A Cross-Cultural Investigation of the Perception of Emotion in Music

A Cross-Cultural Investigation of the Perception of Emotion in Music: Psychophysical and Cultural Cues Author(s): Laura-Lee Balkwill and William Forde Thompson Source: Music Perception: An Interdisciplinary Journal, Vol. 17, No. 1 (Fall, 1999), pp. 43-64 Published by: University of California Press Stable URL: http://www.jstor.org/stable/40285811 . Accessed: 15/10/2014 16:19

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This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions Music Perception © 1999 by the regents of the Fall 1999, Vol. 17, No. 1, 43-64 university of California

A Cross-CulturalInvestigation of the Perceptionof Emotion in Music: Psychophysicaland CulturalCues

LAURA-LEE BALKWILL & WILLIAM FORDE THOMPSON AtkinsonCollege, YorkUniversity

Studiesof the link betweenmusic and emotion have primarilyfocused on listeners'sensitivity to emotionin the musicof theirown culture.This sensitivitymay reflectlisteners' enculturation to the conventionsof their culture's tonal system. However, it may also reflect responses to psychophysicaldimensions of soundthat are independentof musicalex- perience.A model of listeners'perception of emotion in music is proposed in which emotionin music is communicatedthrough a combina- tion of universaland culturalcues. Listenersmay rely on eitherof these cues, or both, to arriveat an understandingof musicallyexpressed emotion. The currentstudy addressed the hypothesesderived from this model using a cross-culturalapproach. The following questionswere investigated:Can peopleidentify the intendedemotion in musicfrom an unfamiliartonal system?If they can, is theirsensitivity to intendedemotions associatedwith perceivedchanges in psychophysicaldimensions of music?Thirty Western listeners rated the degreeof joy, sadness,anger, and peacein 12 Hindustaniraga excerpts (field recordings obtained in North India).In accordancewith the raga-rasasystem, each excerpt was intendedto conveyone of the four moods or "rasas"that correspondedto the four emotionsrated by listeners.Listeners also providedratings of fourpsychophysical variables: tempo, rhythmic complexity, melodic complexity,and pitch range. Listeners were sensitive to the intendedemotion in ragas when that emotion was joy, sadness,or anger.Judgments of emotion were significantlyrelated to judgmentsof psychophysicaldimensions,and, in some cases,to instrumenttimbre. The findingssuggest thatlisteners are sensitive to musicallyexpressed emotion in an unfamiliar tonalsystem, and that this sensitivityis facilitatedby psychophysicalcues. ReceivedNov. 2, 1998; acceptedfor publicationApr. 28, 1999.

is generallyagreed that humans tend to make associations between emotion and music, but many questionsremain as to the natureof these associations.For example,although it is well establishedthat people make similar judgmentswhen they are asked to describemusically expressed

Addresscorrespondence to Laura-LeeBalkwill or WilliamForde Thompson, Depart- mentof Psychology,Atkinson College, York University, Toronto, Ontario M3J 1P3,Canada, (e-mail:[email protected] or [email protected])

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions 44 Laura-Lee Balkwill & William Forde Thompson emotion (Behrens& Green, 1993; Dolgin & Adelson, 1990; Gabrielsson & Juslin, 1996; Gerardi& Gerken, 1995; Haack, 1980; Kratus, 1993; Robazza,Macluso, &cD'Urso, 1994; Terwogt&c van Grinsven,1991; Th- ompson & Robitaille, 1992), it is not known to what extent these judgments are based on knowledgeof culturalconventions or on basic perceptual cues that transcendcultural boundaries. Sometheorists favor an enculturationexplanation - that musicalmean- ing is determinedexclusively by culturalconvention (Blacking, 1973; Feld & Keil, 1994; Walker,1996). These theorists may acknowledgecertain universalsin music, such as octave equivalence(Dowling &cHarwood, 1986), but they assume that the interpretationof emotional meaningin musicis determinedsolely by enculturationto a specifictonal system.Feld and Keil (1994, p. 85) providean exampleof this perspective:"All musical sound structuresare socially structuredin two senses:they exist through socialconstruction, and they acquire meaning through social interpretation." Empiricalevaluation of this issuehas beencomplicated by the unicultural focus of previousresearch.1 With few exceptions(Deva &cVirmani, 1975; Gregory&c Varney, 1996; Hoshino, 1996), the existing researchon emotional meaningin music has focusedon music from the Westerntonal system and on the judgmentsof Westernlisteners. This body of researchdoes not, therefore,provide a basis for evaluatingthe enculturationhypothesis of the perceptionof emotion in music. Althoughno one would denythe influenceof cultureon individuals'judgmentsof emotionin music,there may also be universalinfluences underly- ing musicallyexpressed emotion. In additionto the conventionsof a specifictonal system, listeners may be influencedby variationsin psychophysical dimensionsof music, such as tempo, timbre,and stimuluscomplexity. For our purposes, a psychophysicaldimension will be defined as any propertyof sound that can be perceivedindependent of musical experience, knowledge,or enculturation.For example,speed of pulse, or tempo, is a psychophysicaldimension, whereas a perfectcadence is not. Complex- ity is also a psychophysicaldimension, because judgments of complexity do not rely on familiaritywith the stimulus.Early studies of experimental aestheticsrevealed that judgmentsof complexity are strongly influenced by such factors as the number of elements perceived,and the degree of informationredundancy (for a review,see Berlyne,1971). Such variables can be manipulatedin unfamiliaror otherwisemeaningless stimulus patterns (e.g., random dot patterns),resulting in reliablechanges in judged complexity. A numberof studies have reportedstrong relationshipsbetween emotional judgmentsand psychophysicaldimensions such as tempo, timbre, 1. The term "uni-cultural" refers to studies in which the listeners and the music stimuli are of the same culture.

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions Emotion in Music 45 and loudness(Behrens & Green,1993; Gabrielsson& Juslin,1996; Gerardi &CGerken, 1995). Otherevidence suggests that increasesin perceivedcom- plexity may be associatedwith arousal responses (Berlyne,1971, p. 69) and shifts in aestheticevaluation (Day, 1967, 1968; Vitz, 1966b). These dimensionsof musicare not culture-specific,and hence,they may function as universalcues for the emotionalevaluation of all auditorystimuli. Al- though the basis for such evaluationsis unknown, they may have origi- natedas adaptiveresponses to acousticinput - for example,to threatening and nonthreateningsounds.

A Model of the Perception of Emotion in Music

Studiesof the perceptionof unfamiliarmusic have illustratedthat listeners who are unfamiliarwith a musicalidiom are nonethelessable to appre- hend structuralaspects of that music by attendingto basic statisticalprop- erties.Without knowledge of the stylisticconventions of the music,listeners attend to the statisticaldistribution of pitches as one way of interpreting North Indianmusic (Castellano,Bharucha &c Krumhansl, 1984), Balinese music (Kessler,Hansen, &cShepard, 1984), and artificialtonalities (Oram & Cuddy,1995). These findingsillustrate that listenersare highly adapt- able in their abilityto interpretunfamiliar musical styles. It is reasonableto assume that the perceptionof emotion in music is similarlyadaptable. Consciously or intuitively,composers and performers may draw upon basic perceptualcues (in the form of psychophysicaldimensions of music) as well as culturallydetermined conventions, to express emotion in music. Listeners,in turn, may attend to either of these sourcesof emotionalmeaning. Because emotion is conveyedthrough both culture-specificand perceptualcues, there is often redundancyin how a piece reinforcesa specificemotion. The more cues that are presentin the music- both culture-specificand perceptual- the strongerthe expression of emotion.Thus, listeners'understanding of the musicallyexpressed emotion shouldbe affectedboth by theirfamiliarity with the conventionsof the tonal systemand also by their sensitivityto basic perceptualcues. In Figure1, we presenta model of how listenersattend to the cultural and universalcues embeddedin a piece of music to arrive at an understandingof musicallyexpressed emotion. The expressionof emotionin the music of a given culture should be most salient to listenersof the same culture,due to the sharedunderstanding of the conventionalrepresenta- tion of emotion within that tonal system. Whenfamiliar cultural cues are absent,the listenermust pay moreatten- tion to basic perceptualcues, such as tempo and complexity.These cues allow listenersto gain a generalunderstanding of the intendedemotion.

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Fig. 1. The figure illustrates several points: (l)Each tonal system has its own distinct cultural cues pertaining to musically expressed emotion that may not overlap with the culture- specific emotion cues of another tonal system. (2) Psychophysical cues pertaining to emotion are present in all tonal systems and thus provide an overlap of information facilitating cross-cultural recognition of musically expressed emotion.

It is possible to argue that the association of psychophysical dimensions of music with the perception of emotions is also the result of enculturation and may differ between cultures. If so, then listeners should be unable to identify an intended emotion in music from an unfamiliar tonal system. If these associations are not culturally determined, however, then listeners should be able to transcend cultural boundaries and recognize intended emotions in music from an unfamiliar tonal system. The present study was designed to investigate this possibility. Our first hypothesis was that listeners enculturated to one tonal system can accurately perceive the intended emotion in music from an unfamiliar tonal system. Our second hypothesis was that listeners use psychophysical dimensions of music as cues to identify musically expressed emotions. To evaluate these hypotheses, listeners enculturated to Western tonal music were asked to judge the emotional content of music performed in an unfamiliar tonal system from another culture. Listeners also provided judgments of several psychophysical dimensions in the same musical stimuli.

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Pilot Study

As an initialassessment of the model, a pilot studywas conducted.Four- teen studentsat YorkUniversity, Toronto, were exposed to six short music samples(less than 2 min each)in the tonal systemsof Kyrgystan,Hindustan, and the Navaho Indians.2Two samples,one representingjoy and one rep- resentingsadness, were taken from each tonal system.Half of the students were asked to rate their perceptionsof tempo and complexity for each sampleon scalesnumbered one to nine (low to high). The other half were askedto ratetheir perceptions of joy and sadnesson similarscales for each sample. The resultsindicated that listenersassigned high ratingsof joy (mean= 6.75) and low ratings of sadness (mean = 3.14) to the three samples intended to convey joy. Conversely,they assigned high ratings of sadness (mean = 5.62) and low ratingsof joy (mean = 2.33) to the three samples intendedto convey sadness.These results supportthe view that listeners can perceivemusically expressed emotion in musicfrom an unfamiliartonal system. A correlationalanalysis revealed the relationshipbetween listeners' ratings of joy and tempo, and sadness and tempo. The correlationbetween joy and tempo, r(10) = .87, p = .023, and between sadness and tempo, r(10) = -.86, p = .027, supportedthe view that listeners'ratings of emotion in the music were influencedby the psychophysicaldimension of tempo. The directionof these relationshipsis identicalto those reportedby previous studies involving only Westerntonal music (see Haack, 1980, for a review).The correlationsbetween ratingsof joy and complexityand ratings of sadnessand complexitywere not significant. The resultsof this pilot study suggestedthat listenersof one culturecan perceivethe intendedemotion in musicfrom unfamiliartonal systems.Fur- thermore,there was a very strong relationshipbetween judgmentsof joy and sadnessand judgmentsof tempo. A largerexperiment was conducted to corroborateand expand upon these preliminaryfindings with a wider range of emotion judgmentsand psychophysicaljudgments. We focused on Westernlisteners' perceptions of emotionsand psychophysical dimensions in samplesof Hindustaniragas. The Hindustaniclassical tonal systemis particularlysuited to the study by virtue of the raga-rasaaspect of Hindustanimusic theory.Hindustani classicaltheory specificallyoutlines traditionalrelationships between the ragas and their correspondingmoods, or rasas. An interestingaspect of 2. Musicstimuli: Track 2 and 10 fromSongs of the Navajo. (1993). JVCWorld Sounds, Albuquerque,New Mexico;Track 2 and 14 fromSongs of Kyrgyzstan.(1992). WorldMusic Library;Bhupali alap, and Jogyaalap, takenfrom field recordings(India, Dec. 1996).

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions 48 Laura-Lee Balkwill 8c William Forde Thompson classicalHindustani music is the performer'sfreedom to reinforcethe ex- pressedrasa of each piece. The emotionaltheme of a raga is most strongly expressedduring the alap* or improvisational,section of the performance (fora moredetailed description of Hindustanimusic theory, see Kaufmann, 1968). By using field recordings(obtained during a researchtrip to India in December1996), we were able to obtain alap samplesfor which the indi- vidualperformer's intention to evoke a specificrasa could be verified.The two performerswho participatedin this studywere askedto play the alap portionsof ragasthat they would normallychoose if they wishedto convey four specific emotions: ]oy/hasya, sadness/karuna, anger/raudra,and peace- iulness/shanta. These four target emotions have a well-documentedhistory in the psy- chologicalliterature and they are the nearestequivalents of four of the nine rasas identified in Hindustani music theory (A. Ranade, S. Rao, &cS. Devasthali,personal communication, December 1996 to January1997). Joy and sadnesshave been the most reliablyidentified and distinguishable musicallyexpressed emotions in Westernmusic by Westernlisteners (Haack, 1980). Anger has also been identifiedin Westernmusic, albeit with less consistency(Behrens & Green,1993; Terwogt&c van Grinsven,1991; Th- ompson & Robitaille, 1992). Anger is not often conveyedin Hindustani music: The correspondingrasa, raudra,is very rarely used and is often consideredto be incongruentwith the North Indianview of musicas inher- ently peaceful(A. Ranade,S. Rao, & S. Devasthali,personal communication, December1996 to January1997). Peace, on the other hand, is con- sideredthe basic rasa of all ragas. Peace was also includedas a suitable oppositeto angerand becauseseveral studies have indicatedthat peacefulness (a.k.a. restfulness)is reliably perceived in music (Terwogt & van Grinsven,1991; Thompson& Robitaille,1992). A numberof psychophysicaldimensions of musichave been linkedwith judgmentsof emotion in music, includingtempo, melodic contour,har- monic complexity,melodic complexity, rhythmic complexity, articulation, dynamics,consonance/dissonance, pitch register, and timbre (Crozier, 1974; Gabrielsson& Juslin,1996; Gerardi& Gerken,1995; Hevner,1935, 1936; Holbrook& Anand,1990; Kastner & Crowder,1990; Kratus, 1993; Nielzén & Cesarec, 1982; Rigg, 1940; Scherer& Oshinsky,1977; Vitz, 1966a; Wedin, 1972). Five of these dimensionswere examined:tempo, melodic complexity,rhythmic complexity, pitch range,and timbre.

3. The alap is the opening section of any traditional Hindustani raga and is traditionally used to set the mood, or rasa, of the rag before the set composition (the gat) section. Al- though performers must only use the notes within the chosen raga scale, the duration, tempo, and rhythm of this section can be varied at their discretion.

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Among these psychophysicaldimensions, tempo has been most consis- tently associatedwith emotionalcontent. Hevner (1935, 1936) reporteda strong associationbetween ratingsof sadness and joy in music and slow and fast tempi, respectively.These findingshave been replicatedin a number of studies (for a review, see Haack, 1980) and more recently by Gabrielssonand Juslin (1996). In accordancewith these findingsfor West- ern tonal music, we predictedthat higherratings of joy would be associatedwith higherratings of tempo, whereashigher ratings of sadnesswould be associatedwith lower ratingsof tempo. Melodic and rhythmiccomplexity may also be useful in the differentia- tion of emotionsin music. Our predictionswere basedon both theoretical and empiricalconsiderations. First, according to Berlyne's(1971) optimal complexitymodel, listeners should prefer stimuli perceived to have a middle level of complexity.Because the ragas were unfamiliarto listeners,only relativelysimple melodies and rhythmsshould fall withinthis optimallevel. Second,researchers have found that simplermelodies, that is, those con- tainingfewer variations of melodiccontour and more repetition,are associatedwith positiveand peacefulemotions, while more complex melodies, that is, those featuringmore variationand less repetition,are associated with anger and sadness (Crozier,1974; Imberty,1974; Vitz, 1966a). Fi- nally,a numberof studieshave reportedan associationbetween irregular rhythmsand negativemoods and between regular,repetitive, or flowing rhythmsand positive moods (Hevner,1935; Rigg, 1964). Based on these considerations,we predictedthat positive emotions would be associated with relativelysimple melodies and rhythms,whereas negativeemotions would be associatedwith relativelycomplex melodiesand rhythms. For pitch range, we predictedthat ragas perceivedas having a wider pitchrange would be associatedwith negativeemotions. A numberof studies haveprovided strong evidence that listenersexpect pitch proximity in melodies (e.g., Cuddy & Lunney,1995; Krumhansl,1995a, 1995b; Narmour, 1990, 1991; Schellenberg1996, 1997; Thompson,Cuddy & Plaus, 1997; Thompson &cStainton, 1998). Thus, ragas perceivedto involve a wider rangein pitch may be less predictable,yielding a higherlevel of arousal.In addition, ragas involving a narrow pitch range may be processedas one auditory stream (Bregman,1990) and, hence, may be easier to process. Ragas that are both more predictableand processedas a single auditory streamshould be assignedrelatively high ratingsfor positiveemotions (joy and peace)and relativelylow ratingsfor negativeemotions (anger and sadness). Timbrehas also been found to influencelisteners' ratings of emotion in music. Behrensand Green (1993) presentedlisteners with improvisations intended to evoke specific emotions, performedon violin, timpani, and

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions 50 Laura-Lee Balkwill & William Forde Thompson voice. They reportedthat theirlisteners were more sensitiveto sadnessand fearexpressed in violin and vocal improvisationsand to angerexpressed in timpani improvisations.Gabrielsson and Juslin (1996) include timbre in some of theirpsychophysical profiles: music perceivedas happywas characterizedas havinga "bright"timbre, music perceivedas angrywas characterizedas having a "harsh"timbre, and music perceivedas having no expressionwas characterizedhaving a "cold"timbre. Becausethe alap samplesrecorded for this studywere performedin two distinctivetimbrai classes (stringsand flute),this variablewas not ratedby listenersbut includedas a coded variable.Interviews conducted during a field researchtrip to Indiawith expertson Hindustanimusic indicated that the rasaof raudra/angeris most effectivelyexpressed on traditionalstringed instruments,particularly sitar, and it is almostnever expressed on the bansuri flute (A. Ranade,S. Rao, and S. Devasthali,personal communication, De- cember1996 to January1997). Therefore,we predictedthat the flute timbre would be associatedwith higherratings of peace and the stringtimbre would be associatedwith higherratings of anger.

Method

LISTENERS

Fifteen men and 15 women from the York University community, ranging in age from 23 to 46 years, volunteered to participate in the study. All 30 were raised in a Western culture and exposed to music of the Western tonal system. Two of them reported a minor amount of exposure to Hindustani music as interested listeners but had no knowledge of the conventions of the Hindustani tonal system. The remaining 28 listeners indicated no familiarity with Hindustani music. Four experts on Hindustani music also participated in the study. These listeners had either taught or studied Hindustani music for an average of 33 years each. The experts were asked to identify each raga in addition to specifying the dominant rasa. All of them asserted that the performances they heard were competent renditions of the ragas and that these ragas were associated with the intended rasas.

MATERIALS

Cassette recordings of the alap portions of 12 raga performances were used in this ex- periment. The alaps in this study were field recordings (obtained during a 1996-1997 field research trip in India) of performances by two professional Hindustani musicians: a bansuri flute player and a stringed instrument player (sitar, dilruba, and surbahar). Both performers had studied classical Hindustani music for over 20 years and had extensive experience playing before audiences and making professional recordings. During the recording sessions (conducted separately), each performerwas asked to choose several ragas they would normally choose to evoke each of four target emotions: joy, sadness, anger, and peace. Then they were asked to play only a short alap from each raga they had selected. The performers supplied the names of the ragas they had chosen, which were later verified for spelling and associated moods (Danielou, 1991; Kaufmann, 1968).

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The performances were recorded on a portable AIWA cassette recorder. Three improvisations for each target emotion were recorded (for a total of 12) and dubbed onto separate cassettes for randomization of presentation to listeners. The length of these recordings ranged from 52.8 to 247.3 s (mean = 165.28 s). Table 1 lists the ragas selected by each of the two performers. It may be noted that the performers independently chose two of the same or similar ragas to convey the same emotions: Bhupali for joy and Yaman/YamanKalyan for peace. Ragas were presented to listeners on a CS 703D AKAI compact cassette deck through Sennheiser HD 480 headphones. After each presentation, listeners' ratings were entered directly onto a Power Macintosh computer. A brief demographic questionnaire was completed by each listener. Some of the items included were age, sex, cultural background, and familiarity with Western and Hindustani music.

PROCEDURE

Listeners were tested individually. After filling out a demographic questionnaire, they were told they would be hearing 12 ragas ranging in length from one to four minutes and that for each raga they should indicate which of the four target emotions was most dominant. The ragas were presented in a different order to each of the 30 listeners. After identifying the dominant emotion in each piece, listeners were asked to rate the degree to which they believed that emotion was conveyed on a scale from one (emotion not conveyed) to nine (emotion strongly conveyed). Next, they were asked to rate each piece on similar scales for the other three target emotions, as well as for tempo, rhythmic complexity, melodic complexity, and pitch range. Listeners were given definitions and verbal examples of each of these psychophysical dimensions as follows: For judgments of tempo, they were asked to think about the overall pace of the excerpt; was it very fast (a rating of 9) or very slow (a rating of 1) or somewhere in between? For judgments of melodic complexity, listeners were asked to think about how much was going on melodically in the excerpt; was there a lot of repetition as in "Mary had a Little Lamb"? Would it be easy to sing it back to themselves (very simple- a rating of 1)? Did the melody

Table 1 Musical Stimuli

Performer Raga Rasa Instrument 1 Bhupali Hasya Bansuri flute 2 Khamaj (Joy) Sitar (stringed) 2 Bhupali Surbahar (stringed)

2 Jogya Karuna Dilruba (stringed) 1 Bhairavi (Sadness) Bansuri flute 1 Bhopali-Todi Bansuri flute

1 Hindol Raudra Bansuri flute 2 Adana (Anger) Sitar (stringed) 1 Sohini Bansuri flute

1 Yaman Kalyan Shanta Bansuri flute 2 Yaman (Peace) Surbahar (stringed) 2 Bhilaskhani Dilruba (stringed)

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions 52 Laura-LeeBalkwill & WilliamForde Thompson changea greatdeal and go in unexpecteddirections; would it be difficultto sing it backto themselves(very complex - a ratingof 9)? For judgmentsof rhythmiccomplexity, listeners were askedto imaginea drummerac- companyingthe excerpt.Would the drummerbe doing somethingvery repetitious and easy to follow (very simple- a rating of 1), or would the drummerbe doing somethingvery changeableand difficultto follow (verycomplex - a ratingof 9)? For pitchrange, listeners wereasked to thinkabout how low and how highthe melodyranged. Did it stay withinthe same few notes as in "Maryhad a LittleLamb" (a ratingof 1), or did it go very high and verylow like an Italianaria (a ratingof 9)? Theywere encouraged to ask questionsand seek clarificationof any termsof which they were unsure.

Results and Discussion

Table2 illustratesthe correlationsbetween mean ratingsof the four target emotionsin the 12 ragaalaps. There were two significantcorrelations - between joy and sadness and between anger and peace. These negative relationshipswere expected:joy and sadnesswere perceivedas opposing qualities,as were angerand peace. Table 3 displays mean ratings of each emotion for ragas intended to convey joy, sadness,anger, and peace. The highestratings for joy and sadness were, as predicted,assigned to joyfuland sad ragas,respectively. How- ever,the results were less clear for ratings of anger and peace. Repeated measuresanalyses of variancewere conductedfor each emotion scale, to evaluatewhether the mean ratingsfor each emotion differedsignificantly among the 12 ragas. There was a significantmain effect of raga for joy, sadness,anger, and peace (p < .001 for each). These findingsindicate that listenersreliably differentiated between the ragason the basisof emotional content, even though they had no familiaritywith North Indianmusic.

Table 2 Correlations of Mean Ratings of Emotions Perceived in Hindustani Ragas

Joy Sadness Anger Peace Joy 1.000 -0.96 -0.32 -0.37 p = . p = .000 p = 303 p = .233 Sadness -0.96 1.000 0.27 0.38 p = .000 p = . p = 396 p = .218 Anger -0.32 0.27 1.000 -0.64 p = .3O3 p = .396 p = . p = .O24 Peace -0.37 0.38 -0.64 1.000 p = .233 p = .218 p = .O24 p = . Note - The valuesrepresent correlations between mean ratings of the 12 ragas.

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Table 3 Mean Ratings of Emotions Perceived in Hindustani Ragas

Emotion Type of Melody in Terms of Intended Emotion Rated Joy Sadness Anger Peace Joy 5.61 3.12 2.30 4.40 SE (0.41) (0.34) (0.38) (0.35)

Sadness 2.99 5.27 2.75 5.06 SE (0.38) (0.39) (0.36) (0.40)

Anger 5.12 3.54 3.37 3.69 SE (0.47) (0.41) (0.46) (0.39)

Peace 2.59 5.58 3.50 4.61 SE (0.35) (0.39) (0.39) (0.48)

Note - The values represent means across ragas and listeners. Values in parenthe- ses are mean standard errors.

Contrast analyses were conducted to assess the predictionthat mean ratingsof a given emotion would be significantlyhigher for the ragasthat were intendedto convey that emotion than for ragasnot intendedto convey that emotion. The mean ratingsfor the three ragas correspondingto the ratedemotion were compared with the nine ragasthat were intendedto convey a differentemotion. These analyses indicatedthat listenerswere sensitiveto the intendedemotion in ragaswhen that emotionwas joy, sadness, or anger,but not when that emotion was peace. Table4 illustratesthese results.First, the meanrating of joy for the three ragasintended to convey joy was higherthan the mean ratingfor the nine ragas not intendedto convey joy. Second, the mean rating of sadnessfor the three ragas intendedto convey sadness was significantlyhigher than the mean ratingfor the nine ragas not intendedto convey sadness.Third, the mean ratingof angerfor the threeragas intended to convey angerwas significantlyhigher than the meanrating for the nine ragasnot intendedto conveyanger. Finally, the meanrating of peace for the threeragas intended to convey peace was not significantlyhigher than the mean ratingfor the nine ragas not intendedto convey peace. For three of the four emotions considered,these results supportthe hypothesisthat people enculturated to one tonal systemcan accuratelyperceive the intendedemotion in music of an unfamiliartonal system. An analysisof sex revealedthat women were significantlymore sensitive to the emotion of joy in the ragas,F(l,28) = 6.54, p < .05. No other differ- ences betweensexes were observed. The next set of analysesaddressed our second researchquestion: Were listeners'ratings of emotion in the ragas influencedby their perceptionof

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Table 4 Mean Ratings of Emotion for Ragas Intended to Convey Specific Emotions vs Ragas Intended to Convey Other Emotions Emotion Mean Ratingof Ragas MeanContrast Results Rated Intended(n = 3) Other(n = 9) F P Joy 5.61 (0.41) 3.57 (0.40) 60.43 .0001 Sadness 5.27 (0.39) 4.80 (0.40) 23.45 .0001 Anger 3.37 (0.46) 2.85 (0.38) 4.41 .0366 Peace 4.61 (0.48) 4.45 (0.42) .70 .4032

Note - Valuesin parenthesesare meanstandard errors. psychophysicalcues? To evaluatethis question, we enteredmean ratings for each of the four rated psychophysicalcues into stepwise multiplere- gressionsfor each emotion.One additional(unrated) predictor, timbre, was also includedin the analysis.Timbre was coded as a dichotomousvariable: ragasperformed on a stringedinstrument were coded as 0, and ragasper- formedon the flute were coded as 1. Tables5-8 show, for each of the four emotions, the correlationand regressionresults. Table5 revealsthat ratingsof joy were stronglyassociated with ratings of tempo,rhythmic complexity, and melodiccomplexity, but not with pitch rangeor timbre.Stepwise multiple regression revealed that tempo and melodic complexityprovided unique predictivepower. As predicted,ratings

Table 5 Mean Joy Ratings: Correlations and Stepwise Multiple Regression Correlations

Rhythmic Melodic Pitch Tempo Complexity Complexity Range Timbre fry J~5 ^76 ^66 ~A4 /L3 p .000 .002 .010 .075 .685 Regression R2= .91 AdjustedR2 = .89 F = 47.39;SignifF=.0001 Variablesin the Equation Variable B SEB Beta T SigT Tempo 120 AS 1L28 6^85 XJÔÔÏ Melodic -.65 .30 -.40 -2.17 .0578 complexity

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Table 6 Mean Sadness Ratings: Correlations and Stepwise Multiple Regression Correlations

Rhythmic Melodic Pitch Tempo Complexity Complexity Range Timbre Sadness -.92 .75 .64 -.53 -.003 p .000 .003 .012 .039 .990 Regression R2 = .91 Adjusted R2 = .89 F = 44.19; SignifP=. 0001 Variables in the Equation Variable B SEB Beta T SigT Tempo ^98 ^4 -1.33 -6.93 M01 Melodic .61 .24 .49 2.53 .0321 complexity of joy were positively relatedto ratings of tempo. These results indicate that mean joy ratingscan be predictedby a weightedsum of mean tempo ratings and mean melodic complexity ratings. Together,these two variables accountedfor 91% of the variancein mean joy ratings. Ratingsof sadnesswere significantlycorrelated with ratingsof tempo, rhythmiccomplexity, melodic complexity, and pitch range,but not timbre.

Table 7 Mean Anger Ratings: Correlations and Stepwise Multiple Regression Correlations

Rhythmic Melodic Pich Tempo Complexity Complexity Range Timbre Anger .007 .27 .32 .12 .56 p .492 .203 .155 .356 .03 Regression R2 = 31 Adjusted R2 = .24 F = 4.51;SignifF=.O596 Variables in the Equation Variable B SEB Beta T SigT Timbre 1.07 .50 .56 2.12 .0596

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Table 8 Mean Peace Ratings: Correlations and Stepwise Multiple Regression Correlations

Rhythmic Melodic Pitch Tempo Complexity Complexity Range Timbre Peace ^62 ^77 ^69 ^40 ^J~5 p .015 .002 .007 .099 .031 Regression R2= .74 Adjusted R2 = .68 F = 12.48; SignifP=. 0025 Variablesin the Equation Variable B SEB Beta T SigT Rhythm -.52 .13 -.68 -3.88 .0037 Timbre -.63 .29 -.38 -2.25 .0607

As expected, ratings of sadness had a strong negative relationshipwith ratingsof tempo. Mean tempo ratingsand mean melodic complexityrat- ings contributedunique predictive power in the regressionequation. These two predictorswere highly significantand togetheraccounted for 91% of the variancein mean ratingsof sadness. None of the listener-rateddimensions were significantlycorrelated with ratingsof anger.Timbre, however, was significantlycorrelated with these ratings.There was a positiverelationship between ratings of angerand the ragas performedon stringedinstruments. In the stepwisemultiple regression, timbrewas the only significantpredictor of mean angerratings, ac- countingfor 31% of the variance. Mean ratingsof peacewere significantlycorrelated with meanratings of tempo, rhythmiccomplexity, melodic complexity and timbre,but not pitch range.As predicted,high ratingsof peacewere associatedwith low ratings of tempo. In the stepwiseregression, mean ratingsof rhythmiccomplexity and timbrecontributed significant predictive power in the equation.These two variablesaccounted for 73% of the variancein meanratings of peacefulness. Althoughinitial results indicated that Westernlisteners were not reliably sensitiveto the intendedemotion of peacefulness(see Table4), it appears that simpler rhythms and flute timbre were used by listeners as psychophysicalcues in assigningratings of peacefulnessin the ragas.

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EXPERTDATA

Table 9 shows a comparisonbetween mean ratings,made by the 4 expert and 30 naive listeners,of ragas intendedto convey each emotion and the ragas not intended to convey that emotion. It should be noted that thereis a similarpattern of mean ratingsfor expertand naive listeners:for all four emotions,both groupsassigned higher ratings to ragasintended to convey that emotion than to ragas not intendedto convey that emotion. Expertsassigned relatively low ratingsof angeroverall. This observationis consistentwith the North Indianview, previously noted, that angeris rarely employedin ragasbecause of its incongruencywith the peacefulnature of Hindustanimusic. The correlationbetween mean ratingsassigned by expert and naive lis- tenerratings was significantfor joy,r(10) = .61, p = .036; and sadnessr(10) = .83. p = .001; but not for anger,r(10) = .36, p = .253; and peace, r(10) = .47, p = .12. A closerlook at the differencesbetween mean ratings for each emotion indicatesthat experts made somewhat clearerdistinctions than naive listeners.Given the experts'knowledge of the tonal conventionsof Hindustanimusic and the raga-rasasystem, this result is consistentwith our model.

General Discussion

The resultsof this studysupport our model of the perceptionof emotion in music.Western listeners were sensitive to intendedemotions in Hindustani ragas, even though they were unfamiliarwith the tonal system and the raga-rasasystem of conveying moods within that tonal system. Further- more, listeners'ratings of the psychophysicaldimensions in the ragaswere predictiveof their judgmentsof emotions in the ragas.

Table 9 Mean Ratingsof Emotionin Ragasby Naive and ExpertListeners

Emotion Naive Group Expert Group Rated Intended (3) Other (9) Intended (3) Other (9) Jo^ 5.61 (0.41) 3.57 (0.40) 6.25 (0.76) 3.25 (0.37) Sad 5.27 (0.40) 4.80 (0.40) 6.17 (0.68) 4.28 (0.71) Anger 3.37 (0.46) 2.85 (0.38) 2.5 (0.25) 1.00 (0.00) Peace 4.61 (0.48) 4.45 (0.42) 6.25 (0.38) 5.06 (0.37)

Note - Ratingswere made on scalesnumbered one to nine. Valuesin bracketsare mean standarderrors.

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In the absenceof relevantculture-specific knowledge regarding the con- ventionalassociations of emotion and music in the Hindustanitonal system, listenersrelied upon the only resourceat theirdisposal: psychophysical cues. This strategysucceeded for the perceptionof joy, sadness,and anger but not for the perceptionof peacefulness.According to our model, this indicatesthat the psychophysicalcues for joy, sadness,and angerwere salient enough to enable listenersto overcometheir unfamiliaritywith culture-specificcues and to makean accurateassessment of the intendedemotion. Particularlyin the case of ragasintended to representjoy and sadness, ratingsmade by naive listenerswere stronglycorrelated with ratingsmade by expert listeners.That naive listenersdemonstrated such a high level of agreementwith expertlisteners, who were deeplyfamiliar with the culture- specificcues embeddedin the music samples,is remarkable. The currentresults are compatiblewith the resultsof studies in which listenersjudged emotion in music from theirown culture.Gabrielsson and Juslin (1996) found fast tempi were associatedwith listeners'perceptions of joyfulnessand anger,and slow tempiwere associatedwith listeners'perceptionsof sadnessand peacefulness.For ragasintended to evoke joy and sadness,the same patternwas observed.In this investigation,73% of the variancein meanratings of joy and 84% of the variancein meanratings of sadness could be accountedfor by mean ratings of tempo. These results illustratethat listenerswere able to assess tempo in the Hindustaniragas and that a strongrelationship exists betweenthe perceptionof tempo and the interpretationof emotion in music. Listenersalso perceivedrhythmic and melodic complexityin the ragas, and theirratings of these elementswere relatedto their ratingsof joy, sadness, and peacefulness.Perceptions of joy were associatedwith perceptions of simplermelodies, and perceptionsof sadnesswere associatedwith perceptionsof more complexmelodies. As with tempo, these findingsparallel the resultsof studiesinvolving Western listeners and Western music. Hevner (1935, 1936) examinedlisteners' perceptions of rhythmand harmoniccom- plexity,as they relatedto theirjudgments of musicallyexpressed emotion. She found that listeners associated simple harmony with happinessand serenity and associated complex harmony with excitement or sadness. "Firm"rhythm was associatedwith "dignityand vigor" and "flowing" rhythm was associatedwith "happy feelings." Rigg (1940) investigated structuralelements of music and their effect upon listeners'judgments of emotion in music. He found that listenerslinked perceptionsof joy with faster tempi, simple harmony,iambic or anapesticrhythms, and perceptions of "lamentation"with slow tempi,trochaic rhythms, dissonance, and legato phrasing.Imberty (1974) evaluatedthe music of Debussyaccording to an index of formal complexityand anotherindex of dynamism.In his study,high complexitywas relatedto responsesof "a melancholicor sor- row kind," and low complexitywas relatedto responsesof "joy and well-

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions Emotion in Music 59 being"(see Nielzén & Cesarec,1982, for a review).Our findingsillustrate that these relationshipsbetween emotion judgmentsand psychophysical dimensionsof music is preservedacross cultural boundaries. Tempowas not a significantpredictor of meanratings of peacefulness or anger.It is possible that, because both peaceful and sad ragas employed slow tempi, listenersrelied on other cues to distinguishbetween them. In particular,ratings of rhythmiccomplexity were significantlyrelated to ratings of peacefulness,with simplerhythms associated with greaterpeaceful- ness. However,listeners were unsuccessfuloverall in their attemptsto distinguish peaceful ragas from other ragas. Thus, it appears that the psychophysicalcue of rhythmiccomplexity was insufficientto distinguish peacefulragas from other ragas. Timbrewas a significantpredictor of mean ratingsof peacefulnessand anger.The directionof this influencewas expected:the flute timbrewas stronglyassociated with peacefulness,and the stringtimbre was strongly associated with anger. However, as with rhythmic complexity, the psychophysicalcue of timbrewas insufficientto distinguishpeaceful ragas from other ragas. Pitchrange failed to emergeas a strongpredictor of listeners'ratings of any of the four targetemotions. Previous evidence has indicatedthat pitch rangeplays a role in expectancy(Narmour, 1991), and expectancy,in turn, has been linked to emotion (Meyer,1956). Quite possibly, however,the "emotions"associated with expectancymechanisms may be generalized arousal, ratherthan specifiableemotions. This interpretationwould ex- plainwhy pitch rangedid not appearto influenceWestern listeners' identi- ficationof specificmusically expressed emotion in Hindustaniragas.

OTHER MODELS OF PERCEPTIONOF EMOTION IN MUSIC

The proposedmodel assumesthat, in additionto culture-specificcues, there are psychophysicalcues (commonto all auditorysignals) that influ- ence listeners'perceptions of emotion in music. The connection between music and emotion has been explored in a numberof other theoriesthat we will now discussand comparewith our own theory. One of the moreinfluential theories of emotionin musicis that of Suzanne Langer.In her philosophicaltreatise of music and emotion (1957), she de- velops the idea that "theforms of humanfeeling are much morecongruent with musicalforms than with the forms of language...." This idea stems from a rejectionof previous theories that sought to explain the emotive characterof music solely as a result of music'smimicry of human vocal expressionsof emotion. Langerdoes not focus on the issue of whetherthe perceptionof emotion in musicrequires an understandingof specificmusical idioms. Neither does she explore whether more elementary properties in the music (e.g.,

This content downloaded from 130.132.173.158 on Wed, 15 Oct 2014 16:19:39 PM All use subject to JSTOR Terms and Conditions 60 Laura-Lee Balkwill & William Forde Thompson psychophysicalones such as changes in loudness or tempo) might map directlyonto emotionalcontent quite apart from the culturallyspecific codes and traditionsof the music. Langerrejects the idea that music can representspecific emotions, argu- ing that music imitates only the form of emotion, not the content. For example, music may be very emotional, but equally happy and sad. This view suggeststhat the representationof emotionin musicis inherentlyvague. However,it has difficultyaccounting for findingsthat listenersreadily at- tach emotionallabels to pieces of music (Frances,1958, Expt. 14; Hevner, 1935, 1936). Mandler(1984) proposeda theoryof emotionin musicbased on Meyer's earlierwork on musicalexpectancies. Mandler's account draws a connection betweenthe emotionalqualities of music and the biologicaladaptive value of emotionalreactions. Specifically, the interruptionof ongoingsche- mata,that is, a violationof our expectancies,brings about biological arousal, which acts as an alerting signal. This alerting signal then stimulatesan interpretationof the stimuli, which, when combined with the biological arousal,is felt as emotion. Similarto Langer'stheory, Mandler's theory holds that music does not signifyspecific emotions. Fulfillmentsand violationsof musicalexpectancies lead to biologicalarousal, which may lead to an emotionalinterpreta- tion. However, biological arousal is essentiallycontentless, so emotional qualitiescannot be inferreddirectly from the propertiesof arousal. The contentof the emotionalreaction is an interpretationthat occurspost hoc. In contrastto these views are theoriesof emotionin musicthat hold that music can representspecific emotions (Cooke, 1959; Kivy, 1980). Cooke set out to analyzeelements of musicalexpression and to establisha lexicon of these elementsin terms of the specificemotions they were able to convey. He attemptedto test this theory empiricallyand took as his material Westerntonal music composedsince 1400 a.d. He identifiedmusical pat- ternsof soundthat were commonlyused to expressemotion in this body of work. He then analyzedthese melodic motifs into their componentinter- vals and assertedthat each "basicterm" had a particularemotive character (i.e., scale notes 5-1-2-3 in a minormode = a bold acknowledgmentof the existence of tragedy).Efforts to substantiatethis theory empiricallyhave been unsuccessful.Gabriel (1978) askedlisteners to rate the emotivequal- ity of Cooke's"basic terms" and found no significantpattern of agreement with Cooke'sdescriptions of their emotionalcontent. Kivy'stheory (1980) also centers on the view that music can convey specificemotions to the listener.Like Cooke (1959), Kivymaintained that certainmelodic patterns are conventionallyassociated with specifiableex- pressivepredicates, such as "is sad," "is angry,"or "is joyful". However, he acknowledgedthat somelinks between music and emotion may be "natural."

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Kivy proposed a distinctionbetween two types of cues to emotion in music:"contour" and "convention."In his discussionof contour,he identified elementsof music that he characterizedas having naturalconnections to "emotivelife" (emotionas expressedby vocal utterances,posture, gesture,and bodily motion), such as melodiccontour, tempo, and rhythm. These elementswere also featuredin his discussionof convention.Falling melodiclines signifyingsadness, leaping melodic motion signifyingjoy, and slow tempo with measuredrhythm signifying dignity were all conventions that Kivy identifiedas being typicalof Westernclassical music. According to Kivy, all conventional associations between music and emotion ultimatelyderive from natural connections between music and "emotivelife." In turn,he statedthat thesenatural connections are culture- specific,in that the musicof a culturecan resemblethe emotivelife of only that culture.Thus, listenersfrom one cultureshould be unableto appreci- ate the naturalconnections between music and the emotivelife of an unfa- miliarculture. Kivy furtherargued that listenersof one culturewould be unableto perceivemusic from an unfamiliartonal systemas music per se, but ratheras a sequenceof nonmusicalsounds. To illustratehis point, he postulateda cross-culturalexploration of his theory,using the example of North Indianraga music. "TheWestern ear, nourishedon horizontal or (at least) vertical polyphony (i.e., harmony) will naturallytend to read Indian music harmonicallyor polyphonically and, of course, fail" (Kivy,1980, p. 90). Accordingto Kivy'spredictions, Westernlisteners should hear ragasnot as music, but ratheras an unintel- ligible collection of alien sounds. "To the uninitiatedear, every raga pre- sents about the same mood: a kind of exotic stupor"(Kivy, 1980, p. 89). Kivy offered no empiricalevidence to support his predictions about Westernlisteners' inability to perceiveemotion in the music of North In- dia. The resultsof our investigationcontradict Kivy's assumptions. West- ern listenerswere able to perceiveemotional expressiveness in the musicof an unfamiliartonal system, and furtherevidence suggested that their perceptions were based on psychophysicalelements such as tempo, timbre, and complexity. Our model provides a useful frameworkfor exploring the connection betweenpsychophysical dimensions and the representationof specificemotions in music. It may be that listeners'sensitivity to emotion in music is a highly evolved aspect of human sensitivityto psychophysicaldimensions of our auditoryenvironment. Only by strippingaway the layersof culture- specificcues and interpretationscan we furtherexplore these possibilities.4

4. This study was supportedin part by NSERCgrants awardedto both the first and secondauthors. We wish to expressour appreciationto all of the peoplewho participated in thisstudy and particularly those who renderedassistance along the way. Thanks to Jamshed Bharucha,Jane Davidson, Beverley Diamond, Suzanne MacDonald, and SandraTrehub for theirhelpful comments during the initial designstages of this study.Special thanks to the

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