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Home , Music and emotion

Once More, With : The Psychological Mechanisms Underlying Induction in

Candidate: Andrey Barsky Supervisor: David D. Clarke Degree: BSc Psychology

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Contents

1. Overture: The Paradox of Musical 3 2. The Enculturation Hypothesis 4 3. A Multi-Modal Approach 5 i. Subcortical reflexes 6 ii. Memory & learning processes 6 iii. & contagion 7 iv. Musical expectancy 8 v. Discussion 9 4. Coda 10 5. References 11

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1. Overture: The Paradox of Musical Emotions

Music remains an inconsistency in the contemporary study of emotion. Though emotion in general is not fully understood (the current literature finds difficulty even in defining the term) there are a number of common categorical elements present in many of the field’s currently-held formulations. ‘Emotion’ is described conservatively by Scherer (2004) as a hypothetical construct referring to a class of phenomena that effect broad changes in an organism’s cognition, behaviour and physiology. Typical emotions tend to arise where our goals are fulfilled or threatened and as a result we feel happy, content, angry or upset and so on; emotions are also responsible for approach and avoidance behaviours such as , excitement, or . Emotions have intentionality (Solomon, 1993), that is to say they are directed at an object in the linguistic sense – when we are afraid or envious of something, that is necessarily to say that the thing is dangerous and needs avoiding (the fear response), or that the thing is desirable and we do not have it (the response). We are sad that our house has burned down, or happy about our hard-earned promotion.

Music, however, is an anomaly in that it expresses and elicits emotion but does not appear to be characterised by any of these common features. It has no obvious relation to our biologically- derived goals, nor does an emotional response to music seem to confer any adaptive advantages to the organism. It seems not to be immediately representative of anything, unlike most other forms of art such as literature, theatre and painting – while these, too, can elicit a broad range of emotion, they more often depict or resemble facets of human experience that would produce emotion outside of the artistic medium (Aiken, 1998). Moreover, musical emotions lack clear intentionality - when we are moved by, for instance, a melancholy orchestral composition, our is not directed at the music itself. We do not feel for having heard the song, nor do we imagine the miserable composer writing at his desk and feel our share of his plight – the beliefs that typically accompany sadness are nowhere present in this case. In general, musical emotions appear arbitrary. The psychophysical difference between, for instance, a major and a minor third is no more than a small variation in , and yet the two have puzzlingly different emotional spectra.

In brief, the mechanisms that produce ‘typical’ emotions that occur in real-world tasks seem unable to account for the emotions produced in response to music. The question, then, is whether music indeed holds a privileged space in the human brain – is there a psychological mechanism that has developed specifically for the purpose of recognising and responding to musical stimuli? The presence of some form of music within every known past and present human society (McDermott, 2008) makes it tempting to suppose that this is the case, and speculation may be had as to the adaptive advantages of such a module. If, however, musical emotions may be explained parsimoniously with reference to existing emotional mechanisms, then there should be no need to posit a uniquely evolved module to this same end.

2. The Enculturation Hypothesis

A specific psychological module responsible for musical emotions would likely have developed to respond in specific ways to specific musical themes and features. One of the major disputes within the psychology of music is whether or not elicited emotions indeed constitute an innate, hard- wired response, or if the response is a learned association between recurring musical features and what have traditionally been the emotions accompanying their composition and performance. To 3 put it another way, does a song in minor key sound ‘sad’ because of the fact that it is in minor key, or because minor keys have been persistently associated with compositions intended to sound sad?

This latter line of thinking is known as the ‘enculturation hypothesis’ (e.g. Walker, 1996, Feld & Keil, 1994). It posits that over the course of our lives we learn implicitly that particular tropes of musical performance and composition are considered ‘melancholy’, ‘hopeful’, ‘dreamy’ and so on, in a manner that is subject to cultural and individual variation but is psychologically arbitrary. We experience the appropriate emotions by internalising these associations over time. The question is an important one to resolve in the context of our investigation, since if musical emotions can be explained largely as a product of learning mechanisms then this presents an easily available mechanism that has a non-musical origin.

Fortunately, the theory presents a testable hypothesis. Various culture groups use distinct tonal systems that are often unfamiliar to one another – if, for instance, the musical qualities that define a composition as ‘calm’ or ‘cheerful’ to a European listener are similar to those used in music from other cultures, then listeners will be capable of perceiving the same expressed emotions in a composition regardless of its cultural origin. Research has typically favoured the view that specific emotional cues exist in music, even in cross-cultural studies (Behrens & Green, 1993; Crist, 2000; Hoshino, 1996; Gregory & Varney, 1996; Balkwill et al., 2004). In one of the better-known examples, Balkwill & Thompson (1999) had Western participants listened to sections of Hindustani ragas and attempt to identify the emotions involved. The nature of raga music is such that it is written and performed specifically to convey one of a number of emotional moods, called rasas. Listeners were sensitive to the intended emotion in the raga when this was , sadness, or , but not peace (note that this exclusion may possibly reflect a non-musical cultural distinction regarding the status of peace as an emotion).

In addition, some recurring psychophysical features associated with particular emotional moods across both Western and Hindustani music were identified – sad songs are slow in and melodically complex, joyful songs are fast in tempo and melodically simple. It is unlikely that the extent of emotion differentiation in music is so simple, but the finding suggests that there are indeed innate musical properties associated with specific emotional spectra, and that these need not be learned but occur consistently across musically disparate cultures.

However, it should nonetheless remain uncontroversial to note that learning and memory do play a role in eliciting musical emotions, as anyone who has been subject to the ‘Darling, they are playing our tune’ phenomenon (Davies, 1976) will attest. Though there appear to be particular universal psychophysical cues to musical emotion, these need not be the extent of the picture. Answering the question of the enculturation hypothesis solves one issue, but explains little of the underlying processes of musical emotion induction because these psychophysical cues do not seem to account for the full range of emotions experienced. It is proposed here that a more adequate conception of musical emotion processes should consider the influence of a number of parallel mechanisms.

3. A Multi-Modal Approach

Rather than conceptualising musical emotion as a learned cultural response, or as an innate reaction to specific psychophysical features, it seems reasonable to propose that both of these may play a part in the production of emotions, and neither one need exclude the other. The study of musical emotions has tended to suffer due to a number of disagreements and inconsistencies in the literature, and a framework that postulates multiple independent induction mechanisms seems

4 promising in being able to resolve these (Juslin & Västfjäll, 2008). Note, for instance, that the induction of emotional experiences can be recognised as separate from the mere perception of emotion in music. Listeners may accurately ascribe some affective predicate to a composition (“what a sad song”) without necessarily experiencing the attributed emotion firsthand (Gabrielsson, 2002). There is relatively good agreement between listeners across cultures on what emotions a musical piece expresses, but strong emotional reactions to music tend to vary greatly between different listeners, based on differences in personal experience. The underlying distinction between the processes that express and elicit emotion in musical contexts may simply be between the particular mechanisms involved in either.

The proposed mechanisms range in complexity and in level of processing - the simplest may easily be connected to well-known methods of emotion induction. Consider the example of a hard- working student attempting to study, but finding himself constantly distracted by his neighbour’s loud music. He feels angry in response and the anger emotion motivates his behaviour to, for instance, go next door and curse at the offender. The influence of accompanying lyrics is another such example: an emotional response to lyrics is unsurprising given their semantic and representational content. These are examples of musical emotions that may be related to typical induction mechanisms without difficulty and without controversy – so much so that it is easy to dismiss them as ‘proper’ musical emotions in their own right. The question remains whether all musical emotions can be explained in this way.

What follows is an attempt at a broad discussion of the primary classes of emotion induction mechanisms seen in music, based on areas of concentration in the literature and in particular on Scherer (2004) and Juslin & Västfjäll (2008), who independently proposed lists of these mechanisms. The four coherent categories identified here are: subcortical reflexes, memory & learning processes, emotional expression & contagion, and musical expectancy (although others are alluded to). Emphasis is placed on how these may or may not be related back to the induction of typical, non-musical emotions.

i. Subcortical reflexes

Perhaps the most psychologically basic mechanism is the brain stem reflex, an early-stage neurophysiological response to the low-level acoustic features of music, or more simply the sound of music (Juslin & Västfjäll, 2008). These are generally limited to simple changes in that accompany the startle or responses (Beveridge & Knox, 2009). Particular psychophysical features of a sound can provoke a strong displeasure or revulsion response, the archetypical example of this being the ‘nails-on-a-chalkboard’ effect. Halpern et al. (1986) identify the specific low-frequency spectral components involved in this response, and compare these to the auditory profile of primate warning calls, as well as the vocalisations of predators (Ploog, 1992). This suggests a primitive evolutionary reflex that may be exploited by musical compositions, where dissonant musical sounds evoke a similar response by virtue of their acoustic similarity to these sounds.

The basic pleasant response to consonant sounds is less-well understood, although consonance (and what constitutes it) has seen significant over centuries of musical theory and acoustic research. Six-month old infants respond positively to consonant music, implying that its pleasance is an innate quality rather than a learned response (Trainor & Heinmiller, 1998). In the simplest case, consonance may be fundamentally pleasing at various gradations merely due to its lack of dissonant qualities (Itoh et al., 2003). Most natural sounds, and in particular human speech, are harmonically consonant (Peretz, 2008). To some extent the subcortical reflex mechanism appears to offer an explanation for the perception of basic emotional valence in music (which is not

5 specific to music), though not for any further speciation between the various emotions that may be produced.

ii. Memory & learning processes

The strong relationship between music and memory is well-documented, and the aforementioned ‘Darling, they are playing our tune’ phenomenon is seen consistently throughout psychological literature. Relative to other sensory inputs, music is an exceptionally powerful recall cue, able to evoke vivid memories with which it is associated, and the emotions accompanying those memories (Gabrielsson, 2001; Baumgartner, 1992). Scherer & Zentner (2001) propose that music’s strength in this regard is a combination of two factors: first, that many personally significant events in one’s life are accompanied by music as a matter of tradition, including weddings, graduations, parties and religious rites; and second, that music is processed in part by subcortical memory structures that are especially resistant to extinction (LeDoux, 1992).

Related but distinct is the mechanism of evaluative conditioning, whereby an unconditioned, positively or negatively-evaluated stimulus is paired with a conditioned neutral stimulus, modifying the CS’s affective valence in the direction of the UCS (Martin & Levey, 1978). In music, this can occur where particular songs (or even particular features of music) are repeatedly and consistently paired with particular events, places or people. Crucially, and in contrast to other forms of classical conditioning, both the conditioning process and the affective response may be implicit, occurring without awareness by the listener (Field & Moore, 2005). Like musical memory, evaluative conditioned associations are resistant to subsequent modification. Juslin & Västfjäll (2008) suggest that this mechanism may explain why some music may elicit an emotional reaction “for no apparent reason”, based on the “unconscious, unintentional and effortless processes” that underlie evaluative conditioning.

As this mechanism is non-specific to music, the conditioning may occur in either direction – affectively valenced objects or events can establish a conditional response to previously-neutral musical stimuli, just as affectively valenced music can establish a response to other neutral stimuli (Eifert et al., 1988). It may also be speculated that music can influence the affective valence of other music associated with it. In any case, these are phenomena well-documented to occur outside of the musical modality.

iii. Emotional expression & contagion

Emotional contagion is a higher-level social mechanism whereby an induces similar emotions in others (Hatfield et al., 1992). This may be seen in situations where, for example, we interpret someone’s facial muscles as expressing anger or fear (Ekman, 1994) and this may lead us to mirror that emotion in turn (e.g. Hess & Blairy, 2001). In music, occurs where the music expresses or resembles some emotional tone, and this emotion is converged upon by the listener.

The basis of this musical expression may be related to the common characteristics of expressive speech (Juslin & Laukka, 2003). Humans are capable of perceiving emotional tone in the psychophysical qualities of another’s voice, and different emotions may be consistently expressed in the spoken word using different combinations of volume, tempo, pitch contour and so on. This is a biologically advantageous ability – the capacity to easily express and perceive emotions as part of normal communication has obvious benefits to a social organism. ‘Super-expressive voice theory’ postulates that music hijacks this emotional perception module, itself having been developed to specifically and efficiently mimic these psychophysical markers in order to produce an emotional response.

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Scherer (1995) suggests that sung music expresses emotion by virtue of its similarly to emotional expression in spoken language. A stronger claim is that even instrumental music has this effect, despite the lack of human vocal involvement. Juslin & Laukka’s (2003) broad review of studies into music performance and vocal expression offers support for this hypothesis, finding that there are certain acoustic cues that consistently express similar emotions in both the vocal and instrumental modalities. For example, anger expression is characterised by fast speech rate/tempo, rising fundamental frequency/pitch contour, fast voice onset/tone attack, microstructural irregularity and a number of other features summarised in their paper, along with similar lists for other emotions.

Koelsch et al. (2006) further found through fMRI that the perception of emotion in heard music also activates brain areas involved in speech production, even when singing was controlled for. This suggests a link between instrumental music and the voice that gives credence to the super- expressive voice theory. Hatfield et al. (1992) conceive of emotional contagion as “the tendency to automatically mimic and synchronize facial expressions, vocalizations, postures, and movements with those of another person and, consequently, to converge emotionally” (pp.153-154) – if music may indeed be considered an analogue of the human voice in some respect, then this activation of speech areas may represent direct neural evidence of emotional contagion through the vocalisation medium in music.

iv. Musical expectancy

Higher-order musical principles such as tension and resolution are used to great effect by composers of music, who are aware that listeners implicitly or explicitly anticipate the continuation of schematic musical structures through time. When our various expectations are met, delayed, or subverted, our affective system responds in different ways (Koelsch, 2005) – this is what gives music much of its character. Musical expectancy is a predictive process undertaken automatically and unconsciously (Meyer, 1956), based on an understanding of (Lerdahl & Jackendoff (1977). According to the outcome of our , we may experience differentiated emotions such as , , suspense or (Steinbeis et al., 2006).

The psychological basis of musical expectancy is the more general human aptitude to form expectations and predictions based on past experience (Huron & Margulis, 2010). This is a useful ability with considerable survival value, and innumerable cognitive tests throughout psychological history have shown it to be a persistent and automatic aspect of normal functioning (see for example Posner & Petersen, 1990). Owing to its survival role, the prediction mechanism is intimately associated with the emotional system (Wilson & Gilbert, 2005). Huron (2006) argues that accurate prediction is likely to be positively reinforced by the brain due to this role, and notes a number of music-induced emotions that may be attributed to various forms of musical expectancy. In addition to the satisfaction and violation of expectations, failure to establish clear expectations in the first place may be another source of affective response (Margulis, 2007).

Huron & Margulis (2010) speculate as to the neurochemical processes underlying positive reinforcement in successful prediction. They discuss how the rewarding effects of the dopamine neurotransmitter are specifically tuned to the experiences of seeking and expectation, rather than the consummation of some desired target. This is advantageous, since motivated ‘wanting’ of, for instance, food, should begin before it is actually needed in order to offer better chances of survival. Expectation and are thus closely tied to affective systems, which may explain the musical expectancy mechanism of emotion induction. Based on this, it is highly unlikely that the role of expectation in emotional response is limited to music alone. Humour, for instance, is often

7 conceptualised as a product of incongruity between an imagined and actual outcome (e.g. Deckers & Buttram, 1990).

Violations of musical expectations often result in phenomena variously called thrills, chills, shivers, or ‘frisson’ (an equivalent French loanword and Huron’s preferred term – proposed alternative labels such as ‘skin orgasm’ have failed to gain currency). These are bodily expressions of a peak non-specific emotional reaction (Sloboda, 1991), easily measurable by self-report or physiological methods and thereby often used in musical emotion research. Frisson is particularly useful as a paradigm for studying musical expectancy, as it tends to occur at points of sudden or significant change in meter, key, melody, harmony, volume or timbre (Sloboda, 1991).

The accompanying pattern of neural activation reflects brain areas involved in reward and motivation: the nucleus accumbens, ventral tegmental area, and other reward centres all show heightened activation during musically-induced chills (Blood & Zatorre, 2001). This reflects the positive affective experience of frisson resulting from expectation violation, although precisely how this relates to aforementioned principles of anticipation reward and motivation is yet to be determined. Frisson is not unique to musical experiences – indeed, Grewe et al. (2011) note that chills may be elicited by stimuli across any of the five traditional sensory modalities, as well as by mental self-. In a number of regards, emotion induction through musical expectancy appears at least in principle to be reducible to the induction mechanisms of a number of typical emotions.

v. Discussion

This multi-modal theory of musical emotion mechanisms is appealing for a number of reasons. First, it resolves numerous disputes in the literature that arise not only due to a failure to consider the underlying mechanisms of musical emotions, but also an implicit assumption that the mechanisms are roughly equivalent and interchangeable (Juslin & Västfjäll, 2008). Second, it provides a parsimonious explanation as to why a single composition may express more than one emotional tone, a consistent finding according to Li & Ogihara (2003) – this happens when more than one mechanism is involved at a time and produce conflicting emotional reports that are experienced in unison. In a related sense, this combination of active mechanisms may resolve a phenomenon known to philosophers as the paradox of tragedy – the question of why a negatively valenced musical work (such as a sad song) may still be found pleasurable, and why we may come back and listen to it again and again.

It is unlikely that the various mechanisms discussed constitute an exhaustive list of all those that are active in producing musical emotions. Others have been proposed, and their exclusion in this section is not a statement as to their perceived validity but to the lack of relevant research surrounding them. Scherer (2004), for instance, proposes a proprioceptive feedback module, where low-level musical beats induce the bodily urge to , and the emotional response is a result of the bodily sensations from the dance act itself. Juslin & Västfjäll (2008) postulate a mental imagery mechanism, whereby the resemblance of musical structures and melodies to real-world objects in some sense elicits mental representations of emotional scenarios, such as relaxing nature scenes, which act as a proxy for the emotional response to affectively-valenced scenes in general. Future research may shed more light onto the nature of these mechanisms, as well as any others that may become evident. However, the four mechanisms discussed may account for a significant amount of the variation in musical emotions, and present the outline of a well-grounded framework for understanding the way in which music (we may say ‘paradoxically’) elicits emotions in listeners.

4. Coda

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There is a trend among the emotion induction mechanisms described here, where even the elusive- sounding processes appear explicable within the context of conventional emotion mechanisms once explored in depth. Subcortical reflexes are primitive responses to general auditory stimuli that are oriented toward environmental alertness. Evaluative conditioning is a form of classical conditioning that has survival value in creating positive and negative stimulus associations. Emotional memory recall is useful for and making beneficial future decisions. Emotional expression in music is a function of its similarity to the human voice, and the emotional contagion based on this expression is a social process useful for group cohesion. Musical expectancy arises based on our ability to recognise syntax and grammar (likely a counterpart of our language faculty) and our affective response to the outcome of these expectations is based on reward seeking brain mechanisms.

None of these are specific to the music modality, and it seems increasingly unlikely that any further proposed mechanisms would constitute a specialised music module based on this pattern. The case appears to be, rather, that the human affinity for music is an evolutionary spandrel arising from the combined function of several independent modules, including the capacities for language, vocal expression, and automatic sequence prediction. Our tendency to respond emotionally to music as listeners is a fortunate accident, born from the way in which these interact with each other under certain circumstances – these forms of emotion induction are then put to great use by artists and composers through mastery of the musical elements available to them.

This paper began with the question: ‘Is music unique?’. It appears not to be, in the sense that it is neither privileged nor innate, but this is only one perspective. Music certainly is unique in a number of ways, not the least of which being the privileged position it holds in human society and in the emotional lives of individual people. Juslin & Västfjäll (2008) advance that:

“What is unique about musical emotions is not the underlying mechanisms or the emotions they evoke, but rather the fact that music – unlike most other stimuli for our emotions in everyday life – is often intentionally designed to induce emotions, using whatever means available” (p.572)

The startling fusion of multiple psychological mechanisms into the powerful and evocative whole we know as ’music’ seems extraordinarily unlikely from ground-level. But by virtue of music’s continued use over thousands of years in manipulating human emotions, it has become a complex and intricate phenomenon with a fantastical ability to influence us; constantly changing and evolving in order to better suit its human-designed purpose. Understanding the mechanisms involved in eliciting musical emotions can do nothing but help this cause.

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5. References

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