish the communication between trace andprocess, itdetermines new processes not only through suchcommunication butalso by prescribing whatthe resultof the communication is to be: the new process isto be organized in terms of the trace. 17
The Principlesof Pattern Perception In the statement ofthe law of Pragnanzto the effect thatpsychological organization will always be as good as the prevailing conditions allow see p.86 f.!, the term good was leftundeBned. It is to the conditions making for satisfactoryand, equallyimportant, unsatisfactorypsychological organization that we now turn. These conditions, which are at bottom but corollaries
of the axio-
matic lawof Pragnanz, are expressed in a set oflaws andprinciples formulated byGestalt psychologists on the basis ofempirical evidence.
Although thepsychological organization is alwaysas goodas possible, thisdoes notstipulate thatthe organization is alwaysas good as the mind would wish. It is this dissatisfaction with the psycho-
logical organization which givesrise to expectation and perception of deviation.Good continuationand goodshape [are] powerful organizing factors, and both[are] in the truesense understandable: a line carries its own law within itself, and so does a shaped area or volume.
Violations of
this law
due to
external forces
are felt
as
violations; they conflict with our feelings of the fit, hurt our sense of beauty. 1°
Actually they"hurt oursense ofbeauty onlywhen theirfunction
92 Emotion
and Meaning in Music
and significance cannot beunderstood. Ajagged line understood merely asline may be unpleasant;for if it cannot be related to other aspects of experience, its irregularitywill seempointless. Consequently thetensions aroused in perceivingit as pattern will seem meaningless and unpleasant. But the same line placedin an aesthetic context, whereits perceptionis understoodas part of a total experience andwhere belieftends tocreate adisposition torespond, will seem exciting and significant. Similarlya dissonanceor an ambiguous progression which might be unpleasantwhen heardin isolation may be beautifulwithin apiece ofmusic whereits relationship to past eventsand impendingresolutions isunderstandable. The lawsand principlesthat follow are closelyinterrelated, and their functionsoften overlap.A violationof the law of completion, for example,almost alwaysinvolves disturbances in the factor of good continuation, though thereverse ofthis isnot necessarily true. Because ofthe interactionthat takesplace, thelaws andprinciples discussed below
must be
treated as
convenient distinctions
between
various facets of mentalorganization rather than asclearly separable mental functions. For this reason norigid and systematic compartmentalization of the discussion has beenattempted. THE LAW
OF GOOD CONTINUATION
A shape or pattern will, other things beingequal, tend to be continued inits initial mode of operation. Thusto the factor of good continuation in purely spatial organization there corresponds the factorof thesmooth curve of motionand continuous velocity in spatio-temporal organization. 2° Amongother thingsthis law helps to accountfor our being ableto hear separate, discrete stimuli as continuous motionsand shapes.
Actually, ofcourse, aline or motion doesnot perpetuateitself. It is only a seriesof lifelessstimuli. Whathappens isthat the perception of a line or motion initiates a mental process, and it is this
mental process which, followingthe mentalline of least resistance, tends tobe perpetuated and continued.This is important, notonly because we shall, forconvenience sake, often speakof a process as continuing itself, but alsobecause itemphasizes that a lineor motion is actually a processof the mind rather than a thing. Sincethe
The Law of Good Continuation 93 complexity ofa motionoften makesit difiicult to decidewhat constitutes continuation
and whether it has been disturbed or not, it is
the processas determiningthe motion both from the standpoint of the perceivers mindand fromthat of the composers technique! which we
must examine.
Process continuationis the norm of musical progression,and disturbances incontinuation arepoints of deviation. Thesedisturbances
in the process of continuation may be oftwo kinds: a! gaps in the process inwhich a process istemporarily halted and then continued
again, andb! changesin process,in whichthere isusually, though
not necessarily, a breakin lineand one manner of progression takes the place of another. Both kinds of disturbancesmay occur together, aswhen a process change takes placeafter a halt in the progress of the music. The motion by which one processchanges toanother will be re-
ferred to as processreversal or simply asreversal. Since processes may be moreand lesssimilar, itfollows thatreversals may be more and less drastic. For example, during a modulation several
types of sequences may be used, one replacingthe other. Each change willconstitute aslight reversal and willbe apoint oftension. However, thepoint at which the modulation process is replaced, say, bya steadystatement onthe dominant,will constitutea major change in process.
Continuation mustbe carefully distinguished fromrepetition. Continuation always implies changewithin a continuous process, not mererepetition. Andwhile continuationappears tobe a normal mode of operation, repetition is so only up to the point at which saturation sets in seepp. 185f.!. However,even ourexpectations as to continuationare tosome extentsubject toour expectations as to change andlogic; thatis, weexpect continuation only solong asit appears significant and meaningfulin the sense thatit can be understood asmotion towarda goal. If meaningbecomes obscured, then change will be expected. MELODIC CONTINUITY
Chopins Prelude, Op. 28,No. 2 presents aclear exampleof the establishment ofa process,its continuation,a disturbance,and.
94 Emotion
and Meaning in Music
finally, there-establishment aofvariationof theoriginal process. The melodic phraseExample 5! consists oftwo similarmotives joined :fn '- _
Lento © 'o
we iv- 77 ; 00 f
ii . ia ~f
~-
EXAMPLE 5
by the fact thatthe sametone beginsthe second fragment asended the first.The firstand second phrases are similarly linkedby a common tone,though thesecond phrase is displacedby an octave Example 6!.This process of conjunctionby commontone establishes a Phrase I, 4x A_ f "1 lf Y_ l Il |l.__l§1-Q_|lF1§lT|1 92l|§_-111--ll o » t - #4
Phrase 2. X 92 H
EXAMPLE 6
strong force toward continuation. We expectthe nextphrase, even if it involvesnew melodic materials, tobegin withsuch atone conjunction. But this does not take place. The continuity is broken in measure 14 by the entrance of the A where F-sharp would have
been theexpected toneExample 7!.
UA
I __brea92l~92 EXAMPLE 7
The forceof thisbreak isnot completely apparent untilthe motive is completedon theF-natural, sincethe A to E progression might simply betaken tobe a repetition ofthe endof the second phrase. The F-naturalenforces theeffect of the breakbecause, following the E,it introducesthe firsthalf stepin themelody. Afterthis break in continuity,the originalprocess ofprogression bytone conjunction is re-established and, with some modifications as to motivic order, continues until the Hnal cadential formula is reached.
The Law of Good Continuation 95 The melodic break which occurs in measures 14through 16 is
paralleled by a breakand change in harmonic process, but with this difference: the harmonic change conclusive, is the in sense that the oldprocessnot is re-established as was the case with themelody. Without presenting a detailedharmonic analysis of thePrelude, it is clear
that the
harmonic motion
of the
iirst sixteen
measures
might be symbolized as in Example8.
:F E : _ ` I f© ¢3iaI f ' 1»_¢¢1{r==iYi'i=1~l`il°192 Q xiii _»_.- '=r_ ia; := - : i=;:, :i1=-,_. _,,. _ , 1av.: f
:Sis 2
2""""""'°"°if"'°1'~;; = = -. -~ U; ,_ , ;'l
ro -_eat
G:YI .... ---- If
' I LQJ
--
Y.--- 'I----., D:Y! .....
YI -.If-.Y
,_
-- ` 11-53'/'§.iZI= xi.:ls92-L-l1°392ii
----I-'I'-I'--_ _
Loltered!
°a:lI_§1-_h,--.§Z ZITI:
Y
EXAMPLE 8
Although theopening phrase is originallyheard in E miner, for the sakeof simplicity it has been symbolized in terms of G, to
which it moves. The second phrase, which seems to be exactly parallel tothe first,leads usto expecta D major chordat its con-
clusion. Butthis hannony never materializes. Instead there is an irregular resolutionto an altered chord,whose rootmust be considered asbeing D altered to D-sharp. Herethe processchanges and the change is,so to speak, suspended during the progressive alteration ofthis chorduntil the augmented sixth chord in the last half of measure 14 is reached.The irregularand indecisivechar-
acter ofthe harmonic motion gives rise tofeelings of ambiguity and uncertainty, whichare resolvedby the relatively clearand regular cadence from measure 14 to 15, in which the augmented sixth
chord still an alterationof the harmony whichshould havebeen D major! moves to the tonic 6/4 in A minor.
One of the most striking things about this progression isthat had thesequence continued in the regular manner, with an alteration to minor at the end of the phrase, thesame harmonicspot
might have been reached with onlyminimal deviation; that is,be-
96 Emotion
and Meaning in Music
ginning with the secondphrase, wewould havehad the following progression:
D: IV!-VI-If-V-I A: IV!-VI-I2-V-I
aminor!
It seemsperfectly clearthat any technical explanations of measures 12to 16 purely in terms of harmonic goalsand modulations must beinadequate, since the samegoal couldhave beenreached in a much moreregular way.The explanation lies inthe importance of doubt and uncertaintyin the shaping ofaesthetic affective experience.
It is important to realize that certainty anddoubt are relative terms. Thebeginning phrases of this Prelude areonly relativelycertain, particularly if we consider thestylistic contextin which it should beheard andits relationto the preludes whichprecede and follow it.
The constant use of non-harmonic tones and added sixths,
etc., in the accompaniment Hgure togetherwith the over-all subdominant progressionC to D to A! produce a feeling of indefinite tension,a kind of relative uncertainty, fromthe very beginning. The relative uncertaintymoves tomuch morestriking and forceful uncertainty in measure 10, where it is, in turn, resolved to
a relativecertainty inthe arrivalof theA minor6/4 harmony.Complete certainty,toward whichthe pieceprogresses from the beginning, isachieved only with the final cadence, the proprietyof which is apparentfrom thisanalysis. Intensity ismaintained tothe endby the delay in the resolution of the 6/4 chordon A minor. Noticethat while,from onepoint of view, the harmonic process is discontinued,from anotherpoint of view, the
whole motion
from measure
12 to the end
is at
least
similar tothe originalprocess, though much prolonged:
a: IVj#-IVj#VI, omitted! -I§ prolonged! of-V-V V-V-I ii
This exampleis interestingfrom severalpoints of view. First, it does not have a beginning in the sense that there is no statement
The Law of Good Continuation 97 but only a motionand aconclusion. Inthis respectit is reminiscent of Wertheimersdescription ofthe thinkingprocesses in which we have ...... S, ...... S2 ...._. ; that is, the openingphrase Sl! is alreadypart of a process,though in this casethe final cadence does representa final solution. Beginningduring a process also contributes to the general aura of vagueness thatpervades the whole Prelude. Second, thispiece illustrates the difference between
discontinuity through a changeof processin the harmonic motion! and discontinuitythrough adelay andbreak in a process in the melodic motion!which is subsequently resumed. Finally, the example isnoteworthy because the reversalof processand thebreak in melodic continuity which constitute the climax do not occur as
the result of the typically risingprogression buttake place,so to speak, inthe courseof a gradually descending progression. Some aspects of a process may exhibit continuitywhile othersdo not. Thesequential opening phrase ofthe Liebestod of Wagners Tristan undIsolde Example9! establishesa processwhich leads us to expect a definite continuation. Up to measure 5 the clarinet
and voicepresent essentially the sameline. But at measure5 the sequential process is brokenin the vocal partwhile theinstruments continue thesequence. Sehr missig beginnend
Voice Bass cloringf :r::f'x:==*" '-:
1:+=:.i =
a: clarinet!
EXAMPLE 9
For the sake ofclarity, letus turn our attentionHrst tothe vocal
part, thento theinstrumental line, and, finally, to therelation between the
two.
Although thesequential process is brokenin the vocal lineat measure 5, since weexpect theline to begin onA andmove toD as
the hornpart does, the over-allline Example10!, whichbegan with the A-Hat inthe firstmeasure and moved upwardthrough the
98 Emotion and Meaning in Music B-flat toC-flat andthen C-sharp, is notbroken. Thetones whichwe
expected are presented, but not inthe orderexpected on the basis of theestablished sequential process. On the otherhand, whilethe break inprocess represents no basic break inthe line,it doesherald a delayin the over-all line, which doesnot continue its upward surge untilthe Hnal measure, when the motion to theupper A-Hat, a naturalpoint of completion, isreached. l;S'|1» ii |;n4_1;lI*ili1i _
_ ,iii __gii_ ,_1.1__1;
11
_ 1|11r1;!-I $=92i1$| _
1 'll 1 - 1 'lrlgl
U 2-lilii-I l'1.l;l.L-l'Y;l_
® __ :n|. QT fm-z.| I! 'H | II fvlnf-.|.-X -92.|w'-'--"----_jf-Z2-._'. l.»l'__2' _I |7-i-tlxalul-Q-,_ I -|-- _ 92| i 1I 'I m 2 - '-
@
!_- I
I 0 *_*
EXAMPLE 10
Notice thatthis breakin the melodic sequence is accompanied by discontinuity ofrhythm, whichis all the morestriking becauseof the continuousness of theinstrumental line.Actually thevocal part in measures 5 and6 issyncopated against the instrumental line and, as weshall seepresently pp.113 f.!, involves importantrhythmic changes. Thesechanges anddeviations from the instrumental rhythm shouldnot beconfused withthe slightlydelayed entrances in measures2 and 3. For though the latter have an expressiveeffect
by delaying and disturbingthe process,they work within that process, whilethe rhythmicchanges inmeasures and 5 6 are both more striking and more important. ._ 1 7_ Ivlu. |I'92..- 'I i r|N92;92_|;1x.r|1192.;111-| §|lT'§`_i"H_92l§._ |r_:A~11|I-| _lui 111l|ll1u'4.;l _
,_ E _ _
-l |-1; ii?i'-i '
.
1
EXAMPLE 11
The instrinnental line presentsa strong contrast to the vocal line.
While the vocal line involves abreak in process andrhythm at measure 5, the instrumental line persists with single-mindedness Example 11! on its sequential way as the whole motion is accelerated. The
second measure
of the
motive is
now omitted
so that
The Law of Good Continuation 99 t.he motion of anascending fourth followed bydescending half steps is heard in each successive measure. The interesting thing about the
process isthat, thoughpart of the melodyis omitted,the intervallic progression upward is notaltered, forthe newmotive always begins on the same toneas thesecond halfof the motive does Example 12!.
As aconsequence this of modification the process continues basically as beforebut at a morerapid rate.
EXAMPLE 12
The acceleration is again increased in measure 7,where the entrances of the motive occur at t.he half measure. However, t_his in-
creased rate of progression also marksthe endof the sequence. For the interval
A-flat to
D-flat in
measure 7
does not
continue the
se-
quence but instead serves to reunite the vocal and instrumental lines. Both the point at which the break takes place the A-flat! and the melodic motionof the union measure 7! are foreshadowed
in the previous measures. The importantbreaking point,the A-flat, is impliedby themotion fromD in measure 5!through theC and B-flat in measure 6!.The melodicmotion isimplicit in the vocal line of measure 6. That is, if the vocal line of measure 6 had moved
upward in fourths, it would have had the same melodiccontour as both
the instrumental
and vocal
line have
in measure
7. The
unification of the instrumental and vocal lines is emphasized and
articulated bya moredecisive harmonic motion. Andboth melodic and instrumentallines moveupward to the high A-flat, toward which they have been tendingfrom the beginning. Here, then, we have the simultaneous occurrence of ! a break
in process in the vocal line! from the point of view of sequential progression but only adelay fromthe pointof view of over-allmotion; !
a continuous process in the instrumental line! whose
mode ofprogression altered is indetail butnot inbasic motion;and, finally, ! the stabilizationof both processes through their reuniHcation and through their motion to a point of relative repose.
The relationshipbetween theprogress ofthe vocal line and the
100 Emotion
and Meaning in Music
instrumental line is particularlyinteresting. Forthe feelingof delay in the vocal lineis intensifiedby the accelerated motion of the instrumental sequence and viceversa. The melodyunder consideration presents an interesting example of alternativepossibilities ofmelodic continuationsee p.51!. The opening of the two-measuremotive createsa structural gap by skipping from E-flat to A-flat. The ensuing descending motion A-Hat, G,C-Hat, F!begins toH11 this gap, establishing a continuity process whichleads thelistener toexpect areturn to the opening E-flat see Example 13!.But the introduction ofa rising progression C-flat, A-flat, B-Hat!during the course ofthe descentgives rise toaltemative expectations. The tendencies inherent inthis new process aresupported bythe rising melodic linefrom measureto measure see Example 10!.Not only is thearrival ofthe low E-flat delayed infavor of this risingprogression, but from measure5 to measure 8the ascending motion is itself delayed.And the arrival of both low andhigh E-Hatsmeasures 7 and 8!, thus makea significant contributionto the feeling of resolution whichprevails at the endof the whole period. _c 1 -l | ._'vii 3 i _ ilnlri 1 92 'l'l_._§Ql@|i
.li:1Y'1l_§l U-1 llil 1 rl 1. EXAMPLE 13
Notice that just ast.he pointof processdisjunction andthe beginning of delay in the large melodic shapewere markedby an unexpected tonalsequence andbolder temporalgaps, so in the
smaller motive delay isaccompanied by a lessregular sequence of tones and a slight rhythmic disturbance. Theparallelism between themotivic construction and theover-all phrase organization is anotherinstance ofthe architectonicnature ofmusical processes. Since theaffective qualityof the whole isconditioned bythat of its parts, the smallerdelays incontinuity mustalso be examined. These takethe form of thosedevices thatare generallydiscussed under the subject of omamentation. Inthe exampleunder consideration, theappoggiaturas actto delay the normal continuation of
The Law of Good Continuation 101 the quarter-notemotion Example14!. That is, we expect themotion initiated by the skip of a fourth-for instance, fromE-Hat to A-flat in the firstpresentation of the motive-tocontinue onthe next beat. Variousalternatives are possible withinthe stylesystem. The motion fromthe fourthmight, for example, move as partof a triad on up to the C; it might movestepwise afterthe fourth, as in the melody whichbegins theslow movement of Beethovens Symphony No. 2;or it might beginto closethe structuralgap bydescending at once, asin the Faith motive
from Wagners Parsifal see Prelude,
measures 44f.!.However, whatdoes happen is that the tendency toward furthermotion isdelayed bythe repetitionof theA-Hat, and the effectof this delay isheightened because the repeatedtone is a dissonance. _+
1|'l¢ EXAMPLE 14
The affectivecharacter ofthe appoggiatura and otherornaments as wellas theaffective character of chromaticism, which alsoplays an importantrole in the effect of this passage, willbe discussed more fullyin chaptersv andvi. At this pointwe mustbe contentto remark that the expressiveaffective nature both of ornaments and
chromaticism isclearly indicatedby evidencefrom Western,nonWestern, and primitive sources. Continuity always operates within a particular cultural stylistic context, whichnot only conditions expectationsabout suchobviously cultural factors as harmony but often plays an important part in determining our expectations of melodic continuation. A common
example of this is the melodic progression upwardthrough the triad, asin Example15. Thistypical patternforms thebasis ofsuch
102 Emotion diverse melodies
and Meaningin M usio as the main theme
of the
Erst movement
of Schu-
manns Piano Concerto, the theme ofthe slowmovement ofHaydns Symphony No. 97 in C Major, and thetune Three Blind Mice. - 1'
l;
f¢& "5
¢l92
EXAMPLE 15
RHYTHMIC CONTINUATION
Thus farcontinuity hasbeen discussed largely interms ofspatiomelodic andharmonic processes. The vital and everpresent factor of temporal organization hasreceived little attention. In view of the numerous
and well-known
d'iculties involved
and the
incom-
plete stateof our knowledge ofthe subject,it would indeed be pleasant toignore thefactor of temporal organization altogether. It is, however, sovital in achieving anddisturbing continuitythat we must at leastmake sometentative observations on this aspect of the musical process. Distinctions must first of al] be made between pulse, meter,and rhythm.
1. The perception ofpulse involvesan objectiveor subjective division of time into regularly recurring,equally accentedbeats.
The ticks of ametronome aorwatchare pulses or beats. Such equal pulses willnot giverise toan impression of eitherrhythm or meter unless, ofcourse, themind of the listenerimposes somesort of differentiation upon the separate beats. Though afeeling ofpulse isnecessary ifan impressionof meter
is to arise andis generallypresent inthe perception of rhythm, pulse can and doesexist alonewithout creatingeither meter or rhythm. In order for this to occur, there must be no differentiation
of thebeats withrespect to accentuation. They must beequal. In fact, whatare later to betermed incomplete rhythms areactually a seriesof pulsessee pp.144 f.!. 2. The perception ofmeter involvesan awareness of the regular recurrence ofaccented and unaccented beats. The necessary condition for metric organizationis the differentiation of pulses into
The Law of Good Continuation 103 accented andunaccented. There must be a feeling of the basic beat if the feelingof meteris to arise. Butthis pulseof beat need not beactually heard. It may be carriedin the mind of the listener see pp. 118-19, 242!.Because theimpression ofrhythm depends not onlyupon theexistence of accented and non-accented beats but also uponthe groupingof thosebeats, metercan, in a sense,exist alone withoutany impression of rhythm. For wherethe listeneris unable togroup theunaccented pulses in a definitive way-where rhythm isambiguous-the impression may merelybe oneof strong beats andweak beats following oneanother witha givenfrequency. An instanceof this type of organization isdiscussed inchapter v see pp.147 f.!. 3. The perception ofrhythm involvesa mentalgrouping of one or more
unaccented beats
in relation
to an
accented beat.
These
groupings may,of course,be more and lessclear; andwithin any given meterthey mayvary indefinitely.They mayin this sense be more and less regular.Furthermore, theaccents ofthe rhythmic group, thoughgenerally supporting the metricorganization, may at times conflict with that organization.
In referringto thepatterns whichresult fromsuch groupings, we shall use the terminologytraditionally associatedwith prosody: iamb V-!, anapest VV-!, trochee -V!, dactyl -VV!, and amphibrachV-V!. Finally it should be notedthat rhythm can exist alone without pulse or meter as it does in plain chant, the
rhapsodic fantasias of many diEerent cultures, or recitativo secco. The basicdifference between pulse, onthe onehand, andmeter and rhythm, on the other, lies in the fact that the latter modes of mental organization involve the differentiation of beats into accented and unaccented, while the former does not. This makes some sort
of definition
of accent
desirable.
Basically anything is accented when it is marked for consciousness in some way.Such mentalmarking may be the result of differences in intensity, duration, melodic structure, harmonic progression, instrumentation,or any other mode of articulation which can
differentiate onestimulus or group of stimuli from others. Even silence, arest, maybe accented,as isthe casein the second measure
of the fifth movementof BeethovensString Quartetin C-sharp
104 Emotion
and Meaning in M usio
Minor seep. 149!.In other instances tone a orgroup oftones may appear to be accented,not becauseof any particular distinction which it possesses per se, but because apreviously established grouping tendsto perpetuateitself, makingthis type of organization the simplest one. Accent should
not be confused with
stress. As observed earlier,
silence maybe accented;the literature of music is replete with examples ofpianissimo accents. Stress isthe dynamicemphasis of either an
accented or
an unaccented
tone. VVhere
an accented
tone
is stressed,the stressmay changethe rhythmic grouping or may help to clarify anotherwise ambiguous rhythmic organization, but it does not create the accent. Nor does stress placedupon an un-
accented beat alter therhythmic grouping.Such abeat is still perceived asunaccented, not only because of the tendency ofa given grouping toperpetuate itself, but alsobecause, as we shallsee, the placement in the temporal organization ofan unaccentedbeat, whether stressed or not, is physicallydifferent fromwhat it would be were it really an accent.Thus asa rule an offbeatsforzando or forte should
be classed
familiar instance
of such
as a
stress rather
an offbeat
than as
stress is
an accent.
the fortissimo
A sur-
prise in the second movement ofHaydns Surprise Symphony. It is clear in this case that the strong stress doesnot affect the basic
rhythmic structure,though it obviously modifies the characterof the theme.Indeed, theeffect of the fortissimostress ispartly the product of our knowingthat it is not the real accent. VVhile it is important to distinguish betweenaccent andstress, it should be noted that
there are
instances where
such an
offbeat sforzando
or
forte shouldbe treatedas an accent alteringthe rhythmic grouping. The performer mustbe awareof this possibility, forhis decision asto the significance ofsuch toneswill literally determine his placement ofthe beats,his performance of the passage. Rhythm and meter, though obviously intimately interrelated, are nevertheless independent variables. This will be evident as soon
as one considers thatseveral differentrhythmic groupingscan arise within the samemetric organization,as the Examples 16-20 show.
The Law of Good Continuation a! Iambic grouping.Allegro molto e vivoce nf ri..ii11 1- ' -"
1 11
°'°- -
x |.ln
|-4. » EXAMPLE 16 BEETHOVEN, FIRST SYMPHoNY, MINUETTO
b! Anapestiogrouping.°. .' 0' ` Xhg T I 111_*l-1_11111-_jI.llj1l1-$1.1 1 li 1. 1-11 il,|92 `Q .--_-_I_-Q1'1___2_-1l1_1__--1 ____-Q-Q :1-ml 1111-_1_1j_--__§l'_ !- il ll 92.¢ ga *wsu -_vyd '*_,92|I92-I -°_92¢92¢ *vv -9 Q ._ -4 -L J1 EXAMPLE 17 B1zE'r, CARM1-:N, Ac'r III,
ENTRAC'I'E
c! Trochaic grouping.Menuetto I _.ill-_-I----_-Qi 1 -__"2-Z_-; - .J f e- "4r°"-
°1 r"-1n'-1
="
EXAMPLE 18 MOZART, STRING QUART1-:'r INA MAJOR KA64!, M|NUE»|~r0
d! Daotylio grouping.Molto vivace YCiI_111llQ121-§.§ I92_ 'lJ _i I xuilqiiiiiii _Z l 92¢ _ hl92J P sl MJQ'._92¢SJJ ** EXAMPLE 19 BEETHOVEN, NINTHSYMPHONY, Scmnnzg
e! Amphibraohgrouping.Allegro molto _;. 1_ r¢|.11_r';11;:-r.i;1l1..1 1-1 _! 11 | _:vin I_ 92 IZ' ;Axiii!: I 1 11 _ 3 i S-I '* 92l"92I hd 92¢ I § V
S ig5
EXAMPLE 20 HAYDN, SURPRISE SYMPHONY, MINUEITO
106 Emotion
and Meaning in Music
In like manner thesame rhythmic grouping mayarise outof different metric organizations. Forinstance, aniambic grouping can exist induple aswell asin triple meter, asis thecase inthe opening theme of the first movement ofBrahms FourthSymphony; likewise an anapest grouping can arisein duple meter, asit does in the Cavotte
en Rondeau
from Bach's
Partita No.
3 for
unaccom-
panied violin;a trochaicpattern canalso arisein duple meter, asit does inthe tuneAu Clair de la Lune; and an amphibrachrhythm can existin duple meter, asis the case inthe openingtheme of Mendelssohns Violin
Concerto.
However, some rhythmic groupings tend tobe incompatiblewith particular metric schemes. Duplemeters, for instance, do not easily
give rise to dactylicpatterns, whiletrochaic patternsare diflicult to achievein triple meters. Tounderstand thisincompatibility of rhythmic groupings with metric structure, itis necessary to discuss some ofthe waysin which the mind organizes accented and unaccented beatsinto cohesive groups.
A seriesof stimuliof equalintensity andequal durationcreate no impression of rhythm unless the mind imposes its own differentia-
tion on them. Someof the stimuli mustbe perceivedas accented relative toothers. Whenthe mindimposes its grouping uponsuch a series not onlyis thevividness ofthe beatssubjectively conditioned by the mind butso alsois their position inthe series. If a series ofequidistant sounds like the ticks of a metronomeare heard the observermay phrasethem into iambs, trochees, or dactyls, as he chooses. To the ear,the choiceseems toaffect merelythe vividnessof the beats. Butif the observer tapsa key at eachbeat of the metronome,it will be found thatin the case ofthe iambhe alwaysmisplaces thebeats; often the same thinghappens inthe caseof the trochee andthe dactyl. Because ofthe influenceof the rhythmic process, the observerdoes not hear the beats wherethey actually occur. In the caseof the iamb he always hearsthe beatwhich he makes subordinate nearer theaccented beat thanit actuallyis in the objectiveclicking ofthe metronome. These conclusionswere conHrmed by the studies of Woodrow,
who found that when time intervalsare equaland every second sound is accented, therhythm will appear tobe trochaic. If intervals
are equaland everythird soundis accented, the rhythmwill appear as a dactyl. Thusthe trocheeand dactylmay begrouped together
The Law of Good Continuation 107 in the sense thatboth are primarily productsof intensity differences rather
than durational
differences.
]ust the opposite isthe casewith iambic and anapestic rhythms. They arebasically products of durationdifferences. Ifwe startwith a trochaic rhythm and gradually increasethe interval after the louder sound,we arriveat an iambic rhythm.Similarly if we begin with a dactylic rhythmand graduallylengthen theinterval afterthe louder sound,the rhythm tends to become ananapest. Thusthe greater therelative durationof one tone or beat of a group, the greater thetendency forit to complete thegroup; whilethe greater the relativeintensity ofa beat, the greaterthe tendencyfor it to begin the rhythmic group.In other words, durationaldifferences tend to result in end-accented rhythms,and intensitydifferences tend toresult inbeginning-accented rhythms. This analysisexplains whytrochaic rhythmsdo not easily arise in triple meter. Forthe two-unittrochaic rhythm -V! can arise in a three-beat meteronly if one of the rhythmic units is two beats
long J J. And the difficulty with this pattern liesin the fact that
such temporally differentiated groups tend to become end-accented. The only way in which sucha normallyend-accented pattern can become trochaicbeginning accented!is to place a strong stress upon theaccent sothat intensitydifferences outweigh, as it were, durational ones. This is precisely whattakes placein Example18. Without theforte-piano onthe first beat of measures 1 and 8, the
rhythmic grouping would have been amphibrach Q J,I l J } . But the stresson the first note binds the C-sharp tothe A, and the
rhythmthought is and of played as atrochee AQ|A J} - If is ;_I I important to emphasize thatthe performers conception of the rhythm literally influences hisplacement ofthe beats.That is, in interpreting thispattern astrochaic, heactually places the C-sharp nearer tothe A than hewould had the groupbeen considered to be iambic.
A similar situation prevailsin the case ofdactylic groupingsin duple meter.In orderfor adactylic rhythmto existin a duple meter, one of the two metric pulsesmust be divided to form the third impulse necessary in the dactyl group: -VV. Thus the pattern
The Law of Good Continuation 109 accented beatin amphibrach rhythms see Example 20!. For though aclear temporaldifferentiation mayleave nodoubt about there beingan anacrusis to the group, theaccent mustbe heavily stressed sothat the afterbeat doesnot becomegrouped with the anacrusis, that is, sothat theamphibrach organization ~/"~.»,,~»"-/,
does not become an anapest one 9292_,-jv,v'jV- . These observations as to the modesof mentalgrouping arenot, however, absolute laws. Theiroperation isconditioned and modified by the organization of the otherelements ofthe musicalstructuremelody, harmony,instrumentation, andthe like. This is simply illustrated byan analysisof Example22. In the themeof the first movement ofMozarts PianoSonata inA Major the secondhalf of each ofthe first two measuresa! is clearly trochaic,despite the normally end-accented iambic! durational
differentiation. This
grouping isthe resultboth of the absenceof any prior anacrustic organization and of the disjunct motionbetween measures; that is, the skipfrom Eto Btends tomake themotives discrete, isolating the rhythmic groups. Andante grozioso . 0_'I JXLQHYi si rt.: iiiré _ HiI I..11'!Qi1QlTl.l1.l§l Pi
. _b. FC-Q_will 13.11 11' lt.; Qi;-.ana .ii--§_11Q1..1._l
ivm VA
viii
yr EXAMPLE 22
The relationshipbetween melodic and rhythmicorganization can easily beseen ifthe second measure ischanged insuch away that the melodicmotion between measures is conjunct, asis the case in part b of Example22. Nowthe finaleighth noteof thefirst measure is clearly heard asan upbeatto the second measure, making the rhythm iambicacross thebar. But even without thesemajor alterations,the groupingcan be changed ifan upbeat,an eighthnote E,is placedbefore theC-sharp in the Brst measure of thetheme. Ifthe readersings thetheme with such anupbeat, hewill find that the last eighthnote of the Hrst measure now tends to seem anacrustic.In short, earlier rhythmic
groupings influencelater ones;or, to put it in another way, an established rhythmicprocess tendsto perpetuateitself. Equally
110 Emotion
and Meaning in M usio
important isthe factthat futureorganization also inHuences grouping. Thusthe performerwill play the Hrstmeasures of the Mozart theme in such away that its trochaicpattern isclear becausehe knows whatthe organization of the two-measure group is. It is, then, thetotal dispositionof all the musicalmaterials that determines what the rhythmicgrouping willbe. Thisis anotherway of sayingthat theentire musical pattern willtend tobe perceivedin the simplestand mostsatisfactory terms. For this reason rhythmic organization isnot merelya matter of duration and accentbut a matter of these elements in relation to all other aspectsof the pattern organization.However, whilethe mental organization of the musicalstimuli will be as good as possible underthe given circumstances,will it not necessarily be as satisfactory as thelistener might wish. Often therhythmic organizationis discontinuous,incomplete, orambiguous. HIGHER LEVELS OF RHYTHMIC
ORGANIZATION
In Example 23 an important rhythmic change takesplace in measure 3, even though the quarter-note motion continues as before. The alteredgrouping isbased uponthe changein melodicprocess, a more active harmonicbass line,and the altered phrasing.The second beat of themeasure is no longergrouped withthe first beat as partof an amphibrach butbecomes partof the anacrusis tothe Allegro Molto .I
- v!
sk; WNW; 92JJ*92a
-I
EXAMPLE 23
next measure. This reversal of the rhytlun isparticularly striking because thenew group enters beforethe old one hashad a chance
to completeitself. It is so accented forconsciousness that one is
tempted to analyze the tones Dand Cas atrochaic subgroup of the larger iambwhich ends on theA ratherthan asan anapest. What is crucialhere both for theperformer and the criticis that,though we baseour interpretation of what the rhythmshould beupon the availableinformation supplied by the score, theinterpretation
The Law of Good Continuation 111 itself changesdepending onwhere weplace thebeats. Inthis instance, forexample, the G in measures or 1 2 will actuallybe closer to the B which precedes itthan theD in measure 3will be to the F -sharpwhich precedes it. Although thereversal ofthe rhythmic process isundoubtedly a disturbance inthe continuity,from anotherpoint ofview it is apparent that this very reversal weldsthe final six beats counting the rest! of the phraseinto a single group,as opposed to the first six beats whichfonn two clearly definedpatterns. Thisunity arises partly because the finalgroup involves no repetitionof similarparts and partlybecause, in a sense, the toneD servesas apivot belonging both to the preceding amphibrach and to the ensuinganapest. Its anacrustic function is not immediatelyapparent, thoughthe rhythmic displacementwhich the performers interpretationwill force uponthe temporalrelationships willbe sensed, and thetotal group will, in the end, appearas constitutingthe upbeat to the final A.
It is this creationof a larger rhythmicunit that gives thetotal phrase itsover-all rhythmic form. Forjust asa seriesof beatswhich are equalboth in accent andduration will not giverise to an impression ofrhythm exceptin so far as the mind imposes itsown arbitrary differentiation upon thestimuli! so,too, thesmaller rhythmic groups will not give rise to larger patterns unlessdifferentiation
of accentor durationis present.Thus in this examplethe grouping might be symbolizedas A-A-B or, in terms of duration, as 3-3-6. In rhythmic terms this isnothing butan anapest grouping. The function of the pivot tone in joining two separablegroups together iseven clearer in Example16, wherethe repeatedE in the third measure can be interpreted both as a sort of afterbeat in the iambic rhythm and aspart of an anapestfoot forming the upbeat to the final C. Here again the construction of a differentiated Enal group gives rise to an anapestphrase rhythm. This pattern of con-
struction canalso beseen inExample 17. The constructionof the Mozart exampleis quite different see Example 24!.There eachtwo-measure group exhibits arhythm of its own, but the whole consistsof a series of such rhythms rather
than a more compactover-all grouping.The rhythm of the Hrst
112 Emotion
and Meaning in Music
two-measure phases is notabsolutely certain but thedynamics would lead oneto feel that theyexhibit a trochaic grouping. The second group of four measures is quite clearly iambic.If this analysis is correct, thenthere isa mild rhythmic reversalbeginning withthe fifth measure. It is mild because the nature of the reversal is not
apparent untilit is practically over-until we arriveat measure6*-
, sg
`.¢ P
-' `/
- *T
F 92./
._
"" sq
92|»7.i 11é11 _D 3 _ q`,-! £1 *ii , *i if5 ,' r", "I 9, EXAMPLE 24
and because the openingphrase isnot emphaticallytrochaic. The regularity of the motivic construction andthe lack of any strong rhythmic breakcontribute muchto the gracefulness ofthe total period. Perhaps the mostunusual andaffective aspect of the whole example isthe openingrhythm, whosepiquant character is largely a product of the fact that a trochaicrhythm is, as we have seen, forced upona naturallyiambic temporalrelationship. How far one cango in discussing form in termsof rhythm is an open question.It is partly a matter of definition. If, for example, one adoptsa motortheory of rhythm, thenit seemsobvious that one canseldom includeas a rhythmic groupanything largerthan the phraseand sometimes not that.It is also partlya matterof the temporal limitsof the psychological response to larger groupings. Certainly Sachss argument against the conceptof form as atype of rhythm, on the groundsthat most formal plansdo not consist of units that are multiplesof two, is no argument atall. For, as we have seen, it is just because not all motives and phrases are of equal duration andaccent thatwe canspeak ofthe rhythmof phrasesor larger unitsat all. Nor shouldany discussion of form in rhythmic terms be taken to exclude otherviewpoints.
Our conceptionof rhythmic process results not only from the immediate organization of melody,harmony, dynamics, texture, and so forthbut alsofrom their past organization within the particular piece beingheard. Thepassage fromTristan alreadyconsidered pp. 97ff.! furnishesan interestingillustration ofthe influenceof prior melodicorganization uponrhythmic processes. The melodic
The Law of Good Continuation 113 reversal discussed earlier is accompanied bya striking rhythmic reversal, whichwe cannow examinein more detail seeExample 25!. Eachof theopening measures establishesclear a iambicrhythm with trochaic subgroups. Thisorganization issupported by the phrasing inthe clarinets,the hannonicmotion, andby the rhythm of the text itself. Notice that the main rhythmic accentalways I 1_ _ i U ____ _:_ ` Y YC192l AQ; l'Ql 1 -" III?!1 1.-11 Y .1 il _ -»if- 92J__ i sl ,L ,f 'JA Ty; -J.92/ "L EXAMPLE 25
occurs onthe topnote ofthe ascending melodic line,after orbefore a skipof a fourth. Whenthis top tone appears, even thoughout of its expectedorder, itis givenan importantaccent partlybecause of its kinshipwith earlieraccented tonessee Example 26, measure 5!. Since itis theHrst toneof a group, it becomes the accented portion of a trochaic group;and this change froman iambicrhythm to a trochaic oneconstitutes arhythmic reversalwhich in conjunction with the melodic changes is a powerful affectiveforce. reversal! Q -I |11 llT11§Ll.L'-`:lTY'§1l I 1.Y'Q"§lll1ll1 _ 1'1|i1'Y`l-I ll LQ11 71121-I l»I_ _ILl ll 1 Xi-l
.I Q _'Q'|. _ |lll.1-I1 'IY92§2QQZf*__1'-ID_l*'iI'l I I JI i Q- _ §`-1|'?- l.l11Il`Y*Q.§l'l Q T12 I l--
' lf
- if
` _.J
%
EXAMPLE 26
The analysiswould beincomplete, however, if we failed to recognize thatthis changeof processis not confined tothe rhythmic organization. The placement of the mainaccent ofthe groupon the second beat of the measure creates a syncopation in which the
metric organization is alsodisturbed seeExample 27!.While the instruments continue the original metric scheme, if anything en-
forcing it through theaccelerated rate of sequentialprogress, the rl Q I I Ivi-I . , ,-I iuvtii :vi ll-I ln.; I|.-1_ | nm- r ii.Q¢.|ilz.;1; I191131 YL U ill# I nvnvl Y-llN"' I;1 111 Il-dl' I;r:.T |;11 9292l' ll `
1 :r him; '
EXAMPLE 27
1; 1
1
114 Emotion
and Meaning in Music
voice partplaces itsprimary accenton the second beat of the bar and its secondary accenton the fourth beat of the bar so that, in
effect, thewhole voicepart is syncopated against the instrumental parts.
This crossrhythm isresolved inmeasure 7, but rhythmicstability is not achieved untilmeasure 8.And hereagain wesee theinfluence ofprior rhythmic-melodic groupings; forthe upwardskip of a fourth maintainsits original anacrustic effect,and the series of fourths in the seventhand eighthmeasures are without a strong downbeat Example28!. Even in the instrumental partswhere suv `__3___; i? ."
é -_
J
EXAMPLE 28
downbeats doappear, theyare obscuredby the over-all seriesof anacruses, which reach areal downbeatonly at the final A-Hat. That theaccented placement of theA-flat isno accidentcan beseen if the melodic motionof measure 8 is compared withthat of measure 2.The comparison makes itclear thatmeasure 7 is a variant of the firstmeasure ofthe two-measure motive usedat thebeginning, but it is soarranged that it achieves no decisivedownbeat within the bar. In other words,we againflnd an example ofthe weldingtogether ofparts whichwere formerlydivided sothat 92__:u__1 `_,-`,- becomes -
,~.»~./V ,.
This unificationof the final two measures has consequences in organizing thestructure ofthe whole period of eight measures. Notice thatthe reversalin measure5 not only changes the rhythm within the
measure but also that between measures; i.e., that the
accented measure in the opening phrase is the second ofthe group, while in bars 5 and 6 the first measure ofthe groupis accented Example 29!.As aresult ofthis thesecond phrase does noteasily 1:34, rjxiii 7I LV ig ,' r*- "'.f»*
|; {1
int. _ ;| iM
EXAMPLE 29
''
_ ._ i: : 92-/,
The Law of Good Continuation 115 split itself into segments, for our attention iscarried, soto speak, from the
downbeat in
measure 5 to the final downbeat
in measure
8.
In short,the totalperiod mightbe schematized something like this: measures measures
measures
1and2 3and,4 5and6 7and8 1, _uv _u_ N/92Q -_,
iamb iamb
trochee anapest
METRIC CONTINUATION
Meter isa productof thedivision ofa giventime spaninto parts of equal duration but unequal accentuation. The metric group is measured and numbered interms ofthe equalbeats fromone accent to thenext. Thusif the beat issymbolized bythe composer as being a quarter note and,counting theaccent whichbegins thegroup, there are four beats before the next accent, then the meter is said
to be4/4, meaningthat thereare fourquarter notes to a metric unit. As wehave seen,the metricgroup doesnot determinewhat the rhythm is to be. The samemetric unit may be the basisfor various
different rhythms.In other words, althoughthe relationshipof unaccented to accented beat is not fixed, there must be accent and release if
there is
to be
meter at
all. What
is Hxed
about metric
organization isthe numberof beats,not their disposition. On theother hand,this doesnot meanthat rhythmand meterare completely independent of oneanother. Achange whichalters the position of an accentin relation to other accents will obviously affect bothrhythm andmeter. Since the beats which measure the meter may themselves be
divided intoequal parts,some ofwhich will be accented, it follows that mostcompositions present a hierarchyof meters.For example, the beatsof a 4/4 grouping might be divided as in Example 30.
JJ
JJ
U -'T Eli? uucgrirumtnm EXAMPLE-30
116 Emotion
and Meaning in Music
Needless tosay, otherpermutations andcombinations are possible on all metric levels.
We areinclined tothink of there beingonly onemeter-the one designated inthe timesignature. Forpurposes ofdiscussion letus call this metric level the primary or fundamental meter. Metric
levels whichare includedwithin the primary meterwill be called inferior metriclevels anddesignated as secondary, tertiary, and so forth, in order of decreasing length. Those metriclevels in which the primaryrhythm isitself includedwill be referred toas superior metric levelsand will be designatedas secondary, tertiary, andso forth, in order ofincreasing metric length. Of course,some timesignatures dospecify theorganization of the inferiormetric levelsand othersimply whatthe organizationis to be.Thus atime signature of 3/4 specifies that the primarymetric level isto bein threesand implies,but onlyimplies, thatthe secondary metric level is going to be a division into two. On the other hand, asignature of9/8 specifies that boththe primaryand secondary metriclevels areto be divided into three. However, composers have beenmore andmore inclinedto treat the organizationof the secondary and tertiary inferiormetric levelswith greatfreedom. A change from this typeof metricorganization 2jj J] D to this one
i
is acommon occurrence in music of the past two
hundred years and ismade withoutany changeof time signature. Even lessseldom does the composer make anystipulation asto the organization ofthe superiormetric levels.One example that comes to mind occurs in the Scherzoof BeethovensNinth Symphony measures 160-260!.
This somewhat casual treatment of changeson theinferior metric levels isa resultof thepeculiar predominance given tothe primary metric levelin the style ofthe pasttwo hundredyears. Thishas not always been the case. During thelater MiddleAges andthe Renaissance therewas exceptin dance music or music influencedby dance rhythms! no all-embracing, predominant metric beat. In the polyphonic music of the time each voicetended to have its own metric organization and the relationship of the severalmetric levels within each voice, both to each other and to the metric structure
of
The Law of Good Continuation 117 the othervoices andthe whole,was animportant facetof the style see Example99, p. 244!. The importance ofthe organizationof the inferior metrical levelsis shown by the fact that they were specified indetail bythe timesignatures of the period.In this music there is no basic, over-all meter. Each metric line and metric level
proceeds, so to speak,on itsown onequal termswith otheraspects of the metrical organization; that is, the severalmetrical organizations arenot generallyspeaking subsumed under anysingle superior beat. Forthis reasonit would seem thatattempts torespond tothis music in a motor way aremisplaced, formotor behaviordepends upon andrequires asingle basic beat towhich allothers are referred and under which they are subsumed.
The rise of tonal harmony, necessitating a coincidencein the vertical organization of texture,the emergence of the homophonic style, andthe increasingimportance ofdance stylemusic with its emphasis on motor patterns, all madefor the predominance of what we havecalled theprimary metriclevel. Duringthe seventeenth, eighteenth, andnineteenth centuries the primary metric level became thealmost exclusive focus of metrical attention.Changes on other metriclevels, because they couldbe andwere referredto the regularity ofthe primarylevel, wentmore orless unnoticed, becoming relatively unimportant inthe organizationand articulationof the rhythmicprocess. In short, metriccontinuation became identified almost exclusively with the primary metriclevel. Continuation withinthe style under consideration involves not only the persistence of the motionof the meter but also its unity through dominance. Because of this, disturbance in metriccontinuation may take three forms: !
it may involve an over-all changein
meter; ! it may take theform of misplacement in one partof the meter sothat althoughthe numberof beatsis not disturbed their placement is; in other words, there may be syncopation; and ! it may involve the oppositionof simultaneousmeters.
An excellentexample ofa temporarymetric change, the hemiola rhythm, whichis common in thebaroque style, is tobe foundin the final movement
of Handels
understand the
function and
Concerto Grosso effect of
No. 4.
the metric
In order
to
disturbance in
measures 97 and 98,it is necessary to note thatthere issome doubt
118 Emotion
and Meaning in Music
as tohow thepreceding measures 85-96! will continue. Thedoubt arises because the sequence that recurshere previouslyled to several differentconsequents measures 5-8, 23-27,and 27-30! and the listener
is uncertain
about the
outcome in
this case. From meas-
ure 90 on the listener begins to expecta strongcadential progression. This expectation isintensified and colored by the doubts which
arise asa resultof thecontinued repetition of the short motiveand the essentially static harmonic structure of these measures. In measure 96 the situation becomes clear and certain, and
the
listener eagerlyawaits thecadence whichhe now knows will be in the tonic, A minor. But instead of giving us a regular rhythmic
structure aswell as the expectedharmonic progressionsee Example Sl!, Handel heightensour now definitive expectations by delaying andprolonging thecadence and by disturbingthe meter, thus intensifyingthe motionfrom tensionto rest. I JL"
f`
If-
: =.._.! iz 4 f.Q`_"` ' I E?" E: I' -
is
1' EXAMPLE 31
In thesemeasures we have aclear metricgrouping intwos. But the feelingfor thebasic triplemeter isnot lost.It continuesas part of our mental set and our motor response so that the new metric
group, conflictingwith the old, intensifiesthe drive toward resolution and unification. The
resolution is inevitable, in
the sense that
any conflictof meters,barring furtherchanges, must finally reach agreement ona superiormetric level. That is, groups of threes against groups of twosmust eventually meet-have coinciding downbeats everysixth beat-asthey dohere. The disturbanceof the metric organizationnot only acts asan intensification it also actsto recondition the metric scheme present throughout the movement. It makes the meter seemfresh and new when it once againmoves with its usual regularity. This process of
reconditioning isparticularly commonwhere triple meter is used because, sincetriple meter does not generally admit of secondary
120
Emotionand Meaningin Music
causehe wishesto enforceand guaranteethe syncopationof the tonesB and C-sharpin the secondmeasure.In other words, the meter is not irregular,but the metersof the accompaniment and melodydo not coincide;the melodyis syncopatedagainstthe accompaniment.
EXAMPLE
33
With this clueto Stravinsky's modeof working,the metricscheme of the wholepassage is seenas a syncopation with minor irregularities rather than as a series of irregular meters.This is clear if the passageis rewrittenas in Example34. Noticethat there are two degreesof syncopation. TheBrstoccursin thethird bar.Herethe syncopationis at the half bar,i.e.,the primaryaccentin the melody
EXAMPLE 34
coincideswith the secondary accentof the accompaniment. The second syncopationbeginsat the spotmarked y!. Herethe mainbeat of the melodyfails to coincidewith either accentin the accompaniment.The syncopationof the uppervoiceis resolvedat x! through the prolongationof the endof the melodicfragmentin the previous measure.
The Law of Good Continuation 121 The pointsof metricdisturbance occur not at the seemingpoints of disjuncture,i.e., wherethey appearin notation,but at the beginning ofeach ofthe syncopations. In other words, themelody enters earlier thanexpected atx! and later thanexpected aty! and z!. The effectof syncopationin this passage issomewhat problematical. Cn the one hand, it seems clear that within the context of this
particular workand style,syncopation does not per se representa deviation nor,
as such, is it
normative. Rather
deviation and
in-
tensification are accomplished through changes inthe placementof the syncopationrelative tothe basicbeat. Onthe otherhand, the effect ofsyncopation is there aspart of the basicprimary beat.The desire ofthe listenerfor simplicityand unityof beatgives thispassage itsspecial feeling of urgency-of striving forthe pointof metric coincidence, which is reached at No. 9.
The questionultimately isa matterof processcontinuation. Syncopation becomes an affectiveforce, asdistinguished froma force toward characterization,
when it
creates a disturbance in
an on-
going process. When thesyncopation is itself theprocess, then qua syncopation nolonger functionsas a powerful affectivemodus operandi.
The samething is true of polymeters. Inthe secondmovement of the Ravel StringQuartet Example35!, for instance, apolymetric structurewithin the bar is present fromthe outset,and its normative natureis shownby the fact that it characterizesall of Assez vii
il 1_
_-I Q]
______El E-I _rx nr _ EXAMPLE 35 the main
melodic ideas-the
°
stable musical
formations. From
a
rhythmic point of view, tension is produced largelythrough the weakening of the rhythmic pattern, as at No. 17 in the Durand
miniature score, by creatinggaps inthe temporalcontinuum, asis
° Reprint permission by granted Durand et Cie, Paris, France, copyright
owners; Elkan-VogelCo., Inc.,Phi adelphia,Pa., agent.
122 Emotion
and Meaning in Music
the casejust beforeNo. 15; or, lessdecisively, byincreasing t_he rhythmic complications somewhat, as before No.17. In order for a polymetric structure to be felt as such, eachpart of the structure mustbe preciselyand definitelyarticulated. Ifone part of the structureis souniform inits rhythmas topresent onlya vaguely articulatedmeter, thenit will probably beperceived asa ground to a single line. This is what occurs aftermeasure 70in Debussys Nocturne, F étes Example 36!.That is,the tendency to hear arelatively uniformpart ofa textureas beingas uniformas possible sothat otherfigures willappear moreclearly shapedsee pp. 186 f.!weakens our feeling forthe meterof thestring accompaniment in thissection almost to vanishing point. Thuswhat wehear isa Hgure in the flutes, oboes, and clarinetsagainst ageneral background of strings, horns, and lowerWoodwinds. l5'§Fi l'|i '
as- 1
5Y
__ |
2 _-
- s=!a
'i __
_ l-:
»» one 1 '={=EE¬E_1='-{==5£»f:lF=|-= "£=¬'i :::i:f am* _f
gT
}v _
EXAMPLE 36 °
However, wherethe introductionof polyrhythm interrupts the rhythmic process, it mayplay avital role in articulatingthe musical form and, consequently, in shaping theemotional response to the music. This does not mean to imply that the metric structure of a
theme, suchas thatof the Ravel Quartet,plays nopart in creating musical responses. It doesplay sucha part,but, inso faras theprocess proceeds in a regular manner,the part is that of establishing the basicmetric process to which other laterprocesses will be referred. It also creates what, for want of a better term, we shall call
character or spirit With
the formerwe are directly concerned
in this study; with the latter we are concerned only in so far as spirit or character may effect expectation see p. 30!. ° Reprint permission granted by ]ean ]obert, Paris,France, copyrightowner; Elkan-Vogel Co.,Inc., Philadelphia,Pa., agent.
The Law of Good Continuation 123
Real polymeters are notas common in musicof theclassical period asare otherforms ofmetric disturbance. But whenthey are used, they serve avery clearpurpose-they actas deviants. The next example is taken from the Hrst movement of Mozarts Piano
Sonata in F Major 332!. It includesalmost the entire bridge section between the Hrstand second themes in the exposition see Example 37!. The rhythm in theleft handis consistently in triple Df nl ° . ®/ |I [1 -MJ fml-I-J' f'1'T92Ql_d"'-T r*-- --- -=--4-#EEE:=" *- =:::=.;.:: _=:::;;::..-=r:=: 'T I 2 ,_ V' |92--I milQYYi!1'L!.L§l-_'Tl--llll _ IQ.-| f -K--22--Q92l1--I" 1Jm?_11E!i;i|!7;;!i1 11 -_ V
-l _ _-Yu---1
l--_--
I---1-! l**=-*il
A _ *!1'lY-I--4'1"-;-'Y 5 °Q ° fl ®| |l I-'Znl--n] llulj---l|T IJ YH--!l-I ITT_ _ *I ll_ _--'I -I-QI'-_ ll..lm--L|».*_2Il_l--_-..l||L__"f'1-ll!Il$l]_§92l'l_'- _-§1!'f3!l."Tl--=£!-1"'--l"-'-_* J __ I I |9292'fl-ljl!dh'_-2lA» I -_ l jl_ I! Q 1l_.1_-IQ", H __ '4 _Z-V IQJ---"-LQ 12--mi--2-2 in-111|-1_1L_ _X l_-1?-1:1----1 .A_4ll lji._Y1l_I-11----. -;12192: l 1l_'l 1. _ 4| ll Im_-I1-!|TL|_J-_J 1_1-192ll11Fl_;l.|'1Y'!Y IJ UI! it QI ll lll§l1 11 1'_1l "J--' Il _lll_lTIZ1._1_1'C]1ll-11!!!1_m92.hll1-=l-
l92l|I§1_l-lll_ -_Q_ f_- -i 92 .--.... _..-___
|`92||'jl -I-" I1 -|._-K2-D-2-2-----_--I 11 1-'l -'--I-92 -I |! _ -'|H":_ J-I-Q!-Q-|_2--.-|" ll-_--I |'l
_ _"-_-'7 ll
Q _:l
N
_IIII
_ Q Q --_-r-!'| AI I'|'v"
EXAMPLE 37
meter, whilethe meterof themelody inthe righthand atfirst seems to waver
between twos
and threes.
The measures
numbered 1
and 2
and 5 and 6 seem to be made of three times two. At the very least, the metric structure is ambiguous. Measures 3 and 4 and 7 and 8 are
apparently intriple meter.From measure 9 throughmeasure 14 the meter of the right hand isclearly duple,while the left hand continues in threes. Notice that this specification of the polyrhythmic
structure isparalleled bya more decisive harmonic motion: both begin a new processthat delaysthe arrival of a solid C in the soprano, whichthe motion from the B-flat measures3 and 4! through theA to A-Hat measures 7 and8! leadsus toexpect. The importance ofthis delay is demonstratedby the _emphasis the G receives when it finally does arrive.Notice, too,that the definition
124 Emotion
and Meaning in Music
of thepolymeter coincides with the definition ofthe harmonicprocess andthat bothare, soto speak,resolved together in measure15. Any discussion of thesuperior metriclevels isfaced withniunerous difHculties and problems. The difficultiesare thoseof space,the fact thatthe largermetric structures cover alarge portionof a composition. Theproblems can only betouched upon.The crucialone is, asmentioned earlierp. 112!, that of the spanof attentionand, concurrently, therelation ofmetric perceptionto motor habits. If the response to the metrical scheme can extendbeyond thephrase, how far can it extend andwith what sort of accuracy? Howare sections which are dovetailedor overlappedto be interpreted metrically, etc.? In view of theseproblems we shall merelypoint outthat weprobably dofeel phrases partly inmetrical termsand thatlarger metrical schemes willusually demonstrate regularity andirregularity justas the metrical scheme ofthe basicbeat does.If we turn again to Example 37,we can see thisplainly. If we count each baras a quarter note,then themetric organization of thepassage including the finalthree measures which arenot given! might beschematized as in Example 38. There seemsto be little doubt but that measures
9-14, comingas theydo afterthe regularsuccession four-measure of phrases inthe first-themegroup andthe two four-measure phrases which beginthis section,create anappreciable disturbance on the superior metric level. Ju Imeasure
...u JJ. .1.|.92.;4;;J.|_4.|J.JJ.1. 3-¢ 3-I
+l+I!++l+I!+ 2 + 2 + 2_ !+ |+|+2! mmf I-4. 5-8. 9---14 . 15-18. EXAMPLE 38 FURTHER CONSIDERATIONS
Before closingthis section,there are several furtheraspects of continuity processes that needconsideration. Inthe examples thus far examined, disturbances in continuity have, on the whole, re-
sulted fromeither a reversal ofan establishedmusical process, a delay in the process,or both. But continuity can also be disturbed
The Law of Good Continuation 125 by anticipation.Syncopation is, in a sense, simply a rhythmicanticipation inwhich anaccent inone ofthe partsenters toosoon. This is the case inthe examplecited earlierfrom StravinskysHzlstoire du Soldat,where therepetition ofthe motivebegins onebeat too soon andcontinues inthis way see pp.120 f. The second movement of Beethovens Third Symphony Example 39! furnishesan excellentexample ofthe disturbance of continuity by anticipation. Here the B-flat in measure 20 disturbs the estab-
lished sequence by enteringone beat earlier thanexpected. This
.:.... "l `
_¢ 92 c---1 A 92/ _"_ ------r= ==='F=;:== f-;..-;; 1 'viii
_I
'42 A '-r'- - EEEEE==§=:=FEEE.?§E:§=2:=,,==:;. "-ff'r :EXAMPLE 39
anticipation isimportant, notonly becauseof the immediate affective aestheticconsequences which it has, but alsobecause italters the rhythmicand melodicstructure ofthe last two measures. The rhythm groupsof the opening fourmeasures are amphibrachs. But the displacement of theB-flat together with the occurrence of a rest where that
tone should
have been
breaks the
motive in
two so
that
the detachedB-flat isno longerfelt as the downbeatof an amphibrach rhythm. As a consequence therhythm of measures 21and 22
is reversed,and thesemeasures are perceived asbeing anacrucial to the final G in measure23. Furthermore, the displacement of the B-flat enables that partof themotive whichwas formerlythe begining to come atthe end,that is,the toneC, whichis a continuation of the
over-all motion
from A-flat
to B-flat,
has a new melodic-
rhythmic functionwithin themotivic structure. Although continuity and its disturbance have been treated largely in terms of melodic and rhythmic processes,it is obvious that the law of good continuationis relevant and applicableto other musical processesas well-e.g., harmony, instrumentation, texture,
form, andso forth.Any aspectof the musical progress governed by probability relationships, whether these relationships are products of learning or the result of relationships createdwithin the context of the particular work, establishes preferredmodes of continuation. A detailed treatment of all these aspects of the musical materials
126 Emotion
and Meaning in Music
is beyondthe scope of thisstudy. Some have already been described in the discussions melodic of andrhythmic continuation. Others will be examinedwhen wedeal with further aspectsof the perceptual process. Andit is hoped thatthe readerwill, on the basisof the general viewpointadopted inthis chaptertogether withhis own musical experience, be ableto elaborateupon andsystematize the observations made
here.
These various aspects ofprocess continuation are not,of course, compartrnentalized and separated from one anotherin the mind of either thecomposer or the listener.As a rule melody,rhythm, harmony, andso forthare perceived together asa singleunitary process. Thus in the Chopin Prelude already discussed pp. 93-97! melodic, harmonic, and rhythmic processes werefound to be con-
gruent: theyall actedtogether increating anddisturbing continuity. Though thisis generallythe case,it is not alwaysso. Sometimes one aspectof the musical organization will continuean established process whileother aspects of the organization which were at first congruent withthat process become changed in importantways. We saw this to be the case in our examination of the Liebestod
where,
it will be recalled,the total process established by the voice and instruments together is continued by the instruments but is broken in the vocal part.
In the first movement of BeethovensString Quartetin B-Hat,Op. 130, sucha bifurcationof processcontinuation takes place at the beginning ofthe recapitulation. It is particularly interesting because of its effect upon the form of the whole movement.
All that need concern us aboutthe expositionsection isthe fact that thereis a general congruence of harmonicand otherprocesses and that from a tonal point of view there is a motion from B-flat to
G-Hat. Anenharmonic change at the beginning ofthe development section measure 97! establishesthe key of D major. At measure 104 anew processis established, which is regular andvery well organized from the point of view of Bguration. The harmonic mo-
tion of this processconsists ina regular progression through the circle of fifths, from D to G to C minor and so forth. Because this is
a time-honored norm of harmonic progressionin the classical style, it establishes a specially powerful tendency toward continuation.
The Law of Good Continuation 127 The otherprocesses established continue alongwith the harmonic movement until the tonality of B-Hat major the tonic! is reached,
At this point the bifurcation occurs.For the melodic, rhythmic, textural, andother processes begin to recapitulate thematerials of the expositionsection while the harmonic motion continueson through thecycle offifths, fromB-flat toE-Hat, skirting A-Hat, tgDHat. This is schematizedin Example 40. In other words,while thematically therecapitulation begins when the earlier B-flat in
Exposition Development Recapitulation S:;1:u,es
Melodic V measures I-93! Tlmeasures 94-132i measures 132-312! 214`34! I ij' -!
processes 1Group I-szrucfoup n Group I
@s
ml- E
Harmonic , p g processes Exposition
H,
maz-59! II i " 92 I Group
f` rA
Ea Fr
L4 Development Recapitulation
MGGSUISS I-93! measures 94~l7!
and Coda measures I74234!
EXAMPLE 40
measure 182! is reached, harmonically or tonally itis notsecurely established until the second group ispresented inthe tonicat meas-
ure 174.The thematic recapitulation unsteady, is not only tonally, but alsomelodically, because the orderof theparts isconstantly being shiftedaround. Although there isa kind of recapitulationof the
Hrst group, the basic reversal, the change from an ongoing, developing process to arelatively stable one, does not take place, as is usually the case,at thepoint wherethe Hrstgroup isrepeated butrather at the pointwhere thesecond group is heardin the tonic.
IV
Principles ofPattern Perception: Completion and Closure
General Considerations To assertthat incompleteness gives riseto expectationsof completeness istantamount totautology. For things seemto be incomplete onlybecause we entertain definitefeelings, latentexpectations, asto what constitutes completeness in a given stimulus situation.
Our opinionor feelingas tothe completeness of a given stimulus is a product of the natural modes ofmental organization. These function bothwithin theframework ofwhat isgiven inthe styleand within the sound terms established inthe particularwork. In other words, themind, governedby the law of Pragnanz, iscontinually striving for completeness, stability, and rest.But what represents completeness will vary fromstyle tostyle andfrom pieceto piece. For instance,to the listener practicedonly in the music of the eighteenth andnineteenth centuries, the cadentialformula which closes and completes manypieces written during the Renaissance
will seemto be a semicadence. It will be felt to be incomplete, to lack finality. However, toa listener who understandsthe Renaissance style, the same cadencewill seem to be a Hnal, satisfactory conclusion. Similarly the practiced listener will not feel a senseof real
completeness and conclusion after only theminuet partof a minuet movement ofa classical symphony has been heard, though thesame series ofsound termswill appear as finalwhen theyare repeated later. He expects the trio and minuetto repetitionto follow, partly, 128
Completion andClosure 129 because ofa desirefor repetitionand, partly,and thisis important, because heknows, thoughperhaps onlyunconsciously, what constitutes completeness for this kind of movement inthis particular style.
Our senseof completeness or incompleteness is alsoa productof those patterns or soundterms whichbecome established as moreor less Hxed,given partsof a particular work.That is, once a sound term hasbeen established as acoherent, though not necessarily as a complete orclosed unit,then partof the series taken by itself will, generally speaking, seem tobe incomplete,particularly if the fragment occursin the earlier partsof the total work.Thus repetitions of thebeginning ofa well-shaped theme already heard several times will arouseexpectations that the themewill be completed asit has been in the past.
Even this seemingly plausible statement issubject toimportant qualiiications. Particularly in the later stagesof a work, part of a sound term
or an
abstraction of
its essential
motion or
its motives
may cometo standfor andrepresent the whole soundterm. In such a case,the repetitionof a fragment ofa largerpart maynot be felt to constituteincompleteness but, on thecontrary, betaken asa sign of closure,making thewhole workseem complete and stable. This observation illustrates thedifliculties involvedin setting up any accuratedistinctions between the variouslaws of perception. For our feeling of expectation where a normal stylistic process is
broken offor wherean established theme isonly partiallypresented is as much a result of the desire for good continuation as it is a
result of our desirefor completionand closure.Indeed, it would appear reasonable to considerthe law of completionas a corollary of the law of continuation, sinceall incompletenessis, in some sense, a lack of good continuation and since that which is complete must have been
well continued.
Completeness and closure arepossible onlybecause themotions presented in music are processes involving relationships between antecedents and consequents. Completionis possible only where
there is shape andpattern. Repetitionin itself does notmake for completeness and closure, nordoes change in itself.For completion is not simply cessation-silence. It involves conclusion-almost in
130 Emotion
and Meaning in Music
the syllogisticsense that the conclusionor completionis implicit in the premises,in the earlier phases of the musical motion.It is for this reason that, granted a sensitivity to the style in question, it is
not difficult to know when a sound termis incomplete,partially complete, orfinally closed. Furthermore, completenessand closure exhibit the same architectonic order as the music itself. That is, what is felt to be a com-
pleted process on onelevel mayappear tobe incomplete on ahigher architectonic level. This is important because the mind of the listener is able to take certain patterns as units, to close them out, so to speak, and take them as given.
This analysismakes itclear thatneither continuitynor completeness create shape orpattern. Rather they areproducts ofshape and pattern. Theproblem ofwhat makesa shapeor patternis an extremely intricateand diflicult subject, whichcan be investigated only superficiallyin this study seechap. v!. Two types of incompleteness can be distinguished: !
those
which arisein the course ofthe pattern because something was left out or skippedover; and! those in which the figure,though complete sofar as it goes, simply is not felt to have reached a satisfactory conclusion, is not finished. Thefirst typeof incompleteness maybe saidto be a productof a structural gap, the second type, aproduct ofa delayin the need anddesire forclosure. STRUCTURAL CAPS
A structural gap occurswhere somethingis felt to be left out. The hiatuscreated bysuch agap neednot disturbthe processof continuity. Infact, it might bebetter to consider such a breakas a disturbance incontinuity ratherthan as a structuralgap. For instance, thehiatus createdby the rests in measures 45and 46 of the
Minuetto fromHaydns Symphony No. 104in D Major Example41! can beconsidered as a structuralgap onlyin a Pickwickian sense. For theterm gap implies thepossibility ofsubsequent completion.
:fr .'1rt;¢ 1 1 i1i|f
;3"_
7.;§7§=E========='f'=iE:=5 ==§§E.?§ ==§§§EEE§EEE EXAMPLE 41
' ll g 'f
Completion andClosure 131 And though a temporalprocess canbe brokenoff and then continued again, the subsequentcontinuation doesnot in any real sense fillthe gapthus created. Such abreak inprocess may arouse the keenest expectation, asindeed it does in this instance; but expectation is satisfied after the rests, not because something which was missing is introduced, but because that which was interrupted
is begunagain. It should be notedthat thoughthis is not properlyspeaking an instance ofa structuralgap, it is an example oflack of closure. For the breakin processis effectivebecause, when it occurs,the figure is patently incomplete, notclosed. Hadthe hiatus occurred two measures later, after theprogression to D major,it would have been a weak,insipid anticlimax. The tendencyfor structuralgaps tobe completedis mostclearly seen in the case of melodic structure. It is to this aspect of the
musical organization that we shall devotemost ofthe ensuingdiscussion.
In the music ofa culture the tonal materials givenin the style system establish a norm of melodic completeness. That is, in any tonal system there isa normalrepertory oftones whichmark oHthe distance between tones ofequivalence orduplication, usuallythe octave. The total complement of such tones constitutes complete-
ness forthe system.When thepracticed orcultivated listenerbecomes aware that oneof thesesteps has been passed over left out! he expects, albeit unconsciously, that themissing tone will be forthcoming laterin the series. Heexpects, inshort, thatthe structural gaps created by sucha skipwill eventuallybe filledin. This tendencyfor structuralgaps tobe completedand filledin is evident in the musicof many different countries.But a large number of thesecrooked forms of Hindu Rags consistedin creating gaps in
ascent tobe filledup in descent, orvice versa.This notonly avoids anticlirnax, but includes climax. To pass over a note immediately creates a desire for it, and it then becomes a fit note to bear the
climax. 1 Studying theintervallic motions of extremelydiverse types of music, Watt found that the larger the interval the larger the skip!, the more likely that it will be followed by contrary motion motion which will fill in the tones passedover!. He also notesthat
132 Emotion
and Meaning in Music
the studiesof Turkish music madeby Hornbostel and Abraham and
the study of Swedishfolk tunes made by Fox Strangways reveal similar tendencies?
In their
article on
Muhammedan Music
in
Groves Dictionary,Lachmann andStrangways note that after a third, ret1u'nis usuallymade toone of the noteswhich havebeen leapt over. 3 In our own culture the rule of counterpoint which states thatafter askip themelody shouldmove bystepwise motion in the opposite directionis simply an applicationof the law of completion toa particularpractice! Of course,different cultures as arule havedifferent stylesystems, different ways of organizing musical space. In onesystem the normal repertory oftones maybe five,in anotherseven, and in still another only three;and the distances between the tonescomprised inthe system maybe equal or unequal.For this reason, anintervallic distance whichwould constitutea skip or gapin onesystem might not beone inanother system. In a style system in whichthe musical space betweenidentical tones,the octave,is divided into seven steps, askip of a third will probably be perceivedas a structural gap. Butin a tonal system in which the octaveis dividedinto only Eve stepsand in which one of the normal distancesis a third, such
an intervalwill probablynot beconsidered as being astructural gap. The preceding statements wereintentionally conditional. The cul-
tural criterionof completeness is by no meansabsolute. We are able to evaluatecompleteness aside from purelycultural facts.For if, as is the case inmost tonalsystems, thedistances betweentones arenot
equal, themind will assume the smaller distance as astandard and accordingly judgethe larger distances ashaving gapswhich require completion.In short, a series which is diilerentiated into larger andsmaller distances will, so to speak,have structuralgaps built IIIIO
it.
According tothe presentanalysis, there would bea tendencyfor such aseries ofunequally spaced steps tobecome Hlled in. This is, in fact, what hashappened tomost unequallyspaced scales. There is a strong tendencyfor tonal systems tobecome morecomplete. Most scales the abstracted linearization of tonal materials! have
developed inthe directionof closure,toward theelimination ofgaps in their
structure.
The Chinese,for instance,have introducedpién tonesinto their
Completion and Closure 133 essentially pentatonic tonal system,thus filling in the open thirds of the pentatonic scale. Other folk cultures andprimitive cultures have done
likewise.
It has no doubt been noted. . . that the Quechuamusician oftenfills up one of the minor triads of his pentatonic scalewith an extra tone which he uses in an ornamentalcapacity-usually as a passing tone between two more importantmelodic notes .... Often a kena-player will take a well known pure pentatonic melodyand ornamentit ad libitum with
these extra tones.
In his book, ATheory ofEvolving Tonolityj]oseph Yasser traces the growthand development of tonal systems, attempting to show that this development follows certain characteristic mathematical
patterns, buthe doesnot attemptto accountfor this process. The present analysis would seem to presentan explanation for the gradual increasein the tonal materialscomprising theoctave. Forthe new tones,introduced at first for the sakeof both completion and,as
we shallsee later,expression, eventually become fixed parts of the tonal repertory-normsof the tonal system.If this new repertory of tonesalso exhibits inequalities ofdistance, then new filler tones will be required, since the system will still be felt to havestructural gaps.
But thereis anotherpossible course which thedevelopment ofa tonal systemmay follow,and thisraises questions as to the necessity forthe mathematical evolution prescribed by Yasser. This isthe possibility ofequal temperament. The ]avanese, for instance,eliminate structuralgaps fromtheir music,not byadding newfiller tones, but by making alltones equally distant. It is surely worthyof noteonce againto seethis tendencyto equidistance at work in Malay music;the sametendency whichonce before, i.e. in Further India, had alreadyturned the same basicscale into an equidistant sequence of tones.In the latter case,however, thiswas not done byinserting twonew tones, but by dividing upthe octaveinto seven equal intervals of approximately 171C, each.
A third instance ofthis tendencyto equidistancemay beobserved _. . in a number of
slendro scales."
A seven-tone tempered scale can, according to Tracey,also befound in Portuguese East Africa. This inclination toward temperament also appearsto have been felt in the Near East.
134 Emotion
and Meaning in Music
Thus thetendency toward equal temperament and thepropensity to addnew tonesto a scale withunequal distances both seem,from this point of view, to be products ofa moregeneral psychological need forstructural completeness-for the eliminationof structural gaps not only in the melodic line of the individual piece but also in
the tonal system itself.This, to borrow a term from Kunst, is the tendency towardequidistance. If a general tendency toward equidistance does infact exist,and there seem to be reasonable grounds for believingthat it does, and if the continued development of tonalsystems, the gradual accretion of new tones whichfill structural gaps, isa manifestationof this tendency, then Yassers suppositionof a kind of inevitable growth
up to the limits of the physio-psychological ability of the human ear andmind! would be opento question.For the process ofaccretion wouldlogically cease once theneed forcompletion was fulfilled in equal temperament. An importantproviso must,however, be made:Should allthe temperedtones ofa systembecome structural points norms!, thennew tones, tendency tones, would haveto be introduced into the system sothat meaningful relationships would existwithin thetonal system. A structuralgap, then,creates atendency toward filling in. And if this tendency is delayed, if the completionof the pattern is blocked, affect or the objectiiication of meaning will probably follow.
If, for instance, we compare the opening theme of BachsBrandenAllegro I 1' ,. ` flI ..§.-I!" Q-1-_Ll I-I Y11i_T _ _1_1£ 71-'_-l I --11ll I EXAMPLE 42
burg Concerto No. 5 with a part of the aria Che faro senza Euri-
dicel from Glucks Orfeoed Euridioewe findthat theopening notes _ _;
-
EXAMPLE 43
of both themes createthe samestructural gaps. In the Bach theme,
however, thefilling in of thesestructural gapsbegins immediately;
Completion andClosure 135 and, partlyfor this reason, this theme, thoughdefinite andforceful in both
mood and
character, is not itself
affective. The
affective
experience of this movement is rathera productof the progression of the larger parts. But the fragment from Orfeo is, Hanslicks derision notwithstanding, notably affective. The poignancyof this passage isdue in part to the tensions which arise, the tendencies
which areinhibited, because there isa delayin the filling in of the structural gapscreated bythe openingmotive. Andit is only after all the skipped toneshave beenpresented thatthese tensions subside andthe melodyconcludes. Notice thatdisturbances in process continuation also playan important partin creatingthe affectivequality of this passage. For the repetition ofthe C after thetriadic motivecreates abreak inboth melodic and rhythmic processes. That is, we expect the triadic motion of the openingmotive tocontinue. Thepowerful effectof the high E is partly a result of the fact that it was unconsciously expected at the beginningof thefirst completemeasure. The eighthnote motion is also expected to continue, and for this reason the
quarter noteC becomes a particularlyeffective appoggiatura. SATURATION
The principleof saturationis related,on theone hand,to thelaws of goodcontinuation and completion and, on theother, tothe beliefs which thelistener entertains as tothe natureof aesthetic experience. Since themeaning ofany soundterm is a functionof its relationships toother consequent terms whichit indicates,our normalexpectation isof progressivechange andgrowth. A figure which is repeated over and overagain arouses a strongexpectation of change both becausecontinuation is inhibited and because thefigure is not allowed to reach completion. Our expectation of change and our concomitant willingness to go along with the composer in this ap-
parently meaningless repetition arealso productsof our beliefs in the purposefulness of art and theserious intentions, the integrity,of the composer.We believethat he will bring about a change. A particularly clear exampleof the arousal of expectation through saturation isto be found in the Hrstmovement measures16-26! of Beethovens SymphonyNo. 6, where the same motive is repeated
136 Emotion
and Meaning in Music
ten timeswith only minimal dynamicand orchestralchanges see Example 44; also see the development section ofthis Symphony and that of Beethovens Symphony No. 8!. The useof saturationis common particularlyin theslow introductions and development sections of eighteenth-and nineteenth-century works wherethere is expectation of a returnto a theme alreadyheard. Forat suchplaces the fragment need only berepeated one or twotimes inorder toachieve the desired
effect.
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EXAMPLE 44
Koffka observesthat there is an intimate relationshipbetween saturation and emotion: Saturation is emotionalbehavior. Itsanalysis revealedan interplay of forces leading to increasing tension within the Ego system .... 11 Althoughit was found that,generally speaking,these tensions could berelieved byvarying thetasks being performed, it would seem thatin the case ofmusical perception tensions may arise even though variation is present. That is, even with variation in harmony or range or dynamics avery marked
figure may,in the proper context,give rise to saturationif it is repeated with great enoughinsistence. It is necessary onceagain to emphasize theimportance of context
upon theseprocesses. repeated A pattern at theend ofa workneed not give rise to saturation, sinceat this point the listener understands, orthinks heunderstands, the significance ofthe repetition: that is, because thisis the end of the piece, lack of forward motion,
a composedfermata, isexpected anddesirable. Thusthe law of saturation isconditional: Ina situationwhere repetitionis not normal and understandable, the longer a pattern or process persists, the strongerthe expectation of change. In the last analysiseverything depends upon ourability to comprehend the signiHcance ofthe repetition. If it is understandable,
then therewill be no saturation. For instance,a repeatedpattern or figure may,because ofits positionin the work andits relationship to other patterns, be understood asan ostinato. If it is to be heard
Completion and Closure 137 in this manner, the composer mustso articulate the texture that the
listener graspsthe significanceof the figure as an ostinato,He must asa rule make evidentthe fact that the repeated pattern is a ground, e.g.,it must be morehomogeneous than the otherpatterns and will, as a general rule,surround theother figurestemporally, begin beforethey do. An ostinatomust alsohave aless palpable, well-figured shape than theother figuresof the work so that it is clear that it is not the chief pattern.In other words, it must not develop tendencies of its own, asdid the figure inExample 44. This relative weakness of figure is what distinguishes an ostinato, such as theone employed by Debussyin his Piano Prelude Des Passur la Neige, from a groundbass. Fora ground bass develops tendencies ofits own; it has shape, andit is a shapingand controlling Trista etlent ''
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force in the articulationof the musical progress and growth.That is, theground bass changes its meaning asit formsnew andchanging relationships with theother partsof the texture. Itis not simply a given static entity.
It should,however, beobserved that an ostinato-like pattern may at timesseem ambiguous, though it need neverdo so.The listener understands that the function of the pattern is to establish a continuous and repeated ground against which other more clearly
articulated figures are tobe projected.If no other moresubstantial Bgures areforthcoming, thenthe listenermay beginto entertain doubts as to whether the motive in question really is an ostinato.
Then asthe repeatedfigure becomes the centerof attention,the listener will begin to expect changesto take place. And if the figure remains stable or is subjected to only minor variations, saturation ° Reprint permission grantedb Durand
et Cie, Paris, France,copyright
owners; Elkan-Vogel Co., Inc., Philadelphia, agent. Pa.,
138 Emotion
and Meaning in Music
may setin. This would seemto be what takesplace inthe opening section, Préludea la nuit, of Ravels Rapsodie Espagnole, where the ostinatoBgure isdominant evenduring the brief appearances of the theme. MELODIC COMPLETENESS
AND CLOSURE
One ofthe mostpowerful andpersuasive forces conditioning and controlling thesense ofcompleteness which a melodicpattern gives is the tonal organizationor scaleof the culture. It establishes a system of order, a system of expectancies, asystem of tonality .... 1 Since theimportance andfunctioning of tonality has been discussed in chapterii and will be the subjectof further discussion inchapter vi, its overwhelmingsignificance need only be recalled at this point: Tonality is probably the most important single facetof style, the sinequa non of even the mostprimitive musical organization.
It is important alsoto recallthat the norms ofstyle, oftonality, important asthey are,can bealtered throughtraining andknowledge. For the individual musical work also establishesnorms which
condition ourfeelings andopinions asto completeness and closure, and thesenorms ofthe individualwork maybe unusualwithin the style. Acomposer may, for instance,by dint of repetitionwithin a work, establish as Hnal, as representingclosure, a melodic pattern which might not normally seem Hnishedor final. The listeners sense of closure and finality can, as Farnsworth has shown, be altered
through training. W. V. Bingham 15 has shownthat opinionsas to the finality of a series oftones canbe influencedby information stipulating thenumber of tones tobe heard in the series. If,for instance, listeners were told that the fifth tone
of the series was to
be the last, it appeared topossess finality a which it did not as a rule have otherwise. Thisfurnishes experimental evidence, ifany was needed, for the statement that what we know, either because
we havebeen told or have learned through practice and experience,
iniiuences our judgment ofwhat weperceive andhence ourfeeling of completeness and ourexpectation based upon thatfeeling. Our sense of completeness is directly related to our ability to
understand themeaning ofa particularpattern. A stimulus series
Completion andClosure 139 which developsno process,awakens notendencies, will,if it becomes thefocus of attention, alwaysappear to be incomplete.A sustained tone, for instance,will give rise toexpectations of change, unless, of course, it is not the main object of attention or can be
understood more easily inanother way, e.g., asa pedalpoint. Moreover, thedirection in which the tone maybe expectedto move is also related to our sense ofcompleteness. The direction of
expectation, whether to a tone belowthe Hrsttone of a melodyor above it, depends largelyon the absolute pitchof the latter. In general, thelower this is the less will the melodybe expectedto descend onthe next following tone; while correspondinglythe higher it is the less willthe melodybe expectedto riseon thenext tone. 1°Actually thesituation issomewhat more complicated than this. Forour expectations depend uponour awareness of potential range aswell. That is, a tone whichwould be high for one voice or instrument,and would consequently beexpected todescend, might be low for another voiceor instrument and would consequently beexpected torise. Although notdirectly relatedto the Gestalt principles of pattern perception, oursense ofclosure isin part a productof the general configuration ofrelaxation andquiescence. Melodically speaking, relaxation is
associated with
the decline
in tension
which is
effected
when pitches are lower-whena progression descends at its close." Curiously enough,however, thelowering of the dynamiclevel, which is also a normal concomitant
of relaxation,
does not neces-
sarily accompany closure. Thereason forthis would appear tolie in thefact thatthe dynamiclevel isintimately associated with those aspects ofthe musicalmaterials whichtend to designate thecharacter of the piece. More particularly, the dynamic level would seem to be linked to tempo and general range.These elementsare themselves interassociatedso that fast tempi, loud dynamics, and high ranges but not necessarily ascending melodic lines! are usual to-
gether, whileslow tempi,soft dynamics,and low ranges arealso usual together.Of course, there are pieces that get softer at the end as well as onesthat become slower; and both of these changesplay
a part in making closure moreemphatic. But,on the whole, the slowing down which brings a piece of music to its close is not a
140 Emotion
and Meaningin Music
slowing downin t_he physical tempo but a slowing downof the rate of musicalprocess. That is, thoughthe tonesmay flyby with great rapidity, themelodic, harmonic, and rhythmicchanges which create a sense of tendencyare broughtto a standstill. Themusic nolonger progresses; marks it time;it is static. In any particular musicalwork certainmelodic patterns because of their palpable andcohesive shapes become established in the mind of the listeneras given,axiomatic sound tenns. Theyset the mode ofcontinuation, completion, and closurewhich arethe norms of the particular work.And if part of such apattern isintroduced, it will arouse definite expectations as to the manner ofcontinuation and completion.
The followingmelody isestablished as such anaxiomatic sound term in the iirst movement ofHindemiths Symphony, Mathis der Maler Example46!. This is not the placeto makean exhaustive
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EXAMPLE 46 °
analysis ofthis melody,particularly sinceHindemith himselfdeals with it in somedetail. However, one pointwith which Hindemith
fails todeal inhis own analysis must be discussed, for it plays an important part in theorganization the of melody and, therefore, in
conditioning subsequent expectations and feelings of completion.
This isthe factthat theover-all motion of themelody istriadic, moving asindicated inanalysis Aof Example46! from the initial ° Copyright 1934 by B. Schott's Soehne, Mainz; used by permissionAsof
Completion andClosure 141 G, throughB andD, up to F-sharp. Thefirst motionis up to the D; but this tone is, so to speak, leftdangling in mid-air. It does not really moveto anythingwhen it is first heard. Ratherthe B which precedes itmoves downward to the C in measure 48see analysis B!. This is of special interestin the present discussion since this effect creates a deHnitesense ofincompleteness. We feel andexpect that we must return
to the D and move in
a coherent
manner from
it.
Before thehigher D is pickedup in measure 50, the intervallic and rhythmicmotion whichfirst ledto it is re-established in a lower range measures47-48!. The whole motion from measures48-49 is,
in a sense, nothing but a composed upbeat to the higher D. Notice in this connection thatthe important tones in this sequence, the B, D and A-sharp enharmonically, B-Hat!, are alsothe vital tones in the figure in which the D first occurs measure 43!. The retu1'n
to the high D leads toa stepwisemotion to the F-sharpand then down throughthe Dto B. In makinga furtherabstraction of the essential melodic motionof this melody,it would seem thatthe G in measure49 playsa much more importantrole thanit would appear tohave atfirst. It serves to tie together theHrst andsecond phrases and by doing so to provide a long delayedresolution ofthe motion from B to A in measures 41-42. From thispoint of view, andit is certainly notthe only one possible, theover-all schemeof the melody mightlook something likeExample 47.
..:._;..;,_..-LL-Qiiu._ .rv-.-1;n 1 ml - g
j 43-49p g gg, EXAMPLE 47
In this analysis thehiatus createdwith the break in measure 42 involves bothincompletion ofthe motion down to the G, which arrives only in measure49, and a halt in the upward motion begun in the first four measures. Whatreally happens is that the significance of the D remains to be established. This is accomplished by
its upwardmotion tothe F-sharp,which marksthe reversalof process inthe melody as a whole. That is, it not only literally marks the
142 Emotion
and Meaningin Music
first majordescent inthe over-allline but it is also precededand marked bya significantharmonic clarification, a fact which Hindemith notesin his own analysis. In terms both of its motive and its over-all triadic motion, this
melody provides one ofthe normativesound terms in the first movement of Mathis derMaler. Its analysis furnishes a basisfor understanding how subsequent deviations arouse expectation.
In thepassage that follows the melody given above, the first part of thetheme ispresented in an incomplete form. It therefore arouses
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our expectations both because we havea standard of completeness, we knowhow it should continue, and because the structural gaps remain unfilled until thewhole melody is heardbeginning at measure 63.But we do havea very strong sense of directionand con-
tinuity once the firsttwo fragments have been heard. We expect the rising motionto continuebecause itis incompleteand becauseit
has been establishedaasmodeof continuation in themelody itself. Notice, incidentally, the factthat themotion from C toD toF-sharp, which wassomewhat veiled in the original melody, is heremade very clear and forceful.
The arrival of theF-sharp in measure 60 has adecisive effect upon our expectations for tworeasons. First, it crystallizes and fixesthe basis ofthe ascending progression, making clear thefact thatthe sequence isrising throughthe major triad, and second, itmarks the onset of saturation.
Up to measure 60 we expectthat theprogression will rise, butwe
do notknow precisely what formthe ascending progression will follow. Oncethe F-sharpis reached,this is made clear.And it is
this knowledge which enables the composer to repeat the motive on
Completion andClosure 143 the F-sharp.For had it been repeated sooner, it would not have appeared as so stronga delayin the line, andit is partly thisfeeling of delay that contributesto the effect of saturation.
Actually theeffect ofsaturation iscumulative. Eventhough the motive isat first stated ondifferent degrees of the scale, itis felt as repeated. Andthe powerfuleffect ofthe exactrepetition onthe Fsharp is,in part, a productof the earlier statements of the motive. The effectof saturationis alsodependent uponthe fact of incompleteness. Hindemith emphasizes this by makingthese laterversions of the
motive even
shorter than
the earlier
ones. This
also has
the
important effect of increasing the psychological tempo. Forour sense of timing is guidedby the time spanbetween theentrances ofthe motive, whichat Hrstare tenbeats apart,and laterbecome onlysix beats apart,and, finally,only five beats apart.This hurryingplus the repetitionof the F-sharp motivewhich heightensour expectation bothbecause itrepresents delay a inthe process of continuation and because it becomesa signthat the main event,which wehave been awaiting,is aboutto take place! build up tension,which is climactically released at the arrival of the high A and a complete, though somewhat varied, statement of thewhole melody. RHYTHMIC COMPLETENESS
AND CLOSURE
The difference between meter and rhythmwas discussed in chapter iii. The distinctionis importantin connectionwith an examination of rhythmic completeness. For rhythm may be incomplete though meterremains intact; and, conversely, rhythm maybe complete withoutthere beingany meter. The completeness of a rhythm dependsupon the apprehension of a relationship between accented andunaccented parts of a cohesive group. The sequence of rhythmicfeet mayvary considerably so long as the relationships within the various feet are clear. 'I`hat
is, trocheesmay followiambs, iambsmay follow anapests, and so forth without creating incompleteness, though continuitywill, of course, be disturbed insuch asequence. The accented or unaccented parts of a rhythmic grouping may be implied, imagined by the listener, rather
than stated, but not
both. However,
whether the
relationship isexplicit orimplied, it must existif there is to be any
144 Emotion
and Meaning in Music
sense ofrhythm. Aseries ofunaccented beats will seemincomplete and give rise to expectations ofcompleteness, expectations of an accent. Conversely a seriesof accentswill appear incomplete and give riseto expectations of a return to an understandable relationship between accent and release. One might wellcontend thatthere is no
difference between
a series
of accents
and a
series of
beats
which areunaccented, since we canknow eitherone onlyin terms
of theother. Both are, ina sense, only pulses. Finally, itshould be noted that, since rhythmsform an architectonic hierarchy, a passage whichis rhythmically incomplete ona higher architectonic level maybe completeon alower one.However, thereverse ofthis is not true; for if the lower level is incomplete, fails to differentiate
beats into accented andunaccented, then the higher level is deprived of the basisfor its organization. The apprehension of meterdepends upon the establishment of a regularly recurringaccented beat. The dispositionand numberof unaccented beats in sucha metricgroup isa matterof indifference. The temporal recurrence of the main beat is all important. Hence
a meteris incompletewhen themain beatof the group ismissing. Since thelistener expectsan objectivestimulus to correspond to his inner beat, metriccompletion cannot be subjective. It shouldbe notedthat, althoughmetric incompleteness of necessity involvesmetric discontinuity-forthe absence of a beat where one isexpected creates awareness of a break-metric discontinuity need notinvolve incompleteness. For discontinuitymay arisebecause thebeat, thougharriving atthe propertime, isno longerfelt to be accented, as, for instance,in the bridge passagemeasures 23-25! from the secondmovement ofMozarts ]upiter Symphony K. 551!, where there are obvious metrical disturbances but no metric incompleteness.
One otheraspect ofthe problemmust beconsidered. Though the perception ofmeter doesnot dependupon theexistence ofa fixed relationship between accented and unaccented beats it doesdepend upon there being a difference between the several beats within a metric group. That is, some beatsmust be accented, othersnot. For
this reasona seriesof equally accented pulses will no more give rise to an impression of meter than it will give an impression of
Completion and Closure 145 rhythm. Sucha serieswill be ambiguous; andits significancewill lie
in the very factof ambiguity:the factthat the series indicates and points to,leads thelistener toexpect, clarification and normality. Since these matters can best bediscussed in the lightof a specific example, letus turn to an examination ofa portion of the fifth movement of Beethovens String Quartet inC-Sharp Minor, Op. 131. The main theme of this movementis regular and symmetrical. Each ofits two four-measure phrases is composedof two complementary motives see Example49!. The Hrst islabeled a,the second,
b. Three levels of rhythmic organizationcan be distinguished in each ofthe phrases. Level 1,the rhythmwithin thebar, istrochaic. This is true for every measureof the theme. Level 2, the level of
the halfphrase, isiambic. Aniambic rhythmcontinues on this level throughout theperiod. Level3, comprehending the wholephrase, is also iambic; that
is, the second two measures are accented rela-
tive tothe Iirsttwo because of thechange ofharmony andthe more decisive motion
both within
and between
the several
voices. The
pattern of the consequent phrase isthe sameas that of the antecedent phrase. 1. 'I-;_`_1 s. '___ Presto lu . . . ; _ -'nl I II§II'I'ITI |l |'II.I im'- 92C IQ 'IL I_ |[._-_UIII CI I I III|v`II-I I I Iil Il TI 1-I-ll-Ii °-"II 92'___I'y"II'-II I I92 |l IuI---I-IIII-I--Ill }A ~ `` ~ : 3-2 'IRT _| I I III Il I'I II-IIUIIIIIIIII' I--l-I-_II lb f°¢`|n--H-LII III III I-I-Il!-I I II-=-IIPI I- I | |I ' I. it °. r_ 94-'_"||_ `/1r_ gi Etc'
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EXAMPLE 49
After this basic rhythmicstructure hasbeen wellestablished in the mind of the listener byrepetition bothwithin the phrase and the totalperiod, Beethoven detaches motive a from the phraseand bases six-measure a sequence upon it measures 19-24, Example 50!. This change makes therhythm on level 3 incomplete. For motive a
now hasno accentedmotive tomove to.Considered on this rhythmic level, the sequence measures 19-24! is a series of anacruses.
It is incomplete, andthis incompleteness, creating tendencyand expectation, givesrise to affect and aesthetic signiiication.
146 Emotion
and Meaningin Music
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Since it is the relationship between motives within the phrase
which is changed inthe constructionof this sequence and not the relationships withinthe motive,the completeness of the rhythm of the first two levels remains intact. This accounts for the fact that,
though thereis evident incompleteness, there is no discontinuity, no break
in the
At measure
basic motion. 25 a somewhat varied
version of
the second
half of
the motiveis separated out, and,if we include theslight variations to which this fragmentis subjected,it becomesthe basisfor the organization ofthe following twelve measuresmeasures 25-36, Example 51!.Rhythmic level2, which depended forits existence upon the differentiation between, and a juxtaposition of,an unstressed Hrst measure anda stressedsecond measure, is destroyed by the repetition of this fragment. That is, since we are presented
with a series ofprecisely equivalent measures, itis impossibleto differentiate theminto accentand release;and, consequently, on level 2 the rhythm is now felt to be incomplete. This is, of course,
precisely whattook placein measures 19-24 onrhythmic level3.
__ .H
. hl
Molto poco odogio
n hl
@
===- =Hs!z;z.e=;.-fis -; - . %;?"%/=¥~?'£`tc.
EXAMPLE 51
The variationin the half notefragment isa necessity if rhythmic suspense is to be maintained. Forhad measure25 begunon the
Completion andClosure 147 accent onboth the second andthird rhythmic levels, anda new rhythmic process would havebegun. This omission
of the
first beat
of the
measure creates
metric in-
completeness as well as rhythmic incompleteness. For since the listeners sense of the metric pulse,once it has beenestablished, tends topersist, thesuppression of the downbeatis felt as agap or incompleteness. Notice that Beethovenhas beencareful to make sure thatno displacementand reconstitutionof the metric beat takes
place. Forinstance, hadthe Hgurebeen written as a syncopation with halfnotes beginning on thesecond and fourth beat,the listener might eventually have heard the meteras complete, though itwould be displacedrelative to its originalposition. Asit is, the listeners sense ofthe original metric organizationis supportedby the fact that the unaccented portion of the meter comeswhere it formerly did, and this helpsto emphasizethat the accented portionof the metric group is missing.
In spite of the patent incompleteness of the meter andrhythm on thesecond andthird levels,some feelingof rhythmic organization remains.
For on
the first
level a
differentiation between
accent
and releasestill exists.However, theomission ofthe first quarter note of the measurehas broughtabout a change inthe rhythm. That is,the fragmentwhich wasformerly trochaic as in measure 20! is now iambic. This reversal creates a certain amount of in-
decision inthe feelingfor therhythmic organization. This feelingis subjected to further strain when the tempo changesat measure33. In fact, our feeling for the relationship betweenthe metric organization built up and maintained within the listener and the objective
metric organization is all but destroyedat this point. Andour feeling for the rhythmsuffers thesame fatewith the change intempo in measure
36.
The progressive incompleteness ofthe rhythmic and metric organization from measure 25through measure36 not only creates a desire for
a return
to the
well-deiined structures
of the
theme itself
but it also makesthe listener feel that further disintegration is impossible. Consequentlythe return to a regular, uninterrupted series of pulsesand the use of new material, based on the first measure of the motive, are at first understood to constitute this expected re-
148 Emotion
and Meaning in Music
turn. Butthis understanding soon proves to be illusory. Forthough there iscontinuity ofpulsation anda clearrhythm shouldemerge, there is
no differentiation
into stressed
beats and
unstressed ones.
Since thesuccessive but overlapping entrances of the motive on the samepitch level provide no basis for a distinction between accented andunaccented beats, these measures 8-41, Example 52! are perceived asa seriesof equal pulsations. Inspite of the regular pulsation, there isno meter,for thereis nodifferentiation. If there isany dillerentiationat all, it exists on the subprirnary level as a trochaic rhythmof quarternotes. Butit is doubtful, in view of therapid tempo,whether thissuccession of quarter notesis perceived asa rhythmicgrouping atall.
Tempol _
_ __
.__._.-__ - ¢:|, ...»! ! rw: _ _
_?_ l.92.-id
, 1 il " 4"T°""° lf;iii; 4
lr'.=.f==EEE!'!!._ .
._.. ._.._ iE
,;:-:~--.~f°~:-'~-:~,f@~ -. 3_
if g
1g
'
EXAMPLE 52
Even thereturn in measure 41 to the general rangeused in the
beginning of the movement, though itcertainly whets our expectations, does not clarifythe situation completely, since overlapping still takes place. In fact,since itappears that the rebuilding of therhythm is supposed to be gradual, itseems important that nospecial accent be givento theHrst beat of thisgroup. TheD-sharp inthe firstviolin measure 41! should probablybe underplayedrather than the
other wayaround. More precisely: itis clearthat regularityis definitely established only after the fermatabetween measures 44 and 45.If tensionis tobe maintained, then thewhole rhythmof the
phrase should, as it were, beheld back.This canbe achieved by
Completion and Closure 149 making therhythm inmeasure 41 indecisive andambiguous. Ifthis is thecase, then the rhythmof level1 becomes established in measure 42,and therhythm of level 2becomes established in measures 43 and44. However, since therhythm ofmeasure 41 was ambiguous and unformed,measures 41and 42fail to set up a rhythm on level 2;
and, consequently, these fourmeasures are unable togive riseto a feeling ofrhythm onlevel 3.In short,the significanceand eflicacy of this period measures37-44! lie in the fact that while it reestablishes theoriginal rhythmicorganization, itdoes not do so completely. Thelistener remainsin a state of suspense untilthe theme is presented asa total unit.
This analysisalso increasesour understandingof the over-all rhythm of the first section of this movement measure 66! and en-
ables usto understandbetter its psychological effect and intellectual significance. For it is clearthat theincompleteness rhythm of in measures 19-44creates suspense. The measuresare an anticipatory upbeat, an anacrusis, tothe complete thematic statementwhich begins at measure 45 and extends through measure 66. Seen in this
light, thesignificance and importance ofthe twointroductory measures also become clear. For theynot onlyprovide abrief buteffective anacrusis to the whole first statement of the main idea measures
3-18!, but they also establish thebasic iambicrhythm which is continued throughoutthe section.For even though the second measure is a rest,it is accented-strongly marked for consciousness by the mind of the listener.The over-all rhythm of this section might be schematized asfollows: measures: 1-2 3-18 19-44 92"'
me-"T .
45-66. 14
HARMONTC COMPLETENESS AND CLOSURE
Rhythmic organization does notoperate asan isolatedindependent variable without reference to other aspects of the total musical
organization. Theformulation andoperation of the rhythmic organization areconditioned andmodified bythe melodicstructure, the dispositionof the texture, and,in Western music at least, by the harmonicorganization. Inthe fifth movement ofthe C-Sharp
150 Emotion
and Meaning in Music
Minor Quartet the relationshipbetween harmoniccompleteness and rhythmiccompleteness very is clear.For this reason itmight be well to discussthe questionof harmonic completeness with reference to this example.
A feelingof harmoniccompleteness arises when themusic returns to theharmonic base from whichit beganor movesto onewhich was in someway implicit in the opening materials. In this movement see Example 49! boththe openingperiod andits repetition,though rhythmically complete,are harmonicallyincomplete because they end not on the tonic but
on the dominant of
the submediant, the
chord builton thesixth degree of the scale. This harmonicincompleteness leads the listenerto expect that this main theme will eventually closeon the tonic. In measures 10-24 theharmonic progression from VI to IV to V in E major, a typical cadentialformula, togetherwith the incompleteness of the rhythm activatestrong expectations of a close. Butthese aredisappointed. Forin measures25-28 the dominant harmonyis not resolved to the tonic but rather is weakenedby the omission of the
all-important leadingtone and continues onlyby implication. In measure 29this dominant feeling is not so much resolvedas simply
replaced byanother incomplete triad whosesignificance isambiguous. Thesubsequent harmonic changes inthis passageare likewise vagueand indeterminate.This lack of decisivenessis important because it enables the incompleteness ofthe rhythmic and metric
organizations tomake themselves felt. And the converseof this is also true: the rhythmic incompletenessmakes the harmonic mo-
tion seemparticularly vapidand ambiguous. One mightsay that,though harmonic motion continues, harmonic progression is suspended. From measure 25 through measure 41 the harmony changes,but it does not appear to have direction. This
permits therhythmic structureto be progressively weakened without destroyingthe listenerssense oftonality. The listener knows what keyhe is in. Thisis provedby the fact that,although various preparations are made for a cadence in G-sharp minor measures 42-44!, the listener never really expects them to materialize; and,
consequently, the motion to E major in measure45 comesas no surprise.
Completion andClosure 151 The effectof this whole sectionis clearly dependent uponthe intimate co-operation of rhythmicand harmonicorganization. The hannonic incompleteness establishes the forces towardcompletion, and thetendencies thus established give force andurgency tothe rhythmic delay.Because this delay takesplace atthe beginningof the movement, Beethoven does not wish to destroyor weakenthe tonal orientationof the listener. Indeed, had thefeeling ofE major been destroyed, the wholeraison détreof the passage would have been lost,for its purpose isprecisely todelay the cadence inthe tonic E major. For this reason Beethoven avoided extensive chro-
maticism andthe useof very irregular chordprogressions, turning rather torhythm tocreate thefeeling ofsuspense which he wanted. Here, again,we seethe complementary relationship between harmony andrhythm. For the rhythmic incompleteness necessary to create delayand suspense was possible only because the harmonic motion was
weak and
indecisive.
THE PRINCIPLE
OF RETURN
The differenttonal systems upon whichthe musicof variouscultures hasbeen built, whether theyare primarily melodic orboth melodic and harmonic, are all basically special, though vitally important, instances of what has been called the law of return, the
law that,other thingsbeing equal,it is better toreturn toany starting point whatsoever than not to return. 2° This law apparently
influences thestructure ofprimitive melodiesbuilt upon only two or threetones aswell as the organizationof the complex musical structures of art music.
Of course, once a tonal style has been
established, has become partof the habit responses of the cultural group, theterm return need not be taken literally; that is, the opening materials may indicatewhat theBnal toneof a piece isto be withoutexplicitly presenting it in the openingmoments. The law of return depends forits operationupon recurrence, a formof repetitionwhich mustbe distinguished from reiteration. Recurrence is repetition which takes place after there has been a departure from whatever hasbeen establishedas given in the particular piece. There can be a return to a pattern only after there has
been something different whichwas understood as adeparture from
152 Emotion
and Meaning in Music
the pattern.Because there is departureand return,recurrence always involves a delayof expectation and subsequent fulfilment. Reiteration, whether exact or varied, is the successiverepetition
of a given soundterm which,even if it is very extensive, is nevertheless perceived as aunit. Reiteration does notnecessarily give rise to expectations of further repetition. Onthe contrary,if repetition is fairlyexact andpersistent, change rather thanfurther repetitionis expected, i.e.,saturation setsin.
Reiteration isthe basisof what may be called theprinciple of successive comparison. A given pattern establishes an intra-opus norm, a base for expectation withinthe particular piece. Subsequent deviations from the pattern, occurringin repetitions,give rise to affective or aesthetic responses because theyfunction to arrest orinhibit the tendency towardprecise repetition. There are no long-rangedelays that give rise to suspense.Expectation is latent, andaffect tendsto be ephemeral. Thecomposer plays, as it were, with the listeners latent expectations of precision and regularity.
The operationof thelaw of return maybe contrasted with that of the principleof successive comparison bynoting that in the latter case tensionarises outof deviationsinvolved in the repetitionof the soundterm, out of the fact of repetition, while in the former case
tensions arise because repetition is expectedbut is not asyet forthcoming. The recurrence itself represents, not tension, butthe relaxation phaseof the total motion.It createsclosure anda feeling of completeness. Notice, too, that while the principle of successive comparison tends to emphasize the differences between thepattern and itsrepetition, thelaw of return tendsto emphasize the similarity between the pattern and its recurrence. This does not mean, of course, that
differences will
not be
noticed. VVhenever
there is
repetition thereis boundto be successive comparison; and, though diHerences will tend tobe minimizedin the case ofreturn, theywill nevertheless be aesthetically effective. In spiteof thesesignificant differences, it is not alwayspossible to designate a passage as involving onlyreturn or only reiteration.In the firstplace, some aspects of a givensound termmay returnwhile others do
not. For
more than
a melodic
or harmonic
norm is
estab-
Completion andClosure 153 lished asgiven in any particularpiece. Normsof tempo,dynamics, texture, inst1'umentation, and goodshape arealso established; and the recurrenceof these,either singlyor in combination, maygive rise to feelings of partial return. In the development ofMozarts String Quartetin D Major K. 575!, for instance, anew themeis introduced. Thistheme creates a feelingof partial return, notbecause its melody issimilar tothat ofthe openingtheme orbecause it is in the samekey asthe openingtheme, butbecause itstexture is like that of the opening. Furthermore, since it is precededby less palpable patterns, it appearsto be well shaped,like the opening theme. To take another example, the Hrst fugue of the Well-
tempered Claoier clearly involvesmelodic reiteration,but its harmonic articulation is a result of the operation of the law of return.
Thus thereare degreesof return both becauserecurrences may be only partially similar and becausesome aspects of the sound term may recur while others do not. The law of return appears to operate most effectively where the
given soundterm is left incomplete.Since the sound termis a Gestalt which sets upforces towarda particularkind of closure, the only wayit can be closedis by repeating itwith a new andmore Hnal ending.A corollary of this would seemto be the fact that a varied recurrence of a well-shaped butincomplete termwhich has developed strong tendencies toward completion willseem more like a return
than will
a somewhat
more exact
recurrence of
a closed
sound term. In theformer case the changes are understood as arising out ofthe necessity for closure.Conversely the more closed a sound term is, the more its recurrenceis likely to be exact or almost exact.
The listenersopinion ofthe significance of any given repetition, and hence his impression of completeness,is partly a result of the
experience ofthat aspectof style which is called form.Repetition has onemeaning ina movementwhich is believed tobe a fugue, another in one which is believed to be a theme and variations, and still another in one believed to be a sonata form. Moreover, the
same generalscheme of repetition may have different signil-ications in different contexts. For instance, in a piece known to be a fugue, the imitative entrances of the fugal exposition arouseexpectations of continuity and continuation. 'I`he repetitions do not give rise to
154 Emotion
and Meaning in Music
saturation. However, a similarseries ofirnitative entrances gives rise to differentexpectations itif formspart of the development section of a sonata-form movement, as, for instance, in the first movement of
Beethovens PianoSonata, Op.111. Hererepetition and the texture
to whichit givesrise arenot thenorm; continuityof processis not expected, atleast for any periodof time; and repetitionmay well give riseto saturationif it continues forany lengthof time.In both cases notonly are different expectationsaroused but different stand-
ards ofcompleteness are brought intoplay. Fortunately themodes ofrepetition andthe law of return are among thebest understoodprinciples in music. Thereforerather than expatiate in generalupon theseprinciples, letus returnto the examination ofa particularpiece ofmusic. Sincethe openingsection of the fifth movement ofBeethovens String Quartet, Op.131, furnishes an excellent example of theoperation ofthe lawof return, we onceagain turnto this music ratherthan to another example whose explication would involvea fairly lengthy preliminaryanalysis.
After thetwo introductorymeasures already discussed, the section opens withan eight-measure theme. Thetheme ispatently incomplete bothmelodically andharmonically. Butthe listenersattitude at the end ofit is neutral; thatis, thoughhe knowsthat the music will continue,
he does not know whether the
theme will
be com-
pleted bya consequent phrase orwill simply be repeated.Observe that hadthe consequent or concluding phrase been presented immediately afterthe antecedent, as indeedit easilycould havebeen, no feeling ofreturn wouldhave beenengendered. In other words,had Beethoven written the followingsee Example 53!, thesecond period would haveconstituted avaried andconcluding reiteration of the first phrase.There wouldhave beenno feeling of strong tension toward closure,no suspense,and it would have received little atten-
tion. It would havebeen apert themewith a rather witty conclusion, asort of OHenry ending.There wouldclearly havebeen no feeling of return.
What Beethoven actually does, however, to is repeatthe opening phrase in a higher register. Oncethis has taken place,further reiteration isimpossible. Another repetition ofthis phrase,even in
Completion and Closure 155 its concluding form measures 45-54!, would have resulted either in anticlirnax
or in saturation. In
order to
create a forceful desire
for
return, it is necessary both to depart fromthe regularityand conciseness of the themeand, atthe sametime, tocreate unambiguous expectations. Beethoven at oneand thesame timebegins tocreate rhythmic incompleteness and movestoward a harmonic position whose incompleteness will be more patent, i.e., thedominant measures 19-24,Example 50!.In the following measurethe harmonic incompleteness as is, wehave seen, heightened byincreasing rhythmic incompletenessExample 51!. In fact, both grow together. Presto
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EXAMPLE 53
Notice that every feature of the music is changed in order to heighten ourdesire for return: rhythm and harmonyare incomplete and,in the end, quiteambiguous, whereas earlier theywere very clearand wellformed; melodicmotion, whichin the opening phrase was strong andwell patterned,is alsodestroyed; thetempo too is changed; and,finally, in measures 87-41Example 52! the distinction betweenfigure and ground is almost completelyannihilated.
But at the very moment whenrhythm, harmony,texture, and even melodyin the sense ofpattern seemall but destroyed, the little figure which opensthe movementand the first phraseraises our hopesand redirectsour expectations of completionand return. Now we are certain as to what is coming. Expectation is definite
and powerful,a fact which makesthe delaycreated bythe ritard
156 Emotion and fermata
all the
and Meaningin Music more forceful.
Then in
measure 45
there is
a
return tothe openingtheme, which is nowcompleted; and the completion isemphasized by the measures which follow. The satisfaction createdby this return is not merelya function of the incompleteness of the openingmeasures but also aproduct ofthe creation of further incompleteness in the middle part measures19-44!. What weexperience at measure 45 is notsimply thereiteration of a themeheard earlier.We havereturned toa melodywhich almost had beendestroyed, toa texturewhich is familiar, to a harmonic motion whichis certain and regular,to a tempo whichhad been altered, andto a palpable unifiedGestalt which had been disrupted. Indeed,the feelingof return, the pleasureof resolution,is so strongthat the rather piquantflavor of the additionalclosing measures 1-54! goes almostunnoticed unless it is called to our attention. At been much
all events, the effect of these measures would have more noticeable
had this
version of
the theme
irnme-
diately followedthe openingphrase, as in the construction given in Example 53.
V
Principles ofPattern Perception: The Weakeningof Shape Throughout thetwo precedingchapters wehave beenconcerned either directlyand explicitlyor indirectly and by implication with the problemof shapeand its articulation. Generallyspeaking the discussion has involved anexamination of the wayin which expectations are
aroused and
tendencies inhibited
when well-articulated
Egures orprocesses are disturbed ordelayed insome manner. Indeed, suchdelays and irregularities aremost effectiveprecisely when patternsand shapesare distinctand tangible;for it is then that expectationsof continuationand closureare mostclear and unambiguous.
The Nature of Shape The apprehension of a series ofphysically discrete stimuli asconstituting apattern or shape results from the ability of the human mind to relate the constituent partsof the stimulus or stimulus series
to one another inan intelligibleand meaningfulway. For an impression ofshape toarise anorder mustbe perceivedin which the individual stimulibecome partsof a larger structureand perform distinguishable functions within that structure. A shape or pattern,
then, isa soundterm, asdefined inchapter ii,and it is meaningful and significant because its consequents can be envisaged with some degree of probability?
One of the absoluteand necessary conditions forthe apprehension of shape, forthe perceptionof any relationships atall, no 157
158 Emotion and Meaning in Music matter whatthe style,is the existence ofboth similaritiesand differences among the severalstimuli whichconstitute theseries under consideration.
If the stimuli comprising the seriescannot beperceived as being similar in any respectwhatsoever, then they will fail to cohere, to form a group or unit, and will be perceived asseparate, isolated, and discretesounds, signifyingnothing. Sincecontrast andcomparison canexist onlywhere thereis similarityor equalityof some sort, themental impression created bysuch aseries willbe oneof dispersion, notdisparity; of diffusion, notdivergence; ofnovelty, not variety.
Complete similarity, proximity, andequality ofstimulation, on the other hand, will createan undifferentiated homogeneity out of which no relationships can arisebecause there are noseparable, individual identities tobe contrasted,compared, orotherwise related. There will be coexistence and constancy, butnot connection;uniformity and union,but not unity. In short, bothtotal segregation and total uniformity will produce sensation, but neitherwill be apprehended as pattern or shape.
Because from both atemporal anda musico-spatial point of view the factorswhich in large measure are responsible for segregation and uniformity-factorssuch assimilarity, proximity,and equality of stimulation-admitof varyingdegrees or gradations, the appraisal of shapeis a relative one,depending upon the generallevel of differentiation and homogeneity prevalent in a particular musical
style. Thatis, in a stylein whichthe members of the stimulus series are not differentiated orsegregated from one anotherin a particularly emphaticor marked manner, modestdifferences though necessarily appreciable ones! willgive riseto well defined, palpable shapes. While in a style marked by radicalsegregation and extreme differentiation, these same modest differences willproduce onlyuniformity. Totake thereverse case: a stimulusseries which appears to be well articulated andclearly organizedin a piece wheredifferences arevery marked might well seem chaoticand incoherentin a
piece inwhich thelevel of uniformity washigher. These observations call attentionto anothernecessary condition for theapprehension of shape and pattern. Namely, it is not enough
The Weakeningof Shape
159
that diHerentiationand unificationsimply exist. The articulation must be sufficiently marked and salient relative to the context in
which it appears tobe noticed.The gradualaccretion ofrelatively slight differences, which inthe givenstylistic contextare subliminal, will not give riseto animpression of shape. Forinstance, inequality of stimulationwill tend to producesegregation only provided that the inequalityentails abruptchange. 2Thus a mode of differentiation which
would have
been incisive
in a
context of
moderate
similarity, proximity,and equality,might be subliminal in a style where these
factors were
more extreme.
These remarks
are also
applicable tothe perceptionof unification:if the factors making for unification aresubliminal withinthe context,then noimpression of shape will arise.
The factthat theapprehension of shape isa functionof thenorms of articulationestablished withina givenstyle doesnot meanthat any stimulation can createan impression of shape.As wehave seen, neither totalsegregation nor total uniformity-no matter whatthe style-will create an impression of shape.But evenbetween these extremes, shape does notseem tobe completely relative. Some series of stimulido, infact, seem better shaped than others,irrespective of style. Indeed,were thisnot thecase, allstyles wouldseem aesthetically andpsychologically equivalent-which they do not. The basisfor this seemingly absolute standard ofarticulation and differentiation isto be found in the fact that our comprehensive, over-all stylisticexperience, ourexperience ofBach aswell as of Bartok, of Mozart aswell as of Monteverdi,gives riseto an allembracing normof pattern and shape,just as our total stylistic experience becomes the foundationfor comprehensivenorms of consonance and
dissonance and
for an over-all norm
of texture.
And
the peremptorypresence ofthis generalstandard enables us, even compels us, to compare albeit unconsciously! the qualityof Schuberts patternswith thoseof Schoenberg and thoseof Debussywith those ofDufay. However, withinthe contextof a particular work in a specific style theevaluation and appraisal ofshape isrelative. Thisrelativity is a product of the psychological demand fordistinct, substantial, good shape: it is a result of the operation of the law of Pragnanz.
160 Emotion
and Meaning in Music
If there is anyarticulation ofthe stimulusgroup intosimilarity and difference, proximity and remoteness, equality anddisparity ofstimulation, thenthe mind will probably find somebasis no matter how
feeble orfarfetched itmay appearto be! for relatingthe stimulito one anotherin an orderly andmeaningful way-for apprehending the stimulusgroup asa shapeor pattern.Indeed, evenwhere no objective diiferentiation exists, themind will, if at all possible,impose suchdifferentiation. But neither the differentiation of the stimulus series
nor the
existence of
unification between
its several
parts aresufficient conditions for the impression ofshape. Forthe parts of t_he series must be related to one anotherin a consistent and
orderly manner.They are so related and orderedby the social phenomenon we call style. And if we do not understand a given
style, if we lack the properhabit responses, we will either fail to apprehend shape or, if we apprehend it in terms ofanother style, we will fail to comprehendit. That is, the impression ofshape may arise because two stylesystems have sound stimuliin common,but such animpression willbe incorrectlyinterpreted and,in point of fact, notreally comprehended at all.
The Weakeningof Sluzpe The fact that the appraisal of shape variesfrom style to style, and
even fromwork to work within a singlestyle, doesnot meanthat all patternsor shapesin a particular work will be perceived as equally good.Some shapes will at times appearto be significantly stronger, more clearly articulated, than others. The words good or
strong, poor
or weak
as used in the
discussion of shape arenot to be construed as implyingvalue judgments. 0nthe contrary,weak, ambiguous shapes may, as hasbeen mentioned fromtime to time throughoutthis study,perform avaluable andvital functionin creatingand moldingthe affectiveaesthetic musicalexperience. For the lackof distinct, tangible shapes and ofwell-articulated modes of progression is capableof arousing powerful desires for, andexpectations of, clarification andimprovement.
This aspect of musical structure and expression isone which has
The Weakeningof Shape
161
unfortunately received but scant attention from music theorists,
aestheticians, and critics, who,enticed andbefuddled bythe honorific garlandsso plausiblybestowed uponregularity, symmetry, and pristine clarity, have continually construedinevitability to mean unequivocal progression. These scholars, intheir intricateand ingenious attempts to deriveall the melodic materials of a musical work from a single motivic germ or to subsume allharmonic changes underthe structureof a single cadence,have with Talmudic tenacityconfused both unification anduniformity withunity. Yet thefact ofthe matteris thatsome ofthe greatestmusic isgreat precisely because the composerhas not feared to let his music tremble on the brink of chaos,thus inspiring the listeners awe, apprehension, and anxiety and,at the same time,exciting hisemotions and
his intellect.
A stimulusseries, then, is wellshaped when its progress, its articulation intophases ofactivity andphases ofrest, itsmodes ofcontinuation, its manner of completion and closure, and even its
temporary disturbances and irregularities are intelligibleto thepracticed listenerand enablehim toenvisage with some degree of speciBcity andaccuracy whatthe later stages ofthe particularmusical process willbe. Because good shapeis intelligible in this sense, it creates psychological a atmosphere of certainty,security, andpatent purpose, inwhich thelistener feelsa senseof controland poweras well asa senseof specifictendency anddefinite direction. Because, as has already been observed, the apprehension of shape is in part dependent upon the existence of a balanced relationship
between uniformity and differentiation, the impression of shapecan be weakened by the exaggeration or intensification ofeither force within the context ofa givenmusical work.Shape may,from this point of view, be regarded asa kind of stylistic mean lying between the extremes of chaotic overdifferentiation and primordial homogeneity. Thus while a balanced relationship, as established within the style, producesan impressionof well-organized patterns, exaggerated differentiationgives rise to disorganized ones, and intensified uniformity results in unorganized ones. It is extremely difficult,if not impossible, toweaken theimpression
of shapethrough exaggerating differences without destroying shape
162 Emotion
and Meaning in M usic
completely-without producingmeaningless chaos. The causesof this diflicultylie in the characteristics of the musical stimulithemselves, inthe capabilities of thehuman ear,and inthe natureof the human mind.
Because musicalstimuli are necessarily similar to each other in
many respects, it is almost impossible to isolatetones throughdissimilarity. Thevery fact that musicalmaterials areas a rule tonal means thatthey have such physicalcharacteristics as frequency, amplitude, and timbre in common. Itis likewisediflicult to achieve an impression of tonal segregation non-proximity!. For the mind can withthe aidof the overtone series relate pitchesin widely separated registers. Furthermore, diflerences in pitch, volume, andduration arelimited bythe physiological abilities ofthe humanear. Foronly certain pitches canbe usedin music,are audibleto humanears, andthose must be of a certain volume and duration if they are to be per-
ceived. Thus the numberof stimuliand theirquality is limited. Most importantof all is the fact that if segregationor differentiation, whetherspatial or temporal, isnot so extreme asto preclude all possibility of pattern apprehension, then some sort of shapes willprobably arise.For the human mind,operating under the aegisof the law of Pragnanz, willgo to almost anylengths to avoid the doubts andanxieties whichare createdby ambiguity. That is, the mind will tend to apprehenda group of stimuli as a pattern orshape ifthere isany possible way of relating thestimuli to one another.
Indeed, if weak shapeshave resultedlargely from exaggerated segregation of stimuli e.g., extreme distance between pitches, excessive temporal disjunction, orboth!, thenthe mindwill prefer to regard thestimulus series as beingincomplete see pp.130 f.!;and since furtherdevelopments will be expectedto completewhat was incomplete orto effect some othersort of clarification, thefeeling of mentalcontrol willnot belost. Oruncertainty anddoubt maybe avoided if the series can be or is understood as having a special
designative meaning. For example,if segregation non-proximity!, disparity non-similarity!, and inequality of stimulation can be understood as a humorous or grotesque distortion ofsome normative
The Weakeningof Shape
163
type of pattern construction,then the doubt and anxiety which might otherwise have arisencan berationalized andremoved. Though exaggerated differentiation wouldtheoretically provide a methodof weakening shape, itis extremely difficult to achieve and hence extremelyrare. Indeed, this author has beenable to discover
no clear-cutexample which is notprogramatic incharacter.
Uniformity Uniformity arises where theseveral elements of musicalorganization-pitch progression,rhythm, harmony, and timbre-combineto create equality,similarity, andequiproximity ofstimulation onthe same architectonic
level.
In terms of pitch progression, uniformity is produced when a series oftones, whetherconjunct ordisjunct, areequidistant from one another and aredifferentiated inno otherway; e.g.,rhythmically or harmonically.For it is only by virtue of the existence ofdifference of
distance that
the mind
is able to establish
ordered relation-
ships between successive tones. If all the membersof a series are equally distant,none will be markedfor consciousness, and hence there will be no focal pointsin the series withreference towhich organization cantake place and shapecan arise.
Psychologically speaking, what happenshere, and this applies with equalforce to rhythmic andharmonic uniformity,is that the uniform series, lacking internalarticulation, establishes no pointsof activity and rest. Consequently the listeneris unable to envisage the ultimategoal, thelogical stopping place ofthe series.He is able to apprehendthe modeof continuationbut is unable to comprehend thebasis forcompletion and closure. The series is,so tospeak, frictionless and out of control. Doubtand uncertaintyarise notbecause thelistener doesnot know what the next stimulus is going to be-he knows,
for instance, if the series is a chromatic scale that the
next tonewill probably be a half step away from the one being heard at the moment-but because heis unable to envisage where
the serieswill end, to controlits destinymentally. Of course, if equalstimulation isonly momentary, if the ambiguity is resolvedalmost immediately,then doubt, uncertainty, and anxiety
164 Emotion
and Meaning in Music
will be transient andevanescent. But when uniformitypersists for a relatively long time, the serieswill have a cumulative effect, arousing strong desires fora return to more intelligible and controllable shape and amore certainand securepsychological atmosphere.
Because chromatic and whole-tonescales andaugmented and diminished triadsall involve intervallic equidistance, they create uniformity andproduce ambiguity. And it is no accident thatsuch weakly shaped, ambiguous series have tendedto becomeidentified with affectivityand haveso oftenbeen used to expressintense emotion, apprehension, and anxietysee pp.218 f.!. The followingfragment fromLiszts PianoSonata isa particularly interesting example of uniformity of pitch succession because it is doubly chromatic;that is, chromaticism existsboth within the groups ofsixteenth notes and betweenthem Example54!. Theo1--w
:ax-_-'=~" "i"
`*` r
""' ""`
"" "''
*"'
EXAMPLE 54
retically thisseries couldhave endedanywhere andclosed inany key at all. For instance, had motive x, which breaks the series,
occurred afterthe first group in the secondmeasure, thefinal key would havebeen eitherB majoror C-sharpminor. Orhad theseries continued untilthe end of the measure, the final key would have been Fminor or A-flat major.This dualityis possiblebecause the cadential motivex! is itself somewhatambiguous. Forthe final tone Amight havebeen thetonic ofA majoras wellas thethird of F-sharp minor.'I'his, incidentally,is entirely appropriate sincethe passage quoted comes atthe conclusionof a section whichconsistently employs, both melodicallyand harmonically, a diminished seventh chordthat might have beenin either A major or F-sharp mmor.
Uniformity ofpitch succession must besupported byuniformity of rhythmif an impression ofhomogeneity and weakened shape is to arise.Conversely rhythmic uniformity, producedby equality of accent andduration, mustbe complemented by uniformity in other
The Weakening of Shape 165 aspects ofthe series-suchas pitch succession, harmonic progression, and timbre-if the
over-all impression is to be one of homo-
geneity. Thus a majorscale ora cadentialchord progression, though realized intones ofequal duration,will not seem weaklyformed or ambiguous because their articulationliterally createsaccentuation, even whereno changein physical intensity is made.
Uniformity likearticulation may be architectonic in nature.It may be establishedon all levels, asin the example fromthe Liszt Sonata,
or it may existon somelevels butnot onothers. Inthe lattercase it is generallyone ofthe higherlevels, though not the highest, which is uniform. Furthermore, on some levelsall aspects of the stimulus
series maybe uniform, while on other levelssome aspectsmay exhibit uniformityand othersmay not; for instance,rhythm may be uniform though pitch succession isnot.
In Example55 from the first movement ofBruckners Seventh Symphony, the stimulus series is wellarticulated onthe lowestlevel but isweakly shaped on thehigher architectonic level. Onthe lowest level the articulation ofthe rhythm into an anapest footis clear and unambiguous. But since the seriesconsists onlyof anapests, the rhythmof thenext higherlevel isuniform. It is a series ofbeats
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_*_ _
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pe'r-fect mf d`_ min- whole 4th step
ished 4th step
EXAMPLE 55
of equalduration andapparently equal accentuationf The same is trueof pitchsuccession. the On primary architectonic level a wellshaped motive consisting of a fourth,followed bya half step, followed by a minorthird arises. But onthe second level pitchprogression isuniform-merely asuccession minor of thirds see analysis a!. Or the series might be analyzedas aseries ofaugmented fourths a minor third apart.
Notice, however,that the primary groupsare not all precisely
166 Emotion
and Meaning in M usio
equivalent inpitch succession. For thethird groupin eachmeasure is slightlydifferent in organization fromthe other two see analysis b!. However, because of the general uniformityof pitch succession and temporal durationas wellas because of its inconspicuous placementin the series, this slight diEerentiationbetween groups, though important infacilitating thechanges which bring the series toits conclusion,does notupset or weaken theprevailing feeling ofhomogeneity. In short, thedifferences are subliminal. The listener becomes consciously aware of the differentiation, ifat all, only in retrospect, onlyafter thepassage is over andthe existence of thedifference has been pointedup by the partit playsin moving the line smoothly toits conclusion. Harmonic uniformitymay arise: ! as a result of equality of interval within the vertical harmonic organization itself; ! because, thoughthe vertical organization isdifferentiated, allthe harmonies inthe seriesare preciselyalike; ! where, thoughdifferentiation between successive harmoniesoccurs and a process is
developed, the progressions making up the series areall equal;and ! where any or all of these modes of achievinguniformity are combined.
As wasthe casewith pitch succession, ifthe vertical organization is undifferentiated as
to intervallic
distance, then there can be
no focal point aroundwhich organizationcan take place-out of which shapecan arise.Thus, for instance, adiminished seventh chord, anaugmented triad, or aharmonic structure built uponequal fourths will have noroot andno shapeand henceno tendency.In many contextsthe root is implied or the series iscontrolled in some other way. Thisis thecase withthe followingseries ofdiminished seventhchords occurring near the end of the last movement
of BrahmsSecond Piano Sonata Example 56!. The ambiguity of F. F .l1H -
.,
1`
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gl 1
168 Emotion
and Meaning in Music
intensified bythe mannerof chord construction; thatis, the outer voices are very consonant and tendto makethe internaldifferences seem minimal. On the other hand, there is some melodic articulation
in the series, though this is too minimizedby the fact that the two halves ofthe seriesare in this respectequivalent. Finally, it should benoted thatin the Debussy example and to some extentin the Brahms example as well ambiguity is also a product ofrhythmic uniformity.To put it somewhatdifferently, the equality ofrhythmic stimulationallows theuniformity of the other elements to
take their
full effect.
On the higher architectoniclevels harmonicmelodic uniformity may result,not from the fact that the chords themselves are constructed ofequal intervalsor from the fact that all the chordsof the series are of the same construction, but
because the successive
groups, whether primarily melodicor both melodic andharmonic, are equivalent.Uniformity here is a matter of continuous and equivalent process. What iscommonly called a sequence is a type of uniformity. One of the mostcommon typesof melodic-harmonicsequences is one that movesharmonically throughthe cycle of fifths, either descending asin A1 in Example 59! or ascending asin A3!. I. 2.
3.
A.
:I
il wi'
11 be i t
Implied root progressions 1. 2. B|
22|
1:1 it
. EXAMPLE 59
Uniformity results,not onlyfrom thefact that every otherchord is the dominant fact that
of the
one of
chord which
the voices
follows it,
follows a
but also
chromatic line
from the while the
other voicemoves inminor thirdsand halfsteps. Otherversions of
The Weakening of Shape 169 such asequence of dominants arepossible; as, for instance,in A2, where theseries followsnot the cycle offifths but a chromatically descending pattern, or in BI, where the implied root progression moves byminor thirdsand fifthsand theguiding or conjunct line moves bywhole tones! Any seriesin which a continuousprocess isdeveloped willtend to be ambiguous because the point at which the processwill be broken or
the series
concluded is
in doubt.
This is
the case
in the
following continuous schemes Example 60!. In the first of these
I 1. I
zI
3.
°~ I -4. 5. I II Is.I I EXAMPLE 60
CI!, tonalharmony is employed and, though the steps ofthe conjunct lineare notall equal,the groups are equal: the conjunct line moves by half step, whole step, half step, etc. Because of thisequality of groups, the series could continue indefinitely in a frictionless way; andthere isno wayof knowingat whatpoint theseries will be articulatedand reach its conclusion.Many other such series might beconstructed. For instance, inC4, C5,and C6there areno functional, classicalharmonic relationships, but the sequences are,
nevertheless, uniform in their mode ofprogression. Such equalthough harmonically non-functional passages are not uncommon incontemporary music. The followingexcerpt fromthe Finale of Bart6ks Fifth String Quartet is given as an example
Example 61!. In this instance we Hnd notonly uniformity in the succession two-measure of groups which descend in whole-tones but also uniformitywithin the groups. Fora glanceat the pitch succession of the lower
voices makes
it clear
that the
lower voices
are mov-
ing throughthe augmented triad seeanalysis ofreduction given in Example 61!. In additionto thisuniformity ofpitch succession, there
is alsouniformity ofrhythm andmotive between measures both in upper and lower voices.
170 Emotion
and Meaningin Music
-. _'ll -ID ~ --_ I b .--liiinillg-,! |l_Y1H -.l_-'11 _Y"'| 92'| 9292l'lfI2H_1 Q-_lllj-I .' - ll . cu |`B¢1!--l;-_-1_1-HIl12--1 _ll 1llY1I1"'l _--_--K--TI-Y Yl m -§§1___'f1T|'i-i4 ILO 2 2-_'| §ll"|-if-_-filil
I ._ |I
Il 'I
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|=2]!__!|'F-_.h|_2-|__2"if _1
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gf E EXAMPLE 61 °
Many differentforms of continuous uniformity are possible.For instance, thesuspension technique used in fourth-species counter-
point ora variant of it,a series of prepared appoggiaturas, may give rise tocontinuous processes, particularly wherethe controllingline is tonallyambiguous. Although in the example given here theinterval pulling the upper tone down,causing theseries tomove, is either amajor orminor seventh,this neednot be the case.Theoretically sucha seriescould be constructed atany interval.As a matter offact, someof the sequences given in Example59 A2 and
B2! arealso forms of fourthspecies suspension! counterpoint.
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EXAMPLE 62
Continuous sequential processes neednot, of course, seemam-
biguous. If the series is tonal or differentiated in someother way! and wellarticulated asto rhythm and melody,both the successive steps ofthe sequence and theultimate pointof its completion may seem tobe predictable.But whereother aspects of the series tend toward uniformitysuch a series maygive rise to uncertaintyand doubt, eventhough it is not completely uniform.For oncesuch a continuous sequential process isestablished, itdevelops aninner momentum anddrive which enable it to veer very easily in the ° Copyright1936 byUniversal-Edition. Copyright assigned 1939 to Boosey &
Hawkes, Ltd.Used bypermission.
The Weakeningof Shape
171
direction ofuniformity or away fromthe envisagedpoint of com-
pletion. Forthis reason irregularities insuch processes will not, as arule, be apprehended as articulating theprocess butwill ap-
pear as disturbances and deviations from the process which addto the insecurityand uncertaintyinherent in the fact of continuous process itself. Where_ the process is regular anduniform, thelistener knows or
believes that
he knows
what the
next stimulus
will be
but
is in doubt as to where the process will be broken. Where such
seemingly continuous processes are irregular, thelistener isable to envisage neither where theprocess willbreak norwhat thenext step in the process will be. The statement
that the
listener does
not know
or is doubtful as
to
where suchcontinuous processes will end or breakmust beunderstood in a conditional sense. Whatthe listener really doubts is the
manner inwhich a sometimes onlydimly envisagedgoal will be reached. Hehas ageneral feelingas to what thefinal goal of the series is,but he is uncertainas tohow thepresent process will get him there
and what
detours and
obstacles will
be encountered
en
route. Andit is only atthe pointof reversal, the pointat whichthe process is broken andanother modeof continuationtakes itsplace, that thelistener finallyis ableto envisage his goalwith any degree of security.It is thus the point of reversal ofprocess whichconstitutes theclimax andturning point of the passage, thepoint at which doubtand anxietyare replacedby morecertain anticipation. These facts of process continuation are well understood by the
practiced listener. Because of this, sequential process willgenerally tend to raise doubts in the listeners mind,
will seem more or less
ambiguous. The controlling factorfor the listener iscontext. Ifthe sequence occurs in a generally controlledcontext, forinstance, as part of or in connection with an important and well-articulated
theme, thenit would probably giverise tominimal tensionand uncertainty. But if the continuous processoccurs in connection with
other typesof uniformity-in a passagewhich is clearly developmental-it might
well create powerful doubts and anxieties, even
though it apparently isquite tonaland wellarticulated; forin this case thelistener isaware thatsuch passages are unpredictable, that the series may veerwith greatease from its presentcourse.
172 Emotion
and Meaningin Music
Finally, it is importantto makeclear thatit is the hypothetical meaning ofthe severalsuccessive stimuli which is ambiguous, not necessarily their evident meaning. A seriesis ambiguous because the listener isunable toenvisage withany reliableor decisivedegree of probability whatthe future terms will be. Indeed,because ofthe listeners attitude toward suchpassages, almost all soundterms tend to seemequivocal. However, once theconsequent term arrives, the listener maywell be able to understand itsrelationships to the terms
which havepreceded it.Yet eventhis understanding is conditional. For thedeterminate meaning of anygiven soundterm canonly be known whenthe whole passage has been completedand a clear point ofstability andorientation has been reached. The developmentsection measures72-86! of the Finale of Haydns PianoSonata inA-F latMajor furnishesan excellentexample ofuniformity of rhythm andpitch succession coupled with continuous sequential processes Example 63!. -;_'|.1-_._*1Y1111Uifiijflm!1lHK-ll-l.: l ll '--J-J--12-1-I II I1 II _|1r1r1r1|1-iiiiuixiih I7l'9292|Ql .JaI--1-1-l11__llIQlQ__-__--_-§_A1.l-AQll ll ll l_r1|111l1! Nv¢1¢.i---Il' -'I ~~-1I____:__- 1l:::!:::_|!!!l!g-_|_|:4_.¢|;-
--_ _-_
-Il --I
¢;|lI.nvt' | 'l LU i;|-us-l-i1"7¢|¢is_1-1111iiii ` UQ.92|T§1'i1U'il1il_l~ll1.l__'VlI 1¢1';l:'i_¢1111 l._|'1l1iQ iw! I; 11 ll§»l1l'Y'i_ U I 1 _1 S 1 1; YT 1 Y-
1
ill ___ ____ ____ 1'I| _II I.-I ll I 11'7'l"l§7`lV`__lIl11|-T1__l1.___Il--..ll.;______.l_.Q..;__;;l 1.l9211l1;.»l_AZ Llhll ll IQ Illlf'_V`l1l1Ill"lflllll-Il_l_YlY'-_III I92Q'lL7l ..`J_T'1ll1|1l1i11i1L1LA1I' I l;LLl1l'Y'|rI| || |_`§,_g|.| | Z 1lZY'i"Z 1I1l17'i'lY`l1"1i111l'L§LL1l_11Tl |`g ; 11 1l||T11111Tilliiiililill I 7|9292ll_ilv11lilC11Zll_1i11_I 11| I 13.111111 Qxlllv-_xl | H5 b
l U|
EXAMPLE 63
In the Hrst place,a glanceat the example showsthat there is general rhythmicuniformity. At the beginningthe rhythmicstructure within the measure is somewhat problematical. Because the
passage begins with an anacrusis, the first rhythmic group is perceived asan amphibrach,and this feeling of amphibrach rhythm tends toperpetuate itself. In orderfor this to takeplace, thesecond beat of each measure must functionboth asthe end of one group and thebeginning ofthe next see Example 64!. This impression of the dovetailingof groupsis strengthened by the fact that the Hnal
The Weakeningof Shape
173
tone of each measureis a preparation for the first beat of the fol-
lowing measure and alsoa resolutionof thefirst beatof themeasure in which it appears.The rhythmic articulation within measures could beclarified werethe performerto makethe final eighth note of each
measure an
anacrusis to
the first
beat of
the next
measure
V-V-v-v 1411
EXAMPLE 64
by playingit slightlynearer tothe downbeatand accenting it somewhat, asin Example65. However,since sucha performance would tend to weaken theeffect of the passage, this would seem aquestionable interpretation. Indeed, anyinterpretive accentuationon the partof theperformer isunnecessary and uncalled for.The passage shouldbe playedquite uniformly.Incidentally thisis an example ofmeter withoutrhythm. Thebeats areclearly differentiated into accentedand unaccentedbut grouping is inappropriateand undesirable. nfl-|i1!r1 , - " _ I'A%F=J= '=§1"£=£ i===|I=|l-i§'§ lil-_J&21_;§gZ;1;3!~';'-11;3w:£ll1L.!: 1 sa * ,92./J,92./ * 92/,,92-/_ EXAMPLE 65
After measure7 as numbered inExample 63!this overlapping of rhythmicgroups ends and afairly cleartrochaic rhythm,implicit in the lower voice from measure 3, emergeswithin each measure. But there is still uniformity between measures; henceno impression
of rhythmarises onthe higherarchitectonic level. Incidentally it is just atthis point,where therhythm withinthe barbecomes clarified, that the
melodic and
harmonic structure
of the series becomes
most
uniform, counteracting the clarificationof rhythmic shape. The line of pitch succession, though not completely uniform, could hardlybe termedwell articulatedor distinctlyshaped, since it lacks those changes in pitch direction andthose differences in accent and duration which create well-defined substantial shapes.
174 Emotion
and Meaningin Music
Nor isthe scaledescribed bythe outervoices unambiguous. At first it might be interpretedas thescale ofF minor,later asC minor,or, even, asan altered scale in B-flat. And just as it seems fairly clear
that thescale isthat ofE-flat major,which itreally is,the uncertainty of chromatic uniformity is introduced.
The absence of a well-shaped melodic pattern is important. For were rhythm and melody distinctly shaped,the attention of the listener would be directed to these and the feeling of security and
control foundin suchclearly articulated shapes would considerably diminish thesuspense and uncertainty engendered by the uniformity of the otheraspects ofthe musicalprocess. This occurs attimes in music of the nineteenth century,where ambiguousharmonic progressions bear such distinctand palpablethemes thatthe uncertainty of the harmonic continuum is more or less nullified be-
cause thelistener focuseshis attention upon the expressive and well-shaped tunes. The listenersdoubts andanxieties are partly aproduct ofhis own stylistic experience, his awareness that thisis part of a development section andthat passages in suchsections tend to be unpredictable, deceptive, and irregular. And the general uniformity coupled with
the presence of obviouslysequential processes confirms thelisteners attitudes andaccentuates his feeling oftension. At the outset ofthis passagea combinationof suspension technique and harmonic sequence create amomentum ofprocess in which whatarticulation thereis, is more thancounterbalanced by the everpresent possibility of equiprobable alternative consequents. A schematization of thesemeasures measures 1-6! is given inExample 66together withsome ofthe alternativeconsequents which might havebeen forthcoming.For instance,the sequences might have continued unvaried asin a!, moving throughE-flat majorand D-Hat majorto a cadence inF minor,the keyin which the passage begins. Suchfalse modulations are not uncommon. Theprocess might as in 19! have beenbroken by using an augmented sixth chord, which would have moved to the dominant of C minor, and
after thisnew modusoperandi theharmony mighthave progressed through B-flatto thetonic A-flatmajor. Orthe suspension technique might havecontinued foranother measureas in 0!, reachingthe
The Weakeningof Shape
175
dominant E-flatearlier thanis actuallythe case.Finally, had the original modusoperandi beenperpetuated stillfurther as in cl!, the samepoint would have been reached that is actually achieved through the introduction of chromaticism. -:...,, r-".
_ -
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EXAMPLE 66
This lastobservation points up thefact thatneither theintroduction of chromaticism in measure 7 nor thepassage taken as awhole can beunderstood and accounted forsolely onthe basisof the necessities of
modulation and
the desire
to return
to the
tonic. Had
Haydns purposein writing this passage been merelyto return to A-flat major,then itwould seem that hewent toa lot of unnecessary trouble. Foras everystudent ofelementary harmony knows, there is no trick to modulating fromF minor to A-flat major. It can be done with a couple of diatonic chords. The introduction of chromaticism in the upper voice serves several different though complementary purposes. First, it creates
enough variety within the continuous process of harmonicsequence to precludetedium. Second, it allowsthe sequence to becomemore uniform, avoiding the more apparent articulation such as takes place in measure 5.And third, it allows the basicprocess tocontinue without creating a stylistically unacceptable whole-tonescale in the
upper voice,which wouldhave beenthe casehad the suspension technique beencontinued see Example 67!. fs 9.
fs 92 ,"" _ 9.
_ whole-tone scale. -I
EXAMPLE 67 But these
ends could
have been
achieved with
other means.
It is
to meaningand contentthat we must turn if the reasons forthis
176 Emotion
and Meaning in Music
change are to befully comprehended. By emphasizing the uniformity of pitch progression in theupper voiceand ofharmonic sequence progression throughout, chromaticism and regularity intensifythe inner impulsionand drive of the series, weakening the listeners sense ofcontrol, hisability to envisage the point at which theseries will break and articulationwill take place. While in processthe chromaticism and potential uniformityof chord progression make the passageseem almostformless and,in terms of more remote tendencies, incomprehensible. Yet thepassage really is notas uniformas hasbeen impliedin the foregoing discussion. Though theouter voices are uniformand regular, the inner voicemoves ina somewhatdeceptive manner. The irregularity of this voice not only produces acertain amountof variety, thoughthis is minimized bythe morepatent uniformityof the outervoices, but,by effectingchanges anddeceptive progressions in the harmonicprogression, italso intensifiesthe listeners sense ofdoubt andinsecurity. Forthe listeneris now able to envisage neitherthe terminal point of the seriesnor even the next term of the series. This is illustrated in Example 68, in which the
sequence, together with its presumed line of harmonicroot progression, isschematized as it would have beenhad it been completely regular.
In this version ofthe sequence the rootsof the chords, beginning in measure 6, areall a fifth apart.From measure 7 throughmeasure 9 each chord is the dominant of the one which follows it, so that the
progression is, in a sense, completely uniform evenbetween chords; that is, as A is to B, so B is to C, and so forth. Between
measures
there isprecise equivalence of process. Here eachsuccessive chord _ I A !.".|.
és'
" I5
_
-0- |64-ng.1| : :_ .C.'H|-#|._}hi'u_
3_
Q-
Implied root progressions EXAMPLE 68
of the sequence is predictable, butthe terminalpoint of the series is not.
The Weakeningof Shape
177
In Haydnsvariant ofthis regular,uniform progression, measures 8 and9 containirregular, deceptive resolutions Example 69!. Because of its place in the sequence, thediminished triad in the beginning ofmeasure 8sounds asthough it were thedominant of A-Hat; butthis chordmoves deceptively to F minor. Sincethe ambiguous diminished triad hasalready been resolved intwo different ways, thelistener isahnost completely undecided whenit appears again in measure 9whether it will move to G-flat major in the manner ofmeasure 7!,to E-flat minor in the mannerof meas1u°e 8!,
or, perhaps, even toC minor.In short,he isnow in doubt notonly as to the terminalpoint of the seriesbut alsoas to the following term of
the series.
© ll7*H;bT Tb;
i sa' -
.
bf 5
T
*P* 9. EXAMPLE 69
The insistencein the foregoing discussion upon the importance of uniformity and ambiguityin arousinguncertainty andanxiety does notimply that this passageis chaoticor unstructured.If the main outlines Example 70! of the series areabstracted from the vitally important ornaments which tendto obscurethem, it be-
-:,,., g 9 ,|§1;1v92¢|UY4tl;=il 1 i:=.- 4 -fy* ;H g iw--t- _
55 5 a u ' |ii!ii - ' li EXAMPLE 70
comes apparent that theseries follows a definiteover-all plan, in which the outer voices, moving in parallel tenths, delineate a de-
scending scale in the key of E-Hat major and minor!. But this structure becomes clear and is understoodonly after it has been completed andthe serieshas beenterminated. Onlywhen t.hesequence istimeless inmemory canthe relationship of its parts toone another and
to the total series
be comprehended.
178 Emotion
and Meaningin Music
The terminal part of this series,its return to more decisive, clear-
cut shapetakes place in measure10, where the uppervoice changes the directionof its motion fromdescending toascending, and the lower voice moves by skips of a fourth from F to B-flat to E-flat, creating an incisive accent and motion in the bass.
When measure 11 isreached Example 71!, the listener is,so to speak, outof thewoods; heknows where he isgoing andenvisages
:ill _
|E175 -
V- :_--~¢»» -I1----1»--ll---1---_1E I'
:¢
::
EXAMPLE 71
the goalwith clarityand certainty.He expectsa returnto thetonic, which isnecessary for a feelingof completeness, and tomore distinct and palpableshapes, inparticular tothe first theme ofthe movement. Thoughexpectation isnow veryspecific, itis not to be fulfilled straightaway. There isa waitingperiod, adelay ondominant harmony, inwhich themind isable toorient itself,evaluating what has takenplace andadjusting itselfto whatis now impinging.
M ininuzl Diferenoes Uniformity isa mentalfact, nota physicalone. Notall differentiation necessarily creates an impression of good shape. The differ-
entiation mustbe decisiveenough andsalient enough,relative to the particularcontext inwhich it appears, toplay an appreciable role in articulating shape. Some instancesof subliminal differentiation have already been cited, e.g., in connection with the Bruckner
and Debussyexamples. Thepresent discussion will, for the most part, be concerned with certain aspectsof harmonic differentiation,
with theuniformity thatarises through the accretionof smalldifferences.
Harmonic uniformity may arise because the difference between
harmonic terms is notgreat enough to createa senseof progression. That is, a change may appear to be a variation of an already pre-
The Weakeningof Shape
179
sented termrather thana motion to a new term. There may be alteration, but not succession.
Although thecriteria determining what constitutes harmonic progression-unambiguous chord succession-become established as part of the listenersstylistic responses, the stylisticnorms ofwellarticulated succession are themselves, in part at least,products of the needfor suflicientlymarked differentiation between harmonic terms. It is partly because ofthe necessityfor appreciabledifferences between successive harmonic terms thatthe harmonicprogressions that are leastambiguous are those whichinvolve changes of at least twotones between chords. Thisis madeamply clearby an examination, for instance, of Pistons Table of
Usual Root Pro-
gressions seep. 54!. The mostdecisive progression of all in the delineation of tonality, the one from the subdominant to the dominant to the tonic, is so devised that the Hrst two triads have no tones
in common and that each of these triadshas only one tone in com-
mon withthe tonicto whichthey resolve.Other progressions might be devisedinvolving complete tonal change, but all of them would of necessity employ one chord havingtwo tonesin commonwith the tonic, thusweakening thetotal effectof progression.Further evidence ofthe importanceof markedand appreciable pitch changes between harmonic structures isfurnished bythe fact that when chords have their root and third in common,they tendto serveas substitutes for
one another
in terms
of function.
The submediant
VI! may serve as a substitutefor thetonic I!, the supertonicII! may serveas a substitute for the subdominant IV!, and the medi-
ant III! may serve as asubstitute forthe dominantV!. Harmonic articulation is not merely amatter ofpitch diEerences between successive chords. Thedegree ofarticulation alsodepends upon the manner in which the chords are constructed whether
there is general uniformityof constructionor not!, the way in which thevoices pitches!move fromchord tochord whetherby conjunct or disjunct motion!, and the rhythmic articulation of the
harmonic changes in question.For instance,a progression from the tonic chord to that built on the sixth degree of the scale can be accomplished bymoving only one tone as in Ia in Example 72!, in
Which casethe feeling of progressionis minimal; or it can be
18Q
Emotion and Meaning in Music
achievedusing disjunct motion in the outer voices as in Ib!, in which case the sense of harmonic progression is substantially b.
EXAMPLE 72
strengthened. Likewise,variety of chordconstructionmay createa sense of well-defined motion, as is the case in IIb as contrasted with
IIa. It is clear, from this point of view, that the apprehension of
harmonicprogressionis partly a function of melodic articulation. Hencethe continuedprohibitionof parallelfifths and octaves,even after linear independence wasno longera prime concernof musical style. Decisive,clearlyarticulatedharmonicprogression is not, of course, necessarily a desideratum. Vagueand ambiguousprogressions, created by minimal differentiation,may play an important role in creating tensions,uncertainties,and expectation. This is the casein the introductory measuresof the secondmove-
ment of Berlioz'sSymphonicFantastique Example 73!. Before discussingthe nature and effect of minimal differentiationin this passage, it shouldbe noted that theseare able to take their full effect becausethe passage measures1-29! is quite uniform as to pitch succession, texture, and instrumentationand quite indecisiveand ambiguousas to rhythm.The openingmeasuresof the movementestablishthe generalpattern,which continuesthrough the first twenty-nine measures: Allegro manontro
EXAMPLE 73
The Weakening of Shape 181 The triadic figure in the cellosand basses in the third and fourt_h measures and the arpeggioin the fifth measurein the harp could hardly be called well shaped sincethey involveno real melodic progression. The continuous tremolo in the strings tends to accentuate thegeneral uniformityof instrumentalcolor andtexture. What rhythmic articulation there is,is aproduct ofharmonic change; and, since, aswe shallsee, thisis minimal,so isthe feelingof rhythmic accentuation. Only toward theend ofthe passage where thetriadic figure recursat two measure intervals and the harmonic changes, though stillambiguous, are more markeddoes thereseem tobe an intensification ofrhythm, creatinga feeling of increased excitement, quickening tempo, andthe approach of a resolution toclarity and certainty.
The harmonicambiguity ofthis passage is theproduct ofminimal differentiation between
successive vertical
structures. This
is made
very clearby theabsuact ofthe harmonicmotion ofthe firstthirtythree measures of the introduction Example74!. Observe,for in-
Jlsl measure ®®
®r
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6
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EXAMPLE 74
stance, ! that upto measure13 onlyone toneis changedin each successive harmony; ! that the slightdisjunct motionin the lower voice the skips fromA to F to A and so forth!, though theydo articulate themotion somewhat, are minimizedby the static quality of thebasic bass line, whichmoves onlyfrom Ato A-sharp;and ! that stylisticallythe harmonicrelationships established by this particular seriesgive riseto no clear-cut probabilityrelationships, provide nobasis forenvisaging the nature ofthe nextterm in the series. Even the motion from measure 12to measure13, thefirst stylistically
unambiguous progression, involves aslittle motion and changeas possible. Only after measure 19 doesthe degree of harmonicchange
182 Emotion
and Meaning in Music
increase, i.e., two tonesare changedin eachsucceeding chord and once frommeasures 21 to 22! three. Butthese progressions, though they aremore marked and createa sense of increased motion, areno less ambiguous. For not only doesthis seriesfail to establish stylistically unambiguousharmonic relationships but just at this point other aspects of the musical structure become increasingly uniform see brackets in Example74!. Thatis, thechords ingeneral move in parallel motion;the outer voices movechromatically in octaves, tending toobscure what inner articulationthere is;and themeasures are motivicallyand rhythmicallyprecisely equivalent to oneanother. Though thelistener isnot able to envisagethe nextterm in the series withany greaterspeciBcity thanbefore, theincreased harmonic motionin thesemeasures measures 20-26! doesperform an important function.It creates a feeling of intensified activity, a sense ofthe approach to, andimpending arrivalof, a decisive point of structuralarticulation. Thisfeeling isheightened inseveral ways. First of all, moremarked andnoticeable harmonic changes together with moreregular motivicrepetition bringabout anincreased sense of accentuationfrom measure19 on.Both because of the general uniformity of the passageand becauseof the listeners awareness that this is not the real substance of the movement, this repetition
of the motive inthe bassgives riseto thoseexpectations of change which wehave called saturation. The gradually growing crescendo also intensifiesthe sensethat important musical events,the arrival
at regular progressions and well-shaped themes, are in the offing. These expectations receive finalconErmation just at theend ofthese measures, wherethe entrance of the Woodwinds measure28! acts
as a sign of the comingchange. Butit is only when the six-four chord so striking because of its brilliantly majorsound, itsopen spacing, andits full orchestral setting!arrives thatthe listeneris really sure of his orientation and certain that his expectations will not be disappointed. Before concludingthis discussionof minimal differences, it should
be pointedout that the distinctionbetween uniformityand differentiation is not alwaysas markedand obviousas it has beenin most
of the examples citedabove. Uncertaintymay arisebecause the listener is
unable to
decide whether
the stimulus
series is
thematic
The Weakeningof Shape
183
or not. For instance a sound term that is neither markedly uniform
nor clearlyarticulated maymake thelistener uncertainas to how to interpretthe series as awhole. Hemay notbe surewhether heis hearing thereal themeor anintroduction involving thematic anticipation. _
The openingmeasures ofthe secondmovement ofSchuberts Seventh Symphony in C Major Example75! provide an instance of this equivocal typeof articulation.Here the upper voicesare,
generally speaking, quite uniform and homogeneous. There islittle melodic motionand whatthere isnot onlymoves bysemitones but Andante con moto.
_ EXAMPLE 75 l l is confined
to the
inner voices
where its
effect is
minimized. Al-
though stylisticallythe harmonic progressions are unambiguous, there is only a limited feelingof harmonicprogression because of the minimal linear changesand becausethe changesconsist only of an alteration oftonic and dominant harmony.What rhythmic articulation there is inthe uppervoices isproduced bythe harmonic fluctuations, andthese couldhardly be said to produce astrongly articulated rhythmic structure. Taken by themselves these aspects ofthe stimulusseries would probably leadthe listenerto concludethat this was definitelyan introduction, an accompaniment figure over which a melody was
still to appear. Butthe presence of a rather well-shaped melody in the bass precludes such a definite,unequivocal interpretation. Rhythmically this lower voice is very distinctly articulated. And even
though the pitch successions seem somewhat static becausethe melody continually moves through the tonic triad, the passage asa whole might seem thematic,were it not for the listeners awareness
that in music of this style the melody is usually,though not invariably, in one of the upper voices.
The equivocalbalance betweenthe forces of uniformity and
184 Emotion
and Meaning in Music
those ofdifferentiation, together with the listeners stylisticexperience, create uncertainty as to whetherthe seriesis to be understood as anintroductory prestateof thetheme orwhether itis thetheme itself. Theexpectations of clarification towhich thisambiguity gives rise are satisfied in measure 8, where the entrance of what is ob-
viously thereal themeenables thelistener tounderstand, inretrospect, thesignificance of the openingmeasures. He now knowsthat the passage was anintroduction inwhich somefeatures ofthe main melody wereanticipated. Thuswhile the hypothetical meaning of the passage is ambiguous, its evidentmeaning isclear andunequivocal.
The equivocalcharacter ofsuch passages is perhapsbest demonstrated byshowing thatother equallyambivalent series may inother cases bethe real thematic substanceof a piece. The opening measures of Mozarts Piano Concerto in D Minor K. 466!, for instance,
are justas doubtfulin characteras thosein the second movement of Schuberts Seventh Symphony. Rhythmically and melodically they aremore uniform,more like an introductionor even like an accompaniment over which a melody ortheme mightbe expected to appear Example 76!.Yet, asthe passage gradually evolves and the seriesbecomes progressively more differentiated,the listener realizes thatthis isthe mainmaterial ofthe openingsection ofthe Allegro
e '-__ i::==;22=EL==;'=:=="..:: =§LLi{FéT§JIL _T@Téj=E 5_*=_ E' 1 92/ 92_/
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EXAMPLE 76
movement. Inshort, thoughthe hypotheticalmeaning ofthe opening of the MozartConcerto isin a very generalway similarto that of the Schubert movement, the evidentmeaning isvery different. The mental demand for good shapeis, of course, conditionedand modiiied by the stylistic experience ofthe listener and his awareness
of the kind of music towhich he is listening.For instance,while listening tothe development section ofthe HaydnSonata discussed above or the introduction
to the second movement of the Berlioz
The Weakening of Shape 185 Symphony, thepracticed listeneris awarethat thesepassages are not aswell shapedas theyshould berelative tothe stylisticnormthat theyare not,in a sense, the main event. But in other musical stylistic situations his attitudetoward weakly defined shape may bequite different,and thisdifference inattitude will modifyhis responses. For example,the free,rhapsodic, toccatalike piecesof the baroque period,though perhapsexhibiting intelligible shapewhen viewedas awhole after the piecehas been concluded!, often appear tobe diffuseand amorphous when viewed in terms of their parts and their succession. Though this lack of
well-defined, articulate patterns doesarouse thedesire for, and expectation of,more distinctand substantialshapes, thepracticed listener whounderstands the nature ofsuch freeand effusivepieces tempers his psychological desire for bettershape withthe knowledge that such preludes will eventually leadeither to more defined shapes withinthe pieceor to another piecewith a more palpable pattern. Sucha listener,following musicalprogress as best hecan, awaits theoutcome, ifnot with perfect equanimity, at leastwithout the intense impatience andanxiety that similar passagesmight arouse inother stylisticcontexts. Texture
Texture hasto do with the ways in which themind groupsconcurrent musicalstimuli into simultaneous Hgures, a figure and accompaniment ground!, and soforth. Like other musicalprocesses textural organization, or the lack of it, maygive riseto expectation. According toKoffka, if conditions aresuch asto producesegregation oflarger andsmaller units,the smallerwill, ceterisparibus, become figure; the largerground. 6Does thismean thatin a polyphonic piecesmaller fragmentswill necessarilybe perceived as Bgures andthe longerparts asground? Forinstance, willa wellarticulated theme presented inaugmentation become a ground on which shorterthough equallywell-articulated motives will appear? The answeris t.hatsuch adistribution oftexture isnot necessarily apprehended interms of a figure-ground distribution but can quite readily be perceived as the co-existence of several independent, well-articulated figures.
186 Emotion
and Meaning in Music
Koffka tendsto emphasizethe necessityof a figure-ground distribution because he is primarily concerned with visual experience. Figures seen in visualspace always appear tobe projectedagainst or framedby a ground ofsome sortjust asthese wordsare seenon a ground,the whitepaper onwhich theyare printed.It is difficult, if not impossible, evento imagine a visual figure without also imagining themore continuous, homogeneous ground against which it appears.But in aural space, in music,there isno givenground; there is no necessary, continuous stimulation, against which all
figures mustbe perceived.The only thing that is continuousin aural experience is unorganized,timeless silence-theabsence of any stimulationwhatsoever." Due to the absenceof a necessary, givenground in aural experi-
ence, themind ofthe listeneris ableto organizethe datapresented to it by thesenses in several different ways. Themusical Held can be perceived as containing: ! a singlefigure withoutany groundat all, as, for instance,in a piece for solo flute; ! several figures without anyground, asin a polyphonic composition in which the several partsare clearly segregated andare equally, or almost equally, wellshaped; ! one or sometimes more than oneHgure accompanied by a ground, as in a typical homophonic texture of the eighteenth or nineteenthcenturies; ! a groundalone, asin the introduction toa musicalwork-a song, for instance-where the melody orfigure isobviously stillto come;or ! a superimposition of small motives which are similar but not exactly alike and which
have littlereal independence of motion,as inso-called heterophonic textures.
Which of these various organizations or combinations of them
the mindimposes upon the sensory materials presented to it depends upon thepsychological demand for goodshape uponthe operation of the law of Priignanz! and upon the attitude and expectations of the experiencedand practiced listener.
The psychological demand forgood shapenot only impels the mind to articulate the stimuli presentedto it into well-shaped figures andpatterns butalso makesthe total set of relationships resulting from such articulation as simple and distinct as possible. For instance, if the over-all articulation is simpler when a piece for
The Weakeningof Shape
187
a single instrument isunderstood asimplying severallines or voices, thenthis modeof organizationis theone thatwill probably appear; whileif the Hnal resultof articulationis moredistinct and the patternsperceived ofbetter shapewhen thestimuli areapprehended in terms of a Hgure-grounddistribution, then this mode of
organization willprobably emerge. Furthermore, whichever textural organization emerges, itwill be made toappear assimple anddistinct aspossible. Themind will tend toimprove theover-all articulation even ifthis meansweakening someof theindividual shapes. For example, if the Held is most easily perceived in terms of a Hgure-ground distribution in which one partis wellshaped and the othertends towarduhiformity, then the uniHedpart of the Heldwill seem as uniformand ashomogeneous as prevailing conditions allow. If, however, it is easiest to
apprehend thestimulus Held in termsof a single shape or in terms of severalmore or less equalshapes, thenthe mind will tend to improve boththe individualshapes andthe relationshipsbetween shapes asmuch aspossible. The mind of the listener which produces suchorganization is not a kind
of neutral,
disinterested tabula
rasa. The stimulus Held
is
organized, partlyat least, on the basis of past experience-the learned habits of discriminationand perception of thelistener. Such learning, bydirecting thelisteners attentionto certainparts of the total Held, conditions what is looked for and expected and hence
modiHes whatis perceived;where the center of our interest lies there, ceteris paribus, aHgure islikely toarise. 8Learning also tends to influencethe qualityof the Hgures whicharise, because attention, adding energy to the particular Held part, will increase its articulation, if it is not articulated as well as it might be. ° In other words, the practiced listener has learned to direct his attention in
particular ways,depending uponthe stylisticcircumstances; hence he not only tendsto improve articulation in general buttends to favor certaintypes of organizations over others in a given set of stylistic circumstances.1°Thus, in perceiving music which he supposes tobe polyphonic,the practiced listener will tend to emphasize
the equalityof moreor lessequally well-articulated Hgures; while in attending to music which is presumed tobe homophonic,the
188 Emotion listener will
and Meaning in Music
favor one strand of
the texture over the
others, and
these latteraspects ofthe texturewill appear more uniformthan might otherwisebe the case.
Whether agiven texturalorganization isfelt to be satisfactory depends uponthe speciHcdisposition ofthe variousparts within the totalperceptual field, the normsestablished within the particular work, andthe listenersstylistic habitsof perception.
There aretextures inwhich theorganization of the fieldinto co-existing figures, into figure and ground,or into some othertype of relationshipis clear, complete, andnormative withinthe style and in which changesin texture are immediatelyunderstandable. Such textures will not in themselves become thebasis forexpectation.
There are also textural situations in which the nature and organ-
ization ofthetexture, though clear andimmediately understandable, is nevertheless felt to be incomplete.By way of illustration, three different incompletetextural situations may bedistinguished. First, textureplays a part in determining thelisteners senseof formal completeness. For, sincethe law of return see p. 151! applies tothe organization of the total musicalstructure and,at times, even tothe recurrence of separate aspects of that organizationsuch as melody,tonality, ortexture!, a change fromone typeof textural organization toanother orchanges within one genushomophonic, polyphonic, etc.!will activate expectations of return to previously established modes of organization.Even thisgeneral statement is subject toqualification. Forthe expectation of returndepends upon the listenersunderstanding of the passage in question.For instance, in an opera or oratorio the introduction of new charactersin a scene
may bringabout changes in texture-what was ahomophonic aria may becomea polyphonicquartet; butbecause these changes are understood interms of the stage action, theywill probably not arouse expectations of returnto theoriginal textureof the number. Texture does not asa ruleact asan independent variable. Changes in texture are usuallymade in conjunction withchanges inother aspects of the musicalorganization. And it is not onlyan established texture which will be expected to return but rather the whole
complex ofthe stimulusseries, ofwhich texturewas butone aspect.
The Weakeningof Shape
189
However, melody, tonality, instrumentation, and soforth may vary indeHnitely while the basic textural organization remains constant.
Because ofthe desire to organize the textural Held as it was organized when an established melodic harmonic rhythmic pattern Hrst appeared,expectation will be particularly active and intense in
cases inwhich thesalient shaping forces ofa workremain constant while texturechanges, e.g., where atheme ormelody already established asa normin one textural organization is repeatedor recurs in different textural setting.Moreover, suchdeviant texturesoften tend to create uncertainty and tensionin the mind of the listener. This isparticularly evident in caseswhere atheme whichoriginally appeared as part of a homophonictexture issubsequently used in conjunction eitherwith other equally well-articulatedshapes or in imitative counterpoint with itself. Here there is often a conHict,
though onlya minorone, between the subjective organization which the listenerattempts toimpose and the objectivefacts ofthe textural distribution. In such casesthe introduction of additional Hgures which are well shaped appears asan intrusion, as a disturbance of what was supposed tobe a homophonic texture.
Second, asense ofincompleteness of texture mayarise as the result ofabnormally wide distances between the partsof thetextural Held. That is, whether the Held is organizedinto equally wellarticulated Hgures or into a Hgure-ground distribution, theseveral parts of the texturemay be so widely separated inmusical space that theyare expected to cometogether orto beHlled in by other stimuli. Such abnormally widespacings may be consideredas a special case of structuralgaps. InBergs LyricSuite Example77! the very wide spacingbetween the Hrst violin and the cello is Hrst graduallyHlled in by the other instruments, and then all the parts movetoward acommon meeting point in the middle range. Notice, incidentally, that thetendency ofthe outervoices tomove is not a result ofdissonance-at least, not at Hrst. Thefeeling of tension toward a middle range is almost entirely textural. The entire
Hfth movement of theLyric Suitemay betaken asan illustrationof the fact that thoughgenerally speaking texture doesnot act as an independent variable, it does at times become a very important
factor in creating motion and in shaping musical experience.
The Weakening of Shape
191
is understood as simply constituting change a materials, of beginthe ning of a new section.
In afugue, for example, single a type of texture generally persists throughout the entire piece, though there will bevariations within
this general genre. Because continuity of texture is expected ain fugue, the significanceaofdecisive textural change may notbe immediately apparent. If themeaning such of change a not is clear, doubts may arise in the listeners mind about the composers intentions andabout the relevance of his ownexpectations, which were brought into play partlyon thebasis ofhis beliefas tothe nature
of thework being heard. other In words, the change createsfeela ing ofuncertainty because it weakens the listeners ability toenvisage thefuture courseof the music.
The lastmovement ofHandels ConcertoGrosso No.2 furnishes
an excellent example of such aninterruption of a texturewhich is
expected be to continuous. The movement begins like a normal fugue Example 79!, andthe listener expects the texture to conAllegro 1 manon troppo ___- ...-ull ffl | ;; _!lLz'I_!1.| ral
-gl -_
'-- in
||lll___ L_:-I YAiiiil1i1Yl llg4 lllln f'_i1l_2i`l1 |14 I1__Y'll
I Lal 921'l1 l
i
it
1
EXAMPLE 79
tinue with the customary modifications and variations until the
conclusion isreached. However,at measure27 Example 80! a
» =.
° J"
i;l
l _mitt-Q
f.5E£iiE1:1::===E . -. ..1;- . =~=-======Q:===:===55555
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EXAMPLE 80
radical change of texturetakes place.The organization becomes as homophonic as possible. Because these changes constitute adramatic deviation fromstylistic norms,they raisedoubts andanxieties both as to the significanceof the textural discontinuityand as to the relationship between the partsof the movement. Only gradually as the accompaniment becomes moreactive melodically,as though
192 Emotion
and Meaning in Music
influenced bythe fugalsections withwhich it alternates, does the listener beginto understand that thehomophonic texture will eventually becomepart of the generalpolyphony ofthe fugue.The real meaning ofthe texturaldisturbance becomes apparent inmeasures 66 Example81!, 74,and 82,where thetwo melodicideas arecombined.
1 Q mm iff-! Il ~..5 ==EEEE¥E fi` 'iiiii
I
EXAMPLE 81
The powerfuleffect ofthis changeof textureis particularlyinteresting since,in a sense, the homophonic texture is simplerthan the polyphonic one;that is,it involvesless expenditure of mentaleffort and would probably in other circumstances seem ratherrelaxed and calm.The crucialfactor creatingtension inthis exampleis the 1isteners difficulty in understandingthe significance of the textural changes. This is shownby the fact that homophony coming at the conclusion of a fugue, where it is immediately understandable, creates nodoubt or uncertainty in the mind of the listener.
The precedingdiscussion was concerned withtextural organizations which were, taken separately and individually, unambiguous.
Ambiguity arose, if at all, becausethe relationshipbetween successive textureseach ofwhich wasclear initself !was notimmediately understandable. Only where thechange oftexture involvedno concomitant changes in the other aspectsof the stimulus seriescould the texturalorganization itself be saidto havebeen ambiguous. Ambiguity may,however, arisebecause theorganization ofthe field is itself unclear.This mayoccur eitherbecause the progressive weakening ofthe figuresobscures previously a clear organization or because thenumber, diversity,and placementof the several parts of the
texture obscure
ual constituents
the definition
and articulation
of the
individ-
of the texture.
If the number anddiversity of the individual elements ina texture are so great as to obscure one another or if their placement is such
The Weakening of Shape
193
that they cannot beperceived asclearly separatedentities, then ambiguity mayarise. But, in a sense, itis notreally thetexture which is ambiguous,rather thenumber of elements and their placement make the individual shapesappear unclearand ambiguous.Such textures arenot common.For the most partthey occurin program music wherethe resultantobscurity hasa more or less obvious designative meaning and createslittle uncertainty or tension.An instance ofthis type of ambiguity occurs inStrauss AlsoSprcwh Zarathustra, where a fuguewritten in the lowestregister creates a muddy, indecipherable texture, whichsupposedly depicts academic obscurity andbefuddlement. A uniform texture does not necessarily appear ambiguous. It may simply be understood asconstituting a ground for some sortof theme whichis still to appear.For this reason uniformity of texture will seem ambiguous onlyunder specialconditions: i.e.,where it persists fora seeminglyintolerable lengthof time and hencegives rise to saturation orwhere apreviously clearorganization becomes progressively weakened either because the figureslose theirdefinition or because theground becomes more distinctlyarticulated or both.
The openingmeasures of Beethovens NinthSymphony furnish a striking examplein which a progressiveweakening oftexture, together with both harmonic and motivic incompleteness andambigu-
ity, create powerful expectationswhose inhibition and ultimate resolution intoa clearlydefined theme produce apowerful affective experience. In the sixteen measures of introduction Example 82!
the structuralgaps arenot onlymelodic, theyare harmonicas well. For within
the cultural
context in
which this
work is
heard, the
complete triadis thenorm, andthe openfifths presented throughout the introduction are felt to involve incompleteness. Indeed, this Allegro, ma non troppo, un pocomaestoso.
-- -s EXAMPLE 82
194 Emotion
and Meaning in Music
incompleteness is signified by the very fact that such Hfthsare commonly referred to as empty. Moreover, the harmonicincompleteness creates ambiguity asto mode;the listeneris in doubt asto what the completion willbe. Thus,the powerfuleffect of the first theme is,at leastin part,due tothe factthat it presents acompleted triad andin thisway removes the previousambiguity andcompletes what wasclearly incomplete. But the forceful impression of the first theme is even more the
product ofthe factthat it is a distinct, substantial shape. Thewhole introduction isbuilt upon a motive which is obviously psychologically unsatisfactory. It is not merelyincomplete, itlacks direction and coherence. The listenersenses that it must have meaning,but he hasno ideaof what that meaningis sincehe can envisage its conscquents only in the vaguest terms.Because the motive establishes noprogressive motion, either melodically or harmonically,the listener haslittle feeling for where this passageis leading; he is merely awarethat it seems topresage some momentous, fateful event. l
In a sense, theonly really satisfactory, unambiguous aspect of measures 1-12 is therelationship between the figureand theground. All the factors makingfor a clearly articulatedrelationship are present: notonly isthe groundmuch moreuniform thanthe figure, but it begins before the Hgureis introduced,thus surroundingit in a temporal sense. But this clarity also givesway to ambiguity Example 83!. For as the point of culmination approaches, the figure becomes progressively weaker-more like the ground. First, the rhythmicarticulation ofthe motiveis lostin therising crescendo of volumeand thepsychological accelerando measures 13-14, Example 83!.Then itsintervallic definitionbecomes obscured in the general octavemotion; and,in the end, whenthe distinction between l® 3 _92 _'_l
-l _11;l',i_1jljj ~ I_
1wl- Z-1 l
' r'l _____ Fl 1 _ ;_j§111111 i
'` Y == =E "f= "=£E= -==E?E '"EEEEEEEEFEEQEQEEEEEE PP FOR. 5
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EXAMPLE 83
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The Weakening of Shape 195 figure and ground is obliterated altogether,the texture becomes completely ambiguous and the listener isuncertain asto what the textural organization is.
The feelingthat a momentous event is impendingis heightened by the crescendo which begins inmeasure 11 and bythe increased psychological tempo at that point. For the figureinstead ofbeing repeated everytwo beatsis now repeated onevery beat.And in measure 13
it occurs
at a still shorter
time interval.
It should
also be
noted thatwhen themotive isstated insixteenth notesbeginning in measure 18!, themetric opposition of twosagainst threes, implicit in the opening measures, becomes actualized and tendsto increase the generalambiguity ofthe wholetexture. Although the entrance of the low D in the horns and bassoonin
measure 15is not strongly emphasized, not markedfor consciousness, itplays animportant partin intensifyingexpectation atthe very endof the passage. Since it createsthe firstharmonic motion in the whole introduction,
the listener
senses that this is
it, that
at last he will know and understand what heretofore had been only
a powerfulpremonition. The sense of therelentless power of inexorable fate whichcharacterizes themain themeof this first movement is a result notonly of the elemental force of the theme itself and of the ambiguities and expectations excitedby the introduction but also of the particular manner in
which the
introduction leads
into the
theme. Unlike
most
introductions seeExample 74!this onedoes notconclude witha dominant preparation, a waiting period, in which the listener is given an opportunity to orient himself to what has passedand prepare for what is to come.Instead the music moveson without pause, without pity, to its stark andawful declaration. As fliesto wantonboys arewe to the gods. They kill us for their sport.
These compellinglines call attention to those inexplicableand inescapable events of our existence which the Greeksattributed to fate, the
Renaissance to fortune, and
we ascribe to chance.
Chance isan uncompromisingfact which permeates allthe realms
of being: the physical,the biological,the social,the personal,and
196 Emotion
and Meaning in Music
the aesthetic.It is but chancethat there is a solar system;but chance
that life developed onthis planet; but the chance of a seriesof fortuitous mutations
that there
is human life as we know
it; but
chance thatany particularhuman consciousness comes intobeing; and, onceliving, both past andpresent chance events continually condition andmodify thecourse and tenor ofour lives. Thus itis thatmusic, mirroringthe essential shape andsubstance of hmnanexperience, from time to time containssudden, shocking clashes with unpredictable chance. Lesser composers tend toeschew such harsh encounters with the unexpected,avoiding them by em-
ploying asingle-minded sameness of musicalmaterials orminimizing them by makinga fetish of well-oiled,smooth transitions. But the great masters havefaced fate boldly, and capricious clashes with chance are presentin much of their Hnest music.
The pedantshave piouslyattempted toexplain awaythe inexplicable inorder tomake theiranalyses jibe with their mechanistic misconceptions what of constitutes the basisfor musicalunity, logic, and inevitability. But chance will not be denied. And while such
encounters must of coursebe possiblewithin the style employed, we mustaccept thefact that one passage may follow another not because ofinescapable inner necessity butmerely because chance will have
it so.
Nor do such seemingly fortuitous encounters weaken ourfeeling of musicalcoherence and credibility. Rather, since suchthings have been experiencedin life as well as in art, these encounters often
strengthen ourimpression ofthe truth and realityof the aesthetic experience. Initiallythey must be understoodas chance.But as they becomepart of our experienceof the musical work,causing us to revise ouropinion of what haspassed andconditioning our expectations of what isstill to come, theirsignificance emerges and we discerntheir influenceupon the shape andthe courseof the musical process.This does not, however, mean that the tendencies developed before chance intervened are obliterated and canceled out. They persist; but their course and modeof fulfilment are neces-
sarily conditionedand modiHedby the unexpected intrusionof chance, Itis pointless to attemptwith tortuousargument toanalyze away such unpredictable encounters.They can be truly understood only by boldly facing the fundamental fact of chance.
VI The Evidence:
Deviation in
Performance
and TonalUrganization
The Nature of the Evidence The present study seeks to establishand explain the generalcauses and conditionsfor the affective aestheticresponse tomusic. It is thus relevant that the basichypothesis adoptedis applicable to the music of different cultures and various cultural levels. The evidence pre-
sented in support of the hypothesishas beenchosen frommany different kindsof music: from folk music, primitivemusic, jazz, oriental music, as well as from the music of Western Europe. The
very diversityof the musical stylesystems that can beused asevidence increasesthe probability that the hypothesis issound. The evidence to be considered consists of: ! statements of
composers, performers, theoreticians, andcompetent criticswhich relate specific musical practices to affect or to aesthetic pleasure; ! statements which relate a specific musical passageto affect or to aestheticpleasure; ! musical processes in Western music which
are by common consent considered tobe affective,e.g., chromaticism; ! musical examples,taken from the familiar style of Western music, where common habit responses will allow the assumption of common understandingand interpretation. All four types of evidence will be used in the case of the familiar Western music. However, because it is impossible to assume a common responseand because of the danger of reading Western meanings and expectations into passages wherethey are not relevant, only the Hrst and second type of evidence will be used in 197
198 Emotion
and Meaning in Music
discussing non-Western music. In dealing withoriental, primitive, folk music, or Western music before the seventeenth century, we
will rely upon thestated responses of thosefamiliar with and sensitive to the nuances and tendencies of the particular stylesin question.
The statements of composers, performers, theoreticians, and competent critics are not, however, alwaysprecise andunequivocal. Often theyrequire interpretationand explication. Before introducing theevidence itself, several problems relating toits meaningand interpretation must be considered. Both the
theoretical and
with references
to its
critical literature
emotional character.
about music
abounds
Innumerable works
or
parts ofworks arecited asemotionally moving,exciting, and so forth. Yet simply labelinga passage,a mode,or a riiga as having emotional quality tells usnothing aboutthe basis for sucha response. What in the passage or modeis aHective?Most references of this sort do not refer to affect as we have beenusing the term; they refer insteadto mood and associativeresponses. They are based upon aresponse to those aspects of musicalmaterials, such as range, tempo, dynamiclevel, which do not change inthe courseof an excerpt. To be of value asevidence in the presentstudy, statements
about affectivitymust connect emotion oraesthetic satisfaction with a specific musical processin the passage cited-a process in which the relationship of deviation and norms to affective aesthetic responses canbe examinedand discussed. It was argued in chapter i that the same stimulusconditions give
rise to both theaffective andthe aestheticintellectual response to music. Which one emergesdepends not upon the musical organiza-
tion whichbrings itinto beingbut uponthe disposition and training of the
listener. Self-conscious
minds tend
to rationalize
musical
processes by bringing their observations tothe level of conscious awareness. Theytend, that is, to respond on the aesthetic intellec-
tual level.Because most of the evidence presented here comes from persons with a technical interest in music-from persons who tend to rationalize the musical process seep. 40!-many of their statements connectthe musical processes withaesthetic satisfactionand
with affectonly byimplication.
Deviation in Performance and Tonal Organization 199 Even thewritings ofcomposers and performers are not alwaysas explicit asone mightwish. Forthe composer and performertend to view the musical processin a special way. For them aesthetic satis-
faction comes from theovercoming ofdifficulties seep. 69!. The difficulties overcome are the norms whichHx theregular andex-
pected. Thus when reference is made to theexcitement and pleasure engendered by technical difficulties, the process described is usually one of deviation from the normal and regular. This processhas, in
turn, beenviewed asan aspect of play,and thenumber ofreferences to theplay factorin the performance and creation ofmusic isvery striking.
Performance and Deviation The musicalrelationships embodied in a score orhanded down in anoral traditiondo notfix with rigid andinflexible precision what the performers actualization of the score or aural tradition is to be.
They areindications, moreor less specific, ofwhat the composer intended and what tradition has established.The performer is not a
musical automaton or akind of musico-mechanical medium through which a score or tradition is realized in sound. The performer is a
creator whobrings tolife, throughhis ownsensitivity offeeling and imagination, therelationships presented in the musical scoreor handed down
in the aural tradition
which he
has learned.
The amount of freedom allowed to the performer in his creative realization of
a score or oral
tradition varies
from culture
to culture
and within different epochsof the same culture.In some periods of Western music composers have indicated in great detail exactly
how theywish their music tobe played,and theperformer isnot supposed to add to or embellish with new patterns the notes that
the composerhas setdown. Thisdetailing of the scorereached its most extreme stageat the end of the nineteenthcentury. Yet even
here, aswe shall see, theperformer doesplay a creative role.In other stylesthe performeris given much morefreedom to add to and embellish the schematic guide given by the composer or handed
down byaural tradition.This is the casein almostall non-Western music, in folk music, and in much of the music of the West, e.g.,the
200 Emotion
and Meaning in Music
music ofthe seventeenth and eighteenth centuries. Thus, in a sense, one mightsay thatqualitatively theperformers roleis alwaysthe same; heis alwaysan active creator, shapingand moulding the abstract scheme furnished him by the composer orby tradition. Quantitatively his role varies. At times his task is limited to com-
municating themeaning latentin a relatively fixedset of musical relationships; at other times, in othercultures, the performer adds to, alters, andmakes major modifications inthe materialswhich serve hirn asa pointof departure. Distinctions between deviations in pitch, rhythm, or tempo and deviations which
involve ornamental
additions to
the basic
scheme
furnished bythe composeror by tradition involve differences in degree ratherthan kind. The presentdiscussion arbitrarilylimits deviations inperformance tothose whichinvolve slight modifications of the substantive pattern furnishedby tradition or the composer. Alterations and additionsto that pattern will be discussed under thetopic ofornamentation. Though such minordeviations in pitch, rhythm,dynamics, andthe like exist in non-Western music, they are more easilyobserved in Western music,where the scheme
of relationshipsis more definitely Hxedby traditions of intonation and bythe scoreof thecomposer. EXPRESSIVE PERFORMANCE IN THE
WEST
Since itis impossible to studybygone modes of musicalperformance directly,evidence ofdeviations beforethe invention of the phonograph must come fromthe writings of theoristsand critics. These tendto dealwith deviationsin dynamics,tempo, andrhythm explicitly andwith deviationsin pitch only byimplication. C. P. E. Bach, for instance,maintains thatcertain purposeful violations ofthe beatare often exceptionally beautiful.1 Leopold Mozart notes that he who accompanies a true virtuoso must not
allow himself to be seduced intohesitating or hurrying by the prolongations and anticipations ofthe notesthat the soloist knows how to bring in so skillfullyand touchingly .... 2 Muchthe same relationship betweenmelody and accompaniment isimplied by Chopin, whois reportedto have said thatthe singing hand may deviate fromstrict time, but the accompanying hand must keep O e.
3
Deviation in Performance and Tonal Organization
201
L. Mozart also prescribesa special mode of performance for ghromatic notes,which, as we shall see, are themselves to be re-
garded as deviants. The vibrato also see p. 66! is essentially a deviation in pitch,
an oscillationabout abasic pitch.At times it is coupled withcrescendo and diminuendo effects.
That the
vibrato was
considered
particularly expressive may beseen fromCeminianfs discussion of it:
When it [the vibrato] is long continued swellingthe soundby degrees, drawing the bow nearerto the bridge, and ending verystrong it may express majesty, dignity, etc. But making it shorter, lower and softer, it may denote affliction,fear, etc.,.... And with regard to musical performances, experience has shownthat the imagination ofthe heareris in generalso muchat thedisposal ofthe master,that by the helpof variation, movements, intervals andmodulation hemay stampwhat impression on themind hepleases. These extraordinaryemotions areindeed most easily excitedwhen accompanyd withwords; andI would besides advise as well the composer asthe performer,who is ambitious toinspire hisaudience, tobe first inspiredhimself; whichhe cannotfail to be if he chusesa work of genius, ifhe makeshimself thoroughlyacquainted withall its beauties; and if while his imagination iswarm andglowing hepours thesame exalted spirit into his own performance!
The affectiveaesthetic value of deviationsin the performance of music is perhaps evenmore clearly illustrated by the criticisms which chidethe performer for merely playing thenotes or playing mechanically Employing moreaccurate techniques for the study of musical performance, recentresearch hasshown that deviations from exact
pitch, tempoand rhythmare presentin mostmusical performances. Carl Seashore and his associates found that in contemporary performance atleast, Theconventional musical score-the composers documentation ofthe tonal sequences which he feelswill express beauty, emotion,and meaning-is for the singer onlya schematic reference aboutwhich he weaves, through continuous variations in pitch, a nicely integrated melodic unit. 5
In part such deviationsmust be regarded asattempts to add emphasis to the tendencies of tones whose motion is strongly directed or to those which already function as deviants within the
202 Emotion
and Meaning in M usio
tonal system employed. Partly, however, deviations in pitch, rhythm, and volumeappear tobe productsof the performers ownexpressive intentions.
In music and speechpure tone, true pitch, exact intonation,perfect harmony, rigid rhythm, eventouch and precise timeplay a relatively small role.They aremainly pointsof orientationfor art and nature.The unlimited resources for vocal and instrumental expression lie in artistic
deviation fromthe pure, the true, the exact,the perfect,the rigid, the even, andthe precise.This deviationfrom theexact is,on the whole, the medium forthe creationof the beautiful-for the conveying ofemotion. The variation from the exact which is due to incapacity for rendering the exactis, onthe whole,ugly. The artist whois to vary effectivelyfrom the exact
must know
the exact
and must
have mastered
its attainment
before hisemotion canexpress itselfadequately through a sort of Hirtation with
it.°
At Hrst glance Seashores viewpoint appearsto be quite similar to the one adopted in this study. Buton closerscrutiny several important differencesare evident.
Although Seashore sees emotion and beauty notice that he ascribes thesame cause to both! arising fromdeviation, yethis basic philosophical position is in many respects diametrically opposed to the one
taken here.
Seashore views
the norms
and deviants
as abso-
lute and fixed. He believes thataesthetic qualitycan be quantitatively measurediHowever, if one considers the great variety of style systemsand tonal organization which exist in various cultures
-tempered twelve-tonescales, tempered five- or seven-tone scales, and all the many untempered scales and modes-it evident that
there are no absolute
seems very
norms.
Moreover, although we may know that a particulardeviation is not accidental because it tends to be constantwithin a given style!, the criterion of aesthetic deviation is itself culturally and
stylistically determined. What is considered an expressive deviation in one style may be considered an abomination in another. The wide pitch deviations in Hawaiian guitar playing, though perhaps expressive tosome, aremost distasteful to those accustomed to the more modest departures of European art music. Many problems arise in connection with Seashores methodand
Deviation in Performance and Tonal Organization 203 the datadeveloped byit. He himself admitsthat thereare deviations whichresult fromcauses not relevant toexpressive deviation; eg., the use of Pythagorean ornatural-scale intonation, the nonlinear relationship of pitch and frequency,and therelation ofpitch
production tomotor behavior!How is one todetermine which deviations are expressive and which are not? Only by a careful
study andanalysis ofthe generalplan of expression, both within the stylein generaland withinthe particularpiece inquestion, and by attemptingto correlateexpressive deviation with the total affective aesthetic
musical structure.
Because Seashore advances notheory andattempts noexplanation of the relationshipbetween deviationand affectiveaesthetic experience, hisviewpoint lacks substance andplausibility. He demonstrates a correspondence but no causality. Furthermore, in
failing to explain oraccount forthe relationshipbetween deviation and beauty in music, he alsofails to see thatdeviation in performance isonly oneaspect ofwhat is actually amuch morecomprehensive and general principle. EXPRESSIVE DEVIATION IN NON-WESTERN
MUSIC
Such expressivedeviations areby no means confinedto the tradi-
tion of Western music.Although someof the variability in the intonation of primitive singers may be attributed to the lack of in-
strumental accompaniment and some, where instruments are present, to peculiaritiesof their intonation, notall of the variability need necessarily be ascribed tolack of training .... It has definite limits, and changes inintonation oftenhave an expressive function ....
°
Primitive singers also employ vibrato asa methodof pitch deviation.
One of the characteristics of Chippewa singing observed during this study is that a vibrato, or wavering tone,is especiallypleasing to the singers. Thisis difl-lcultfor them to acquire and is considered asign of musical proficiency. The vibratomay seemto indicatean uncertainsense of tone, but the singer whouses it is ready to approvethe songwhen sung withcorrect intonation. He declares,however, thatthis is not good singing. 1°
204 Emotion
and Meaning in Music
Expressive fluctuations in intonationare likewisecommon infolk singing. Theintonation ofa traditionalfolk singeris notnecessarily worse than ours, but it is often more flexible. A tone is often taken
somewhat higher or lower than might be expected,for expressive and ornamentalpurposes. 11 Bartok notesthat the deviations of pitch in folk musicsince they show acertain system and aresubconsciously intentional, must not be consideredfaulty, off-pitch singing. Thisis the essential difference between theaccidental offpitch singingof urbanamateurs and the self-assured, self-conscious, decided performance of peasantsingers. 11 Deviation alsoplays an important role in the performance of oriental music,
and there also it is considered to be affective and
aesthetically pleasing. In his book, TenRules forPlaying theLute, Wu Chén at the turn of the thirteenthcentury writesthat if one just playsthe musicas it is written, one will not be able to express the sentimentsof the composer. 13 And in the sixteenthcentury Yang Piao-cheng stresses the necessity for interpretation, connecting this with an understanding of the tendency ofthe music though it is doubtful if he is using the word tendency in the same sense as
it has been usedin this study!. When one knowsits meaning,one understands its tendency; when one understandsits tendency, one may truly! understand the music. Though the music be tech-
nically wellexecuted, ifits tendencyis notunderstood, what benefit shall it give? It is nothingbut a big noise,that availsnothing. 1* In a collection of]avanese poetry, the Tjentin,the following comment on the playingof the rebab appears:Every now and then there wasa little deviation fromthe correctpitch soas to enhance the charm
of the
music. 1°
Ornamentation
In a sense theexpressive deviations discussed above are merely unclassified forms of ornamentation. Certainly the distinction between the expressive deviationsmade by performers of all cultures
and thedevices which the variouscultures systematize as ornaments is very diflicult to draw. Deviations in pitch which in Western music would be considered asexpressive deviationsare, for instance, in
Deviation in Performance and Tonal Organization the music
of India
often classified
as ornaments. Even within
205 a
single culturethe samedevice mayat onetime beclassified asan ornament andat anothertime may simply bepart of the style of the performance or maybe incorporatedinto thebody of the com-
posers score. For example, the vibrato,which wasonce classed as an ornament,became anaspect oftraditional stringperformance; while theappoggiatura, once an ornament, became part of the com-
posers basic plan. Inthe finalanalysis, whether an expressive device is classiiied as an ornament, as an expressive deviant,or as a
compositional technique depends largely upon theparticular theory of musicin which it appearsand notupon itsbasic function. Unfortunately thetenn ornament has takenon pejorativeconnotations.
It will be found that mostof the words for ornament! whichimply for us thenotion of something adventitious and luxurious,added toutilities but not essential totheir efficacy,originally implieda completionor fulHllment ofthe artifact or other object in question; thatto decoratean object or person originallymeant to endow the object or person with its or his necessary accidents witha view to properoperation .... 1° We must
revise our
attitude toward
ornamentation. Ornaments
of the essence of music. Indeed, since music is architectonic,
are
it is
possible toconsider eventhe largestsections ofa compositionas being essentially ornamental, though of coursethis involvesa special use of the term. From this point of view the analytic method de-
veloped by Schenker partlyconsists inexhibiting thisprocess of ornamentation on higher architectonic levels." Ornaments, then,must be considered asinseparable fromthe structural tones and basicplan whichthey ornamentand to which they givemeaning. Theythemselves are likewise inseparable from and meaningless without thebasic substantive tones, harmonies, and rhythms whichthey ornament.From this point of view, the basic structural framework of a passage orcomposition maybe considered
as anorm, andthe ornaments which breathemeaning andfeeling into this plan may be regarded as deviants. A melody without ornament, says anIndian theoretical treatise,
is like a night without amoon, ariver withoutwater, avine without flowers, or a woman without jewels. 1°
206 Emotion
and Meaning in Music ORNAMENTATION IN
THE WEST
Because ornamentationor embellishment!, in the strict senseof the word, became codified and systematized during the baroque
period of Western cultureand becauseof the concern of composers andtheoreticians ofthat period with emotionalexpression, the relationshipbetween ornamentation and affectiveaesthetic experience isclearer andmore explicitin the writings of this period than in those of most other epochs. For instance, though Reeses
discussion ofornamentation in music ofthe MiddleAges makesit clear thatthe process was ofconsiderable importance, its relation to affectiveaesthetic experience is not made explicit.Similarly in the Renaissance, though otheraspects ofthe processof deviation can be related to aesthetic experience,embellishment is not gen-
erally discussedin detail nor is it, generally speaking, explicitly correlated with aesthetic considerations.After the baroque period
as composer and performerbegan tobe specialists, composers detailed their
embellishments into
the score, and ornamentation
as a
separable resource of musical expression allbut vanished from musical practice.
The typicalbaroque attitudetoward embellishments is concisely and forcefullystated byBlanchet, whowrites thatthey aregreatly beiitted to move powerfully the soul; to deprive music of such orna-
ments would be depriving it of the most beautiful part of its essence. 2° Ornamentation has also beenconnected withthe spirit of play and, by implication, with the pleasure of the creative per-
former in surmounting difficulties and overcoming resistances. To this exactness they [theItalians] join all the embellishments an air is capableof; theyrun a hundred sortof divisionsupon it; they in a mannerplay with it .... 21 Although the elaborate embellishments, coloraturas, and cadenzasinvented byperformers perhaps involve acertain amount of exhibitionism, only aviewpoint saturated with nineteenth-century prejudice would imply that this is their basic raison
détre. Cadenzas
and other
embellishments have
an
aesthetic function, delaying an expected resolution,deviating from the normative melodic curve, or otherwise creating psychological tension. i
Deviation in Performance and Tonal Organization 207 Having thus established the connection between ornamentation and affectiveexpressive experience, it remainsto show that ornamentation involvesthe inhibition of a tendency or habit. Embellishment functions in two ways in creating inhibition or tension.
In the first place,since mostembellishments are not structural tones, theydelay inhibit! the arrival of the expected andantic-
ipated structural tone. As C. P.E. Bachputs it:_ . . thesmall notes rather thanthe principaltone arestruck withthe bassand theother
parts, 22and because these ornamental tones are, as arule, dissonant with the basstheir tendency is very clear andthe expectation
of consonanceis active. Bach himself notes that appoggiaturas retard the chords whichare calledfor by the bass.23 Discussing ornamentation in the Palestrinastyle, ]eppesennotes that the third
note of the cambiatais followedby the skip of the third upward, followed inturn by a stepof the second downward, through which the real note of resolution comes at last and is thus doubly de-
layed. 2* In the second place, many ornaments tend to create doubtand uncertainty, however momentary, as to which tone isthe structural or substantive one. Trills, turns, or even the very wide vibrato
tremolo effect present insome types of primitivemusic seep. 203! often obscurethe musicalpattern temporarily.In other cases momentary uncertainty arises asa result of the manner inwhich the ornament isperformed. Thiswould appearto be true of the embellishment whichCouperin callsthe accent.Couperins ornament is derivedfrom lute technique, beingoriginally thestopping ofan auxiliary noteon the lute without actually pluckingit .... The effect . . . cannot really be translated into terms of the harpsi-
chord; the player approximates it by playing the auxiliary note, usually a tone above and in dotted rhythm, as faintly and vaguely as possible. 25 The relationshipbetween embellishmentand uncertaintyis clearer where an elaborate ornamentalmode of performance, usually improvisatory, is sustained for a considerable time. This is well illustrated in the following passage in which Francois Raguenet compares the French and Italian styles of musical performance at the
beginning ofthe eighteenth century.
208 Emotion
and Meaning in Music
The Frenchwould thinkthemselves undone if they offended inthe least against therules; theyflatter, tickle,and courtthe earand arestill doubtful of success, though everything bedone withan exactregularity. The more hardyItalian changesthe tone and the mode withoutany awe or hesitation; hemakes doubleor treble cadences ofseven or eight bars together upontones weshould thinkincapable ofthe leastdivision. Hell make aswelling ofso prodigious a lengththat theywho areunacquainted with it
can't choose but be
offended at
Hrst to see him so adventurous
but before he hasdone theyll think they cant sufficientlyadmire him. Hell have passages ofsuch an extent as will perfectly confound his auditors atfirst, andupon suchirregular notesas shallinstill a terror as well as surprise intothe audience,who will immediately conclude that the wholeconcert isdegenerating into a dreadfuldissonance; and betraying 'em by that means intoa concernfor the music, whichseems tobe on the brink of ruin, he immediately reconciles em by such regular cadences thateveryone issurprised to see harmonyrising again, in a manner, outof discord itself and owing its greatest beautiesto those irregularities whichseemed tothreaten it with destruction.
Here boththe relationshipbetween embellishment and affective aesthetic experience and the relationship between doubt and uncertainty and aesthetic experienceare madeclear andexplicit.
These relationships, which are the very ones assertedby the hypothesis ofthis study,are impliedin descriptions of the response to music of widely diiferent styles.For instance,a similar type of experience is reported by the Renaissancetheorist, Heinrich Clarean, whodescribes the effect of]osquins De Profundis in the following words: I wish every oneto observeclosely __ _with how muchpassion and how muchmajesty thecomposer has given us the opening words_ __ with astonishing and carefully studied elegance, he has thrownthe phraseinto violentdisorder, usurping now theleap ofthe Lydian,now thatof the Ionian, untilat length, by meansof thesebeautiful refinements, he glides _ __ from the Dorian to the Phrygian.2' Spanningboth time and style, a very similar experience is describedin StanleyDances account of a performance bySidney Bechet, the jazz clarinetist: His most daring flights of improvisation may momentarily have made the listener a little nervous, a little doubtful
plished with confident ease.2°
of the outcome, but all were accom-
Deviation in Performance and Tonal Organization 209 ORNAMENTATION IN When we
turn from
the art
ORIENTAL MUSIC
music of
the West
to the art music
of
the Orient,to folk music, orto themusic ofprimitives, weencounter musical styleswhich are largely improvisatory. Even wherenotation is present, onlythe basicplan of a pieceis writtendown. The realization ofthat plan is left to the creative abilityof the composer-performer. What he adds to the basic plan,which he has learned byear or studied inscore, mightall be said to lie in the realm ofornamentation. The task ofthe Indonesian singer, incontrast tothat of the Europeanexecutant musician, is a creative one. Each timea laguis sung,the songflowers again from thetraditional melodic ground work, the unalterable melodic nucleus; often to the delight of those who have learned to esteem the native . . .
style ofperformance. 2° Notice thatornamentation would seem to be particularlyaffective insuch traditionalmusic sinceexpectation is quite precise; thatis, the performance ofsuch musicinvolves a kind of double deviation, a deviationboth fromthe generalstylistic norms andfrom thenorms whichare specificto theparticular song being embellished. In India, too, the distinction between the performer and t_he creative artist is non-existent.The raga is the melodic structure or ground plan which the master Hrst of all communicates to the
pupil; and to sing is to improvise uponthe themethus deHned.3° However, since
successive variations,
whether in
art music,
folk
music, orprimitive music,made upona givenground planwill be discussed inchapter vii,we will here discussornamentation only in the
more limited
sense.
The importanceof embellishmentin the music ofthe Orient is made apparentby the elaborate classification of various types of ornaments. As
Sachs remarks:
So vital in East Asiatic Music
is the delicate vacillation
that dissolves the
rigidity of pentatonic scalesthat all possible artificeshave carefully been classified, named, and, by syllabicsymbols oftheir names,embodied in notation ....
Few noteshe wouldleave clearand hard;mostly, thestring, afterplucking, is given additional tension, so that the tone goes up for a moment
210 Emotion
and Meaningin Music
or for good; orelse, thestopping fingerleaves thetone justplucked and rubs alongthe stringwith a wiping noiserather thana melodiousglissando. Suchcontinual wailingand sobbing,though certainlyagainst our taste, isindispensable when East Asiaticmusic appeals to the heart.
The relationship between embellishment and affectis clearlyimplied inthis quotation. The relationship is emphasized again andagain by orientalmusicians and poets. Forinstance, the ]avanese poet of the Tjentin collection writes thatThe wiramawhich foundits expression in the wilet stroveafter touchingthe heart.... More and moreopulently did the wilet entwine itself,striving afterthe awakeningof emotion.2 Thewirama isthe tempoexpressed time in intervals;the wilet denotes the timeintervals Hlled by amelody sung or playedon the rehab a stringinstrument!, andit alsomeans the elaboration of basic tones, i.e., embellishment. Another stanza of theTjentin poems is interesting because it specifies thepresence ofexpectation in re-
sponse tothis music.The power of emotiongripped theheart; the wilet intoxicatedthe senses . . . the gripping powerof the gending [orchestral composition] . . _ awakened a feelingof hankeringexpectation, asof onelooking forward, full of longing.3 In books
about Indian
music and
in the
works of
the theorists
themselves therelationship betweenornamentation andaffect is made explicitor is implicit in the namesgiven tothe variousembellishments. But in India the note and the microtonal graces
compose acloser unity,for the grace fullilsjust that function of adding light and shadewhich in harmonized music is attainedby varying degrees of assonance. The Indiansong withoutgrace would seem toIndian earsas baldas theEuropean artsong withoutthe accompaniment presupposes. it 3° Both the delaying function of embellishment and its expressive
effect havebeen discussed by Strangways in connectionwith Indian music.
A musical purpose ofimportance isserved bythis Predominantand its consonant.One of the most effective resources of melody is appoggiatura, i.e.the delayingof a note, the raising ofpleasing expectations. . . . The essential condition of appoggiatura is that the delaying note
should befelt to be onlytransitory andthe delayednote to be relatively final or permanent. Thisis effected in our music by the harmony,expressed or implied ....
But when there are no chords at all in question
Deviation in Performance and Tonal Organization
211
the substantive nature ofthe delayednote hasto be established insome other way.In Indian, as nodoubt inCreek andprobably inthe ecclesiastical melodies, this isdone bythe Predominantaméa, mesé, reciting note!; notes receive the forceof appoggiaturas as theydelay this.
As wasthe casewith Westernmusic, sometypes of embellishment donot somuch actto createa delayin the arrival of an ex-
pected substantive note as they doto create uncertainty as to which tone isthe substantiveone; or,to put the matterin anotherway, some embellishments delay thearrival of the substantive tone asa simple, clear, definite pointin the musical structure. The function of coloratura and embellishmentin Byzantine chant
has alreadybeen touchedupon in another connection see p. 67!. The importance of embellishments in ]ewis-h chant of Asia
and eastern Europe ismade clearin the following: . . . for the outpouringof the heart in prayer-texts musical embellishments offeradded powerof interpretation,and the solo-recitative insures freedom fort_he expression of risingdevotion. The coloratura in the Eastern European chazzanuth is like the soul inthe body; withoutit that chazzanuth loses its vitality, its charm,its fascination.
Ceneralizing onthe subjectof oriental melody, Sachs writes that Melody, in the Grient, hasalways meantone of those flexible patterns thatthe Arabsfinally classified as maqarnat and theHindu as ragas, which imposed upon thesinger theirspecific genera, scales, pitches, accents, tempos, and moods, butgranted himfull personal freedom for their elaboration. FOLK MUSIC
3 AND PRIMITIVE
MUSIC
The line between folkmusic andthe improvisatorytypes of art music seems to be drawn onthe basisof musicaltheory ratherthan musical practice. For the folk singer like the oriental creator-
performer orthe performerof the baroque periodin the Western tradition alsoperforms hiscreative task by ornamenting and varying 11 basic plan. Thechief difference between thefolk singersart and that ofthe trainedmusician lies in the fact thatthe planof folk song is handed
down in
an oral
tradition and
embellishments are
Codified butare traditionalor inventedby the singer himself.
not
212 Emotion
and Meaning in Music
The primitive musician unhesitatingly alters the traditional materialhe has inheritedfrom thousandsof unknown talents andgeniuses before him .... He not only remouldsold ditties, but also weaves together fresh combinations of moreor lessfamiliar phrases, which he calls ma.k~ ing new songs .... It would be diflicult to exaggeratethe extent to which suchtraditional singers embellish so-called simple melodieswith a regularriot of individualistic excrescences and idiosyncrasies of every kind, eachdetail ofwhich . . . is a precious manifestation of real artistic personality. Since folk
material has
no theoretical
codification of
ornaments
and notheoretical literature, we shallhave torely for testimony as to the relation of embellishment toaffect in folk music on the experts
in the Held offolk music.Writing of Yugoslav folkmusic George Herzog says: Musical rhythm is treated more briefly, since its patterns in Yugoslav folk music are free,very rich, and evendiffuse; thebasic structuresare overlaid bya freerubato performance and luxuriantornamentation .... South Slavicmusic has an especialappeal. Thismay wellbe dueto the contrast betweenthe essentialsimplicity of its basic materials andthe pulsing quality of life achieved throughan abundanceof expressive devices, including the ornamentation.
Bartok alsodiscusses certain aspects ofthe rhythmicstyle of these songs andrelates therhythmic irregularitiesto expression. He says that a characteristic feature of the Serbo-Croatian and Bulgarian folk melodiesis that the line-, word-, and syllable-interruptions effected byshorter orlonger rests[are] not for articulationssake, but for decorative-one might almost say for expressive-purposes. 2 Each folkculture has its ownbasic plansand itsown style.Within the limits of these the singer embellishes, alters,and often distorts,
making theimpact ofhis owncreative personality felt and reveling in whathas been called thejoy of being acause. Hetakes pleasure in techniqueand itsmastery, and, in the course ofexhibiting it, he will deliberatelyattempt thediflicult. _American folk fiddle players, for example, seek deliberately for certain wild notes.3
In The
Book ofAmerican Negro Spirituals Iames Weldon ]ohnson mentions the curious turns and twists and quavers and the intentional strik-
Deviation in Performance and Tonal Organization 213 ing of certain notesjust a shade offthe key,with which the Negro loves to embellish hissongs. 44And Metfesselrelates theseembellishments to emotional expression, saying thatthe ornamentsare excessive, butlit into the general emotional intoxicationof the singer. 45 Real jazzis alsoa kind of folk music involvingthe improvisation about and embellishment of a basic plan or structure. In their con-
certed improvisation the players. . . worry and cajolethe rhythms and phrasesof their solos, extemporizing here and there, introducing solobreaks andotherwise ornamenting the printedskeleton that hasbeen providedfor their collective guidance. 4° Theimportance of these improvisations from the aesthetic artisticpoint of view isstressed by jelly Roll Morton: You mayhave noticedthat in playin jazz the breaksare oneof the most essential things that youcan everdo in jazz. Withoutbreaks andwithout clean breaks;without beautifulideas in breaks, youdon't needto even think aboutdoin anythingelse .... Without a break youhave nothin; even ifa toon havn a break init, it is alwaysnecessary to arrange some kind of spot to make abreak because as I said before,you havent got jazz .... A riff is a background-a riff is whatyou wouldcall a founda~ tion as like what you would walk on!, and a break is something that you break....
4'
The quotation is particularly interesting becauseit relates the foundation or riff the norm! to the breaks the deviation!.
Rex Harrisstresses the emotional aspect of the jazz performance: ]azz . . . like all folk music,is emotionalin outlook.It is playin from the heart .... Inspiration, spontaneity, exuberance, absence of inhibition, all thesequalities areaxiomatic injazz. 4°In short, a popular song played as written is seldomhot; it is the series of artistic distortions given to the tune that makes it jazz. 4° Much primitive music is intimately connected with ritualistic
observances and magic ceremonies, and it is probablyfor thisreason that it often tendsto beless subject to variationand omamentation. The religioussanctions imposed upon primitive art and the communal nature of the primitive ceremoniesprohibit creative deviation on the part of individual performers. When, however,primitive art
becomes separated from ritualand magic,we I-lnd the same tendency
214 Emotion
and Meaning in Music
towards ornamentation music and
and embellishment
that is
usual in
folk
art music.
The tendency toward elaboration of a basic plan,and elaboration exhibiting thecreative abilitiesand tendencies of the performer, is found in almost allprimitive musicalstyles." In African music: The individual performer hascomplete freedomfor his own individual and inspiredvariation withinthese fixedlimits. Providedhe keepsto the main mlesan Africanperformer mayintroduce asmany subtlevariations as hepleases-and allconceived onthe spur of the moment. It is spontaneous music.You neverhear the same songdone exactlythe same way.
Even wheremusic has an avowedlyutilitarian functionas inAfrican drum language or in the ]abolanguage ofwestern Liberia,an aesthetic elementoften enters.Commenting uponthe way in which a hornplayer callson anotherman bysounding hisname inmusic, Herzog writes:The free variation oftempo andprosody injectsa semi-aesthetic play-element. But a definite departurefrom mere speech representation toward musicalornamentation is achieved in the occasional transposition of the signal from its normal level to the lower
one ....
5° Helen H.
Roberts also
notes and
comments
upon theaesthetic playelement inprimitive musicand embellishment.
Tonality and Deviation The term tonality refers to the relationships existing between tones ortonal spheres within thecontext ofa particularstyle system see pp.45 ff.!. As Strangways has put it: A tonic is a tendency rather thana fact. 55 Thatis, someof the tones ofthe systemare active. They tend to move toward the more stable points in the
system-the structuralor substantive tones. But activity and restare relativeterms because tonal systems are generally hierarchical:tones whichare activetendency toneson one level may be focal substantive tones on another level and vice versa. Thus in the major mode in Western music the tonic tone is the tone
of ultimate
rest toward
which all
other tones
tend to
move.
On the next higherlevel the third and fifth of the scale,though
Deviation in Performance and Tonal Organization 215 active melodictones relativeto the tonic, join the tonic as structural tones; and all the other tones,whether diatonic or chromatic, tend
toward oneof these.Going stillfurther in the system, the full com-
plement of diatonic tones are structural focal points relative tothe chromatic notes between them. And, finally, as wehave seen,any of thesetwelve chromaticnotes maybe taken as substantiverelative
to slight expressive deviations from their normal pitches." At the
other end
of the architectonic scale
it should
be noted
that
tonality playsa partin the articulation ofmusical forms larger than those ofthe phraseor melody.A musical section ofconsiderable length maybe in a tonalsphere which, relative tothe tonalspheres of othersections, is structurally active, so thatthe wholesection may be saidto tend toward anothersection whose tonal sphereis substantive. However,
even within
a tonal realm of a section that is,
relatively speaking, at rest there aretensions andreleases which function at If the
the sectional
level.
architectonic structure
of tonal
levels is
viewed from
the
smallest deviation to the larger ones, it might well be argued that
the wholestructure canbe understood as ahierarchy ofembellishment. ]ustas theexpressive microtonal deviations, whether classified as in oriental musicor freelyimprovised asin Westernmusic, can be regardedas embellishments of the tones to which they are applied, sochromatic tones can beregarded asthe embellishments of diatonictones. Similarlythe auxiliarydiatonic tonescan be regarded as embellishments ofsubstantive diatonic tones, and so on, even to
the sections
embellishments of
some of
which would
then be
considered as
others.
The essential point is that auxiliary tones, whether expressive deviants on
the lowest
architectonic level
or whole
sections on
the
highest level,are justas vitaland importantto musicalcommunication asare thesubstantive tones toward whichthey move.Indeed, the importanceof suchtones isoften indicatedeither bythe names given to them or by the restrictions governing their use.
The Iavanesescales, forexample, consistof one group of three and one group of two principal tones, separatedby gaps of one tone. The tones that have been missed . . . are, as a matter of fact,
not always completely eliminated;they may have a modest function
216 Emotion
and Meaningin Music
as secondarytones. 5'What is of interest is the names givento these secondary tones. Theyare calledpamanis, which comes from the word meaning sweet or harmonious, or they are called senggol nyimpang. According toCoolsmas Dictionary of the Sundanese Language, the wordsenggol meansthe modulationof the voice, trills,turns, etc.with whichthe singerornaments the tune, 58 while nyimpangcomes fromthe word meaning tostep aside,to evade, todeviate. Inthis casethe relationshipbetween ornamental and auxiliarytones isabsolutely clear.So, too,is the relationship between theseveral names given to these auxiliarynotes. The situation in Chineseand japanesemusic is quite similar. Here the two tendencytones filling in the basically pentatonic structure kept a transitional,auxiliary character and hadnot even the privilegeof individualnames: theChinese called them by the name ofthe notedirectly abovewith the epithet pién,which means on the way to, becomingf 5° Thenames ofthese activetones indicate theirtendency toward other tones, while theiraffective power is indicatedby the fact that they werenot permittedin palace or temple musicbecause farfrom soothingthe passions[they] filled the soul
with sensual
lust. °°
From allof thisit seemsclear thatcomparative musicologists who treat auxiliarynotes asunimportant andincidental havemisunderstood their function in the total musical process.The error is serious
because anunderstanding andadequate description of style depends uponthe recognitionand examinationof the relationship between thestructural tonesand the tendency tones belonging to the style. Such misconceptions occur in part becausemusicologists and ethnologists have too oftenbeen concerned with the collection and classification of scales or with simple-minded statistical compilations. In the study offolk musicthere hasbeen perhaps a little too much preoccupation withscales and intervals, whichare merelythe raw material ofmelody, atthe expense of studyingtonality. 61Even this admirable statement reveals a curious distortion of the facts, for
scales arenot the raw materialsof melodies.It is just the other way round: melodies arethe materialsfrom which scales areab-
Deviation in Performance and Tonal Organization 217 stracted. Scales are simply the tones of melodiesarranged in a linear orderof pitch succession. They are not usually presentin the minds of the musicians, who think rather
in terms of melodies
directly. CHROMATICISM
Almost all of the tonal systems that have been used in music,
whether Western,Eastern, folk,or primitive, are essentiallyand basically diatonic. Chromaticism is almost by definition an altera-
tion of, an interpolationin, or deviation from this basicdiatonic organization.
However, notevery alterationof a diatonic organization results in a feeling ofchromaticism, in a senseof deviation.Where several different andalternative modes of tonal organization arepossible within a given musicalstyle orstyle systemor wheresuch modes are themselves subject to transposition according to the rules of
operation prevalent in the style, thealteration ofone tonalgroup may wellbe interpretedby the listener asconstituting achange or a transpositionof moderather thanas beinga chromaticpassage. Of course,it is possible thatthe alterationsinvolved insuch mode changes ortranspositions may at first be interpretedas chromaticism andonly laterbe understood for what they reallyare. Inother words, thehypothetical meaning and the evident meaningof the alterations maybe different.
The interpretationof anyalteration inthe basicdiatonic structure established at the outsetof apiece willbe governed by theoperation of thelaw of Pragnanz as it functionswithin the particular cultural stylistic context;that is, the changewill be interpreted in the simplest
way possible within the style system. If it is simplerto considerthe alteration asa changeof mode,the listenerpracticed inthe style will adopt this interpretation.While if it is easier toregard the alteration asa deviationfrom a single mode,as achromatic modihcation or deviation, this will be the interpretation made bythe listener. 0bviously the listeners understandingof such alterations ispartly a function of their relative duration. If the alteration is only tempo-
rary, thenit will probably beunderstood as a deviation.While if the
218 Emotion
and Meaning in Music
alteration ofa tonewithin thetonal structurepersists forsome time, then the alteration will be understood as constituting a change of mode or a transposition.
The distinctionbetween chromaticism as a temporary phenomenon andthe expressive pitch deviationsdiscussed above is not an easy oneto draw. The microtonalintervals whichso oftenaccompany the embellishments in oriental musiccould havebeen considered underthe subjectof chromaticism. Or, aspreviously stated, chromaticism may be viewedas atype ofembellishment. Both types of pitch alteration or interpolation delay,block, or inhibit the arrival of the expected,normal diatonictones ofthe given mode. Both performan expressive function. Thedifference wouldappear to be one ofstandardization. The microtonal intervals employed in oriental music,though moreconsciously introduced and controlled than thoseintroduced byperformers inthe Westor thoseused by primitive andfolk musicians, are notthemselves really standardized, and theintervals assuch appear to havebeen givenno theoretical codiiication.
It seemsunnecessary to prove that in Westernmusic chromaticism represents a deviationfrom the normal diatonicmodes. Its treatment both in theory and practice is ample indication of its
exceptional and unusual character. The specialnature ofchromaticism is evident whether
we consider
the construction
of musical
in-
struments, which are allessentially builtto performdiatonic music; the prescriptions as tothe useof musicafalsa; theextreme emotions which chromaticism has beenused to express; orthe rules which Leopold Mozartand C.P. E. Bach setforth for the performance of chromatic notes.
The affective aesthetic powerof chromaticismnot only arises because chromatic alterations delayor block the expectedmotion to thenormal diatonic tones butalso because uniformity ofprogression, ifpersistent, tends, as wehave seensee pp.164 f.!,to create ambiguity andhence affective tension. Moreover, ambiguity leads, particularly inthe realmof harmonicprogression, to a generaltonal instability.
A particularlyinteresting instance of the coincidence ofambiguity, affect,and a quasi-chromatic device is to be foundin the jazz
Deviation in Performance and Tonal Organization 219 blue note. The aestheticaffect ofthis tone is generallyacknowledged. Itsambiguity andrelationship to chromaticism aremade evident in the following: The outstanding quality of the blue notes
is theirambiguity .... This harmonicsuccession strongly suggests the ambiguityof the melodic notewhich, nowa loweredthird degree of the scale,now a raised seconddegree, produces either a leading toneto the major third,or a blue minor third within the major scale.5 Finally, it is important to bear in mind that chromaticism, though considered here as an independent variable, is
in practiceused in connection withother supportingtypes of deviation; e.g.,rhythmic delaysand irregularities,delays inthe filling of structural gaps, weakly articulated melodic structures, and the various other
means of
affective aesthetic
communication discussed
in earlier chapters. Instances of
the connection
between chromaticism
and emotional
communication are so common in the history of music since the Renaissance thatany musicianor music lover can easily cite a host
of examples for himself.Only afew examples will be referred toin this study. The most striking evidence of the connection between chromaticism and
affect is to be found in
music written
to a text-music
in which the emotional nature of the music is, as it were, warranted
and specifiedby the text. Suchis the case withthe Renaissance Netherlands motet and the Italian madrigal. Chromaticism always represents the extraordinary .... Again andagain we find chromatic treatment given to such highlyemotional concepts as crying, lamenting,mouming, moaning,inconsolability, shrouding ones head, breakingdown, andso forth. In the Italian madrigal the same concepts find expression through the mediumof chromaticism.There theyrepresent manas entangledin his earthlypassions, while in the music ofthe Netherlands they symbolize the devoutbeliever struggling with the burden ofsorrow whichGod has laid uponhim to test hisfaith. About fifty years later, just at the beginning of the baroque period, we find this relationship between chromaticismand affective experience neatly illustrated in the book of Chromatic Tunes 606! by john Daniel Example 84!.° One might cite almost countless ex-
220 Emotion
and Meaning in Music
amples inbaroque music of the relationship between chromaticism and affect both in our senseof the term affect and in the eighteenth-century sense!. Two particularlyfamous pieces illustrate this relationship clearly:namely, Didos Lament from Purcells Dido and Aeneas
and the
Crucihxus of
Bachs Mass
in B-Minor.
chro-ma-tic tunesmost like my pas-sions sound -; 1 IU1 iliiii .¢_92-1-_l1KE.--uuliilvifri I1 _ Si . _` 1L§__J|'I rm; nuiwri-$11 l_ rgiinunil ilunii l 1 1
''|l`1
I
1:-1
EXAMPLE 84
Chromaticism inWestern musicis not exclusively oreven predominantly amelodic phenomenon; S it is also a harmonicphenomenon. As such itis capableof arousingaffective aesthetic experience, notonly because it may delay or alter theexpected diatonic progressions which are the norms of tonal harmony,but also because it tends to create ambiguity and uncertainty as to harmonic
direction. Chromaticpassages ofconsiderable duration, passages which areoften modulatory, appear tobe ambiguous because they obscure thefeeling oftonal center,because the ultimate endof the progression cannot be envisagedor becausemore thanone tonal center is indicated seepp. 171ff.!. Such ambiguity createssuspense anduncertainty which, as wehave seen, are powerfulforces in the shaping ofaffective experience. This relationshipbetween suspense and uncertainty,on the one hand, and chromatic progressionsand modulations,on the other, has
been wellunderstood and fully exploitedby operacomposers of all periods. Forinstance, ]ohnBrown, writingin the early eighteenth century, observes in his Letters uponthe Poetryand Musio of the Italian Operathat: They [Italian composers] must, in the Hrst place,have observed, that all those passages in which the mind of the speaker isagitated bya rapid succession of various emotions, are, fromtheir nature,incompatible with any particularstrain, orlength of melody .... But, whilst the Italians conceive suchpassages to be incompatiblewith that regularity of measure, andthat unity of strainwhich is essential toair, they felt, however,
Deviation in Performance and Tonal Organization 221 that they were of all othersthe mostproper subjectfor musicalexpression: And,accordingly, both poet andmusician seem, by mutualconsent, to havebestowed onsuch passages their chief study; andthe musician,
in particular,never failsto exerton themhis highest and mostbrilliant
powers ....It is in thisspecies song of that the finest effects of the
chromatic, and,as faras oursystem ofmusical intervals is susceptibleof it, even of the enharmonic scale, are peculiarlyfelt; and it is here also that the powers ofmodulation aremost happily,because most properly, employed .... 6°
Donna Annasconfusion andagitation upondiscovering thebody of her father providesa fairly typical instanceof the use of chromaticism tocreate afeeling ofuncertainty andsuspense Example 85!. Noticethat not only arethe progressions chromatic, butthey = "11 -1'792IYi_l 1_ If 11.12 l: _;Z ' ' '_===I$:'.=¥=l =%==f=»¥=§';?==S=9=f=|E
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A_ rf -=:i:r
Ls=:::: E c :
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ca
1:
EXAMPLE 85
are also sequential, which heightens the element of suspense, since the ultimate goal ofthe passage is in doubt. Also observe that the passage extensively employs one of themost effective ornaments, the appoggiatura. In the inst1'u1nental music of the classical period chromaticism is
employed with great effectiveness but not, generally speaking, in the construction of themes and melodies. These tend to be diatonic-
with, of course, some notable exceptions. Rather chromaticism finds
its placein the bridge passages and development sections where, contrasting with the moreregular andnormal progressions of the theme groups, it combines with othertypes ofdeviation tocreate Suspense and uncertainty. In this musicchromaticism becomes one Of thebasic organizing forces ofthe total form. Thelevel of chro-
222 Emotion
and Meaning in Music
maticism isno longerfairly constantthroughout apiece. Instead, the generally normative, diatonic motionof the theme groupis contrasted with the intensity of suspenseto which chromaticism makes an important contribution.
Since thisis not a historyof chromaticism,it seemsunnecessary to traceits progress up to the present.Suffice itto point out that in the nineteenthcentury chromaticism becomes analmost indispensable resource of composers, and one can find it at work on all levels of the musicalorganization-in the melodies, theirharmoniza-
tion, and in the construction ofthe musicalperiods, sections, and total structures. Indeed, it can be argued that its extravagant and
prodigal useserved, inthe last analysis, toweaken anddestroy its effectiveness because it tended to becomenormative within the style. THE MINOR
MODE IN
WESTERN MUSIC
The theoreticaland psychologicalbasis forthe affectivepower of the minor modein Westernmusic haspuzzled andperplexed so manyexcellent musicologists and psychologists that it may seem rash topropose another answer here. But thereare twogood reasons for doing so. First, any theory which purports to explain the basis for the affective responseto music must take account of and at-
tempt tounravel thismystery. Andsecond, the fact thatthe hypothesis under consideration leadsto a satisfactory solutionof the riddle
of theminor mode, without recourse to anyof thePythagorean mysteries, isin itself strong evidence in supportof the theory advanced in this study.
The theoreticalattempts tosolve theenigma ofthe minor mode have rangedall the way from Reimanns theory,which contends that theminor triadis built upon theinverted overtone structure of the major triad, to that of a psychologist who considers that since
the minortriad isa lowering of themajor oneit clearly represents a castrationcomplex and hence arouses feelings ofanxiety." Theorists with an acousticalbias have attempted to show that the minor triad is more dissonantthan the major.
Each of these accounts, aside frombeing fairly farfetched, involves significantdifficulties. Reimannstheory, for instance, notonly provides no explanation of the psychic mechanism whereby the
Deviation in Performance and Tonal Organization 223 minor triadis sensedas theinversion ofthe majorbut alsofails to relate such inversion to general aHectiveprocesses. Aboveall, such
theories seemimplausible because they ignore both the facts of music historyand thoseof comparativemusicology. The acousticiansfail to convince because, though it might be possible to relate dissonance to affectiveexperience see p. 229!,the minor triad is not more acoustically dissonant than the major one, at leastnot at its closedposition Example86!. III-n IEW W-E!1J392n|§|»0 CITY!
2* _
__ E
'2
ali* 3%
2- E .
EXAMPLE 86
Eventually allthese theories are facedwith thesingle overwhelming factthat theminor triadhas nopeculiarly affective significance, carries no sad connotations in non-Western music, in folk music, or
in the music ofprimitives." Thiswould seemto indicate,as Heinlein haspointed out," that like most musicalresponses the one to the minor
mode is
not natural
or universal
but learned.
This statementrequires some qualification. Forthe minor mode as we know it
did not
exist before
the Renaissance
and assumed
universal importance only with the adventof baroquemusic. 7*It would bea gravemistake, though one commonly made, toconfuse the minor
mode as
it has
existed since
the Renaissance
with those
church modeswhich happento have a minor third. Nor is it entirely accurateto saythat theaffective response to the minor mode must of necessity bea learnedresponse merely because nosuch response is attached tofolk musicor primitivemusic havinga minor triad. For
the minor
mode in
as the melodic constructs
Western music
of non-Western
is not
the same
music, folk
mode
music, or
primitive musicwhich happento employ a minor third abovethe tonic or keynote.
Here, then,we cometo the great stumblingblock of almost all theorists, musicologists, and psychologists. They haveregarded the vertical organization of the minor triad as itself constituting the
essential andpeculiar featureof the minor mode.Yet the very
224 Emotion
and Meaning in Music
name, minor mode, indicates that what is involved is not a single, isolated structure the triad! within the style system but rather a
special systemof tonal relationships withinthe style as a whole, i.e., a mode.
Melodically the minor mode differs from most other modes in
that it is quasi-chromatic and changeable, appearing inseveral different versions,while other modes, whetherthe major mode of Western music, the modes of oriental music, or those of folk music
and primitive music, areessentially diatonicand stable.This can be
illustrated simplyby comparingthe numberof tonesavailable in most modes with those available in the minor mode. For instance,
the majormode ofWestern musicExample 87,A! uses the same seven tones, whether ascending or descending,as doesthe prirnitive African scale B! given by Hornbostel," whilethe Iapanese Hirajoshi scale C! given by Sachs," contains onlyEve tones, ascending ordescending. The minor mode,on the other hand,ap-
;Liu'A' : llii I
I .11 5l1|' |I~li92 l; c: EXAMPLE 87
pears in three basicversions: themelodic minorascending Example 88,A!, the natural minor descending B!, and the harmonic
minor as well as in various permutations andcombinations of these. If the commonlyused phrygian lowered! secondof the scale, atone imported from another mode, is included in the reper-
tory of tones furnished by the variants ofthe modegiven in A and B, all but two of thetwelve tones of the chromatic scale are present and available in the minor mode C !. A s.
c c.
EXAMPLE 88
Sometimes melodies in theminor mode are markedly chromatic. The theme of BachsMusical Ogering, for instance, employs eleven tones ofthe chromatic scale inwhat is,to all intents and purposes,
Deviation inPerformance and Tomzl Ofganization225
a strict linear order Example 89!. In suchoases the relationship between the minor mode and theaffective quality attributed to it
is nothard toestablish. The relationship between uniformity, ambiguity, and chromaticismalready has been disonssedobapin ter v.!
EXAMPLE 89
But not all melodiesor evena majority of the melodies Written in the minor modeemploy allof the tones aVai1ab1e_ Nor are the
tones used generally arranged in linearscalar! soooessiorr Though in the minor mode, the opening melody of
Bi-abniss Sonata in
D Minorfor Violinand Piano Example 90! involves Praotioally no chromaticism. Nevertheless, the affective quality ofthe minormode makes itself felt even in such diatonic minor inelodies_ Thereare Allegro. ~92' e f
I'
""""~--====li'2i"}L.:= EXAMPLE 90
several reasons for this. First, the minor mode is always Potentially chromatic, and the listener practicedthe in Percgptign of andresponsethis to music is well aware the of ever Present Possibility of chromaticism. Second, the tendencies of tones as they approach substantive tones is stronger in minorthan inrnaior_ For the two
most important substantive tones each have an additional leading tone inthe minor; i.e., the fifth can be approaolied from half a step above and the tonic can be approached through the Phrygian seeond_ Furthermore,tendency the the of third toward the tgnic is Stronger in minorthan inmajor because of itsproximity to the seeond and
hence the to tonic. The proximity of these tendency tones to substantive tones in theminor mode makes delay a intbe arrival of a
substantive particularly tone intensely felt. Thirdwhile the Probability ofa particular successiontones of isgreater in minor asWe
approach substantive tones,isit considerably weaker we as depart
226 Emotion
and Meaning in Music
from substantive tones. For the very fact that the minor mode pos-
sesses richer a repertoryof tonesmeans thatthe probabilityof the occurrence ofany particulargiven toneis weaker,the moreso because thetones inthe repertorytend to be usedas alternatives for one another-i.e.,either B or B-Hat,A or A-Hat, etc.,may, for instance, beused inthe key of C minor to follow somesubstantive tone. In other words,the minor mode isby its very naturemore ambiguous than modes witha morelimited repertoryof tones. From a harmonic pointof view, the minor mode isboth more ambiguous and less stable than themajor mode.It is more ambiguous because the repertoryof possiblevertical combinations is much greater inminor thanin majorand, consequently, the probabilityof any particularprogression of harmonies issmaller. Whilethe tonic chord in the majormode can,with varying degrees ofprobability, move toany oneof six triads Example91, A!, the tonicchord in the minor mode canmove toany oneof at least thirteendifferent triads B!, not countingthe chromatically altered chords so common in minor. Furthermore, inthe majormode onlyone of the triads, the onebuilt uponthe seventhdegree ofthe scale marked with a cross inExample 91!,is itself ambiguous. Butin the minor mode four such ambiguous triads are possible.The diminishedor augmented triads marked with a crossin Example 91! are ambiguous A. B. Q| " Ir vow;
; ::
++
--
+ 41|-g
if =°°" TT:--= EXAMPLE 91
because theiruniform constructionenables themto imply several equiprobable resolutions see pp. 166 ff.!. In short, because their uniform construction leaves them without aroot orfocal point,they can easily swerve into new and sometimes remotetonal spheres.
This instabilityof thetriadic unit is complemented by the fact that in its natural form,i.e., withoutthe raisedleading tone,the minor mode asa total system lacks stability in that it tends to gravitate toward thekey of the relativemajor. Andthis tendencyis perhaps a sign of the basic harmonicnormality of the major mode. This analysis also accountsfor the practice, common in recent
Deviation in Performance and Tonal Organization 227 Western music, of movingfrom themajor modeto theminor mode at thebeginning ofbridge passages, episodes, development sections see Examples 37 and63!. Similarlyit explainsthe practiceof employing theminor modefor introductionsto pieceswhich are in major see Example 73!. For since the minor mode tends to be
chromatic and ambiguous, provides it anatural andconvenient way of movingfrom thestable processes of thetheme groups to themore irregular anduncertain progressions of the moving passages. The interrelationship between affectivity,melodic andharmonic chromaticism, and the minormode isnot simplya theoreticalor an accidental correspondence. It is a historical fact. The connection between them is notonly alogical onebut, asthe followingpassage makes clear,a genetic one aswell. The desirefor ever more vivid expression brought about increaseduse of chromaticism;a trend away fromconstructivism toward free designs dependent uponthe changingcontent of the text; and the suggestion of dramatic recitative. Thelast of these, with its approachto monody through the predominance ofthe top voice and, incidentally, to the major-minor system, thus wenthand in hand with much the same kind of chordal writing and lightly imitative counterpoint thatare found in other musicof the period."
The minor mode is not only associated withintense feelingin general but with the delineation of sadness, suffering,and anguish
in particular.This association, which aswe haveseen isalso connected withchromaticism ingeneral, appears to arise out of two different though related facts: ! States
of calm contentment and
gentle joyare takento be the normalhuman emotional states and are henceassociated withthe more normative musical progressions,
i.e., thediatonic melodies of the major modeand theregular progressions ofmajor harmony.Anguish, misery,and other extreme states ofaffectivity aredeviants andbecome associated with the more forceful departures of chromaticism and its modal representative, i.e., the minor mode. ! Marked or complex chromatic motions common
in the
minor mode-melodic
lines which
move con-
junctly by semitones or disjunctly byunusual skipsand uncommon harmonic progressions-have tended tobe accompanied by tempi which were slower than those which accompanied more diatonic
228 Emotion
and Meaning in M usio
music. Thiswas, of course, particularlytrue of the earlier use of chromaticism during the Renaissance and thebaroque period.This coincidence of chromaticism and its modal representative with
slower tempican beexplained atleast inpart ontechnical grounds. For notonly arethe instruments constructed withthe diatonicnorm in viewso thatit is more difficultto playchromatic passages rapidly, but musicaltraining, bothinstrumental andvocal, is based upon the normality and simplicity of diatonic progression. Evenafter three centuriesof the major-minor system Heinlein foundthat in a random samplingof some twenty-Eve hundredcompositions for beginners only 7 percent werein minor and almostall of these had descriptive titlesof somesort. It is, he writes, a difficult matter to obtaina composition in the minor modewritten for children that does nothave atitle relatedto the weird, the mysterious, thesad and the gloomy. 7° Thus the
association between
the minor
mode and
emotional
states depictingsadness and suffering isa product of the deviant, unstable character
of the mode and
of the association of
sadness and
suffering withthe slowertempi that tend to accompany thechromaticism prevalentin the minor mode.Of course,there are numerous exceptions to thisassociation, as a glanceat theliterature of the pastcentury shows. Although theaffective qualitiesof the minor modedepend primarily upon its quasi-chromaticmodal characteristics, the minor triad as such seems to havea peculiarpower. Thisis particularly striking wherethe samemelody isplayed firstin the major andthen in the minor, as,for instance,in the middle sectionof Chopins Waltz in A Minor, Op. 34,No. 2. But it is not actually thetriad per sewhich hasthis affectivepower. Forit has been shownthat the characterof the triad dependsupon and can be changed by training andmusical context. Indeed, oncea modalnorm hasbeen established withina given work, the reverse progression, from minor to major, canalso create a powerfuleffect-as it does inthe first movementof SchubertsString Quartetin A Minor. In so far as the minor triad
in and of itself
is an affective force
it is so because
it has become through association the sign andherald ofthe mode
Deviation in Performance and Tonal Organization 229 as awhole andall that the modeimplies byway of chromaticism, modulation, and suspense. Finally, it is clear that none of the foregoing discussionis meant
to implythat all chromatic pieces are in the minormode. Theconnection iscommon butby no means necessary. CONSONANCE AND DISSONANCE
The role of dissonancein arousingaffect or in depicting emotional states is evident in the practice of composers and in the
writings of theorists and critics. VincenzoGalilei, for instance, writes:
. . . In setting to music a sonnet, canzone, romanzo, madrigal, or other poem inwhich occursa linesaying, forexample: Bitter heartand savage, and cruelwill, which isthe first line of one ofthe sonnetsof Petrarchthey [composers] have causedmany sevenths,fourths, seconds,and major sixths to be sung betweenthe parts and by means of these havemade a rough, harsh, andunpleasant sound in the ears ofthe listeners."
The specification of emotionalstates indicated in this quotation depends notonly uponthe useof dissonance but also upon conventional association.
Other writers treat dissonance in more general terms. C. P. E.
Bach, forexample, says that . . . in general it can be said that dissonances are played loudly and consonances softly, sincethe
former rouse our emotions and thelatter quietthem. 8°Dissonance is alsoconsidered froma morepurely aestheticviewpoint. Zarlino,
for instance, points outthat whilea composition is madeup primarily ofconsonances, dissonance adds beautyand elegance to the work andmakes theconsonance which follows moreacceptable and Sweet. Infact, if compositions were made up entirely of consoUHIICCS, although beautiful soundsand good effects wouldissue from
them, they would stillbe somehow imperfect, both as soundand Composition, seeing that _ _ _they would lack the great elegance that dissonance affords. 81
The aestheticaffective pleasure of dissonance in relationto con-
230 Emotion sonance is
and Meaning in Music
not con£ned
to Western
music but
has been
noted in
connection withoriental andprimitive musicas well.This is made clear, forinstance, inthe observations made byRear AdmiralDEntrecasteaux aboutmusic in the Friendly Islands: . . . She, the Queen, was there giving a vocal concertin which the Futtafaihe sangand beat time, which all the musicians followedwith greatest exactness. Some performedtheir part in it by accompanying, with different modulations, thesimple melodyof the others. We now and then remarked some discordant notes, with which,
however, the
ear of these peopleseemed much gratified.
Acousticians and psychologists from Pythagoras toRévécz have attempted toexplain andaccount forthe phenomena of consonance and dissonance on acousticalpsychological grounds, but as yet no tenable, unobjectionable theory hasbeen advanced. For consonance and dissonance are not primarilyacoustical phenomena, rather they arehuman mentalphenomena and as suchthey dependfor their definitionupon thepsychological laws governing human perception, uponthe contextin which the perceptionarises, andupon the learned response patternswhich are part of this context. The
case iswell statedby Cazden: Though mucheffort hasbeen wasted in philosophicalblind-alleys, studies of the psychology ofmusical perception have producedimportant negative resultsregarding consonance and dissonance. The naive view that by someoccult processmathematical ratiosare consciouslytransferred to musicalperception hasbeen rejected.Fusion or unitariness oftonal impression, hasbeen foundto produceno fixed order of preference for intervals, withthe remarkableexception ofthe octave.It has been discovered that individual judgmentsof consonancecan be enormously modified by training. Perceptionsof consonanceby adult standards do not seemgenerally validfor childrenbelow theage oftwelve orthirteen, a strongindication thatthey arelearned responses. In musical harmony thecritical determinantof consonanceand dissonance isexpectation ofmovement .... A consonantinterval is one which soundsstable andcomplete initself, which does notproduce a feeling ofnecessary movement to othertones. Adissonant interval causes a restlessexpectation ofresolution, ormovement toa consonant interval. . . . Context is the determining factor. The resolution
of intervals
does not have a natural basis;
it is a com-
mon response acquired byall individualswithin a culture-area.°*
Deviation in Performance and Tonal Organization 231 It would undoubtedly simplifymatters considerably if one could adopt sucha completelycultural theory of consonancewithout reservations. Yet, in spite of recognizingthe social and cultural nature ofmusical experience and theimportance ofcontext inthe perception ofand responseto consonanceand dissonance, viewpoints suchas this, reacting to the absolutismprevalent fortwo thousand years, go toofar. Suchan exclusivelycultural positionis not only faced with the remarkable fact that the octave is a focal
point inthe musicof all cultures butwith the tendency forthe Bfth or fourth to become substantive tones and restful, consonant inter-
vals. Forin this admittedly art there social is one constant; nature the of humanthinking, thetendency toorganize thestimuli presented to themind by the senses in the simplest possible way. Toput the matter inGestalt terms:because ofthe wayin which sounds combine, thelearned responses of thelistener, andthe contextin which an intervalappears, aconsonance forms a stable,total entity,while a dissonance forms aless stable, a lesssatisfactory, though not less necessary, Gestalt. On this basis it would be expected thatif the octave isa simpler,more unifiedshape, thenit would naturally tend tobe moreconstant inchanges ofstimulation thanother intervals would.Less well-integrated intervallic shapes,such asthe third, sixth or second, would, on the other hand, presumably be
more subject to changesin the cultural environment. Thus oncewe leave theoctave, andperhaps thefifth and fourth, culturalfactors such asthe accidents attendant upon the construction of instruments orthe discoveriesmade in playful artistic deviation! play an
increasingly important role in the development of the style system. Why the octave is perceived asa particularly stable, well-shaped
Gestalt and why thefifth andfourth tend,as demonstrated by their very frequent appearance in widely different cultures, to become normative intervalsrequires further study. The important point here is that the modes of human perception and intellection must be
taken intoaccount if an adequatetheory of consonance and dissonance is to be developed. It is evident, no matter what theory we adopt, that consonance
represents theelement ofnormalcy andrepose, [dissonance] the
232 Emotion
and Meaning in M usio
no lessimportant elementof irregularity and disturbance.Dissonances, inshort, aretendencies. Thisbeing the case, it is not diflicult to see thatdissonance derives its affectivepower, its elegance, as Zarlino putsit, from the factthat it is a deviant, delaying the arrivalof an expected norm, the consonance appropriate inthe particular stylistic, musical context.
VII The Evidence:
Simultaneous and
Successive
Deviation
The musicalprocesses examined so far-expressivedeviations in pitch andrhythm, ornamentation, delays inthe expectedtonal succession, chromaticism, and soforth-have, generallyspeaking, been confined toa singlemelodic lineor, asin the case ofharmony, to a group of voiceswhich wererhythmically moreor less sirnultaneous. Moreover,in these processes thenorms involved have been,
on thewhole, thosewhich aregiven inthe cultureand stylerather than thosewhich, thoughrooted intradition, areestablished by the composer-performer within the contextof thework itself.This chapter considers the relationshipof simultaneousdeviation andsuccessive deviationto affectiveaesthetic responses. The termsimultaneous deviation
denotes those
musical situations
in which
two
or morevoices areplayed off against oneanother, eitherrhythmically, melodically,or both. The term successive deviationdenotes those
musical situations
in which
a norm
established within
the work itself e.g., a melodicor rhythmic pattern! is repeated with either embellishments or major modifications. Of course,successive deviationmay also include simultaneousdeviation. These processesare still, in a broad sense of the term, types of ornamentation, i.e.,they are rhythmic and melodic embellishments
of abasic structural plan. Althoughthey differin meansrather than in kind from the processes already discussed, itis clearthat simultaneous variation is more closely allied to what we normally call ornamentation, while successive variationis more closely related to
what wenormally thinkof asform. 233
234 Emotion
and Meaning in Music Simultaneous Deviation
Simultaneous deviationis very common in the Far East. In this
type of deviation, whichis oftena kind of heterophony,the norm itself is presented together with oneor moredeviants whichornament it, modify its melodic outlines,and play with its rhythmic structure. Such heterophony is common inboth accompanied songs and largeorchestra pieces. Both musicians and musicalethnologists point outthat thisinterplay between a basicmelodic, rhythmicand metric structure and its simultaneous elaborationin the accompany-
ing partsis animportant source of aestheticpleasure. From a rhythmic andmetric pointof view the elaboratingpart plays aroundthe chief melodic voice,now anticipatingits notes, now coincidingwith them, and nowfalling behind them. Thedeviating voicebreaks upthe longertones intoornate filigreesand generally elaborates the rhythmand meter.Thus in]avanese poetry we find the statementthat the rebab part was characterizedby the
peculiarity thatit now anticipated the melody, nowcoincided again with the
other instruments.
1 Sachs notes that
. . . nearly all East Asiatic accompaniment depends onshifted phrases, on canonlikeanticipation and retardation. The singer displaysa rich ornamental realization of somemelodic pattern,and the player, having this samepattern in mind, givesthe singerall the freedom requiredand carefully triesto follow. His notescome incorrect-though not pedantically precise-order, but are delayed whenthe voice unexpectedly restrains its ornaments andare aheadwhen the singer dwells upon a phrase.
The basic metric structure is regular in most of this music. Kunst
refers to the quadratic structure underlying the singers ornamentation and Eta Harich-Schneider notes essentially the same thing with regard to Iapanese court music? Example 92 is a very simple illustration of this type of rhythmic and melodic displacement! In the
course of
such deviations
clashes often
occur between
the
notes ofthe structural voice and those of the ornamenting voice. To these dissonances
must be
added those
which occur
because of
em-
Simultaneous and
Successive Deviation
235
bellishments, the slight pitchwaverings and glissandi sodear tothe style of the Orient, and those which result from outright modifica-
tions andchanges inthe tonesof themelody. Inthis lattercategory fall the meri-kari of Iapanese court music, which Harich-Schneider
describes as the lowering and raisingof the pitch observedin the parts ofthe vocalist,flute, andoboe-like reed while the rest of the instruments proceed in the unaltered intervals indicated in the partbooks. ° Voice
_
ro a - ni Ki IIs zu
z¢a a- -as s Samnsen
fa
I' 5
EXAMPLE 92 °
These waveringaltered tones,which sound so weird and unusual
to Westernears, areconsidered bythe Iapaneseto be particularly expressive. Thisis what we should expect. For such deviations, delaying thearrival of substantive tones and inhibitingthe normative coincidence of patterns,would, according to thepresent analysis, give rise to affect. In the orchestras of ]apan and ]ava simultaneous deviation is
often veryelaborate andcomplex. In]ava, for example, one group of instruments, the singlerow bonangs, carry thenuclear theme and occasionally add a modestornament, while other, higherinstruments paraphrase thisbasic theme:Now they anticipate it, now they analyze itinto smallervalues orimitate it at theoctave. Thenagain they syncopate it .... ° In Kunsts words theyplay around with the theme.It is this playof simultaneous variations against one another which
creates the
motion from
tension to
release and
affords
to the trained listenera high degree ofaesthetic pleasure. In the Far East drumming generally serves toreinforce the impor-
tant beatsin anessentially four-square meter. Butin India the drum not onlyarticulates themeter ofthe singersmelody butfrequently varies it by means of cross rhythms and cross meters.Fox Strang° Reprintpermission granted by The Musical Quarterlyand G.Schirmer, Inc., copyright owners.
Emotion and Meaning in Music waysquotesoneIndian drummerassayingthat "The beat with the left hand! is like the seamof my coat that must be there; the other notes with the right hand! are like the embroidery I may put ac-
cordingto my own fancy overthe seam!"' Cross-rhythmdrumming in India, in someparts of Indonesia,and
in Africa is often extremelycomplex.Its function is to add tension and interest by creating subtle counter rhythms and metersto those
of the melodic line. Beginningwith a coincidenceof beats,the drummerwill play in what we would call 3/8 time, while the instrumentalistplays his melody,which is in 3/2 time, as, for in-
stance, in Example 93.' inaudible probabl regula crotchetbeats,pp!
EXAMPLE 93
Noticethat at the beginningthe melodicinstrumentplaysa measure of 4+ 4+ 2+ 2 or 3 !< 4= 12,while the drum playsfour groups of three,equallingtwelve.Theycomeout togetherat the beginning of the third measure, at a point of metric coincidence or "conso-
nance,"as Sachsputs it. Later the drum plays in units of eight + 3+ 2!, while the melodycontinuesin twelve + 4+ 2+ 2!. Here the metric consonancetakesplace only after two measures: i.e., in the melody 2 !< 12 = 24, while in the drum 3 !< 8 = 24.
The crossingof the rhythm and meter servesnot only to create tension within the line but alsoto articulate a simple type of over-all
strophicform. That is, the melodyremainsconstant;but the rhythm and meterwhich accompanyeachstatementof the tune modify it, giving rise to a seriesof variations.
This is a fairly simpleexampleof an extremelycomplexpractice and theory.' Such crossingaffords great delight to the Indian audience, particularly when it involves intricate deviations from the o The exampleis given by permissionof The ClarendonPress,Oxford, publishers.
Simultaneous and
Successive Deviation
237
standard patternor the introduction of new ones.In all this there is a
strong element of play. The singer and drummerlike to play hide and seek with each other; and the audience watch the contest with amusement. 1°
The sametype of contest isdescribed insome detailby Sargeant and Lahiri:
It often happens amongIndian Musiciansthat a vina player and a drummer willengage ina friendly contest tosee whichcan confusethe other intolosing trackof the sam [thestructural beat].The vina player will improvisea melody.The drummer,to whomthe melodyis of course unfamiliar, mustfirst discoverwhere the sam is. Having discoveredit he startshis drumming.For a while everythingruns smoothly.Then the syncopation andcross rhythmbecome verycomplex. Thevina player uses all sorts of ruses to disguise the sam ....
The drummer will mean-
while seekto confusehis opponentby insistingon his cross rhythmsas though theywere the true basicmeter, playingmeters ofseven, orfive against thelatters four or three and soon. Eachone striveswith might and mainto retain his equilibrium.Eventually oneor the other misses the sam and is worsted.11
The relationshipof such contests tothe creationand conquestof diiliculties, tothe processof play,is clear.And play is, aswe have seen p. 70!, but one of the ways of looking at the affective aesthetic musicalexperience. Thereare, moreover,obvious similari-
ties between this accountof musicalexperience and those givenby Raguenet, Glarean,and Dance see p. 208!. Indeed Sargeant and Lahiri themselves point out the resemblance betweenthe experiences ofHindu music and jazz. This typeof syncopation, which isvery muchlike that employed by]azz players in their "breaks," except thatit is infinitely more complicated, is an essential partof the technique ofgoth. The oina player delights in apparentlylosing himselfin the most abstruse counter-rhythms, leaving the listener with a sense of utter bewilderment, only to issue forth trium-
phantly at the sam again without a hairs breadth of inaccuracy, and with a sparkle ofobvious satisfaction. The effect,to one who is accustomed tothis idiom of expression, is that of being hurled throughchaos, and then suddenly landingright side up on terra firma again with no bones broken and afeeling ofintense relief. Not all Indian music has a drum accompaniment. But even in
unaccompanied music an underlyingbeat, against which thesinger or instrumentalistperforms intricaterhythmic and metric devia-
288 Emotion
and Meaning in Music
tions, is presupposed. Thiscan be seen in an example taken from Sargeants article see Example 94!. The astai or at home is the main theme and the tons are short sectionsof varied rhythmic and metric material which arealways ofa certainlength andmetric struc-
ture. Themetric structure or talaupon whichthe tanis built consists in this case offour beatsarranged thus:1 - 2 - 3 - 0 not sounded!. This metricstructure isrepeated fourtimes duringeach statement of the astai andfive timesduring the particular tangiven in this example. The all-important sam or structuralguide beatfalls onthe second beat of the tala, onthe firstimportant beatof the astai, and Astai
tg|qLg $0|9292gl
g1
g _.4 li2 ,
_p
e
___ Tanll'
0I
, ,Z 3 p! 0 I ri, , 24 s
L ATT' I Y'Y`Y`I_ I l l II I L
afq lll
False Sam
,2 '3
.3
,g
o1
False Sam
,,z 3
_'
Astai
1
]g
g ugReal Sam
0 il
v ,gm
EXAMPLE 94 °
on thefirst beatof thetan. Inthis passage the oinaplayer mustconstantly keepthis basicunderlying organization in mind while playing metersof 3/8, 4/8, 5/8, and 4/4 against it.Similarly theaudience mustkeep trackof thetala. Noticethat in the tangiven inthis example theperformer playswith our expectations byplaying a false sam, a devicevery similarto the so-called false recapitula° Reprintpermission granted by The Musical Quarterlyand G.Schirmer, Inc., copyright owners.
Simultaneous and
Successive Deviation
239
tion in sonata form.What happensis that the performerplays the melodic patternwhich indicatesa return to the astai butbecause the patternoccurs onthe wrongbeat, on1 insteadof 2,which isthe sam, the return is false. Only when the relationship between the tala and the melody is correct doesthe astai really return. Thus
by raising our expectations, disappointing them,and finally satisfying them,the composer-performer molds anexciting andmoving experience.
Not all oriental music, of course,has sucha complexand intricate rhythmic metric organization. For instance, in the preludes, which
so oftenprecede more stable, traditional forms, therhythmic-metric structure isfree, almostrhapsodic. This is trueof thenetori of]apanese courtmusic, theIndian cilépa,the Arabian taqsim, andthe Indonesian bebuka.
Unfortunately little of the extensive researchdone in the Held of
primitive musicis of value forthis study.First, because the primitives themselves
do not
make musical
creation a
self-conscious
endeavor, theyhave neithera theory of music nor evena crude aesthetic which might serve to connect their musical practices to their responses.It seemsclear that on the most primitive level music is, on the one hand so intimately connected with ritual and magic
that its aesthetic contentis severelyrestricted and,on the other hand, thatit is so closelyassociated with bodily effortthat its shape and organizationare to a considerabledegree productsof the physical activities connected with ritual, labor, or expressivebehavior. And second,because musicethnologists havetended to collect and classify tunesand instruments,compile statistics,and concernthem-
selves withthe sociologyof primitivemusic, theaesthetic meaning, if any,which musichas forthe primitivemusician orlistener, has for the most part been ignored. However, African music, which can be called primitive only with great misgivings, has reacheda very high state of development. It is especiallycomplex and subtle in its rhythmic organization. The very essence ofAfrican musicis to cross therhythms. Thisdoes not mean syncopation. Onthe whole African music is not based on syncopation. Toput it in its simplest terms,what we mean bycrossing the rhythmsis that if, say,two Africansare drummingin triple time and
240 Emotion
and Meaning in Music
at the same speede.g. in 3/8 time where adotted crochetequals 140! the main beat of the bar of No. 2 drum will fall either on the second beat of the bar of No. 1 drum or on the third, but never on the first. This
is absolutelyfundamental toAfrican music.In actual practice, ina large ensemble, some instruments andsingers do actually maketheir mainbeats coincide. But this is only duplication ofa rhythmand it is possible only because some otherperformers arealready crossing the beat.
If we look atan example of this,the wholeprocess becomes quite clear andits complexities apparent. In the following,three drums -the Nzupe-nzupe,the Cibitiku,and theKambape-play anintroduction knownas sefa.The Nzupe-nzupeN! begins alone beating a 3/8group, as in Example95.
NlR L
R
EXAMPLE 95
°
Then theCibitiku C ! alsobeating a3/8 patterncomes inin sucha way thatthe firstbeat ofhis patterncoincides withthe lastbeat of the N drum Example 96!.
cm-34| LJ M C!
RLR RLR
R LR
EXAMPLE96
This formsthe foundationwhich runs not only through sefabut through thefollowing songand danceas well. The Kambape K! plays eighths whichare equal in value to those playedby the other drums,but they form a group of 2/4 notes ratherthan oneof 3/8. This givesus thetotal patternfor the introduction Example 97!. Notice that, although the main beats of all three never coincide, the C and K drums do arrive at a coinci-
dence at every twelfth eighth note.
The sefacontinues untilthe leaderof the dance gives a signalfor the beginningof the song anddance. Onthe last playing of the ° Reprint permission grantedby African Studies, Universityof the Witwatersrand, johannesburg, Africa, copyrightowners.
Simultaneous
and Successive Deviation
241
N!
K! 2! EXAMPLE 97
sefa,the K drum lengthenshis beatfrom a quarternoteto a dotted quarter in order to preparefor the rhythm which he will play during the song and dance.The song and danceenter in 12/8, which is really composedof 8 ><3/16 = 24/16. We now have four
differentpatternsgoingon simultaneously in sucha way that the main beatsof three of the Bgurescorrespondeverytwelfth eighth note seeExample98!. Later in the songthe organizationbecomes even more complexbecausethe rhythm of the K drum changes when the chorus enters. Sefa.J 140
Lasttime
N! C! K!
5ongandDance
Cantor:A
Msolo,
Mfu-muyanu ndani?
Chorus: Eeya
EXAMPLE 98
It is clear that the organizationof this and other African pieces bearsa strongresemblance to certaintypesof Indian andIndonesian music. We Bnd here the same movement from complication of rhythm and meter to greater unity and coincidence that was found in Indian and other oriental music. And it is interesting to note that
242 Emotion
and Meaning in Music
]ones, like Sachs, thoughevidently quite independently ofhim, makes ananalogy between the roleof the temporal organization in African music and the role of harmony in Western music. All this rhythm-crossing is the spiceof life to the African. It is his real harmony. Heis intoxicatedby this rhythmic harmony,or rhythmic polyphony, justas wereact tochordal harmony. It is this remarkableinterplay of main-beats that causes him irresistibly, whenhe hearsthe drums, to start moving his feet, his arms, hiswhole body.This to him is real music.
Hornbostel impliesmuch the same sortof thing when he writes that: The combination of binary and ternary time is characteristic
of African metre in general. Theprincipal divisionis two-fold: a period breaksup into question andanswer, tension and relaxation, arsis and thesis ....
1°
Richard Watermansdiscussion ofoff-beat rhythmsin African music confirms directly orby implicationmany ofthe observations made inthis study.Waterman begins by observingthat in order for there to be off-beating, a seriesof regularly recurring pulses,a normative beat, must become established in the mind of the listener.
This beat,which Watermancalls themetronome sense,is primarily mental:The regular recurrence ofrhythmic awareness involves cxpcctancy.17 The off-beats are deviants fromthis normativepulse. They mustbe irregularor elsethey toowill becomenormative; for complete off-beatinghas thesame eHect as completelack of offbeat patterns;it is in this sense meaningless. 1 And, finally, the following statement, which cannotfail to recall thoseof Raguenet, Clarean, Dance, and Sargeant, relates theprocess ofoff-beating to the overcomingof difficulties, to uncertainty, and through these to affectiveaesthetic experience: The off-beat phrasing ofaccents, then, mustthreaten, butnever completely destroy, theorientation of the listenerssubjective metronome. 1 Simultaneous variation
is not common in most folk music, which
is essentiallysoloistic. But in jazz it is of the essence. In jazz we find thesame use of abasic beatagainst whichcounter rhythms and opposing metricpatterns areplayed aswe saw in Indian music. The
procedures ofjazz arevery similar to the technique ofgoth: the main melody,the jazztune, corresponds to the astai, anda break
Simultaneous and
Successive Deviation
243
in jazz corresponds to a tan in the technique ofgoth. Thetune or astai alternates with the breaks or tons againstthe background of a recurringpattern. In jazz thisbackground, which is both metric and harmonic,is calleda riff In India this background, which is metric, iscalled thetala or tintal. Aswas thecase withgath technique, suspense and uncertaintyplay an important partin the response tojazz. The break,then, isa temporarylapse fromthe rigorsof strict structure, in which logic is momentarily suspended and improvisatorychaos reigns. Its effectis to heighten theelement ofsuspense and unrest. Thelistener is thrown for the moment onunmapped confusingground. Thebasic rhythm ceases to offer its familiarthumping landmarks. The solodangles dizzily without hope of support, andthen, just as thelistener hasabout abandoned hope of reorientinghimself, thefundamental rhythmresumes its orderlyway, anda feelingof relief ensues. In this process thefundamental rhythmis not really destroyed.The perceptive listenerholds in his mind a continuationof its regular pulse even thoughthe orchestrahas stoppedmarking it.... The situation during the silent pulsesis one that challengesthe listener to hold his bearings. Ifhe hasany sortof rhythmic sense hewill not be contentto lose himself.
In spite of the similarity between the processes described inthis quotation andthose discussed by Waterman,the procedures of jazz are somewhatdifferent from those existingin African music. In jazz aclear andquite regularnorm the tune! is generally established beforeany rhythmicelaboration takes place. Thismakes the break a clear deviation from a norm. Thus the expectation of a
return toregularity isa basicorganizing principlein this music. In this respectjazz is,in a sense, more like Hindu music inwhich the astai alternates with the tan. Inmost Africanmusic tension operates within the phrase and is the organizing, articulating principle of the phrase. But tension does not perform an over-all organizing function, save in the sense thatit creates a type of variation form. In other words, the level of tension is relatively constant between
parts, thoughnot within them. Simultaneous melodicdeviation ispresent in African music as it is in japaneseand Iavanesemusic. TheChopi musiciansof Portuguese
East Africaplay aheterophonic type of musicon xylophones which
244 Emotion
and Meaning in Music
is very similar to that of ]ava. After the composer-performer has developed atune andits accompaniment, the otherplayers joinin with their own versionsof the tune. Hugh Tracey reported that he heard at least four variations on the basic melody in the front rank alone. 21 Hornbostel gives a particularly interesting example in
which the flute, whichperforms themain deviations, plays a fifth higher thanthe fundamentalmelodic linewhich is carried bythe chorus. Speaking of the flute part, Hornbostel notes that: _ . . it follows the vocal part only half way and even therenot strictly, indulging in playful deviations;then insteadof going on to the second half, it repeats the first one, thus transforming the tune into an ostinato.
23 A wind instrument
follows the
tune in
so far
as its
restricted repertoryof tones will allow-performing slight deviations either of necessityor design-while a horn plays adrone onthe
tonic, apparently employing a counter rhythmin duplemeter against the triple meter ofthe mainparts. Simultaneous deviation
in the
form of
cross meters
has not
been
common in Western music since the Renaissance, that is, until the
twentieth century.Because aharmony must,almost bydefinition, be perceivedas a single entityrather than an interplaybetween independent coexisting entities, therise of tonal harmonymeant an ever increasingemphasis uponvertical simultaneity,upon a coincidence of
main beats.
However, before the rise of tonal harmony, there was a consider-
able amountof metricand rhythmiccrossing inWestern music. The beginning ofConverts chanson, Se Mieulx ne Vient Copenhagen MS, Thott2918!, forinstance, provides a rather simple illustration of what was oftena verycomplex practice in the fifteenth century Example 99!.2 The presenceof crossing-of the oppositionof , L3
_. 3"
.. Q
Y we * a/1+ _' __ /v a/4 ._
S. L3 j
. as _. =u+ .Jaw
gg-E
EXAMPLE 99
#mn ._ =w _
aa.
gg
Simultaneous
and Successioe Deoiation
6/8 and 3/4 metersand subsequently of 3 !< 2/4 against3/4 plus 6/8 is obviousin this example.Sinceunfortunatelythe significance of such metric crossing was not discussed in the theoretical or
critical writings of the fifteenthcentury,we have nothingthat relates these metric proceduresto affective aesthetic experience.But one cannot help feeling that this music moves through increasing
complexityto a metric"consonance" on the B andG. We find only a few examplesof metric crossingbetweenthe Renaissance and the twentiethcentury see,for instance,Example 37!. This does not mean that the resources of rhythm were not
utilized during this period.Metric organizationand deviationtook otherforms,e.g.,the delays,anticipations, gaps,and incompleteness, whether of the main melodic line or of the over-all vertical organiza-
tion, which werediscussed at somelengthin chapteriv. The twentieth century has from its very beginning sought and
found inspiration in the resourcesof rhythm and meter. This, coupledwith a tendencytowarda morelinear style of composition, hasled to morefrequentuseof crossmeters,as,for instancein Example 100 from the "SecondaParte" of Bartok's Third String Quar-
EXAMPLE 100
tet. Here,as can clearlybe seenfrom the abstractof the rhyt.hmic pattern given in Example 101, the 6/8 and 3/8 meters of the cello Vla. Vla. Ve, EXAMPLE 101
o Copyright 1929by Universal-Edition.Copyright assigned1939to Boosey5 Hawkes,Ltd. Usedby permission.
246 Emotion
and Meaning in Music
and viola are playedoff againstthe 3/4 meter of the first violin, which is itself crossed by that of the second violin.
What interms ofcontemporary style in generaland thatof Bartok in particularis the significance ofsuch rhythmiccrossing? Does it represent a breathing in and out of the phrase? Dowe feel a motion from tension toexpected release? In this case, atleast, it appears thatthe rhythmiccrossing isa normof the movement; for not only does themodus operandiillustrated abovecontinue for some timebut rhythmiccrossing ispresent almost at the outset of the movement, where Bartok indicates the coincidence of two sep-
arate meters by hisnotation. We cannotas yetgeneralize about the useof simultaneous rhythmic deviationin contemporarymusic. Thenorms ofthe new style have notyet clearlyemerged; and it is entirely possible that when they do, simultaneous metricdeviation will be found to be a norm
of thenew style.At presentwe candetermine theintended effect of cross rhythms only by the normativeor deviantcharacter ofother devices used concurrently with them. Successive Deviation
Every pieceof musicestablishes norms-the melodies, rhythmic figures, instrumental groups, harmonic progressions, etc., created by the composer within the specific stylistic context-which arepeculiar to that particularwork. Suchintra-opus norms may embodythe stylistic normsupon whichthey dependor theymay themselves be deviations from
those norms. The Tristan
motive, for instance, is
replete with deviations fromthe diatonic norm which it presupposes
and involvessignificant modifications of the normal simultaneity of harmonic progression.Thus the basic materialspresented by a particular work may at times be said to involve successivedeviation from the outset, in the sensethat the materials embody deviations from the norms of the stylistic universe of discourse whichis always prior to any particular work. Often the stylistic universe of discourse contains alternative norms, as for example where several melodic or rhythmic modes are more or less equally normative within a style. When this is the
Simultaneous and
Successive Deviation
247
case, theparticular modeto be used maybe rehearsed in a kind of prelude inorder toestablish the particular normin the minds ofthe composer and listener alike.This is one of the main functions of the Indian iilépo, the Arabian maqém, the Indonesian bebuka, the preludes to more sophisticatedprimitive music, and the toccatas, fantasias, and introductions found in the music of the West.
The im-
portance and significance of such preluding-a practice found in almost every type ofmusic-lie in the factthat theysupport byimplication the hypothesis thatthe processof deviation from habit-expected norms is one of the basic forces shaping and articulating musical experience. For in all the statements about such preludes it is
made clear that thepreludes serve to establishthe normswith which the mainpiece will operate andfrom which it will, in one way or another, deviate.The norms thus established facilitate the perception and response tolater deviations and are therefore a necessary
condition forthe arousalof affectand objectifiedmeaning. That such introductions involve considerable melodicand rhyth-
mic freedomand that they do not as a rule present well-shaped, substantive patterns leads one to speculate whether they do not
perform aformal function,arousing tension and expectation. There are several reasons forsupposing that they doso. In the Hrstplace, in the particular cultural context the audience knowsthat the élcipa, netori, sefa,etc., is not the real piece but is only a precursor of the main event,which more often than not is known to involve dancing,
singing, orboth. Andit is only naturalto supposethat thelisteners look forwardto andexpect thereal piece.Second, as we haveseen, a stimulus series which is not as well shaped asmight be expected
within the given stylisticcontext arouses an expectationof better articulation and more palpablepatterns. Once such a prelude or introduction has been presented, the norms of rhythm, melody, and harmony specific to the particular
work areusually presented. These aregenerally speaking not only relatively well structured in and of themselves but seem especially so becausethey have been precededby the more weakly articulated patterns of the introduction. These normsthen becomethe basisfor subsequent deviations. Unfortunately both music theorists and ethnologists have mainly
248 Emotion
and Meaning in Music
been concernedwith stylistic descriptions andtabulations rather than with aesthetic effect. They havethus tendedto discussthe process and signiiicance of successive deviation only in the broadest terms. Theysimply tellus thatthe folk singer, theprimitive musician, andthe orientalcomposer do vary theirmaterials inan elaborate andmore or less conscious way, and they then describe and illustrate the processes involved. But of the affective aesthetic mean-
ing of these processes to the artists wehear comparatively little. Almost all writings aboutoriental musicstress thepresence of variation in this music and acknowledgeits importance in the sev-
eral stylesconsidered. Although the greatestvariations deviations! from inter-opusnorms generally occur towardthe middleof a song or instrumentalpiece, exact repetition evenat thebeginning orend is almostunknown. Veryoften, moreover, one getsthe impression that, asin folk music, thereal normis not actually presented by the composer-performer but rather exists in the minds and habit re-
sponses ofthe musiciansand the audience. In other words,the opening motivesare themselvesvariations-deviations from a cultural stylisticideal type. The problemin dealingwith thismaterial isone ofinterpretation. The factsare quite clear. Evena cursoryglance atthis ]apanese song, given in Example102, reveals the presence of successive deviation variation! between thethree verses quoted. J=so
A __
__
N ,,
_
§_= ._5=EEEEEEEE5:`T5E§§§§EEEE=E!-E=§'=Ei§ Kato
- A" _ lllff
1_-
EXAMPLE 102 °
° Reprint permission granted by the Harvard UniversityPress, publishers.
Simultaneous and To Western
ears it
seems clear
Successive Deviation that such
249
successive deviation-the
displacement of the rhythmand meterand thevariation inthe tone order-constitutes an
affective aesthetic intensification; but in the ab-
sence ofprecise testimonyfrom those whose habit responses areattuned to this style, such an interpretation might easily involve a
misunderstanding of the meaningof the passage. Though itis difficult to find written evidenceto directly support interpretations ofthe affectiveaesthetic significance of suchdeviations, itis possibleto utilize other indirect,corroborative evidence. For differenttypes andlevels ofdeviation tendto appearin concert, supporting oneanother inthe evocationof the affective aesthetic experience. Expressive pitch deviations,for instance,are usually employed in coincidence withmarked ornamentation, as in the music of India. Discontinuity of melodic and rhythmic patterns and
the weakeningof shape,are usuallyaccompanied by chromatic sequences or ambiguity, asin Westernmusic. Inlike mannerit seems generally true that successivedeviation tends to involve increased ornamentation, an intensification of simultaneous deviation, etc. And
it is reasonable to suppose that since successivedeviation is commonly associatedwith other types of deviation, which can be shown to have an affective
aesthetic function,
successive deviation itself
performs asimilar function. The process and effectof successive deviation isespecially clear in themusic ofIndia. In the followingsouth Indianpiece Example 103!, thepallaoi the south Indianterm for astai! meaninggerm or sprout consists ofa three-measure melody A!, a conjunctive measure x!, and a repetition of the three-measuretune A'!.2° It is clear that only slight modiications of the tune occur in the first total repetition !; the most important of these, for present purposes, being the fact that the tone D occurs in the first measureinstead of
in thesecond. But in thesecond repetition of thetune ! the opening measureof the Erst variationa"! is expanded intoEve measures. This prolongation performs an aesthetic function, not only by deviating from the inter-opus norm establishedin the earlier statements of the pallaoi, but also because it serves to delay the arrival of the expected substantivetone C, which is repeatedly implied by the descending scales g-f-e and f-e-d. It also seems probablethat
250
Emotion and Meaning in Music
thefirst,extended halfof thepallaoishouldbeconsidered astending toward the unextended, normative second half, thus creating a
hierarchy of tendencies. In thethird variation! thefirstmeasure of the themeis expanded still further to ninemeasures!, partly
through theaddition of anupbeat whichdelays thearrivalof the opening motive.Suchsuccessive deviations arerelatedby Strangwaysto affectandaesthetic play."
A'
Al
Itttvocluction %mmmm
EXAMPLE 103 4
In JewishandByzantine chantof theNearEastsuccessive deviation consistsmore in the arrangementof brief melodicformulas, and the ornamentation of these,than in variationof the type found in Indian
or Far Eastern music."
The examination of the structure of the melodies has made it clear that
theyare all built up of a limitednumberof formulas,shortgroupsof notesthataresignificant of themode,the echosof themelody. The fact that the vast numberof Byzantinemelodiescan be reduced to a limited numberof archetypesmay lead to a wrongjudgmentof the
creativequalitiesof Byzantine composers.... The melodicarchetypes he had to use and combinewereto his mind the apechem
Simultaneous and
Successive Deviation
251
the divine hymns. The work of the composerconsisted ingiving the melodies anew frameby linkingthem together. Elsewhere Welleszrelates this type of successive deviationto aesthetic pleasure. The advantageof this kind of technique isobvious. Thecongregation heard the well-known musicalphrases inevery new Sticheron, butarranged in a different way, and connected bynew transitionalpassages. They musthave takenpleasure inhearing musicalphrases whichwere familiar but were linkedtogether inany unexpected way, just as amodern audiencetakes pleasure in the recurrence ofthe themesin a movement ofa symphony.
The pleasure taken inthe adroitintroduction ofnew melodiesand new motives seems to be more than supposition qn Wellesz part.
Idelsohn notes that theprocess of skilfully introducinga newmelody to vary the chant is considered the highest art among Yemenite singers.
This typeof composition is characteristic not onlyof NearEastern chant but of a good deal of the folk music of all countries. In all
folksongs, inthe art of the German Meistersinger, in Lut_herschorales, in Calvins Psalter,and way back in Gregorian chant,the mosaic isquite obvious.35 As wasthe casein oriental music, theartistic performanceof even a singleverse ofa folk song, ina sense,involves successive deviation. For the folk song, as distinguishedfrom any particular realization
of it, is anideal typewhich exists as anorm not an average!in the minds of the singer and listener alike; and the folk singers performance is, if not an embellishment, at least a deviation from this
ideal type.To put the mattersomewhat differently: the normative ideal type is never actually performed but exists only in the collective consciousness of the group, in tradition. Yet the folk singer is often aware of what is tune and what is embellishment. In an interesting article on folk song variants Helen Roberts discussesthis whole process together with its aesthetic affective significance. Working in ]amaica, Roberts found that the folk singers themselves recognizethe differencebetween thefundamental substratum of the
oral material
handed down
to them
and their
own creative
252 Emotion
and Meaning in Music
actualization ofthat material.Parts of songs maybe repeatedad libitum, and this processof freely repeating a part is given special semantic recognition: it is called doubling. It is in doubling that the most freedom of embellishment is permitted. The natives End particular pleasure in these improvisations and report that such
repetitions mekit sweet. 36 Notonly is the singerpermitted freedom with respect to repetition, but he also has considerablelatitude
with regard to the order of the severalphrases ofthe song.One singer toldRoberts: Youcan changeit aroun, you know,an sing about the
akee in de middle
or at de en.
37
Embellishments also receive recognition as facets of artistic expression. Themore noteworthy deviations are referred to as flour-
ishes. Accordingto Roberts,the techniqueof embellishment,of flourishing, has reached a level of consciousness which almost amounts toextemporaneous composition.38
Evidence thatsuch songs are indeeda kind of ideal type is furnished bythe fact that the natives themselvesbelieve that the thread of the song is all one needs to maintain the identity of a song. This
process ofvariation isoften morenoticeable inthe performance of instrumental music where the presence ofa text does not act either as a restraining, conserving influence or as a kind of automatic
cause ofslight deviation.One fluteplayer heardby Robertswas a particularly accomplished musician, andher reportof his performance ismost interesting. No onewould havebeen morecapable ofplaying a part overexactly, yet this he seldomseemed ableto do. The urge to embellishand play with the tune was greater than any to reproduce it exactly. I would whistle the two versionsto him and emphasizethe differences,which he would readily perceive, but when asked which was correct he would laughingly reply that it made no difference if one had the thread. He
said the flourishes werenot the tune proper,which always, or nearly always! remained the same, and so it did within limits difficult to
that are rather
define.
The relationship between deviation and aesthetic pleasure and aesthetic play! is emphasizedthroughout this article. According to
Roberts, such folk musiciansweave invariations at every opportunity. Themore clever,the morepleasure theygive. 4°Changes in
Simultaneous and Successive Deviation
253
detail were welcomed with delight and it was in these that the individual expressedhis own self. 41
Much ofthis materialduplicates what has alreadybeen discussed in connection with ornamentation. For in the case of folk material,
successive deviation is also successive embellishment. By way of illustration, Example104 presentsBart6ks transcriptionof two verses ofa folk song together with what he hasanalyzed tobe the basic structure underlying the elaborately embellishedversion which the singer actuallypresents. In this example,at least, it
seems quite clear that successive ornamentation is nota directproduct ofchanges text. in The role oftext changes in determining ornamentation isoften overemphasized since itis almostas common to embellish andvary two verses whichhave preciselythe sametext J! _ .._... ___.,1-__ . SEE: :__ -_ -=_.::¢ ui fun,......f !vl;i1$i¢¢1_:::!1!_:n»1--11_:_llr_.-115.11 rmiix ¢'11'|92r1:|¢::_|¢_lu»u 11111 rnniin-_|»»!111 |r.:1°1.~lL 1.31 T `nrrlru 11 'KU' 4 4__TC rr92,r| 1 A Ill g*_T A~r' ; _ C_ ii z 92 I 92 92 92 II; 5122. JJ 92&ll0|l l » U |U u 8P 'O . ;QQli"-1 g » "l'lT1 'tri S!-'a TQ:-:_`°i 1 -1-'f--#_ l'l_-i;`_1iiiilllill111Il11iQl1_lTIi tl; -'lm-' "_" Y:-2:-|__:" --'Q-|-I--!-Z_: ,{;.92-1n|||u1;.li sl: 1 rr:-92.i1:sa-;192||-1 ru-:ru-I I'_l1'1`_ t im,-cn: 92 vA -1. -_- ~--I-I » 1-|11 v. 4é `92 _ ..-1 £2 J EXAMPLE 104 °
u . :| -
as it is to vary theornaments applied to verseswith differenttexts, though, ofcourse, texturalchanges willintensify thetendency to vary ornamentation.
Real jazz,as mostwriters have recognized, isa kind of folk music
involving bothsimultaneous and successive improvisation upon a basic ground plan. Thisground planis essentially harmonic, though the specific tune used as the basis for variation may also be an important departure point for embellishment anddeviation. Hot jazz melody is improvisatory, but its structure is held to a coherent
formal pattern which restrainsit from complete chaos.This coherent pattern isprovided bythe harmonicsequences of the underlyingaccompaniment .... It is the simple harmonic phrase. . . that provides the unifying influence in hot jazz improvisation .... This phrase is repeated overand over again, with occasional interpolations, perhaps, ° Given by permissionof the Columbia UniversityPress.
254 Emotion
and Meaning in Music
of similarchordic sequences, forming asort ofostinato on which melodic and rhythmicvariations arebuilt .... At eachvariation ofthe harmonic phrase anew melodicand rhythmicsuperstructure isimprovised bythe hot player.
Here, too, the aesthetic effect of the music depends both upon the listeners awarenessof the basic ground plan, which is the norm from which deviations are made, and upon his ability to compare
the successive variations as they followone another. It is rather difficult to establish a relationship between successive deviation and affective responsesin the realm of primitive music
see p.239!. Yetmany observers have notedthe factthat primitive musicians doderive aesthetic pleasure from music and particularly
from the process ofvariation. Willard Rhodes, forinstance, discusses the aesthetic play interest whichsingers ofdifferent American Indian tribesexhibited ineach otherssongs andespecially inthe same song performed bysingers ofdifferent tribes. The aesthetic importance ofsuccessive deviation in primitive music isalso noted by ]ones: But it is quite wrong to think that the tunesare repeatedover andover again withno variationat all. There isvariation: it is frequentand it is subtle. Aslight changehere, anextra notethere, makeall the difference to thosewho know what they are listeningto .... It is all a question of nuance:and it is only the practicedEuropean listenerwho can perceive and enjoy this cunning compoundof bold repetition and subtle variation.
INDIRECT EVIDENCE
The evidenceadvanced in support of the hypothesis that musical
meaning, whether affective oraesthetic, arises when atendency to respond is inhibited is not confined to chapters vi and vii. These chapters presentwhat might be called direct evidence. This material has consistently demonstratedthe connection between the inhi-
bition oftendencies deviation! and theaffective aesthetic response And while this evidenceis not exhaustive, itis clearly representative
The centralthesis ofthis bookis also supported byless direct, though not less convincing or important, considerations. First, the
very factthat it has beenable tofurnish abasis forthe analysisof
Simultaneous and
Successive Deviation
255
music of very different styles and different cultural levels is persuasive. For it indicates that the account presentedhas reached a workable level of generality.
Second, thehypothesis advanced has providedthe basisfor a reasonable and consistent account of manyproblems heretofore unsolved orignored. Forinstance, ithas ledto a new andfruitful use of Gestaltconcepts inaesthetic analysis; it has accounted forthe affectivity ofthe minormode inWestern music without recourse to mathematical mysticism. Employing corollariesof the hypothesis we have been able to understand and explain processes previously merely described;for instance, the filling in of tonal systems the tendency towardequidistance!, the use of ornaments, andthe introduction of new tones at the end of a musical pattern, and the func-
tion of poorly definedpattern processes. Finally it is important to emphasizethat a theory of music does not exist in a kind of splendid, irrelevant isolation. If it is to be
fruitful, musictheory mustnot only be internallyconsistent butit must also be consistent with and relevant to concepts andtheories
in other realms ofthought. Thusit is significant thatmany of the concepts presented in this book haveclear counterpartsin the theory
of gamesand in information theory.To cite only one instance of this: it seems possible to equatethe inhibitionof a tendency, which of necessity gives riseto uncertaintyand anawareness of alternative consequents, with the conceptof entropyin informationtheory. A theoryis valuable,not only for conclusionsit reachesand the phenomena explains, it butalso forthe questions and discoveries to which it leads. If the ideas presented in this book can lead to new questions andthrough them to new answers, if they can lead to re-
formulations ofold questionsand throughthese tonew methodologies, andif they can lead to a more fruitful analysis andcriticism of music, this will be their best ultimate validation.
VIII
Note onImage Processes, Connotations, and Moods
Image Processesand Agectioe Experience The affectiveexperiences thus far discussedresult froma direct interaction between
a series
of musical
stimuli and
an individual
who understands the style of the work being heard. Because the forces shaping such anexperience are exclusively musical, the form of theaffective experience will be similar tothe formof themusical work which brought it into being.
Not all affective experiences are as direct as this. Often music arouses affect through the mediation of conscious connotation or
unconscious image processes. sight, A asound, ora fragranceevokes half-forgotten thoughts of persons,places, andexperiences; stirs up dreams mixing memory with desire; or awakens consciousconnotations of referential things. These imaginings, whether conscious or unconscious, are the stimuli to which the affective responseis
really made.In short, music maygive riseto imagesand trainsof thought which, because of their relation to the inner life of the
particular individual,may eventuallyculminate inaffect. But if such imageprocesses are really unconscious, we cannever know them.
. . . only feeling penetrates into awareness, a feeling aroused bysomething of which the subject isquite ignorant.Self-conscious minds seem to havea repugnancefor suchisolated disembodied mental phenomena: they arefelt to be morbidand eerie.Consequently process a ofrationalization is undertaken at once. W'hatever is in the focus of attention at the moment when the affect arises is held to be the direct cause of it.1 256
Note on Image Processes,Connotations, Moods
257
Thus many affective experiencesattributed directly to musical stim-
uli mayin point of fact be theproducts ofunconscious image processes. Becauseneither we nor the subject himself can know any-
thing about such unconscious image processes any discussionof such anexperience isclearly impossible. Often, however, image processesare conscious. The listener is aware of the associationswhich he makes while listening. Conscious
image processes may beeither private,relating onlyto the peculiar experiences of a particularindividual, orthey maybe collective,in the sense that they are common to a whole group of individuals within a culture. The image processes of a whole community will be referred to
as connotations.
Private images,even whenthey are brought to consciousness without psychicdistortion, areproblematical because it is almost impossible totrace the relationships existing either betweenthe musical stimulus and the image processesaroused or between the image processes and the resultant affect.The peculiar experience of an individual may, for example, causea happy tune to be associated with images ofa sadoccasion. Even where the original association appearsto be relevant and appropriate to the character of the music being played, affective
experience may be aresult ofthe privatemeaning whichthe image has for the particular listener. For example, the image of a triumphal procession might within a given culture be relevant to the character of a piece of music; but the association mightfor private reasons arousefeelings of humiliation or defeat. Thus while the image itself is relevant to the music, the significance which it has for the particular individual is purely personal. Image processes,whether private or collective, are tremendous temptations toward extramusical diversion. For an image, even though originally relevant to a particular passage, mayitself initiate further image processes. Thedevelopment andproliferation of these may, however, proceed without reference to the subsequent successions ofmusical stimuli. That is, one image may follow another, not because of the associations whichobtain between the images and the progress of the music, but because of the associations in the mind of the listener betweenthe imagesthemselves.
258 Emotion
and Meaning in Music
Neither the form nor the referential content of such experiences,
however affective they maybe, haveany necessary relationship to the form and content of the musical work which presumably acti-
vated them.The real stimulus isnot the progressive unfolding of the musical structure but the subjective content of the listeners mind.
Yet, in spite of the many and cogentobjections whichcan be leveled against the relevanceof suchresponses, itseems probable that consciousor unconsciousimage processesplay a role of great
importance inthe musicalaffective experiences of many listeners. Indeed, it is often diflicult for even the most disciplined and ex-
perienced listeners to escapethe deepseated power ofmemory over affective experience. It should be noted in this connection that not only do memories
frequently resultin affective experience butaffective experiences themselves tend to evoke memories and arouse image processes appropriate to the character of the affective experience, whether
sad orgay, nobleor tender,as determined by the objective situation. In other words, even the most purely musical affective experiences may give rise to image processes which, developing their own series of associations,may become independent of the musical succession itself.
Connotation By connotations,as distinguishedfrom image processes, are meant
those associations which are shared incommon bya group of individuals within
the culture.
Connotations are
the result
of the
associations made between some aspect ofthe musicalorganization and extramusical experience. Since they areinterpersonal, not only must themechanism of association be common tothe givencultural group, butthe conceptor imagemust havethe samesignificance for all the members of the group. The concept must be one that is to some extent standardized in cultural thinking; it must be a class concept that has the same meaningfor, and produces the same atti-
tudes in,all the members ofthe group.In the West, for example, death isusually depictedby slow tempi andlow ranges,while in
Note on Image Processes, Connotations, Moods 259 certain Africantribes itis portrayedin frenziedmusical activity;yet this results from difference
in attitudes
toward death
rather than
from differencesin the associative processes of the human mind. The
particular wayin which a connotationis realized or represented in music cannot be understood apartfrom the beliefs and attitudes
of theculture inquestion. Some connotations are entirelytraditional. Association is by contiguity; i.e.,some aspect of themusical materials and theirorganization becomeslinked, by dint of repetition, toa referentialimage. Certain instruments beeorne associatedwith special concepts and
states ofmind, The organ, forexample, isassociated forWestern listeners withthe churchand throughthis with piety andreligious beliefs andattitudes, Thegong islinked bycontiguity tothe Orient and Oftenconnotes themysterious andthe exotic. In fact, even where this association does not seem intended, as in Varéses I onisa-
tion, it tends tomodify ourresponse to this music.Certain modes of tonal organization may awakenconnotations. The pentatonic mode, for example,is usedin the nineteenth century to representthings pastoral. Certain intervals maybe usedto indicatespecial concepts or statesof mind.For instance, the diminished fifth wasclosely associated with expressions ofgrief and anguish duringthe baroque period. Orspecific tunes may beemployed toevoke concepts, memories, orimage processes, This isa frequentdevice inthe musicof Charles Ives. As a rule such
associations are
used in
combination so
that each
reinforces the other, If the eornposerwishes to evoke connotations
of pietyand thoseconnected withreligious beliefs, he will not only employ theappropriate instrument but he will also use techniques of composition-modality,Polyphony, andso forth-that have the same associations.
Notice that all these associations areintracultural. The gong will
not havea specialexotic meaning for the oriental inwhose music it is common, though itmay haveother differentassociations for him. Nor will the pentatonicmode connotethings pastoralto peoples who use this mode for all kinds of music, for cultivated art
music
as well as for folk music.
Because suchassociations arecompletely cultural and in no sense
260 Emotion
and Meaning in Music
necessary, they are subjectto change.Old associations die andnew ones come into being.In Westernmusic, forexample, theharp is no longerassociated, as it was in the Middle Ages,with religious subjects. Because of its use inFrench musicof the late nineteenth century, itis muchmore likelyto beassociated with a certaintender vagueness.
A particularepoch maydevelop quitean elaborate system ofconnotations in which certain melodic, rhythmic, or harmonic practices
become signsof certain states ofmind or are usedto designate specific emotional states. Thecomposers of the baroqueperiod developed sucha systemof connotations.Other composers, notably Wagner, have invented their own systemsof connotative symbols,
in which a specificmelody, notjust a more or less generalfigure, indicates and symbolizes specific a idea, concept, orindividual. If our responses to such specialsystems ofconnotative ordesignative symbols are tobe reallyeffective, they must become habitual and automatic.This requirestime andrepeated encounters with a given association.We do not need to learn that an oboe is tradi-
tionally a pastoral instrument. By hearingit used in this context time andtime again,by readingabout pipes and shepherds in literature, and by seeing such instruments depicted in paintings of Pan
or Marsyas,we graduallybuild up a set of powerful associations. Once such an association has become firmly established, our re-
sponse to it will be justas directand forcefulas if the response were natural.
However important associations made by contiguitymay be,they constitute but a small fraction of the total group of connotations evoked bymusic. Most of the connotations whichmusic arousesare
based uponsimilarities whichexist betweenour experienceof the materials ofmusic andtheir organization, on theone hand,and our experience ofthe non-musicalworld of concepts, images, objects, qualities, andstates ofmind, on the other.
There isa greatdeal of evidence, some of it intercultural, which indicates thatour experienceof musicalstimuli is not a separate, special category of experiencebut that it is continuous withand similar to our experiencesof other kinds of stimuli.
Note on Image Processes,Connotations, Moods
261
Both music and life are experienced as dynamic processes of growth and decay, activity and rest, tension and release. These
processes are differentiated, not only bythe courseand shapeof the motions involvedin them, but also by the quality of the motion. For instance,a motionmay be fast or slow, calmor violent, continuous orsporadic, precisely articulated orvague in outline. Almost all modes of experience, eventhose in which motion is not
directly involved, are somehow associated qualitatively with activity. Spring, revolution, darkness, thepyramids, a circle-each, depend-
ing uponour currentopinion ofit, is experienced as having acharacteristic motion. If connotations are to be aroused at all, there will
be a tendency toassociate the musical motionin questionwith a referential concept or imagethat is felt to exhibit a similar quality of motion.
The unity of perceptual experience, regardlessof the particular
sense employed, is alsodemonstrated by the fact that in experience even singlemusical tones tend to become associated with qualities generally attributedto non-auralmodes ofsense perception. This tendency isapparent notonly inWestern culture but in the cultures of theOrient andin manyprimitive cultures. In Westernculture, for example, tones are characterized with respect to size large or small!, color value light or dark!, position high or low!, and
tactile quality rough or smooth, piercing or round!. Furthermore, it should be noted that thesequalities areinterassociated among themselves; that is, volumeis associated with position e.g., alarge object is generally associated with a low position!, and both of these are associated with
color.
Through such visual andtactile qualities,which arethemselves a part of almost allreferential experience, tones becomeassociated with our experience ofthe world. Thus the associations, ifany, evoked bya lowtone willbe limited,though notdefined, bythe fact that in Western culturesuch tonesare generallyassociated with dark colors,low position, large size,and slowermotion.
Often referentialexperiences are themselves partly aural. A city, the wind,solitude, orthe expressions of the human voice-all have a peculiarquality of sound whichmusic canimitate with varying
262 Emotion success. Such
and Meaning in Music imitation will
tend to
awaken connotations
similar
in somerespects atleast to the experiences which originallyconditioned the musical organization. To what extent the associations arisingfrom similarities between
our experienceof music and our experience ofthe non-musical world are products of cultural conditioning and to what extent they
are insome sense natural isdifficult tosay. Themany studies made by psychologists,although theypresent ampleevidence ofassociative consistencywithin Western culture, throw little light upon the problem of the naturalness of these responses;for the subjects
in such experiments have, almost withoutexception, already been saturated with
the beliefs
and attitudes
of Western
culture.
Evidence from primitive and non-Western culturesis not conclu-
sive. Frequently the associations formed areones whichappear natural to
us. But sometimes a
connotation strikes
us as odd or unusual.
In the latter case, however, it must be remembered that the associ-
ation evoked by a given musicalpassage depends upon theattitude of the culture towardthe conceptas well as uponthe mechanism of association.In other words, although in a given culture one attitude toward an object or processwill usually be dominant, others
are possible. For example, although inour culturedeath isgenerally considered to be a solemn, fearful, and majestic summoner, it has also been
viewed as
an old
friend or
as the
sardonic mocker
of
human pretensions.And obviously each of these attitudeswould be-
come associated with verydifferent typesof musicalpresentation. This much, however, is clear: !
In most cultures there is a
powerful tendency to associate musical experience with extramusical experience. Themany musical cosmologies ofthe Orient, the prac-
tice of most primitivecultures, andthe writings and practicesof many Westerncomposers arestriking evidence of this fact. ! No particular connotation is an inevitable product of a given musical organization, sincethe associationof a specific musicalorganization
with a particular referentialexperience depends upon the beliefs and attitudes of the culture toward the experience. However, once
the beliefsof theculture areunderstood, most associations appear to possess acertain naturalnessbecause theexperiences associated are in somesense similar.! No matter how natural a connotation may
Note on Image Processes,Connotations, Moods
263
seem tobe, it undoubtedly acquires force andimmediacy through cultural experience.
Obviously acomplex and subtle connotation is notdefined byany single elementof the sound organization. Taken individuallyany one aspectof the musical organization is a necessary butby no means asuflicient cause for defininga given connotation. Forinstance, while it would not bepossible inWestern cultureto depict the joysof youth in the lowest ranges of the bassoon, high ranges alone wouldnot assuresuch anassociation either. Other aspects of the musicalorganization, such as tempo,dynamics, rhythmic character, andtexture, wouldhave to play a part in delining sucha connotation.
But thedegree ofspeciiicity attained in association, the degreeto which a given musicaldisposition willevoke thesame orsimilar connotations inall listeners within the cultural group, is not merely
t_he function of thenumber ofelements defining the connotation. All the elementsof music are alwayspresent ifthere is any musicat all. That is, thereis alwaystexture, whetherit be that of a single melodic lineor that of a complex polyphonic web; thereis always dynamic level,whether itbe thatof a striking fortissimoor that of a mezzoforte.
The specihcityof a connotation depends upon thedivergence of the elements of soundfrom aneutral state. A tempomay beneither fast nor slow; a sound maybe neitherloud nor soft; a pitch may seem neitherhigh nor low, relative either to over-all range or the
range ofa particularinstrument orvoice. Fromthe standpointof connotation these are neutralstates. Connotation becomes speciiied only if some ofthe eleinentsof sounddiverge fromsuch neutral states.
The elements of sound are interdependent with respect to neutrality and divergence. For instance, changesin pitch are generally accompanied bychanges indynamics, timbre,and sometimestempo. The relationshipis physical as well as psychological.If a 33%, r.p.m. phonograph recordis played at 78 r.p.m., pitch will get higher, dynamics louder, and timbre more piercing. Thus it is possible to build one divergence upon another. For instance, if tempo is fast and pitches are high, very soft dynamics will be experienced as a
264 Emotion
and Meaning in Music
divergence, notonly from the neutralstate of moderate loudness, but also from the contingent neutrality
in which a rapid tempo
and highpitches aregenerally accompanied by loud dynamics. In general,the moremarkedly theelements ofa soundpattern diverge fromneutrality themore likelythey areto evokeconnotations andthe morespecific those connotations are liable tobe. Note that this accounts forthe fact that manymusical worksarouse a wide variety of connotations.For the connotations aroused by a piece ofmusic which,on thewhole, employs normal ranges, moderate tempi,and soforth will be determinedmore bythe disposition and susceptibilityof the particular listenerthan by the natureof the musicalorganization itself. But evenwhere themost complex disposition ofthe musicalmaterials and the most effective deviations are presented in a piece
of music,they functiononly asnecessary causes for the particular connotative experiencearoused.
In the first place,unlike literatureor the plastic arts,which generally speakingcannot beunderstood apartfrom the designative symbols theyemploy, mostmusical experience is meaningfulwithout any reference tothe extramusicalworld. Whethera piece of music arouses connotations depends to a great extentupon thedisposition and training of the individual listener and upon the presence of cues, either musical or extramusical, which tend to activate connotative responses.
In the second place, unlike verbal symbols or the iconic signs used in the plastic arts, musical sounds are not, save in a few
isolated instances, explicit intheir denotation. They limit and define the associations possible but,in the absence ofeither a specific musical symbolismsuch asWagners or a definite program furnished by the composer, they cannot particularize connotation. The musical materials and their organization are the necessary causes for a given connotation but, since no summation of necessary causes can ever amount to a sufficient cause, the sufficient cause of any connotation experiencedmust be supplied by the listener.
The fact that musiccannot specifyand particularizethe connotations which it arouses has frequently been cited as a basic difli-
Note on Image Processes,Connotations, Moods
265
culty with any attemptto theorizeabout theconnotative meanings of music.Yet fromone pointof view,this flexibility of connotation is avirtue. Forit enablesmusic toexpress what might becalled the disembodied essence of myth,the essence of experiences which are central to
and vital
in human
existence.
The humanmind hasan uncannypower of recognizing symbolic forms; and mostreadily, ofcourse, willit seizeupon thosewhich arepresented again andagain without aberration. Theeternal regularitiesof nature, the heavenlymotions, thealternation ofnight andday onearth, thetides of the ocean, arethe most insistent repetitiousforms outsideour own behavior patterns .... They are themost obviousmetaphors toconvey the dawning concepts oflife-functions-birth, growth, decadence, and death.°
What music presents is not any given one of these metaphorical events but rather that which is common to all of them, that which
enables themto become metaphors for one another. Music presents
a genericevent, aconnotative complex,which thenbecomes particularized in the experienceof the individual listener. Music does not, for example, present the concept or image of death itself. Rather it connotes that rich realm of experience in
which deathand darkness,night and cold, winter and sleepand silence areall combinedand consolidated into a single connotative complex.
The interassociations which giverise to such aconnotative complex arefundamental inhuman experience. They arefound again and again,not only in the myths and legends of many cultures, but also in the several arts. For example, the connotative complex discussed aboveis made explicit in Shelleys Ode to the West Wind: O thou,
Who chariotestto their dark wintrybed The wingedseeds, wherethey lie cold and low Each like a corpsewithin its grave .... Connotative complexesmay be more and less specific.Additional divergences intimbre, dynamic level, and so forth may help to limit
the qualityof the complex. Association by contiguity or the imitation of actual soundprocesses heardin the extramusical world may
266 Emotion
and Meaning in Music
also playa part in definingthe extentof connotation.Finally, connotation maybe specifiedby the presence ofa text, a plot, or a program established by thecomposer. Ultimately itis thelistener whomust makeconnotation concrete. In so doing the listener may draw upon his stock of culturally established images, including thosederived from literature and mythology, orhe may relate the connotative complex to his own particular andpeculiar experiences. But in either casethere is a causal connectionbetween the musical materials and their organization and the connotations evoked. Had the musical organization been different, the connotation would also have been different.
Mood Since, however, connotations are not necessary concomitants of musical experience see p. 246!, a potentially connotative passage may fail to evoke any concrete images whatsoever. Instead the listener may become aware of how the musical passage feels in relation to his own designative emotional experiences and the observed emotional behavior of others. The music may, in short, be experienced asmood or sentiment. For not only are connotations
themselves intimately associated with moods, inthe sense that youth or spring, for instance, are traditionally considered to be times of
exuberant and carefree gaiety, but the same psychological and musical processeswhich arouse specific connotationsalso evoke def-
inite, thoughperhaps less specific, mood responses. In a
discussion of
the communication
of moods
and sentiments
two important considerations mustbe kept in mind. 1. The
moods and
sentiments with
which music
becomes asso-
ciated arenot thosenatural spontaneousemotional reactions,which, as noted in chapter i, are often diffuse and characterless. Rather
music depicts those' modes of behavior,conventionalized for the sake ofmore efficientcommunication, which were calleddesignative emotionalbehavior. In Western culture,for example,grief is communicated by a specialtype of behavior: physical gestures and motor behavior tend to minimal; facial expression reflectsthe cul-
tural picture of sorrow; the rangeof vocal expression isconfined
Note on Image Processes,Connotations, Moods
267
and often sporadic; weepingis customary;and dresstoo servesas a
behavioral sign.It is this special,culturally sanctionedpicture of grief whichis communicated in Westernmusic. Butsuch designative emotional behavior is not the only possible wayof denotinggrief. Were the standardized expressionof grief in Western culture dif-
ferent, wereit, for instance, that of anincessant and violent wailing and moaning,then the expression of grief in Western musicwould be different.
This isimportant because it allowsfor andaccounts forvariation in mood expression betweenthe music of different cultures. That
is, differentcultures may communicate moods and sentiments in very differentways, notbecause thepsychological mechanism of association is different butbecause thebehavior patternsdenoting mood and
emotional states
are different.
2. ]ust as communicative behavior tends to become conventionalized for
the sake
musical communication
of more of moods
eflicient communication, and sentiments
tends to
so the become
standardized. Thus particular musicaldevices-melodic figure, harmonic progressions, or rhythmic relationships-become formulas which indicatea culturally codified moodor sentiment.For those who arefamiliar with them, suchsigns maybe powerfulfactors in conditioning responses.
Association by contiguity playsa considerable role in the musical definition ofmood. Amelodic figure,a set of modal relationships, or a harmonic progression is experiencedtime and time againin conjunction with texts, programs,or extramusicalexperiences which either designate the mood directly or imply it. In oriental music,
for instance,a particularmode oreven aparticular pitchmay become associated with a specific sentimentor humour as well as with connotative concepts such as winter, night, and blackness. Once such associationsbecome habitual, the presenceof the proper musical stimulus will, as a rule, automatically evoke the customary mood response.In Western music of the baroqueperiod, to cite only one example, melodic formulas, conventionalized for the sake of communication, attain precision and force through contiguity with texts and programs which Hx their meanings Withinthe culture and style.
268 Emotion
and Meaning in M usic
Mood association by similaritydepends upon a likenessbetween the individualsexperiences of moods andhis experienceof music. Emotional behavior is a kind of composite gesture, a motionwhose peculiar qualitiesare largelydefined interms of energy, direction, tension, continuity, and so forth. Since music also involves motions
differentiated bythe samequalities, musicalmood gesturesmay be similarto behavioralmood gestures. In fact, because moods and sentiments attain their most precise articulationthrough vocalinflection, it is possible for music to imitate the sounds of emotional
behavior withsome precision. Finally, sincemotor behaviorplays a considerable role in both designative emotional behavior and in
musical experience, a similarity between the motor behaviorof designative gestures and that of musicalgestures willinforce the feeling of similarity betweenthe two types of experience. Like connotation, mood or sentiment depend for their definition
upon divergence.If the elements ofsound areneutral then the mood characterization, if any, will depend largely upon the disposition of the individual listener. That is, there will be no consistency in the responses of various listeners. But, and this is of
paramount importance, the factthat themood isindefinite does not mean thataffect isnot aroused. For a lack of divergence inthe elements of sound doesnot preclude significant deviationin those dynamic processes which formour affectiveresponses to music. It was observed earlier that imageprocesses, whether conscious or unconscious, and connotations often resultin affectiveexperience. Whether mood responses can eventuate in affect isdoubtful. Merely because themusical designation of a mood or sentiment iscomprehended bythe listenerdoes notmean thatthe listenerresponds affectively. Itis perfectly possible tobe awareof the meaning of behavior withoutresponding as though thebehavior wereour own. But evenan empathetic response to the materialsdelineating mood or sentimentdoes notrequire aresultant affectiveexperience. We may sympathizewith the mood of another individual without hav-
ing an emotional experience ourselves. Infact, althoughsuch empathetic behaviormay createa psycho-physiological condition in which affect is likely to arise, it is diflicult to see what direct causal
connection could exist betweenmood andaffect. It appears more
Note on Image Processes,Connotations, Moods
269
likely thatmood eventuates in affectonly throughthe mediationof image processes or connotations. That is,a moodarouses image processes alreadyassociated inthe experienceof the individual with the
particular mood response, and these image processes are the stimuli which actuallygive riseto affect'
The Role of Mood and Connotation in Afective Experience Not only do moodand connotation frequently giverise to affect but theyalso colorand modifythe affectiveexperiences evoked by the musicalprocesses discussed in the preceding chapters. The converse ofthis is also true;namely, thecharacter ofthe deviations embodied ina particularwork playa partin conditioningour opinion of what, in general terms,its designativecontent is.If, for instance, wecompare thefirst themeof the rondo of Haydns Symphony No. 102, in B-Hat, with the first theme of the rondo of Bee-
thovens Waldstein Sonata, itis clear that the designative character ofeach, theroguish andspirited playfulness of the Haydn and the flowinglyricism ofthe Beethoven, is a product notonly of such factors astempo, phrasing,accompaniment, melodic contour, and so forth but also of the fact that the themeof the Haydn rondo involves considerable irregularity, abruptness, and deception, while the themeof the Beethoven rondo is quite regular andforthright. Unce the listener becomes aware of this diHerence in character, he
is definitely prepared for different kindsof movements-for the witty
and highly sophisticated surprises of the Haydn and the striking but not unexpected contrastswhich mark the Beethoven. It was stated in the first chapter that an affective experience is
differentiated and characterized by the stimulussituation inwhich it occurs.
Both the
stimulus and
the situation
serve to
differentiate
musical experiencefrom real-life experience. Since musical affective stimuli are obviously different from the
referential stimuliof real life, there will always be a generic difference between musical affective experience and the experiences of everyday life. From this point of view musical experience is unique.
270 Emotion
and Meaning in Music
However, in so far as music is able, through connotation, mood,
or the use of a programor text, to designatesituations similarto those existing in extramusical experience, such designations will tend to color and modify our musical affective experience. Our ex-
perience ofa melodyfirst playedforte in a low range bya trombone andthen immediatelyplayed pianissimo in a high rangeon the violin is not only shaped by the expectations arousedby the repetition, the changes indynamics, range,and instrumentation but
it is colored andqualified bythe changesperceived inthe designative characterof the two passages. Last but most important of all, because ourunderstanding of the
designative character of a passage may affect ourinterpretation and evaluation of its function within the total work, such understanding
of designativemeaning mayplay an important rolein the actual shaping ofour affectiveexperience.
Connotation, Mood, and Aesthetic Theory Reacting against the strongemphasis placed upon mooddesignation andconnotation innineteenth-century music, many critics, theorists, andpsychologists have in recent years questionedthe relevance andpertinence ofthe connotativeand moodresponses made to
music.
The attackupon suchreferential musical experience has focused ! upon
the causal connection betweenthe musical stimulus and
the referentialresponse, ! upon theapparent disparitybetween the responses of differentlisteners, and! upon the lackof specificity in the responses made. Thedifliculty, writesHanslick, isthat there is no causal nexus between a musical composition and the
feelings it may excite,as the latter vary with our experience and impressibility. 8
These objections are, however,without merit.In the Hrst place, all significant responses tomusic, the affective and aesthetic aswell as thedesignative andconnotative, varywith our experience andim-
pressibility. Theresponse tostyle is a learnedresponse, and both the appreciation of styleand theability to learn requireintelligence and musicalsensitivity. In the secondplace, thoughthe causalnexus
Note on Image Processes,Connotations, Moods
271
between musicand referential experience isa necessarynot a suffi-
cient one,there isa causalnexus, asis evidencednot only by the practice ofcomposers within a givenstyle butalso bythe responses of listenerswho have learned to understand thestyle.
While Hanslicksattack isdirected largelyagainst thebelief that music communicatesfeelings, C. C. Pratt denies the possibility of connotation.
The shapingof these [tonal] mosaicsmay receiveimpetus from all sorts ofobjects andideas andthe composer, in his innocence, may believe that hehas embodied his non-musical idea in sound. Anda goodlynumber of still more innocent listenersmay persuadethemselves thatthey comprehend thecomposers ideas.It requires, however, onlythe simplest sortof experimentto demonstratethe utter lack of correspondence between theidea whichthe composer may thinkhe hasrepresented and the interpretationswhich an unselected groupof listeners, if asked to do so, will furnish .... °
The first difficulty with
this argument lies in the phrase un-
selected groupof listeners. Of course,if they are unselected,if they havenot learnedthe style,they will give very different responses. Andthis will also be true of their responsesto embodied meaning. But connotations will vary even among those who do
have thesame culturalbackground andwho are acquainted with the modesof associationestablished within the style. However, this
variation, thoughsignificant, isoften not as wide as it seems at first glance. Because themodes of experience are continuous with
one anotherand becauseexperience itselfcan be expressed ina wide variety of metaphors, a connotative complex which has the same potential meaning for all listeners may be actualized differently in the experienceof each. In other words, while it is true that
on one level that of specificmeaning! the ideas entertainedby various listeners are patentlydifferent, onanother level the level of symbolicand metaphoricalmeaning! the concepts entertained by the various listeners are verysimilar. The difficulty with an aesthetic of music basedupon connotative and mood responses isnot that the associationsbetween music and referential experienceare fortuitous or that there is no causal con-
nection betweenmusic andfeelings. Thedifliculty is that, in the
272 Emotion
and Meaning in Music
absence of a specificreferential framework, there isno causalnexus between successive connotations or moods. In literature or
in life,
successive experiences are apparentlycausally connected by the sequence of events which take place between them. A depressing
experience is followed bya joyfulone, andthe changeis understood in the light of the events connecting them. But though music can present the experiences themselves,if only metaphorically, it can-
not stipulate the causal connection betweenthem. There is no logical reason, either musical or extramusical, for anyparticular succession of
connotations or
moods.
Confirmation forthis argumentcan befound in the practiceof composers ofinstrumental musicwho, realizingthat the difliculty with referential
music lies
in the lack of a causal connection between
successive moods or connotations, have sought to correctthis weakness by using descriptiveprograms. Although a program does serve
to specifyconnotation, its main functionis notto designatemood or arouse connotation.Music can as a rule accomplishthis more effec-
tively thana programcan. Whatthe programdoes isto providethe causal connection
between the
successive moods
or connotations
presented in the music.
Seen inthis light,the programis not the merewhim of the composer, anunnecessary and superfluous addition to meaningsalready inherent in the music,nor is it an attempt to depict moodsand connotations. Its function is to connectthem. Thegreat disadvantage of a programlies in the fact that it is a powerful temptation toward extramusical
diversion.
Notes
NOTES TO
CHAPTER I
1. Norman Cazden, Musical Consonance andDissonance: A Cultural Criterion, Iournal of Aesthetics, IV 945!, 3-11.
2. Paul R. Farnsworth,Sacred Cows in the Psychology ofMusic, Journal of Aesthetics, VII 948!, 48-51.
3. SusanneK. Langer,Philosophy ina New Key New York: Mentor Book Co., 1951!.
4. Ibid., p. 171. 5. H. P. Weld,An ExperimentalStudy inMusical Enjoyment,American Iournalof Psychology, XXIII 912!, 283. 6. C. S. Myers,Individual Differencesin Listeningto Music, in The Effects of Music, ed. Max Schoen New York: Harcourt, Brace & Co., 1927!, p. 14. 7. See H. D. Aiken, The Aesthetic Relevance of Belief, Journal of Aesthetics, IX 950!, 301-15.
8. ]amesL. Mursell,The Psychology of Music New York:W. W. Norton & Co., Inc.,1937!, pp.27-28. 9. Ibid., p. 37. 10. David Rapaport, Emotionsand Memory New York: International Universities Press Inc.,1950!, p. 21. 11. ]ohn Dewey, The Theory of Emotion, PsychologicalReview, I 894!, 553-69;
II 895!,
13-32.
12. R. P. Angier,The Conflict Theory of Emotions, AmericanIournal of Psychology, XXXIX927!, 390-401. 13. ]. T. MacCurdy,The Psychology of Emotion New York:Harcourt, Brace & Co., 1925!, p. 475. 14. For MacCurdy the term instinct
includes learned habit re-
sponses. See p. 24of thisstudy. 15. Notice that this analysis makes apparent thegreat significance of Aiken's contention that ourbeliefs asto thenature ofaesthetic experience lead to the suppression of overt responses; forsuch inhibiting of overt behavior tendsto intensifythe affectiveresponse. 16. F. Paulhan, TheLaws ofFeeling, trans.C. K. Ogden New York: Harcourt, Brace & Co., 1930!, p. 19.
17. zbzd.,p. 123. 273
274 Notes 18. The term affective
to Pages 17-24 or emotional
state will
henceforth be
used to
designate those aspects ofemotional experience which havebeen given names andwhich are in one way or another fairly standardized ina broad sense.
19. See Robert S. Woodworth, How
Emotions Are Identified and
Classified, in Feelings andEmotions: TheWittenberg Symposium, ed. M. L. Reymert Worcester, Mass.: ClarkUniversity Press, 1928!, p. 224. 20. Ernst Cassirer, AnEssay onMan: An Introduction to a Philosophy ofHuman CultureNew York:Doubleday &Co., 1953!,p. 190.This admirable statement like so many of its kind suffers atthe end from an irritating vagueness in which an intangiblethe dynamic process oflife itself is substituted fora definiteaccount ofhow andwhy the emotions of art are notcomparable toany singlestate ofemotion. It is for a solution to this problemthat we are searchingin the present discussion of emotional differentiation.
21. C. Landis, Studies in Emotional Reactions: II, General Behavior
and FacialExpression, ]ournalof ComparativePsychology, IV924!, 496.
22. DonaldO. Hebb,The Organizationof Behavior New York: ]ohn Wiley & Sons, 1952!,p. 258. 23. Ibid., p. 232. 24. This statement must be qualiiiedby the reservation thatin so far as it can designate or representextramusical stimuli, music canbe said to evokesuch affectivestates asare normallyconnected withthe situations represented.
25. It is alsoclear thatsince theworld of emotions isnot composed of a seriesof separate compartments, given a listenermay feelthat a purely musical emotionis comparableor analogousto affects experienced in real life.
26. The term emotional expression ismisleading inthat it implies that suchbehavior isthe direct,necessary expression of affect. 27. Thoughnot within the province of this study, it can, I believe, be shown that similar aspects of experience are involved in musical and
other designation.Both, for example, utilizethe generality of motion fast or slow, continuousor interrupted, smooth ordisjunct, intenseor weak! in such designation. And musicaldesignation, though probably in some respects natural, is,like designativebehavior, inthe last analysis a product ofculture andlearning ratherthan aproduct ofnature. Seealso pp. 261 f.
28. See]ohn Dewey,Art As Experience NewYork: Minton, Balch & Co., 1934!, pp. 35, 56. 29. MacCurdy, op. cit., p. 556.
30. ]ohn Dewey, Intelligencein the Modern World, ed. Ratner Modern Library [New York:Random House, 1939]!, p. 733.
Notes to Pages 24-35
275
31. MacCurdy,op. cit.,p. 556. 32. Aiken, op. cit., p. 313; also seeArthur D. Bissell, The Role of Expectation inMusic New Haven: YaleUniversity Press, 1921!, p. vii; and HugoRiemann, Catechism of MusicalAesthetics, trans. H. Bewerung London: Augener& Co.,n.d.!, p. 29. 33. Aiken,op. cit.,p. 305. 34. If this takesplace, thelistener mayshift his attention to another aspect ofthe musicalmaterials, orhe may simply abandonthe attempt to makesense ofthe musicaltogether. 35. Thus the designationof mood and character,whether accomplished in purely musicalterms orwith the aid of a programor text, is important notonly for its own sake, asa sourceof enjoyment,but also because, as part of the stimulussituation, it is necessaryfor the proper understanding ofthe musicalprocesses in progress. 36. Both these aspects of the process ofexpectation arediscussed in the following chapters, wheremuch of the preceding discussion is treated in
more detail.
37. Eduard Hanslick, The Beautiful in Music, trans. E. Cohen Lon-
don: Novello,Ewer & Co., 1901!, p. 135. The difficultywith this statement is
that Hanslick
confuses intellectual
satisfaction with
intellectual
activity. For although intellectualactivity, in the senseof mental awareness andcognition, may,as we shall see,be unconscious,intellectual satisfaction implies a self-conscious awareness of the activitytaking place. 38. Dewey,Art As Experience, p.59; alsosee Intelligence in the Modern World, pp. 755ff. Robert Penn Warrenwrites to much the same effect: . . a poem,to be good, mustearn itself.It is a motiontoward a point of rest, butif it is not a resistedmotion, itis a motion of no consequence Pure and Impure Poetry, Kenyon Review, V [1943], 251!. 39. It is clear that the terms norm
and deviation
are being used in
a very broad andgeneral sense. Deviation includes all delaysand inhibitions whichgive riseto expectationwithin the context of the particular style in question.
40. Morris R. Cohen,A Prefaceto Logic New York: Henry Holt & Co., 1944!, p. 47.
41. SeeGeorge H.Mead, Mind, Self, andSociety Chicago:University of Chicago Press,1934!, p. 76. 42. Thus Pratt, while maintaining that the ideas aroused in association with music
have little
to do with the
intrinsic nature
of musical
sound
C. C. Pratt, Music and Meaning, Proceedings of the Music Teachers
National Association, Series XXXVII[1942], p. 113!, doescontend that music soundsthe wayemotions feel Ibid., p. 117! ;a statementwhich seems tobe a disguised form of referentialism. Incidentally though Pratt's first statement is undoubtedly true,
its
implications arenot. For while our associations may have nothingto do
276 Notes
to Pages 35-41
with the intrinsic natureof sound,whatever thatmay be, they do have something to do withour experience of sound.See pp.261 f. of this study. 43. The term stimulus as usedhere includesany tone or combination of tones whichare markedoff asa unitaryevent whichis relatedto other musical events. Itis, touse Meadsterminology, amusical gesture. Or, in the terminologyused in chap. ii of this study, it is a sound term. In this sense, a singletone, aphrase, ora wholecomposition may be considered to bea gesture,a stimulus,or asound term.In other words, meaning must be considered as beingarchitectonic as well asconsecutive. 44. Of co1u°se,may it havedesignative meaning. The moredifficult it is to graspthe embodiedmeaning ofa work, the greaterthe tendencyto search fordesignative meanings. 45. Notice,too, that the final tones ofa piece,conditioned byall that has gonebefore, leadus to expect silence and that it is this expectation which makesthem meaningful. 46. Notethat hypotheticalmeanings as well asthe otherkinds ofmeaning are architectonic. If we are set to listen to a Haydn rondo, then the ideawe haveof Haydn rondos is,in a sense, thehypothetical meaning of that particularrondo; it is what we envisageand what points to the impingingstimulus. 47. BertrandRussell, Selected Papers ModernLibrary, [New York: Random House, n.d.]!, p. 358. 48. Mead,op. cit.,p. 194. 49. Mead,op. cit., pp. 42-75. 50. Ibid., p. 47. 51. Of course, ifthe composeris developinga relativelynew style,as many contemporary composers have tried to do, the imagined listener may correspond to no listener whoactually exists. He is rather onewhom the composerhopes tocreate ashis style becomes partof the general style, partof the listening publicsstock ofhabit responses. 52. LeopoldMozart, Versucheiner griindlichenViolinschule, quoted in Source Readings in Music History, ed. Oliver Strunk New W. W. Norton & Co., Inc., 1950!, p. 602.
York:
53. Generallyspeaking thisstudy is not concernedwith the creative act but rather withthe experiencewhich theart work brings into being. This aspectof the composer's creative life is discussed because it clearly concerns theproblem of aesthetic experience. Obviously many other mental processes and attitudeswhich havenot been touched uponare involved inthe actof composition.One ofthese isdealt with on pp.69 f., but mostof themare left to the speculations of others. 54. Cassirer,op. cit., p. 191.
Notes to Pages 44-56 NOTES TO
277
CHAPTER II
1. Edward Sapir, Language, Encyclopedia of the SocialSciences, IX New York: Macmillan Co., 1934!, 157.
2. I know of only one study, that of Arthur D. Bissell The Role of Expectations in Music [New Haven: Yale University Press, 1921]!, which dealsexplicitly with the subjectof expectations, and this study is by no means exhaustive. 3. Similarly any compoundor serial term establishedin accordance with c! in turn enters intoprobability relationships with other terms of the systemand othercompound terms. 4. A. H. Fox Strangways, TheMusic of Hindostan London: Oxford University Press,1914!, p. 18. 5. See Felix Salzer, Structural Hearing New York: Charles Boni, 1952!, pp. 182-83. 6. C. P. E. Bach, Essayon the True Art of Playing Keyboard Instruments, trans. William Mitchell
New York: W. W. Norton & Co., Inc.,
1949!, p. 84. The relation of ornamentation todeviation and delay is discussed in chap. vi,p. 204of thisbook. 7. Curt Sachs, TheRise of Music in the Ancient World, East and West
New York: W. W. Norton & Co., Inc., 1943!, p. 37. 8. Hindemiths objection tothe conceptthat chordsare susceptible of various interpretations is unfortunate;Brst, because the chordswhich he cites arenot necessarily ambiguous and, second, because ambiguity may function asan importantaffective aesthetic device. SeePaul Hindemith, Craft of Musical Composition, trans. Arthur Mendel New York: Associated MusicPublishers Inc.,1942!, pp. 90 ff. 9. Salzer,op. cit., pp. 19-20. 10. Henry D. Aiken, The Aesthetic Relevance ofBelief, Iournal of Aesthetics, IX 950!, 305-6.
Aiken includes under the term belief
the
habits, dispositions, and attitudeswhich the listener andcomposer bring to the work of art.
11. Walter Piston, Harmony New York: W. W. Norton & Co., Inc., 1941!, p. 17. 12. Strangways, op. cit., p. 150. 13. Ibid., p. 128. 14. See, for instance, Frances Densmore,Pawnee Music Smithsonian
Institution, Bureauof American Ethnology, Bulletin93, [1929]!, pp. 120 ff.
15. As Ernest Nagelnotes: An estimate ofa probability which is made simply on the basis of unanalyzed samplesor trials is not likely to be a safe basis for prediction. If nothing is known concerning the mechanism of a situation under investigation, the relative frequencies
278 Notes
to Pages 61-70
obtained fromsamples maybe poor guides tothe characterof the indefinitely largepopulation fromwhich they are drawn Ernest Nagel, Principles ofthe Theory of Probability, International Encyclopediaof Unified Science,Vol. I, No. 6 [Chicagoz Universityof Chicago Press, 1939], p. 59!. 16. HenryD. Aiken, The Concept of Relevancein Aesthetics, ]ournal of Aesthetics, VI 947-48!, 159.
17. Hugo Riemann, Catechism of Musical Aesthetics, trans.H. Bewerung London:Augener &Co., n.d.!,p. 31. 18. GeorgeHerzog, A Comparison of Pueblo and Pima Musical Styles, ]ournalof AmericanFolklore, XLIX,No. 194,286. 19. Many acoustical andpsychological theories have been advanced to explain why certain sound complexes tend to become normativein some stylesystems. But a satisfactoryexplanation cannot be found either in the physics ofsound orthe pleasure-displeasure reactions oflisteners. It lies in the nature ofhuman mentalprocesses see p. 231!. 20. Herzog,op. cit., pp. 290, 308-9. The relationship betweenornamental ordecorative tones and theaffective aesthetic response is discussed in chap. vi.
21. Egon Wellesz, AHistory of Byzantine Musicand Hymnography London: OxfordUniversity Press,1949!, pp.207-8. 22. Winthrop Sargeant, Iazz:Hot and Hybrid New York: E. P. Dutton & Co., 1946!, pp. 156-57.
23. Igor Stravinsky, Chronicle of My Life London: Victor Collancz Ltd., 1936!, pp. 185-86. 24. As a rule these self-imposed resistances and difEculties havebeen limited to the exigenciesof the communicative process see pp. 40 f.!. But at times thecomposers concern with the creation andthe conquest of self-imposedtasks hasbeen in part intrapersonal.In the rhythmic structure of much late gothic and early Renaissance music and in the permutations ofthe tone-rowin sometwentieth-century music, the composer oftenseems tomanipulate andplay with the musicalmaterial, not for the sake ofany aestheticeffect it may haveupon the listener, but rather forthe pleasure he derivesfrom thefeeling ofpower andcommand over the materials of his art.
Of course,such worksdo communicate on the interpersonal level. But the specialcraft secretsin which the composer has takenobvious delight are notapparent tothe uninitiate.To appreciatethis aspectof the composition, thelistener mustactively takethe attitudeof the composer. He must self-consciously solve theriddle of the music,enjoying theintricacies of its masterful manipulations in a manner similar to that of the comoser.
P 25. Karl Croos, The Play of Man, trans.L.E. Baldwin New York: D. Appleton & Co., 1901!, p. 8.
N otesto Pages 73-81 279 26. Evenif the act of listening isnot directlyintentional, inthe sense of beingplanned beforehand, once thedecision tolisten, topay attention, is made,preparatory sets will be brought intoplay. 27. Ernst Kris, Psychoanalytic Explorations inArt New York: International Universities Press, 1952!,p. 42. 28. This belief appearsto haveits rootsin the seriousness of play, on the onehand, andin the significance and power attributedto art, through its ancientrelation toritual, magic,and religion,on the other. In spite of the secularization of art,this feelingof its significant seriousness remained. 29. K. Koffka, Principles of GestaltPsychology NewYork: Harcourt, Brace &Co., 1935!,p. 173. 30. ]amesL. Mursell, The Psychologyof Music New York: W. W. Norton & Co., Inc., 1937!, p. 37.
31. B. Pasquarelli, ExperimentalInvestigation of the Body-Mind Continuum in Affective States, Iournal of Nervous and Mental Diseases, CXIII 951!, 512.
32. Part of this behavior probablyresults fromthe fact that absolute silence makes us uncomfortable,and, whenit is lasting, conveysto the mind aspecial qualityof emotion Croos, op.cit., p. 21; alsosee Donald O. Hebb,The Organization of Behavior[New York:]ohn Wiley & Sons, Inc., 1952],p. 252!. 33. Notice,for example,that suchcommon criticisms of modernpainting as my little brother couldhave donethat are not primarily statements of aesthetic value,though this is implied, but rather statements about belief.
34. Mere numbers are not the criteria for all members of the listening
public. Thereare thosegroups whoprefer tobe exclusive, who arein the know asto whatthe right music is.Here belieffunctions ininverse ratio to general opinion.
35. David Riesman, The Lonely Crowd New York:Doubleday &Co., 1953!.
36. Koffka,op. cit.,p. 206. 37. Ibid., p. 19. 38. Otto Ortmann, On the Melodic Relativity of Tones, Psychological Monographs, Vol. XXXV, No. 1 926!.
39. O. H. Mowrer,Preparatory SetExpectancy: FurtherEvidence of Its CentralLocus, Iournal of ExperimentalPsychology, XXVIII941!, 116-33.
40. Bach, op. cit., p. 152. For the psychological viewpoint see P. E.
Vernon, The Apprehension and Cognition ofMusic, Proceedingsof the Music Association,LIX 933!,
p. 66.
41. Stravinsky,op. cit.,p. 122. 42. 1bid.,pp. 122-23. 43. Mursell, op. cit., o. 162.
280 Notes
to Pages 81-110
44. Curt Sachs, Rhythm and Tempo New York:W. W. Norton &Co., Inc., 1953!, p. 38. NOTES TO
CHAPTER III
1. GeorgeH. Mead, Mind, Self, and Society Chicago: Universityof Chicago Press, 1952!, p. 25. 2. Donald O. Hebb, The Organizationof Behavior New York: ]ohn Wiley & Sons, Inc.,1952!, p. 35. 3. Ibid., p. 58. 4. This example issimilar to one quotedin Curt Sachs, TheRise of Music in the Ancient World, East and West New York: W. W. Norton & Co., Inc., 1943!, p. 125.
5. K. Koffka, Principlesof Gestalt Psychology NewYork: Harcourt, Brace &Co., 1935!,p. 303, and chap.x. 6. 1bia.,p. 110. 7. Ibid., p. 109. 8. Ibid., p. 143. 9. Ibid., p. 305. 10. MaxWertheimer, Productive Thinking NewYork: Harper& Bros., 1945!, pp.193, 197. 11. Koffka,op. cit.,p. 499. 12. Ibid., p. 109. 13. Seeibid., p.507. 14. Ibid., p. 473. 15. Ibid., p. 476. 16. Ibid., pp. 335,338, 618-23. 17. Ibid., pp. 608-9. 18. Ibid., p. 175. 19. Theseobservations point up a basic fallacyin the work of Helmholtz, Wundt,and Stumpf,all of whom isolatesensation from its aesthetic context and make pleasure-displeasure reactions thebasis for a psychology ofmusic. On this point see Susanne K. Langer, Philosophy in a New Key New York: MentorBooks, 1951!,p. 171. 20. Koflka, op. cit., pp. 302-3. 21. For other examples of this see S. Bach,Well-tempered Clavier, Vol. I, Preludes 1 and 2.
22. R. B. Stetson,A Motor Theory of Rhythm andDiscrete Succession, Psychological Review, XII 905!, 250-70,
293-350.
23. 1bid.,p. 308. 24. H. Woodrow, A Quantitative Studyof Rhythm, Archives ofPsychology, XIV 909!, 1-66.
25. This should bekept in mind because there isalways atremendous temptation tospecify andclassify, toregard thegroupings asclear and
Notes to Pages 112-33
281
deHnite. Butthere aremany casesin which the real significance ofthe rhythmic organization lies precisely in its elusive ambiguity. 26. Curt Sachs, Rhythm and Tempo New York:W. W. Norton &Co., Inc., 1953!, pp. I6 f. Actually Sachs probably means meter;and if this is the case, hisargument ismore plausible.However, evenhere it may well be that theestablishment of a metricpulse onthe levelof the phrase will persist,furnishing thecomposer withthe possibilityof creativedeviation. Fora discussion of metersee pp.115 f. 27. Also see discussion of the fifth movementof BeethovensString Quartet inC-Minor, pp.145 If. 28. Seealmost anypiece ofSchubert orBrahms, forexample. 29. This is worthy of note because itseems toindicate that even our tendency torespond tomusic in a motor way is, in the last analysis,a learned response. This is also indicatedby the experimental literature on the subject see ]amesL. Mursell, The Psychology of Music [New York: W. W. Norton &Co., Inc.,1937], pp.153-54!. Furthermore, it emphasizes the culturalcharacter ofeven suchseemingly basic responses as the motor response and the necessity of bringingthe properattitudes intoplay. 30. The quotation isnot completein all parts butpresents theessential elements necessary for thepresent analysis. It may be foundin the miniature score published by & W. Chester,London! from two measures before No. 8 to two measures after No.
9.
31. This sense ofprogressive and continuing harmonic motion ismade possible because as Example40 shows!there isno realdominant preparation, nopause onthe dominant;rather themusic rushes headlong into the melodic-rhythmicrecapitulation. NOTES TO
CHAPTER IV
1. A. H. Fox Strangways, The Music of Hindostan London:Oxford University Press, 1914!, p. 329.
2. H. Watt, Functions of the Sizeof Intervalin the Songs ofSchubert and of the Chippewa and Teton Sioux Indians, British Iournal of Psychology, XIV 923-24!, 370-86. 3. Grooes Dictionary of Music and Musicians, ed. H. D. Colles New York: Macmillan Co., 1936!, III, 577. 4. See, for instance, Knud ]eppesen, Counterpoint, trans. Glen Haydon
New York: Prentice-Hall, Inc.,1939!, pp. 85-86. 5. Winthrop Sargeant, Typesof QuechuaMelody, MusicalQuarterly, XX 934!, p. 239. The importanceof the process ofornamentation is discussed in chap. vi of this book.
6. ]osephYasser, ATheory ofEvolving Tonality American Libraryof Musicology, 1934!. 7. Kunst, Music in Iaoa The Hague: Martinus Nijhoff, 1949!, p. 53.
282 Notes
to Pages 138-40
Actually it is the sléndro scalewhich addednew tonesto achieveequidistance. The nine-tone scale first referred
to is a variation
of the seven-
toned pélogscale. Butthe additionof thetwo toneswould nothave made the pélogequidistant; temperament was requiredfor this. 8. Hugh Tracey, ChopiMusicians: TheirMusic, Poetry,and Instruments InternationalAfrican Institute; Oxford: OxfordUniversity Press, 1948!. It is possiblethat this scale isan import from India; that it is derived fromthe scalereferred to in the quotation fromKunst. 9. Curt Sachs, TheRise of Music in the Ancient World, East and West
New York: W. W. Norton & Co., Inc.,1943!, pp. 283 f. 10. Eduard Hanslick, The Beautiful in Music, trans. C. Cohen Lon-
don: Novello, Ewer & Co.!, pp. 48-49. Hanslickscontention thatthis melody mightjust aswell expressjoy is probably justified;but this does not mean,as heimplies, thatthe passage is not affective. It only means that sinceGluck knewthat hecould dependupon thetext to characterize the affect,it was unnecessary for the musicto do so. 11. K. Koffka, Principles of GestaltPsychology NewYork: Harcourt, Brace & Co., 1935!, p. 414.
12. In this connectionit is important torealize thatthe contextwhich determines theeffect of repetition is cultural aswell as purely musical. For instance, while exact repetition will generally be viewed as wasted
effort bythe Westerner, it may seem efficacious and productiveto people of othercultures: To us, for whom timeis a motion ona space,unvarying repetitionseems toscatter itsforce alonga row of units of that space, and bewasted. Tothe Hopi,for whomtime isnot a motion buta getting later of everything thathas everbeen done,unvarying repetitionis not wasted butaccumulated. Itis storingup an invisible changethat holds over into later events Benjamin Lee Whorf, Collected Papers on Metalinguistics [Department of State,Washington, D.C.,1952], p. 39!. 13. ]ames L. Mursell, Psychology and the Problem of Scale, Musical Quarterly, XXXII 946!, 568.
14. P. R. Farnsworth,The Effect of Repetitionson Ending Preferences inMelodies, AmericanIournal of Psychology, XXXVII926!, 116-22; and Ending Preferences in Two Musical Situations, ihid., 237-40. It is alsoimportant to remember thata particular listener may have learned to understand several different styles. 15. W. V. Bingham, Studies in Melody, Psychological Review: Monograph, Supplement,L 910!.
16. Arthur D. Bissell,The Roleof Expectationin Music New Haven: Yale UniversityPress, 1921!,p. 19. 17. See]ames L.Mursell, op.cit., p. 569; andBingham, op.cit., p. 86. 18. Paul Hindemith, Craft of Musical Composition, Vol. I, trans. Arthur Mendel pp. 220-23.
New York:
Associated Music Publishers Inc., 1945!
Notes to Pages 150-87
283
19. Note that this is the case partlybecause ofthe intra-opusprocedures setup thus far. That is, it is partly a result of the fact that the previous cadences in measures 10, 18,and 24have allbeen deceptive. 20. Bingham,op. cit.,p. 33. 21. Sachs,op. cit., pp. 30-44. 22. For a further discussion ofsuccessive comparison see chap.vii. 23. Obviouslythe fact that a greater timespan isinvolved inthe case of return plays arole in minimizing differences; for details which might be noticedif juxtaposedwill often be lostif there is considerable separation. NOTES TO
CHAPTER V
1. It is interestingto observethat theGestalt natureof melodicshapes is confirmedby the experience ofmany collectorsof pritnitive and folk music, whohave foundthat native singers oftenare unableto break off in the middle of a song and then continue fromthe same place. The singers haveto go back to the beginningof the song andsing the total melody the whole shape!,which is not simply an aggregationof its parts. See, for instance, C. Anderson, MaoriMusic with Its Polynesian Background PolynesianSociety, Memoire10 [1932-34]!, p. 95; or Helen H. Roberts, A Study ofFolk SongVariants, Iournal of American Folklore, XXXVIII 925!, 60.
2. K. Koffka, Principlesof Gestalt Psychology NewYork: Harcourt, Brace & Co., 1935!, p. 126.
3. Also see thediscussion ofrhythmic incompleteness pp. 143 f. 4. The voices insuch aseries maybe invertedso thatthe uppervoice is the conjunct oneand the lower voicethe disjunct. 5. Of course, salient differentiation between harmonies isonly a necessary cause, not asufficient one, for the apprehension of progression. Other factors alsoplay an important part in the Hxing of tonal relationships; e.g., thefact that the toneF in the subdominant harmony limitstonality on the sharp side, while the tone B in the dominant harmonylimits tonality onthe flat side. 6. Koffka,op. cit.,p. 191. 7. Within the contextof a piece ofmusic silence may appearto form a continuousground; for then certain attributes alreadyestablished as given inthe work,such asthe meteror evena repeatedrhythmic group, are continued subjectively in the mind of the listener, even in the absence
of any objective stimulation. 8. Ibicl., p. 197. 9. Ibid., p. 206.
10. The importance of such trained attention is illustrated by the difficulty which unpracticed listenersusually havein following a pol-
284 Notes
to Pages 189-202
yphonic texture or by the trouble which Europeantrained musicians have in apprehending the intricate crossrhythms ofAfrican music see p. 254!. This againcalls attentionto the powerful influencewhich early musical practice,even of a rather elementary nature, has upon the responses ofthe listenerin later life; for it seemsvery probable that a listeners apprehension of a polyphonic texture or of African crossrhythms is greatlyfacilitated byhis ownmotor practice-that initially thesecomplexities are perceived in terms of the listener-performersown motor responses.
11. The converse ofthis will also tendto activateexpectation, though not as strongly; i.e.,textures whichare abnormallythick, closelyspaced, will be expected tobecome thinner, to separate. 12. See the discussionon pp. 184 ff. of the opening measuresof Mozarts Piano
Concerto in D Minor.
13. That this constitutesa deviationis shownby the fact that of the eight fuguesin Handel'stwelve Concertithis is the only one in which the polyphonicweb isdecisively broken. 14. Koffka,op. cit.,p. 192. 15. Notice that had this final texture beenpresented byitself, had there beenno progressiveweakening ofthe figure, it might well have been understood simply asa rather active ground. NOTES TO
CHAPTER VI
1. C. P. E. Bach, An Essay on the True Art of Playing Keyboard Instruments, trans. William Mitchell New York: W.W. Norton & Co., Inc., 1949!,p. 150;also see Sol Babitz,A Problem of Rhythmin Baroque Music, Musical Quarterly, XXXVIII 952!, 533-65. 2. Oliver Strunk, SourceHeadings in Music History New York: W. W. Norton &Co., Inc.,1950!, p. 607. 3. Grove'sDictionary ofMusic andMusicians, ed.H. C. Colles New York: Macmillan Co., 1936!, I, 635.
4. David D. Boyden,The Violin and Its Technique inthe 18th Century, Musical Quarterly, XXXVI950!, 35-36. 5. Carl E. Seashore, Objective Analysisof the Musical Performance, Studies inthe Psychologyof Music, Vol. IV Iowa City: University of Iowa Press, 1937!, p. 26.
6. Milton Metfessel, Phono-photography in Folk Music Chapel Hill: University of North CarolinaPress, 1928!,p. 11, 12; seethe introduction by Carl E. Seashore. Noticethat Seashores word flirtation
comes
very closeto the idea of play mentionedearlier in this study. Also see Raymond B.Stetson A Motor Theory of Rhythm and Discrete Succession, Psychological Review, XII [1905], 337!, who notes that aside
N otesto Pages 202-7 285 from such irregularities whichthe rhythm requires, thereare various minor variationsfor the purpose ofexpression. 7. Carl E. Seashore, A Base for the Approach toQuantitative Studies in the Aesthetics ofMusic, American ]ournal of Psychology, XXXIX 927!,141-44.
8. Carl E. Seashore,Psychology ofMusic New York: McGraw-Hill Book Co.,Inc., 1938!,p. 212. 9. GeorgeHerzog, GeneralCharacteristics ofPrimitive Music abstract! ,Bulletin ofthe AmericanMusicological Society, VII 942!, 24. 10. Frances Densmore, Chippewa Music, Smithsonian
Institution,
Bureau ofAmerican Ethnology, Bulletin 45[1910] ,! p. 4. 11. GeorgeHerzog, Folk Song, Dictionary of Folklore, Mythology and Legend New York: Funk & Wagnalls Co.,1949!, p. 1041. Notice the juxtapositionof the words expressive and ornamental; the connection is not accidental.
12. BelaBartok andAlbert B. Lord, Serbo-Croatian Folk Songs New York: ColumbiaUniversity Press, 1951!, p. 4. In addition to the experience of such singing,our acceptanceof these particular deviationsin this particularsituation isprobably abetted by ourbelief in their purposefulness.
13. R. H. van Gulik, TheLore of the ChineseLute: An Essay inChin Ideology Tokyo:Sophia University, 1940!, p.75. 14. Ibid., p. 77. 15. ]app Kunst, Musicin Iaoa The Hague:Martinus Nijhoff,1949!, p. 59.
16. A. K. Coomaraswamy, Figures of Speech orFigures of Thought London: Luzac& Co., 1946!, p. 86. 17. Thus in the examples analyzedearlier in this study, e.g., the Hindemith example,p. 140, the basicoutline givesthe structuraltones, and the other tonesand progressions may be considered tobe an ornamentation of
this basic structural line.
18. Alain Danielou, Northern Indian Music London: Christopher ]ohnson, 1949!,p. 102.The quotationis from the NatyaShastra, acompilation of theoretical writings,which has been variouslydated from the second century B.c.to thefourth centuryA.D. 19. Gustave Reese, Music in the Middle Ages Norton & Co., Inc., 1940!, pp. 204 ff.
New York:
W. W.
20. From Blanchet's Artdu Chant, quoted in Groves Dictionary,op. cit., III,
769.
21. FrancoisRaguenet, AComparison Between the Frenchand Italian Music anon. trans. ca.1709!, MusicalQuarterly, XXXII 946!, 429. 22. Bach,op. cit.,p. 84. 23. Ibid., p. 322.
286 Notes
to Pages 207-12
24. Knud Ieppesen, Counterpoint, trans. GlenHaydon New York: Prentice-Hall Inc., 1939!, p. 147.
25. Wilfrid Mellers, Francois Couperin London:Dennis Dobson Ltd., 1950!, p. 305. Similareffects arevery commonin oriental music. See, for instance,]an La Rue, The Okinawan NotationSystem, Journalof the AmericanMusicological Society, IV 951!, 30; or Danielou, op.cit., pp. 104ff. 26. Raguenet,op. cit., pp. 417-18. 27. This quotation fromHeinrich Glarean,Dodecachordon, Book III, chap. xxiv,is givenin OliverStrunk, op.cit., pp.222-23. 28. Iazz Journal, ]anuary,1950, quotedin Rex Harris, Iazz Harmondsworth, Middlesex:Penguin Books,1952!, p. 349. 29. Kunst, op. cit., p. 401.
30. A. K. Coomaraswamy,India Music,
_
Musical Quarterly, III
917!, 165. 31. Sachs, The Rise of Music in the Ancient World, East and West
New York: W. W. Norton &Co., Inc.,1943!, pp.108, 143.For specific illustrations ofsuch classifications see Danielou,op. cit., pp. 104 ff.; and La Rue, op. cit., pp. 31-32. 32. Kunst, op. cit., p. 276.
33. Ibicl., pp. 333-34. 34. Ibid., p. 277. 35. A. K. Coomaraswamy, The Danceof Siva New York: The Sunrise Turn Inc., 1924!, p. 76. For a very similar statement seeA. H. Fox
Strangways, The Music ofHinclostan London:Oxford UniversityPress, 1914!, p. 182. 36. Up. cit., pp. 146-47.
37. Seeexamples, ibid., p. 188. 38. A. Z. Idelsohn,Iewish Music New York: Tudor PublishingCo., 1948!, pp.98, 183. 39. Sachs, op. cit., p. 83.
40. PercyGrainger, TheImpress ofPersonality inUnwritten Music, Musical Quarterly,I 915!, 422. 41. From the introductionto Bartok and Lord, op. cit., pp. xii-xiii. The relationbetween abundant ornamentation and free or rubato tempo is by no meansunique. Writingof musicin the early baroque,Bukofzer notes that the accumulation of intricate embellishments sostrongly affected therhythm thatthe musiccould nolonger beperformed instrict time Manfred F. Bukofzer, Music in the BaroqueEra [New York: W. W. Norton & Co., Inc., 1947], p. 28!.
42. Bartok and Lord,op. cit., p. 74. 43. Phillips Barry, FolkMusic in America AmericanFolk SongPublications, No. 4, WorksProgress Administration, Federal TheatreProject [New York: National ServiceBureau, 1939]!, p. 112. The phraseis a
Notes to Pages 213-16 287 quotation from In articleby RobertW. Cordon,which appeared in the New York Times November 27, 1927.
44. Metfessel,op. cit., p. 21. 45. Ibid., p. 48. 46. Winthrop Sargeant, Iazz: Hot and Hybrid New York: E. P. Dut-
ton, 1946!,p. 24. Of course,there needbe noprinted guideso long as theseveral players know the tune andplan. 47. Harris, op. cit., pp. 62-63.
48. Ibicl., p. 155. 49. RichardA. Waterman, Hot Rhythm in Negro Music, Journal of the American Musicological Society, I 948!, 31. 50. This is emphasizedby Willard Rhodes inhis article, Acculturation in North AmericanIndian Music, Selected Papers of the XXIXth International Congress of Americanists,ed. SolTax Chicago:University of ChicagoPress, 1952!, pp. 127-32;see inparticular p.130. 51. Ornamentation might itself be saidto be a partial basis ofmusical style. Withina culturalarea styleis not so mucha matterof fundamental tunes but of differencesin ornamentation.Discussing themusic of the Maoris of New Zealand,Anderson writes:One tribe might adopt a melody fromanother tribe,and theoutline wouldprobably beunaltered, but the adventitious ornamentation of the melody mightbe varied-in fact, Sir Apirana Ngatahas told me that any Maori familiar with their music couldtell from the ornamentationwhat tribe was responsible for that particularform of the melody." C. Anderson, Maori Music with Its PolynesianBackground PolynesianSociety, Memoire10 [193234]!, p. 191. 52. A. M. ]ones, African Music, African Affairs, XLVIII 949!, 295.
53. GeorgeHerzog, Speech-Melodyand Primitive Music, Musical Quarterly, XX 934!, 456. 54. Helen H. Roberts,Melodic Compositionand ScaleFoundations in Primitive Music, Journalof AmericanAnthropology, XXXIV932!, 80.
55. Strangways, op. cit., p. 19.
56. The expectations aroused by the active toneson any given architectonic levelare notsolely theproduct ofthe functionsof the individual tones. Forthe expectations engendered byany giventone are not only a product of its function andposition in the tonal system butare also a resultof the tones whichhave preceded it. It is likewiseclear thatthe rhythmic placement of tonesaffects theirdegree ofactivity or rest. 57. Kunst, op. cit., p. 51.
58. Ibicl., p. 51, n. 3. 59. Sachs, op. cit., p. 134.
60. ylbicl.,p. 133.
288 Notes
to Pages 216-24
61. Herzog,Folk Song, op. cit., p. 1043. 62. Indeed,the authorknows of no tonal system thatis not diatonic. The twelve-tonesystem ofSchoenberg and his followersis no exception to this rule becauseit is intentionally andexplicitly non-tonal.The tempered five-tonesléndro scaleof Malaya, a seemingexception, appears, in origin at least,to have been diatonicand it seems possible that it is still heardas such Sachs, op.cit., pp. 130-31!. 63. Suchembellishing pitch deviations are not, it must beemphasized, to be confused withthe microtonal elements, e.g.,the sruti in Indian music, whichfind a place in the theoreticalfoundation forthe various modes andragas ofIndian or Arabian music;see Strangways, op. cit., chap. iv. 64. Strunk,op. cit.,pp. 602f.; and Bach, op.cit., p. 163. 65. Otto Combosi, The Pedigree of the Blues, Proceedings ofthe Music Teachers, National Association, Series XL946!, p. 385. 66. Edward E. Lowinsky, Secret ChromaticArt in the Netherlands Motet, trans. Carl Buchman New York: Columbia UniversityPress, 1946!,p.79.
67. The example istaken fromGroves Dictionary,I, 645.
68. Indeed, it is important to realize that melodic chromaticism which
occurs overa static harmony andonly on unaccented beats, as, for instance, in the opening melody of Debussys Afternoonof a Faun, is really arapidly passing effect which may haveonly aminimal embodied meaning andgive riseto but little affectiveresponse since it inhibits or delays noimportant tendencies. However, suchpassages may give rise to important designative meanings and, asis pointed out in chap. viii, may arouseaffect throughthem. 69. ]ohn Brown, Lettersupon the Poetry and Music of the Italian Opera Edinburgh:Bell andBradfute, 1789!,pp. 12-16. 70. A. Montani, Psychoanalysisof Music, Psychoanalytic Review, XXXII 945!,
225-27.
71. SeeHerzog, Folk Song, op. cit.; andBarry, op.cit., Introduction. 72. C. P. Heinlein,The Affective Characters ofthe Major and Minor Modes in Music, Iournal of Comparative Psychology, VIII 928!, 101-42. 73. Nevertheless,
the influence
of the
minor mode
in Western
music
and onWestern listeners has beena verypowerful one,as evena cursory glance atthe literaturewill show. See, forexample, KateHevner, The Affective Character of the Major and Minor Modesin Music, American Iournal of Psychology, XLVII935!, 103-18. 74. Bukofzer,op. cit.,p. 287. 75. Erich M. von Hornbostel, African Negro Music, Africa, I 928!,16.
76. Sachs,op. cit., p. 125.
Notes to Pages 227-32
289
77. Gustave Reese, Music in the Renaissance New York: W. W.
Norton &Co., Inc.,1954!, p. 400. It seems possible that the minor mode is not only a deviation from the norm of the diatonic but also froma deeply rootedfeeling formajor, whichis presentin the West. SeeSachs, op. cit., pp. 2.95-311;also seeGeorge Herzog,Some Primitive Layers in European Folk Music, Bulletin of the American Musicological Society, IX 947!, p. 13. If it is true that our modernmajor modeis a primordial normin Western musical culture,then the minor mode is, so tospeak, adoubt deviant:it deviatesboth fromthe interculturalnorm of diatonicismand fromthe normof major,which is specific toEuropean culture.
78. Heinlein,op. cit.,pp. 136-37. 79. VincenzoGalilei, Dialogo della musicaantica e della moderna, quoted inStrunk, op.cit., pp. 315-16. 80. Bach,op. cit.,p. 163. 81. GioseffeZarlino, Istituzioniarmoniche, Book III, quoted in Strunk, op. cit., p. 232.
82. Anderson,op. cit.,p. 63. 83. This literature neednot be reviewed heresince it is admirably summarized inan article by M. Guernesey, TheRole of Consonance and Dissonance in Music, American Iournalof Psychology,XL 928!, 173-204. 84. Norman
Cazden, Musical
Consonance and
Dissonance: A
Cul-
tural Criterion, Iournal of Aesthetics, IV 945!, 4-5. This general position is supported byseveral authors.Guernesey, op.cit., concludes that consonance is an aesthetic description, totally dynamic in nature, and is not a scientifically determinable constant and that its perception depends upontraining, environment,and musicalcontext. The importance ofcontext isalso emphasized by P. A. D. Gardner andR. W. Pickford, Relation between Dissonanceand Context, Nature, CLII
943!,
p. 358. The importanceof cultural factors in the perception of consonance isstressed inan article by R. W. Lundin, Toward a Cultural Theory of Consonance, Iournalof Psychology, XXIII 947!, 45-49. 85. Willi Apel, Harvard Dictionary of Music Cambridge, Mass.: Harvard UniversityPress, 1945!,p. 18. 86. Nor is it diflicult to account for the fact that the dissonance norm
has constantlyrisen in Western culture.For it seems likelythat when a vertical combination of sound has been heard often enough as a unit,
it achieves the status of an independent, unifiedGestalt, completein itself. It becomes anorm and ceases toperform its affective aesthetic function adequately. Therefore, thecomposer, seeking for aestheticeffect and expressionand wishing to explore less commonpaths, will tend to treat what wasformerly a deviant asa norm and usethat which was formerly unusedor forbiddenas adeviant.
290 Notes
to Pages 234-44 NOTES TO
CHAPTER VII
1. ]app Kunst, Musicin Iava The Hague: Martinus Nijhoff, 1949!, . 59.
P 2.Curt Sachs, The Rise of Music in the Ancient World, East and West New York: W.W. Norton& Co.,Inc., 1943!,p. 145. 3. Eta Harich-Schneider, The Present Condition of ]apanese Court
Music, MusicalQuarterly, XXXIX953!, 58. 4. E. Cunningham, The]apanese Ko-uta and Ha-uta, Musical Quarterly, XXXIV 948!, 71. 5. Harich-Schneider, op. cit., p. 53. 6. Kunst, op. cit.,p. 157. 7. A. H. Fox Strangways, The Music of Hindostan London:Oxford University Press, 1914!, p. 226.
8. Ibid., p. 238. 9. Curt Sachs, Rhythm and Tempo New York:W. W. Norton 8:Co., Inc., 1953!, chap. vi. 10. Strangways, op. cit., p. 233.
11. Winthrop Sargeant and Lahiri, A Study ofEast IndianRhythm, Musical Quarterly, XVII 931!,
435-36.
12. Ibid., p. 434. 13. A. M. ]ones,African Music, African Affairs,XLVIII 949!, 294. 14. All of theseexamples are taken fromA. M. ]ones, African Music: The Mganda Dance, African Studies, IV 945!, 180-88; also see A. M. ]ones, The Study of African Musical Rhythm, Bantu Studies, XI 937!,
295-320; and R. Brandel, Music of
the Giants and the
Pygmies ofthe BelgianCongo, Iournal of the American Musicological Society, V952!, 16-28. 15. ]ones, African Music, op. cit., p. 294. Also seeA. M. ]ones, African Music in Northern Rhodesia and Some Other Places Occa-
sional Papersof the Rhodes-Livingston Museum[Oxford University Press, 1949]!,pp. 20,78. 16. Erich M. von Hornbostel, African Negro Music, Africa, I 928!, 52. 17. Richard
Alan Waterman,
African Influence
Americas, Selected Papers of the XXIXth
on the
Music of
the
International Congress of
Americanists, ed. Sol Tax Chicago: Universityof ChicagoPress, 1952!, p. 213.
18. Ihid., p. 213. 19. Ibid., p. 214. 20. Winthrop Sargeant, Jazz: Hot and Hybrid New York: E. P. Dutton, 1946!, pp. 238-39.
21. Hugh Tracey, ChopiMusicians: TheirMusic, Poetryand Instru-
Notes to Pages 244-52
291
ments, International African Institute London: OxfordUniversity Press, 1948!, p. 101. 22. Hornbostel, op. cit., p. 48.
23. Ibid., p. 47. 24. I am indebtedto ProfessorScott Coldthwaite, not only for calling my attentionto this example ofrhythmic crossing, but alsofor permitting me to use histranscription ofthe chanson.For a much morecomplex example from the earlyfifteenth centurysee A.T. Davidsonand W.Apel, Historical Anthologyof Music Cambridge, Mass.:Harvard University Press, 1949!,p. 51, No. 48a. 25. See Tracey, op. cit., p. 91.
26. Such free preludesmay eventuallybecome moreor less standardized withinthe style,may becomefairly fixedforms whichare themselves normsof the style.
27. Sachs,The Rise of Music in the Ancient World, pp. 191, 285, and 290; Strangways, op. cit., p. 281; Harich-Schneider; op. cit., p. 60; ]ones, African Music: TheMganda Dance,op. cit., p. 185; and Kunst, op. cit., pp. 310-11.Although thesepreludes mayat timesalso serveas display piecesin which the individual performer mayexhibit his ingenuity and virtuosity in improvising uponthe mode,this is not their basic aesthetic function.
28. I have quotedonly the beginnings, theverse parts,not the connecting materialof a song givenin Davidsonand Apel,op. cit., pp. 3-4. Note the presence ofboth successiveand simultaneous deviation. Not only are the lcotopart and voice part varied melodicallyand rhythmically from verse to verse, but within each verse the accompaniment deviates fromthe song proper or vice versa. 29. Strangways, op. cit., pp. 282-83. 30. Ihid., chap. xi. 31. A. Z. Idelsohn, Iewish Music New York: Tudor Publishing Co., 1948!, pp. 24-25.
32. Egon Wellesz, Wordsand Musicin ByzantineLiturgy, Musical Quarterly, XXXIII
947!, 306-7.
33. Egon Wellesz, Byzantine Music andHymnography London:Oxford University Press, 1949!, p. 286. 34. Idelsohn, op. cit., p. 370.
35. Sachs,The Riseof Musicin the Ancient 92Vorld, p. 84. 36. Helen H. Roberts, A Study of Folk Song Variants Based on Field
Work in ]amaica, Iournal of American Folklore, XXXVIII 925!, p. 155.
37. Ibid., p. 168. 38. Ibid., p. 158.
39. Ibicl.,p. 167. 40. Ibid., p. 167.
292 Notes
to Pages 253-69
41. Ibid., p. 215. 42. Bela Bartok andAlbert B. Lord, Serbo-Croatian Folk Songs New York: ColumbiaUniversity Press, 1951!, pp. 114-15. 43. Sargeant,Jazz: Hotand Hybrid,pp. 156-57.The useof a common ground bass, a commonharmonic sequence, can alsobe foundin Western art musicof the sixteenth andseventeenth centuries; for the relationship between thesebasses andthose found in hot jazz seeOtto Combosi, The
Pedigree ofthe Blues, Proceedings ofthe MusicTeachers National Association, Series XL 946!, 382-89. 44. Willard Rhodes, Acculturation in North American Indian Music,
Selected Papers of the XXIXth International Congress ofAmericanists, ed. SolTax Chicago:University ofChicago Press, 1952!, p. 130. 45. ]ones,African Music, op. cit., pp. 292-93; also seeTracey, op. cit., pp. 91 f. NOTES TO
CHAPTER VIII
1. T. MacCurdy,The Psychology of Emotion New York: Harcourt, Brace &Co., 1925!,p. 568. 2. One of the dangers ofdescriptive programnotes andpoetic criticism is that they tend to initiate suchimage processes, which later develop withoutreference tothe musicitself. 3. For a detaileddiscussion ofthe relationshipbetween memoryand affect seeDavid Rapaport,Emotions andMemory New York: International UniversityPress, 1950!. 4. After citing someinteresting experiments dealing with the intersensory character of experience, Koffka observes that we must, inaccordance with our theory,conclude thatperceptual space is one and that it can be filled with objects ofdifferent sensemodalities . . . K. Koffka, Principles of Gestalt Psychology[New York: International University Press, 1952],p. 303!. 5. SusanneK. Langer,Philosophy ina New Key New York: Mentor Books, 1951!,p. 155. 6. Probablyone ofthe fundamentalconditions forthe existenceof any connotative complexis the presence ofa single-moodresponse which is common to all of its components. Indeed, connotation and sentiment are so inextricably united that every connotative experience is to some extent a mood experience as well.
7. Becausethe chainof responses usually takes place withsuch rapidity that there is no noticeable delay between theinitial perceptionof mood and the final affectiveexperience, themediating stimulusis less likely to be a connotative reference involving some sort of conscious cognition or re-evaluation of the original stimulus, i.e., the music.
Notes to Pages 270-72
293
8. Eduard Hanslick, The Beautiful in Music, trans. Gustav Cohen London: Novello, Ewer & Co., 1891!, p. 25. 9. C. C. Pratt, Structural vs. Expressive Form in Music, Iournal of
Psychology, V938!, p. 150. 10. The need forvariety isundoubtedly areason fora changeof mood or connotation, but it does notprovide arationale forthe orderof change. However, once a particular succession hasbeen established in a com-
position, wemay expecta return of the succession or, if one of the parts does return,we mayexpect theother partsto return in their established order. Butthis doesnot accountfor the order ofthe originalsuccession. 11. It is, of course, possible for a rationale ofmood and connotative complex succession to becomea feature of a particular style,for a set of mood orders tobe establishedas part of a tradition. The opera composers, thelibrettists, andthe theoristsof the early eighteenthcentury were oftenconcerned withthis very problem, andrules werelaid down for the sequence of moods. Weresuch anorder tobecome areally wellknown featureof the style, it would presumably not only establish areasonable relationship between moodsbut would also haveimportant effects uponthe embodiedmeaning of musical experience.
Index
Accent: defined, 103 f.; distinguished from stress, 104; on rest, 149; stress
on, may alter grouping,104, 107f.; see alsoBeat; Meter;Rhythm Aesthetic belief;
see Belief, aesthetic
Aesthetic experience: belief in special nature of,
73 f.
see also Belief,
aesthetic!; problematicalin primi-
Uncertainty!; see also Behavior, emotional; Philosophy of music African music: deviation and ornamentation in, 214; differences of,
from jazz,243; heterophony in, 244; rhythmic structureof [Ex. 95-98], 239-42; tendency toward equidistance in, 133
tive music, 239; responsesnot overt in, 9, 74, 273 n. 15!; see also Af-
Aiken, Henry D., on aesthetic beliefs,
fective experience; Meaning; Play
Ambiguity: affect and, 16 see also Suspense; Uncertainty!; architec-
Affect: differentiation
of, 16-20;
dis-
tinguished fromaffective experience, 19; distinguished from mood, 7;
9, 73 f. tonic level modifies view of, 52; chromaticism and, 164, 218 f.; expectation and, 26, 51, 171; of formal function, 182-84; harmonic, 95, 166, 179-82; melodic, 163-67; metric, 144 f.; of minor mode, 266;
meaninfg 39-40; and, subjective nature o , 12; 256; suppressionof overt behavior
intensifies, 9,
74;
tendency inhibition creates, 15-16; see also Affective experience; Psy-
chological theoryof emotions;Suspense
Affective experience: basis of,
in
music, 31; belief in mental control
modifies, 19 f.; characterized by stimulus situation,19; conquestof difficulties an aspect of, 70; differentiation of,in music theory, 17, 20; expectationand, 23-25, 30-32 see also Expectation!; Hebb'saccount of, criticized, 19; image processes create,256-58; inhibition and conflict create, 15, 16 f.; intellectual
mitigated by good shape,174; nature of, 51-52; and probability, 52; rhythmic seeRhythm!; of texture, 192-95; seealso Suspense;Uncertainty
Amphibrach rhythm;see Rhythm Anapest rhythm;see Rhythm Anxiety; seeSuspense; Uncertainty Appoggiatura: affective function of, 101, 210 f.; inhibits tendencies, 100 f., 207; see also Ornamentation
Architectonic levels:ambiguity ondifferent, 52;completeness and closure
and, complementary,39 see also Meaning!; MacCurdys analysis of,
on different, 130; deviation on dif-
14 f.; mood and connotation color, 269 f. see also Connotation;
ferent, 215f.; meaningon different, interdependent, 47; melodic-harmonic uniformity on higher, 168;
Mood!; mood indirectly evokes, 268; necessarilydifferentiated, 19;
metric organization on different, 115 f.; ornamentation on different,
non-referential character
205; overemphasis on highest,52 f.; rhythmic incompletenesson different, 144-48; rhythmic organization
of, in
music, 20;Paulhan's analysis of, 15; play and, 70 see also Play!; sul generals musical, 20; suspense creates, 27-29
on different, 110-15 Art: academic, traditional, and see also Suspense; 295
deca-
296
Index
Art continued! dent, distinguished,71; criticismof,
Beethoven: PianoSonata, Op.53, iii, interaction of designative andemand belief, 76 bodied meaning in, 269; Piano Sonata, Op.81a, i, introduction disAssociation: by contiguity, 259; by cussed, 53;Piano Sonata,Op. 111, continguity, changes in, 260; by i, effect of fugue in, 154; Piano contiguity, intracultural, 259; by Sonata, Op.111, i,introduction discontiguity, rolein mood representation, 267; inclination toward, 262; cussed, 60;String Quartet,Op. 130, i, bifurcation of processin, 126 f.; partl aural, 261; by similarity, String Quartet,Op. 130,i, introducwith motions, 261, 274 n. 27!; by tion discussed,60; String Quartet, Op. 131, v [Ex. 53], law of return similarity, learning modifies, 262f., 267, 270 f.; see also Connotation; in, 154 f.; String Quartet, Op. 131, v, rest accented in, 103 f., 149; Image processes; Mood Audience, inHuence of, on belief, 76 f. String Quartet,Op. 131,v [Ex. 4952], rhythmic organization of,145Bach, CarlPhilipp Emanuel:on affec49; andstyle change, 71; Symphony No. 1, iii [Ex. 16], rhythmic ortive power of dissonance, 229; deviation related to affect by, 200; on ganization of, 105, 111; Symphony motor behavior, 80; on ornaments, No. 3, i, opening chords discussed, 207; on placement ofornaments, 50 36; SymphonyNo. 3, ii [Ex. 39], Bach, _lohann Sebastian: Brandenburg anticipation changes rhythm in, 125; Concerto No. 5, i [Ex. 42], strucSymphony No.6, i [Ex. 44], saturatural gapsin, 134; Mass inB Minor, tion in, 135 f.; Symphony No.9, i Crucifixus, affect and chromati[Ex. 82-83], weakening of texture cism in, 220; MusicalOffering [Ex. in, 193-95; Symphony No. 9, ii 89], chromaticism in, 224 f.; Partita [Ex. 19], dactyl grouping in, 105; Symphony No.9, ii, metric organiNo. 3, iii, anapest rhythm in, 106; zation of, 116 and stylechange, 71;Well-tempered Clauier, Vol. I, i, reiteration and Behavior, designative, 17; see also return in, 153; Well-tempered Emotional designation Clavier, Vol.I, ii [Ex. 2], change of Behavior, emotional: automatic, not meaning in,48 f. differentiated, 18;characterized by stimulus situation, 19; differentiaBaroque music: chromaticism in, 219 f., 228; connotation in, 8, 267; tion of, learned, 17; interpretation of, problematical,9; standardization expressive performancein, 200 f.;
260 ill; by similarity, of concepts
harmonic practice in, 66; improvisation in, 70, 206 f.; ornamentation in, 206-8; use of vibrato in, 66 Bartok: on ornamentation in folk
of, 10, 21 Belief, aesthetic: Aikens discussion of,
9, 73 f.; dependence of saturation
music, 212,253; on pitch deviation
on, 135; differentiates musical responses, 40; importance of, in am-
in folk music, 204; String Quartet No. 3, ii [Ex. 100], metric crossing
biguity, 27; influences on, 75-77; in integrity of composer, 75; and
in, 245 f.; String Quartet No.4, iii,
suppression of overt responses, 9, 74, 273 n. 15!; and mechanism of
no vibrato"
marked in, 66; String
Quartet No.5, v [Ex. 61], sequence in, 169 f.; transcription of folk song [Ex. 1041, 253 Beat: accented, stress on,alters group-
denial, 74; part of preparatory set, 73; physiologicalchanges related to, 11, 74;and thepresumption oflogic, 75 f.; in seriousness of art, 74
ing, 104, 107 f.; unaccented, group- Berg: Lyric Suite, v [Ex. 77], spacing ing alters placement of, 104, 108; of texturein, 189f.; Violin Concerto, unaccented, stressdoes not make ac-
cented, 104
no vibrato"
marked in, 66
Berlioz, Symphonia Fantastique, ii
Index 297 30 f.; expectation and,31; objectification of meaning and,38 f. Cohen, MorrisR., on meaning, 33f. Communication: dependenceof, on pest rhythm in, 105 Brahms: Piano Sonata No. 2, iv [Ex. style, 42;emotional behaviorstandardized for,10, 21;role of composer, 56], uniformity in, 166; Rhapsody, performer, andlistener in,40-42 Op. 119, No. 4 [Ex. 21], stress afnature of, fects rhythmin, 108;Symphony No. Completeness: architectonic 130; closure and, related to satura4, i, iambic rhythm in, 106; Violin Sonata No. 3, i [Ex. 90], minor tion, 135; dependence of,on patmode in, 225 tern, 129, 138; expectation and, 128-30; goodcontinuation and,129; Bruckner, Symphony No. 7,i [Ex. 55], uniformity in, 165 f. harmonic, 149-51; hypothetical meaning influencedby, 49; interByzantine music:style changes in, 67; successive deviation in, 250 f. opus norms influence, 129; and learning, 78,138; melodic,dependence of, on tonality, 138; of meter, Cadences, changingcharacter of, 66 Cassirer, Ernst, on emotion in art, 18 144; not entirely cultural, 132; Cazden, Norman, on nature of conplacement ofdeviants influenced by, sonance and dissonance, 230 f. 50; principleof return and, 151-56; Chance, placeof, in music, 195f. register influences,139; of rhythm, Chinese music: ailective deviations in, 143-49; styleinfluences, 128 f.; tex204, 216; tone names and probture influences,187; understanding influences, 138 f.; see also Closure; ability, 56 Chopin: Prelude,Op. 28,ii [Ex. 5-8], Incompleteness analysis of, 93-97; Waltz, Op. 34, Composer: andcommunication, 40f., ii, chan e of mode in, 228 278 n. 24!; conquestof difficulties [Ex. 73], minimal differences in, 180 f. Bizet, Carmen, Act III [Ex. 17], ana-
Chord prolongation, concept critiof,
cized, 53 Chromaticism: affective nature of, 218-22; both melodic and harmonic, 220; effect of, and Law of
and, 69 f., 199; influence of extra-
stylistic forceson, 71;a listeneralso, 41, 276 n. 51!; style influencedby, 69-71
Connotation: aesthetic problem of, 27 0-72;dependence of, on training, Pragnanz, 217; in Haydn Sonata, 175; of minor mode, 224 f.; and 264; distinguished from imageprocesses, 258; habit makes effective, suspense inopera, 220; a type of deviation, 217f.; a type of orna260; and learning, 2, 21, 270 f.; mechanism of see Association!; mentation, 218;a typeof uniformity, mood and, 266 see also Mood!; 164, 168;use of,in classicalperiod, 221 f. music necessary cause of,264, 271; presents essence of myth, 265, 271; Class concepts:an aspectof style, 57; and expectation, 57 f.; and form,57; relation ofprogram to,271 f.; representation of, depends on cultural formation of, 57, 89 f.; modification of, 58 f., 90; see also Form concepts, 258f., 262; special sysClassical period: function of polytems of, 8, 260; specificity of, and meters in, 123; use of chromaticism divergence, 263; specified by lisin, 221 tener, 266;see alsoMeaning, designative Closure: dependenceof, on incompleteness, 155 f.; lack of, in Haydn Connotative complex, presents essence Symphony, 130f.; melodic comof myth, 265, 271 pleteness and, 138-39; recurrence and, 152; relaxation and, 139; see
Consonance: Cestalt approach to, 231;
also Completeness;Incompleteness
see also Dissonance Contemporary music: metric organiza-
Cognition: conscious
or unconscious,
past accountsof, untenable,230 f.;
298 Index
Contemporary musiccontinued! tion of, 119 f., 121, 245 f.; uniformity in, 169 f.; use of vibrato in, 66
72; successive,246-54; a type of tendency inhibition,32; vibrato an instance of, 66, 201; see also Devi-
Context: effect of repetition dependants; Ornamentation; Process conent on, 126; effectof sequencedetinuation; Tonalorganization pendent on, 171; effectof stylistic, Dewey, ]ohn:on aestheticexperience, on shape,185; expectation modified 31; emotionaltheory of, 14 by, 30; importance of, in evalua- Differences, minimal; see Minimal diftion of shape, 91f.; importance of, ferences; Subliminal differences; in saturation, 136, 282 n. 12!; Uniformity meaning dependent on, 46 Difhculties, conquest of: composer Continuation, Law of Good, 92 f.; see and, 69 f.; intrapersonal at times, also Process continuation 278 n. 24!; performer and, 70; reControl, mental: belief in, modifies aflated to aesthetic experience, 69 f., 199; seealso Play fective experience,19 f.; ignorance, power of, 229 f.; suspense, and, 27 f.; uniformity Dissonance: affective in EastAsiatic music,235; in primiweakens sense of, 163, 169, 171, tive music, 230; see also Consonance 174, 176;see alsoUncertainty Criticism, influence
of, on belief, 76
Dactyl rhythm; see Rhythm Daniel, ]ohn, Chromatic Tunes [Ex. 84], affective nature of chromaticism in, 219
Debussy: Afternoonof a Faun, effect of flute solo in, 78; Des Pas sur la
Neige [Ex. 45], ostinato in, 137; Fétes [Ex. 36], uniformity weakens polymeter in, 122; Nuages [Ex. 58], uniformity of chords in, 167 Densmore, Frances, use of statistics by,55
Designative meaning; see Meaning Designation, emotional; see Emotional
Divergence, connotation
and mood
speciied by,263, 268 Doubt; seeSuspense; Uncertainty East Asiatic music: deviation in, 235 f.; ornamentation and affective experience in, 209 f.; see also Chinese music; ]apanese music; ]avanese music Embellishment; see Ornamentation Emotion-felt; see Affect; Affective ex-
perience; Psychologicaltheory of
emotion Emotional behavior; emotional
see Behavior,
Emotional designation: affect neednot involve, 282 n. 10!; as communication, 21; cultural character of, 21; mood and, 226 f.; need not involve
designation Determinate meaning;see Meaning affect, 8;not peculiarto music, 22 Deviants: effectof, dependenton position, 50; exaggeration of,65; for- Emotional response to music, 6-13: objective behavioras evidence of, gotten or normalized by memory, 9 f.; physiological changes influ90; function as signs,68; tendency of, to become norms, 65, 68 f.; see enced bybelief, 11, 74; physiologialso Deviation; Norms cal responses, 10-13; subjective evidence of, 6-9 Deviation: chromaticism a type of, musical depictionof, 217 f.; composer and, 69-71; expres- Emotional states, 252;
conventional, 8; see also Behavior,
form and, 57 f.; importance of, in African music, 242; in jazz, 243;
Emotions: named and classified, how,
sive function
of, 200-205,
ornamentation a type of, 200, 204; performance and, 199-204; related to aHective experience, 32; Seashores views on, 201; simultaneous,
234-46; style change and, 65-69,
emotional; Emotionaldesignation 8; pleasantand unpleasant,concept of, criticized, 19 f.; see also Affect;
Affective experience; Emotional designation; Psychological theory of emotion
Index 299 affects meter,122; dispositionof, in Equidistance, tendencytoward, 13234: and equal temperament, 133 f.; ostinato, 137; incompleteness of, 190; see also Texture tonal evolution explained by, 133; Folk music: deviation in, and aesthetic see alsoStructural gaps Evidence: explanationof minor mode experience, 212f., 252; expressive deviation in, 204; ornamentation in, as, 222;explanation ofstyle change as, 65; explanation oftendency to211 f.; structural gapsfilled in, 132; ward equidistanceas, 133f.; indistyle changesin, 67; successive derect, 254f.; natureand problemsof, viation in, 252 f.; see also]azz 197-99 Forgetting, of weak patterns,89; see Evident meaning;see Meaning also Memory Examples, basis for choiceof, 44 f. Form: architectonic nature of, 56, 205, Expectation: affectand, 31;ambiguity 215; classconcepts of,57 f.; expecand, 26 f., 51 f. see also Ambigutation and,59; experienceof, modiity!; chance and, 196; class confies perception,59; principle of recepts a basis for, 57 f.; cognition turn and, 152-56; probability and, and, 30 f.; completenessand, 49f., 57; revision of opinion and under128-30 see also Completeness!; standing of, 49, 60; rhythm and, conscious and unconscious, 25, 3032; context influences, 30, 185; continuation and see Processcontinua-
tion!; equiprobable
112
Galilei, Vincenzo, on dissonance, 229
consequents Geminiani, on affective nature of vi-
and, 26, 50; form and, 57-60; har-
brato, 201
mony creates see Harmonic pro- Gestalt; seePattern perception;Shape gression!; inter-opusnorms create, Gestalt psychology:concepts of, ap140-43; knowledgeinfluences, 58 f., plied to music, 85f.; conceptsoperate in cultural framework, 86; learn78; and learning, 30,43 f., 61, 84; ing theoriescriticized, 83f.; seealso and meaning, 35-38; melody creCompleteness; Continuation, Law ates see Melody!; and memory, 87-90; metric disturbance creates, of Good; Pragnanz, Lawof; Shape; Texture 118 see also Meter; Polymeter!; minimal differences create, 179-85;
Glarean, Heinrich,a]osquins De Pro-
fundis describe by, 208 natural vs. learned, 43f.; probabilGluck, Che faro senza Euridice" [Ex. ity and, 54 f.; ranges giverise to, 43]: affectivity of, 134f.; Hanslicks 139; revisionof opinion influences, discussion of, criticized, 282 n. 49, 52, 60; rhythmic basis for see 10!; structural gaps in, 134 f. Rhythm!; saturation creates, 13538; sequences create see Se- Ground; seeFigure and ground; Texture quence!; soundterms and,45; and style, 44, 61 see also Style!; surprise and, 29; suspense and, 26-29 Habits: acquisition of, 61-64; childhood learningof, 61; locus of tradisee also Suspense!; tendency tion and style, 61; and preparatory equated with, 23-25; texture creates see Texture!; and the unexset, 77-79;tendencies equated with, 24 f.; see alsoLearning pected, 29;uniformity of shape creates see Uniformity!; unsatisfac- Handel: Concerto Grosso No. 2, iv [Ex. 79-81], changes oftexture in, tory shapes create, 87, 91 seealso 191 f.; Concerto Grosso No. 4, iv Shape; Uniformity!; see also Sus[Ex. 31], hemiole rhythmin, 117 pense; Uncertainty Hanslick, Eduard:
Fashions, beliefinfluenced by,77 Figure; seePattern perception;Shape Figure and ground: articulation of,
criticism of
Gluck
specious, 282n. 10!; intellectual
satisfaction andcognition confused
by, 275 n. 37!; objections of,to
300 Index Hanslick, Eduard
continued!
referentialism discussed, 270; position of, untenable, 3 Harich-Schneider, Eta, on deviation
in ]apanesemusic, 234f. Harmonic organization:evolution of, affects meter, 116 f.; incomplete-
Iambic rhythm; see Rhythm
Ideal types; see Class concepts Image processes: affective experience and, 256 f.; connotation distinguished from,258; conscious vs. un-
conscious, 256;lead away from music, 258; private vs. collective,
ness of,193 f.; uniformity of, 234 f. 257; relation of, to music problemHarmonic progression: basis for sense atical, 157f.; see also Association; of, 179; function of ambiguous, 96, Connotation 175 f., 181 f.; incompleteness of, Incompletencss: harmonic,193; har149 f., 145; minimal differentiation
weakens, 181f.; parallel fifth prohibition and, 180; rhythmicincom-
pleteness and, 149, 151;and stylistic understanding,179; uniformity and, 168 f., 180 see also Uniform-
ity!; see also Tonalorganization
Haydn: PianoSonata inA-Flat, _iii [Ex. 63-71], analysis ofuniformity in, 174-77; Surprise Symphony, ii, stress not an accent in, 104;
Surprise Sympl1O¥1y, iii [Ex. 201,
monic andrhythmic, interdependent, 150f., 154; law of return and, 153; melodic, 140-43 see also
Saturation; Structural gaps!; metric, 144, 147;rhythmic, 144-49; segregation ofstimuli and, 162 f.;spacing of texture creates, 189; of texture
without figure,190; typesof, 130;
sec alsoClosure; Completeness
Inhibition oftendency; see Tendency Intellectual activity;see Cognition;
Thought process amphibrach rhythmof, 105; SurIntroductions and preludes: function prise Symphony,iii [Ex. 23], higher of, ambiguous, 183; functions of rhythmic levels in, 110 f.; Symdifferent, 26, 53, 60, 116, 180f.; minor mode in, 227; norms estabphony No.102, iv,types ofmeaning interact in,269; Symphony No. 104, lished in,247 f.;rhythm of,ambiguiii [Ex. 41], continuity disturbance ous, 239, 247; texture incomplete
in, 130 f. Hebb, Donald O.: account of emotions
in, 190
criticized, 19f.; on Cestalt learning Japanese music: embellishments in, 234 f.; simultaneous deviation in theory, 84 Herzog, George:on deviationin Afri[Ex. 92], 234-35; successive deviacan music, 214; on ornamentation
tion in [Ex. 102], 248 f.
in folk music, 212;on stylechanges Javanese music: affective function of in primitive music, 66 Hindemith: Mathis der Maler, i [Ex.
46-48], importance of inter-opus norms in, 140-43; objections of, to
ambiguity criticized,277 n. 8! Hindu Indian! music: crossing of rhythm and meter in [Ex. 93], 235 f.; expectation in[Ex. 94], 237-
deviation in,204, 210,216; expectation related
to affect
in, 210;
heterophony in, 235, 243;tendency
toward equidistance in, 133 ]azz: deviationin, 68, 213, 253f.; differences of, from African music, 243; importance of breaks in, 213;
rhythm of, 243; similarity of, to Hindu music,237; stylechanges in, element in, 237; probability illus68; uncertainty aroused by, 208, trated by, 55, 56; similarity of, to 243; understandingof, 62 jazz, 237,243; structuralgaps Hlled ]elly Roll Morton; see Morton, ]elly 39; ornamentation in, 209, 210; play
in, 131; successive deviationin [Ex. 103], 249 f. Hornbostel, E. M. von, on African music, 244
Hypothetical meaning;see Meaning
Roll ]ewish music: deviation in, 211; successive deviation in, 251 ]ones, Rev. A. M., on African music, 214, 239 f., 242
Index 301 Knowledge andinformation, influence of: on belief, 76f.; on expectation, 58 f., 78; on motor responses, 7981; on perception, 77-79; on sense
see alsoBelief, aesthetic;Learning; Style!; designative referential!, 1-4, 8, 33, 35, 270; designative,attacks on,22, 270; designative, and
of completeness, 78 f., 138; onspeed
interpretation of
unexpected, 29 f.;
of response, 78 f.; see also Learningdesignative, modifiedby embodied
Koffka, K.: aesthetic viewpoint 0 , criticized, 91f.; relationshipof saturation to emotion discussed by, 136; see alsoGestalt psychology
meaning, 269 f.; determinate, 38; embodied, 35; embodied, and abso-
lutist position,35; embodied,modified by designative, 269f., 275 n. 35!; evident,
Langer, SusanneK.: on past psychological studies,5; tendency toward symbolism describedby, 265 Learning: completeness influenced by, 128 f., 131 f., connotation and mood
influenced by, 2, 259, 262 f., 267, 270 f.; designative behavior a result of, 21 f.; emotional behavior influ-
37; evident,
colored
by hypothetical,38; evident,implies later events, 37 f.; evident, includes
hypothetical, 48f.; and expectation, 35 f.; expressionist position as to, 2, 40; formalistposition asto, 2-4, 40, 270; hypothetical,37; hypothetical, ambiguity and, 37, 184 f.; hypothetical, and evident, different,
48,
enced by,10; expectation and, 43f.; 184; hypothetical,and evident, in form and, 57 f.; Gestalt theory of, sequences, 172; hypothetical, influcriticized, 83 f.; motor responses enced by completeness, 49;hypomodified by, 281 n. 29!; pattern thetical, probability and, 37; isolated sounds do not have, 34; locus perception influenced by, 83-85; perception of texture modified by, of, 33 f.; objectification of, 38-40; 187, 190 f.; preparatory set influobjectivity of, 34; problem of, in enced by, 77-79; responseto nonmusic, 1-4, 32-35; referential see above underdcsignative!; on variWcstern musicdepends on,46; role ous architectonic levels, 38, 47 f. of memory in, 88-90; stylistic unMelody; see Completeness; Deviaderstanding dependent on, 46, 6164, 128 f.; tendenciesmay involve, tion; Incompleteness; Ornamentation; Process continuation; Satura24; thinking influenced by,43; see also Belief, aesthetic; Habits; tion; Structural gaps; Uniformity Knowledge andinformation; Style Memory: affect influences, 258; exLipps-Meyer law, as statement of pectation and, 87-91; incompleteness influences, 91; patterns modiprobability, 55 Listener: attitudes of, influence befied in, 90; rehearing music and, lief, 75;
beliefs of
see Belief!;
composer asa, 41; responses of,as evidence, 6-13; role of, 41 f. Liszt, Piano Sonata [Ex. 54], melodic uniformity in, 164
Logic, belief and presumption of, 75 f.; see alsoUnity MacCurdy,
T., on affective experi-
ence, 14, 256
Mead, GeorgeH.: on communication, 40 f.; on meaning, 35
Meaning: absolutistposition on, 1-4, 33, 35,
270; affective
experience
and, 39f.; defined, 34; dependence of, on stylistic experience,36, 40
90; search attitudes and, 91; think-
ing and, 87 f. Mendelssohn: Italian Symphony, iv [Ex. 78], absence offigure in, creates expectation, 190; Violin Concerto, i, amphibrach rhythm in, 106 Meter: accent necessary for, 144; am-
biguity of, 145; architectoniclevels of, 115f.; crossingof see Polymeters!; discontinuity of, 144; distinguished from rhythm, 102 f.; disturbed by hemiole, 117-18; disturbed by syncopation, 113, 121 see also Syncopation!; expectation
and, 118; incompleteness of,144, 147 f.; influenced by rise of har-
302 Index Meter continued!
Sonata K. 332!, i [Ex. 37], metric
mony, 117;nature of,115; problem of, on higher levels,124; pulsenecessary for, 103; regularity a norm of, 119; relation of, to mood and connotation, 122; relation of, to mo-
organization in,123 f.; String Quartet K. 464!, ii [Ex. 18], rhythm influenced bystress, 107;String Quartet K. 464!, ii [Ex. 24], rhythmic reversal in, 111f.; String Quartet K. 575!, i, partial return in, 153; Symphony No. 41, ii, metric dis-
tor behavior, 124; without rhythm, 173; style changes and,116 f.; see turbance in, 144 also Polymeters; Syncopation Middle Ages: cadences of,66; orna- Mursell, ]ames L.: physiological rementation in, 206; use of meter in, sponse tomusic discussedby, 11, 116 74; on rhythmic experienceas priMinimal differences: influence of, on marily mental,81 harmonic progression,178-85; see Musical event; see Soundterm also Subliminal differences Musical experience: differentiated Minor mode: affective powerof, exfrom other types, 23;past positions as to, 1-6, 32f.; theory of emotions plained, 222-29; association with related to, 22-23; see also Affective sadness explained,227 f.; connection of,
with chromaticism,
224,
experience; Connotation;
Image
227; past explanations of,unsatisprocesses; Meaning; Mood factory, 5,222 f.;use of,in Western Musical gesture;see Soundterm Musical processes: static vs. dynamic music, 223, 227 conceptions of, 52-54; viewed as Modulation: function of, 96, 175; Saltzer's view of, criticized, 53 norm-deviant relationship,32 Mood: affectiveexperience and, 268 f.; connotation and, 266; designative Normalization, 89 f.; see also Class behavior and, 266; distinguished concepts from affect,7; expression of, in dif- Norms: class concepts as,57 f., 90; ferent cultures,267; musicaldepicexpectation arousedby inter-opus, 129, 140-43; and habits, 61; and tion of, standardized, 267; speciHed by divergence, 268; see also Conprobability, 56;of shape,149; style notation changes and,64-69, 72f.; types of art and, 71; see also Deviants; DeMorton, ]elly Roll, on importance of breaks injazz, 213 viation; Expectation Motor behavior,79-82: importanceof, 62, 81 f.; influence of experience on, 79 f., 281 n. 29!; law of continua-
Ornamentation: affective function of, 206-14; architectonic nature of, 205;
distinguished fromexpressive deviation and, 82; mental activity and, tion, 204; in folk and primitive 81; modifiedby visualcues, 80;permusic, 211-14;importance of,205, ception ofmeter and,124; rhythmic 211; not a type of exhibitionism, experience and,81; separateanaly206; in oriental music, 209-11; play sis of, not required,82 Motor responses; see Motorbehavior and, 206;style and,287 n. 51!; in Western music, 206-9; see also ApMozart, Leopold:deviation relatedto affect by, 200 f.; performers attipoggiatura; Deviation tude describedby, 41 Ostinato: possiblyambiguous, 137f.; saturation notaroused by,136 f. Mozart, WolfgangAmadeus: DonGiovanni, Act I [Ex. 85], chromatic se-
quence in,221; PianoConcerto K. 466!, i [Ex. 76], uniformity vs.dif-
Parallel fifths, harmonic basis of prohibition, 180
ferentiation in, 184; Piano Sonata K. 331!, i [Ex. 22], influence of
Pattern perception: general laws of,
melody on rhythm in, 109; Piano
73, 83 see also Closure; Complete-
ness; Pragnanz,Law of;
Process
Index 303
continuation; Shape!; knowledge in- Pratt, C. C., referentialism by, 271, 276 n. 42! fluences, 77f., learning influences, 83-85; selective nature of, 83
Paulhan, F., on affective experience, 15 f. Performance: deviation and, 199-204 see also Deviation!; influence of,
on rhythm, 104, 107,148 f., 172 f. Performer: creative role of, 199 f.; and listener, 41, 80
Philosophy of music: absolutistposition, 1-4; absolutist position,di$culties in, 4, 33; absolutist position, and embodiedmeaning, 35;expressionist position,
2-4; expressionist
position, distinguished from referentialism, 3; expressionist and formalist positionscomplementary, 40; formalist position,2-4; formalist position, criticized,
270 f.;
formalist
position, difllculties in, 4; referentialist position, 1-4; referentialist position, defended, 2, 33, 270 f.; see also Connotation;Meaning Pién tones: affective function of, 216;
fill in gaps, 132f.; names of, and probability, 56 Pitch, tempo, and dynamics: divergence of, and connotation,263 f.; influence of, on closure, 139; inter-
relationship of,139, 263f. Play: aestheticexperience viewedas, 70, 199;and conquest of difficulties, 70; references to, in evidence, 284 n. 6!, 206, 214, 237 f., 244, 252
Polymeters: inAfrican music,239-42; articulation of parts in, 122; effect
attacked
Preparatory set, 73-82; see also Belief,
aesthetic; Knowledgeand information; Learning; Motor behavior
Primitive music:aesthetic meaning of, problematical, 239; difficulty in comprehending, 63;dissonance in, 230; expressive deviation in, 203; ornamentation in, 213 f.; ritual limits deviation in, 213; saturation ab-
sent in,282 n. 12!; structural gaps filled in, 133; style change in, 66; see also African music
Probability: ambiguityand, 52; deviation and, 50; on different architectonic levels, 57; a fundamental con-
dition of style, 45, 54 f., 63; hypothetical meaningand, 37;influenced by series completeness, 49 f.; learned, 60; minor mode and, 226; sound terms and, 45; and statistics,
35, 277 n. 15!; and suspensein Haydn Sonata,174 f. Process continuation and disturbance!: alternative modes of, 51, 100, 174 f.; bifurcation of, 126 f.;
distinguished from repetition, 93; disturbance, types of, 93; harmonic, 95-97, 166-70,
175-77 see
also
Harmonic progression!; influence of style on,101 f.;melodic, 93-95;97100, 125, 135, 140-42; metric, 113, 115-24, 144 see also Meter!; motor behavior and, 82; normative
nature of, 92 f.; rhythmic, 102-15 see alsoRhythm!; saturationa dis-
of, 121, 245 f.; function of, in classi-
turbance of,
cal period, 123; in Hindu music,
92 see also Texture!; uniformity of, 164-77 see also Uniformity!; various modes of, congruent,
235-39; in jazz, 243; in recent music, 121 f., 245; in Renaissance, 116, 244; see also Meter
Pragnanz, Lawof, 86 f.: implications of, 87;
influence of, on complete-
135 f.; textural, 190-
125 f.
Program: functionof, 272; leads away from music, 272
ness, 128;influence of,on rhythmic organization, 110;influence of, on
Program notes, influence of,on belief,
texture, 186-88;
Psychological theory of emotions,1322: applicationof, to musical expe-
influences under-
standing of chromaticism, 217;operation of, influenced by belief, 91 f.; operation of,in memory,89 f.; principles ofpattern perceptionand, 91; shapeand, 159f.; weakeningof shape and,162
76 rience, 23-25, 31; central thesis of,
14; conceptsof inhibition and conflict in, 14 f.; objections to, 16; see also Affect; Affective experience; Behavior. emotional
304 Index Psychology ofmusic, criticismof past assumptions of,5f. Pulse: in Beethoven Quartet,147 f.; importance of, in response to music,
242; incomplete rhythm same as, 102; nature of, 102; perception in terms of basic, 108 Purcell: Dido's Lament, affective nature of chromaticism in, 220
Raguenet, Francois,deviation related to affect,play, andsuspense by, 206, 208
125; beginning-accented, 107; complete, basis of, 143-45; dactyl, 103 f.; 106, 108;dactyl, difficult in duple meter, 106 f.; dactyl, result of intensity differences, 106f.; different, in
one meter,
tinguished from pulse and meter, 102 f.; effect of different meters on, 106 f.; effect of durational differ-
ences on,107; effectof intensitydifferences on,106-8; effect of prior organization on,109, 112f.; effect of stress on, 104,
Ravel: RapsoclieEspagnole, ostinato ambiguous in, 137 f.; String Quartet, i [Ex. 35], polymeter in, 121 f. Recall, distinguished from recognition, 90
Recurrence, distinguished from reiteration, 151 f.; see also Return
Reiteration: deviations emphasized by, 152; distinguishedfrom recurrence, 151 f.; saturation and, 152 Renaissance music: cadences in, 66, 128; chromaticism and affect in, 219; deviation and affect in, 208;
harmony influencesmeter in, 117; minor mode developed in, 227 f.; ornamentation in, 206; polymeters
104 f.; dis-
107 f.; end-ac-
cented, 107;expectation and,14548, 242; form and, 112; freedom of,
in rhapsodic preludes, 239, 247; hemiole seeMeter!; higher architectonic levels of, 110-15, 145-49, 165; iambic, 103, 105 f., 112, 11315, 145, 147; iambic, result of dura-
tional differences,107; incomplete, 143-49, 165;incomplete, andpulse, 102; incomplete,on various architectonic levels,145; influenced by harmonic progression,149-51; influenced byLaw of Priignanz, 110; influenced b melody, 109; motor
behavior81; and!: nature of, 104-8;
in, 244 Repetition: continuation not, 93; effect
performers conceptionalters, 104, 107, 110,148; pivot alters, 111;rebuilding of, in Beethoven Quartet,
of, modifiedby context,49, 153;recurrence and reiteration types of,
148; reversal of, 110, 113 f., 125, 147; trochaic, 105, 106, 109, 112 f.,
151 f.; see also Return Return: deviations minimized in, 152;
meter, 106 f.; trochaic, result of in-
expectation and, 152; incompleteness emphasizes, 153; partial,152 f.; principle of, 151-56; on various architectonic levels, 151; see also Recurrence; Repetition
Reversal: defined,93; degreesof, 93; melodic, 97; rhythmic, 110, 112, 113, 125; from uniform to formed process, 171, 178, 182; see also Process continuation
145, 173;trochaic, difficultin triple tensity differences,106; uniformity of, 165, 168 f., 173, 181
Uniformity!; see
see also
also Accent;
Meter; Pulse; Stress
Riemann, Hugo:explanation ofminor mode, unsatisfactory, 222 f.; on understanding music,61 f. Roberts, Helen H., on deviation in folk
and primitive music, 214, 251-53 Romantic period:cadence changes in, 66; uniformity mitigated in, 174 Rhythm: ambiguous, 110, 147 f., 172 f., 180; amphibrach, 103 f., Russell, Bertrand,on understanding, 106, 110, 125; amphibrach, accent
39, 61
stressed in, 108 f.; anapest, 103f.; 106, 107,
125, 165;
anapest, on
higher architectonic levels, 110f.; anapest, resultof durational differences, 107; anticipation changes,
Sachs, Curt: on East Asiatic music, 209 f., 234; on position of new
tones, 50;on rhythm as form, 112; on rhythmictension andrepose, 242
Index 305 Salzer, Felix, views on criticized, 53
modulation
Sargeant, Winthrop,on uncertaintyin jazz, 243
Sargeant, W., and Lahari: Hindu music compared to jazz by, 237; on play element in Hindu music, 237 Saturation, 135-38; cultural attitudes
modify, 282 n. 12!; depends onbelief, 135; emotional nature of, 136; examples of, 135, 143, 182; expecta-
160, 184f., 178; unsatisfactory, 87, 161; weak,and ambiguity see Ambiguity!; weakened by segregation, 158; weakenedby uniformity, 16378 seealso Sequence; Uniformity!; weakening of,and affectiveexperience, 161,163 see also Suspense; Uncertainty!; weakening of, and texture, 186 f., 194 f. see also Texture! Simultaneous deviation; see Deviation
tion and, 135 f.;influenced bycon-
Sound, elements of; see Pitch, tempo, and dynamics pleteness, 135;understanding and, Sound stimulus: distinguished from 136 f. sound term,45 f.; meaning of, deSchenker, Heinrich:disciples of,critipendent oncontext, 45-47 cized, 52 f.; method of, and ornaSound term: and completeness,129; text, 136, 143; relation of, to com-
mentation, 205
Schubert: StringQuartet in A-Minor, minor mode in, 228; Symphony in C, ii [Ex. 75], uniformity vs. dif-
defined, 45 f.; on
different archi-
tectonic levels, 47; distinguished from sound stimulus, 45; meaning of, dependent on context, 46; and ferentiation in, 183 f. probability, 46 Statistics, use of, difficult in style Schumann, Robert,Humoreske, Op. studies, 55-56 20 [Ex. 57], uniformity in, 167 Seashore, Carl: deviation related to Strangways, A. H. Fox: embellishment discussed by, 210 f.; on Hindu affect by,201 f.;views of,discussed, 202 f. drumming, 235-37; probability Segregation ofstimuli, shapeaffected shown in rciga given by, 55; on by, 158, 162 f. tonality, 46,214 Sequence: alternative continuations of, Strauss, Richard:Also Sprach Zara174-77; context modifies undertlzustra, ambiguity of texture in, 193; Ein Heldenleben, cadence standing of,171; differenttypes of, from, discussed, 66 168 f.;effect ofirregularities in,177; expectation and, 170; mentalcontrol Stravinsky: onconquest ofdifficulties, weakened by, 170 f.; reversal of, 69; formalistposition of, 3; Histoire du Soldat, March [Ex. 32-34], 171, 178; uncertainty arousedby, 170-71; uniformity and, 168f.; see metric organizationof, 119-21; on motor behavior, 80 also Uniformity Shape: appraisalof, 158-60; expecta- Stress: onaccent altersgrouping, 104, tion and, 161 see also Expecta107-9; distinguished from accent, 104; onweak beatdoes notchange tion!; Gestalt nature of, 283 n. 1!; good, andmental security,161; inrhythm, 104 fluence of memory on, 89-91; in- Structural gaps, 130-35; built into telligibility of good, 161; melodic tonal systems, 132; distinguished see Melody!; nature of, 157-60; from continuity disturbance, 130; perception of,and experience,161, filling of, delayed, 135,142; filling 184 f. see also Learning; Pattern of, in different cultures, 44, 131-33; and tendencytoward equidistance, perception!; perception of, and 132-34 see also Equidistance, Law of Pragnanz see Priignanz, tendency toward!;in texture,189 Law of!; produced by similarity and difference,157 f., 161 f.; rhyth- Style: changes, influence ofcomposers on, 69-71;changes, influence of demic see Rhythm!; stability of viation on, 65-69; changes, influgood, 87; style and perception of,
306 Index Style continued!
response, 24 f.; inhibition
ence of extramusical events on, 65,
67, 72f.; changes,intramusical character of,65 f.; changes, patterns of, 64-69; changes in, cyclic, 72 f.; class concepts and, 57f.; continuity influenced by,101; expectationdepends upon, 30; and form, 57-59 see also Class concepts;Context; Form!; formal structure of, 45-60, 62 f.; formal structure of, leads to
changes, 65-69;learning and, 6064 see also Learning!; meaning and, 34f., 42, 46; misunderstanding of unfamiliar,
63; and
motor be-
havior, 79f.; plurality of, 60, 6264; probability and, 45, 54, 60; shape and,159 f., 184, 187f.; statistical studies of, 55 f.; structural
gaps and,44, 132;syntactical nature common to, 62 f. Subliminal differences, 158 f., 165 f.
of, basis
of affect, 14, 31 see alsoAffect!; inhibition of, and cognition,31; inhibition of, and conflict, 15; inhibition of, a deviation, 32 see also Deviation!; inhibition of, and mean-
ing, 39; inhibition of, and suspense, 27; see also Expectation; Psychological theory of emotions Texture, 185-95;ambi uity of, 192f.,
195; changes of, inflguence expecta-
tion, 189; completeness and,188; continuity of, expected in fugue, 191; effectof changesof, 189,190 f., 192; expectation created by, 185, 188, 190; as independentvariable, 188 f.; Law of Pragnanz influences perception of,
186 f.; meter influ-
enced by, 122; organizationof, influenced b experience, 187,190 f.;
spacing189 og:193; f., types of,
186; weakeningof, 193-95; see also Figure and ground Successive comparison, principle of, 152; see also Deviation, successive Thought processes:described, 88;ilSuccessive deviation; see Deviation lustrated in Chopin Prelude, 97; likened to affective and aesthetic Surprise: distinguished from unexprocesses, 88;see alsoCognition pected, 29; expectation and, 29; Tonal organization: architectonic understanding of,29 f. levels and, 214 f.; auxiliary tones Suspense: affectand, 15 f., 27; amimportant in, 215 f.; changes in, biguity and, 16, 26, 51; anxiety, 66 f.; development of,132-34; deignorance, and uncertainty create, 27-29, 161, 163 f., 171 f. see also viation and, 214-32; and expectation, 138, 214; and law of return, Uncertainty!; chromaticismand, in 151; learned, 46, 60-64, 85; and opera, 220f.; expectation created probability, 54-56; and sha e, by, 28; expectation notspecific in, 27; a kind of tendency inhibition, 27; minimal differences and, 182; musical and extramusical, 28 f.; res-
163178 f., structural f.; inaps cgiferent,f.;131 syntacticaf nature of,
45-51; seealso Style olution of, and style, 29; rhythmic Tonality; seeTonal organization incompleteness creates, 149; texture Tracey, Hugh,simultaneous deviation described by, 244 creates, 193-95; uniformity and, 163-78; seealso Ambiguity;Uncer- Trochaic rhythm;see Rhythm
tainty
Syncopation: changes of, 120f.; effect of, in
contemporary music,
120;
melodic-rhythmic changes create, 113 f.; and process
continuation,
121; rhythmic crossing not,239 f.; see also Meter; Rhythm
Uncertainty anxiety!: and affective experience, 15-16, 27-29, 96, 161, 163 f., 194 f., 208, 237, 242-43;
ambiguity and, 51 see also Ambi uity!; balance ofuniformity and
digerentiation 183; produces, belief and, 26 f.; chromaticism
Tendency: consciousor unconscious, 24; defined,
24; expectations
equated with, 23-25, 30; a habit
creates,
164, 220;loss of control andignorance arouse, 27 f. see also Control, mental!; minimal differences create,
Index 307 181 f.; mitigated by good shape, 167, 174; relativity of, 96; stylistic experience influences, 174; and tendency, 16; uniformity creates, 163 f., 171; weakenin
of texture
194 f.;total, effecton shape,158 f.; uncertainty arousedby see Suspense; Uncertainty!; whole-tone scale atype of, 164 Unity musical!, basis of, 53 f., 161,
196 creates, 193-95; see also Suspense
Understanding, natureof, in music, Vibrato: affective function of, 201; 39, 61; also seeMeaning Unexpected: and designative meaning, changing useof, 66 30; distinguishedfrom surprise,29; evaluation of, 29; see also DeviaWagner: Die Meistersinger, understanding ofBeclcmessers music, 30; tion; Expectation music of,norms presupposed by, 56; Uniformity, 163-78: ambiguity and, 166 f.; architectonic character of, system of connotations developed 165, 168; balance of, with differenby, 260;Tristan undIsolde, ActIII, tiation creates uncertainty, 183f.; bifurcation of process in,100, 113, 126; Tristan und Isolde, Act III basis of, 163; chromaticisma type [Ex. 9-14], melodic structure of, of, 164;effect of,influenced bycon97-101 ; Tristan und Isolde, Act III text, 171; effect of irregularity within, 174 f., 176; elements cre[Ex. 25-29], rhythmic-metric structure of, 112-15 ating, complementary, 164 f.; expectation and, 163, 170-71, 174, Waterman, Richard Alan, on African 178, 182, 194-95; harmonic, 16683; harmonic, minimal differentiation creates, 178-82; harmonic, miti-
music, 242
Watt, H. ]., on structural gapsin different cultures, 131
gated bymelodic-rhythmic articula- Weld, H. P., mood response distinguished fromaffect by, 7 of uniformity intensify, 167f., 169, Wetheimer, Max,on thinking process, 87 f. 180; harmonic, types of, 166-68;
tion, 166-68; harmonic, other modes melodic, 163-65, 167 f., 169, 173 f.;
theories of, and tendrhythmic, 164f., 168, 172 f.; sense Yasser, ]oseph, of control weakened by,161, 163, ency towardequidistance, 133 171, 176; sequence atype of, 168 see also Sequence!; suspension Zarlino, function of dissonance described by,229, 232 technique atype of, 170; of texture,
